LEGAL ETHICS knowledge, training and experience.

(3) Compensation. Practice of law implies that

one must have presented himself to be in the
active practice and that his professional
LEGAL ETHICS services are available to the public for
The embodiment of all principles of morality and compensation, as a source of his livelihood
refinement that should govern the conduct of every or in consideration of his said services.
member of the bar. (Justice Moran’s Foreword to (4) Attorney-client relationship. Engaging in
Malcolm’s Legal and Judicial Ethics as cited in the practice of law presupposes the
Agpalo 2009, p. 2) existence of lawyer-client relationship. Hence,
where a lawyer undertakes an activity which
That branch of moral science of which treats of the requires knowledge of law but involves no
duties which an attorney owes to the court, to his attorney-client relationship, such as teaching
client, to his colleagues in the profession and to the law or writing law books or articles, he
public. (Malcolm, Legal and Judicial Ethics as cannot be said to be engaged in the practice
cited in Agpalo 2009, p. 2) of his profession as a lawyer.

A. PRACTICE OF LAW PRACTICE OF LAW AS A PRIVILEGE

The practice of law is not a natural, property or

PRACTICE OF LAW constitutional right but a mere privilege, a privilege
Means any activity, in or out of court, which requires clothed with public interest because a lawyer owes
the application of law, legal procedure, knowledge, substantial duties not only to his client, but also to his
training, and experience. To engage in the practice of brethren in the profession, to the courts, and to the
law is to perform those acts which are characteristics nation. (In the Matter of the IBP Membership Dues
of the profession. Generally, to practice law is to give Delinquency of Atty. Marcial A. Edillon (IBP
notice or render any kind of service which, device or Administrative Case No. MDD-1, A.M. No. 1928,
service requires the use in any degree of legal August 3, 1978)
knowledge or skill. (Cayetano vs. Monsod, G.R. No.
100113, September 3, 1991) The practice of law is a privilege accorded only to
those who measure up to a certain rigid standards of
It is not limited to the conduct of cases in court. It mental and moral fitness. These standards are
includes legal advice and counseling, and the neither dispensed with nor lowered after admission.
preparation of legal instruments and contracts by (In re: Disbarment Proceedings Against Atty.
which legal rights are secured, which may or may not Diosdado Q. Gutierrez, A.M. No. L-363, July 31,
be 1962)

But while the practice of law is a privilege, a lawyer

cannot be prevented from practicing law except for
ESSENTIAL CRITERIA DETERMINATIVE OF valid reasons, the practice of law not being a matter
ENGAGING IN THE PRACTICE OF LAW (Taken of state’s grace or favor. (Ex parte Garland, 4 Wall
from Justice Padilla’s dissent in Cayetano vs. (U.S.) 328, 18 L. ed 366)
Monsod)

Code: H-A-C-A PRACTICE OF LAW AS A PROFESSION, NOT A

BUSINESS
(1) Habituality. The term “practice of law”
implies customarily or habitually holding Primary characteristics which distinguish the legal
himself out to the public as a lawyer. Practice profession from a business
is more than an isolated appearance, for it
consists in frequent or customary action, a (a) A duty of public service, of which
succession of acts of the same kind. In other emolument is a by-product, and in which
words, it is a habitual exercise. one may attain the highest eminence
(2) Application of law, legal principle, without making much money.
practice, or procedure which calls for legal (b) A relation as officer of the court to the

Legal Ethics | 1
 administration of justice involving Supreme Court itself. (Rule 138, Sec. 17,
thorough sincerity, integrity, and Rules of Court)
reliability. (d) Signing the roll of attorneys and
(c) A relation to client in the highest degree receiving from the clerk of court of the
fiduciary. Supreme Court a certificate of the
(d) A relation to colleagues at the bar license to practice. (Rule 138, Secs. 18
characterized by candor, fairness, and and 19, Rules of Court)
unwillingness to resort to current
business methods of advertising and (2) Those who remain in good and regular
encroachment on their practice, or standing. (Continuing requirement for the
dealing directly with their clients. practice of law)
(Petition for Authority to Continue
Use of the Firm Name “Sycip, Salazar, (a) Remain a member of the Integrated Bar
Feliciano, Hernandez & Castillo, G.R. of the Philippines.
No. X92-1, July 30, 1979) (b) Regularly pay all IBP membership dues
and other lawful assessments as well as
the annual professional tax receipt.
A partnership in the practice of law is a mere (c) Faithfully observe the rules and ethics of
relationship or association for such particular the legal profession.
purpose. It is not a partnership formed for the (d) Be continually subject to judicial
purpose of carrying on a trade or business or of disciplinary control.
holding property. (Petition for Authority to
Continue Use of the Firm Name “Sycip, Salazar,
Feliciano, Hernandez & Castillo, G.R. No. X92-1,
July 30, 1979)

WHO MAY PRACTICE LAW, GENERALLY. Qualifications for admission to the practice of
law
Any person who has been duly licensed as a
member of the bar in accordance with the statutory Every applicant for admission to the practice of law
requirements and who is in good and regular must be:
standing is entitled to practice law. (Rule 138, Sec. 1,
Rules of Court.) Code: C-R-A-G-M-E

Law is a noble profession, and the privilege to (a) A citizen of the Philippines.
practice it is bestowed only upon individuals who are (b) A resident of the Philippines.
competent INTELLECTUALLY, ACADEMICALLY, (c) At least 21 years of age.
and equally important, MORALLY. (Soriano vs. (d) A person of good moral character.
Dizon, A.C. No. 792, January 25, 2006) (e) Must show that no charges against him
involving moral turpitude, are filed or pending
in court.
Persons entitled to practice law, generally: (f) Possess the required educational
qualifications.
(1) Those admitted to the bar.
(Rule 138, Sec. 2, Rules of Court)
This requirement involves various phases
consisting of: Note: An applicant must have pursued and
satisfactorily completed in an authorized and
(a) Furnishing satisfactory proof of recognized university, college or school
educational, moral and other  A four-year high school course
qualification.(Rule 138, Secs. 2, 5 and 6,  A course of study prescribed for a
Rules of Court) bachelor’s degree in arts or sciences
(b) Passing the bar examinations. (Rule 138,  A four-year bachelor’s degree in law
Secs. 8, 9, 10, 11 and 14) with completed courses in civil law,
(c) Taking the lawyer’s oath before the commercial law, remedial law,

Legal Ethics | 2
 criminal law, public and private
international law, political law, labor  Non-lawyers who can practice law.
and social legislation, medical
jurisprudence, taxation, and legal (1) A law student who has successfully
ethics. completed third year of the regular four-year
prescribed law curriculum and is enrolled in a
An applicant who has not completed his pre- recognized law school’s clinical legal
legal education or completed the same only education program approved by the
after he began his study of law will not be Supreme Court. (Rule 138-A, Sec. 1, Rules
qualified to take the bar examinations, and if of Court)
by concealment of that fact he is able to take
and pass the bar examinations and Note: Such law student may appear without
thereafter is admitted to the bar, his passing compensation in any civil, criminal or
the bar examinations will not validate his administrative case before any trial court,
admission to practice, taking the prescribed tribunal, board or officer, to represent
course of legal study in the regular manner indigent clients accepted by the legal clinic of
being as essential as the other requirements the law school. (Rule 138-A, Sec. 1, Rules
for membership in the bar. (In the Matter of of Court)
the Petition for Disbarment of Telesforo
Diao vs. Martinez, A.C. No. 244, March 29, Note: The appearance of the law student
1963) shall be under the DIRECT supervision and
control of a member of the Integrated Bar of
(g) Pass the bar examinations. the Philippines. (Rule 138-A, Sec.2, Rules
of Court)
Note: On September 3, 2013 the Supreme
Court lifted the so-called “five-strike rule” for The phrase “direct supervision and control”
bar examinees. The five-strike rule was first requires no less than the physical presence
implemented in 2005 through Bar Matter No. of the supervising lawyer during the hearing.
1161, a resolution which disqualifies bar This is in accordance with the threefold
examinees who fail the bar five times from rationale behind the Law Student Practice
taking the exams again. Rule, to wit:

Note: The Supreme Court, in the exercise of its (a) To ensure that there will be no
power to admit applicants to the bar, may likewise miscarriage of justice as a result of
prescribe such other qualifications or requirements incompetence or inexperience of law
as it may deem necessary to elevate the standards students, who not having as yet passed
of the legal profession. The additional qualifications the test of professional competence, are
may be apart from whatever qualifications the presumably not fully equipped to act as
legislature may provide in the exercise of its counsels on their own;
legislative power. (In the matter of the Petitions for (b) To provide a mechanism by which the
Admission to the Bar of Unsuccessful accredited law school clinic may be able
Candidates of 1946 to 1953; Albino Cunanan, et. to protect itself from any potential
al G.R. No. L-6784. March 12, 1954) vicarious liability arising from some
culpable action by their law students;
and
(c) To ensure consistency with the
APPEARANCE OF NON LAWYERS fundamental principle that no person is
allowed to practice a particular
GENERAL RULE: Any person who has been duly profession without possessing the
licensed as a member of the bar in accordance with qualifications, particularly a license, as
the statutory requirements and who is in good and required by law. (In re: Need that Law
regular standing is entitled to practice law. (Rule 138, Student Practicing Under Rule 138-A
Sec. 1, Rules of Court.) Be Actually Supervised During Trial,
Bar Matter No. 730, June 13, 1997)

EXCEPTIONS: Note: Any and all pleadings, motions, briefs,

Legal Ethics | 3
 memoranda or other papers to be filed, must
be signed by the supervising attorney for and  The following are the limitations:
in behalf of the legal clinic. (Rule 138-A, Sec.
2, Rules of Court) (a) A layman should confine his work to non
adversary contentions. He should not
(2) A party to a litigation in person OR through undertake purely legal work such as the
the aid of an agent or friend appointed by examination or cross-examination of
him for that purpose in cases which the MTC witnesses or the presentation of evidence.
has jurisdiction. (Rule 138, Sec. 34, Rules (Philippine Association of Free Labor
of Court) Unions vs. Binalbagan Isabela Sugar Co.,
G.R. No. L-23959, November 29, 1971)
(3) A party to the litigation before any other court. (b) The services should not be habitually
(Rule 138, Sec. 34, Rules of Court) rendered, habituality being one of the
characteristics of the practice of law.
Note: In numbers 2 and 3 a law student (c) A layman should not charge or collect
before an inferior court may appear as attorneys’ fees, one of the requisites for
an agent or friend of a party without the payment thereof being the relation of
supervision of a member of the bar. (In attorney and client which cannot exist
re: Need that Law Student Practicing between a layman and a person in whose
Under Rule 138-A Be Actually favor representation is made. (Philippine
Supervised During Trial, Bar Matter Association of Free Labor Unions vs.
No. 730, June 13, 1997) Binalbagan Isabela Sugar Co., G.R. No. L-
23959, November 29, 1971)
(4) In criminal cases before the MTC and a duly
licensed member of the Bar is not available,
the court may appoint any person of good Note: A non-lawyer litigant allowed to appear by
repute for probity and ability in the province himself and conduct his own litigation is bound by the
to defend the accused. (Rule 116, Sec. 7, same rules of procedure and evidence as those
Rules of Court) applicable to a party appearing through counsel.
Moreover, he may not be heard to complain later that
(5) Non-lawyers may appear before the NLRC he has been deprived of the right to the assistance of
or any Labor Arbiter only: counsel. (Agpalo, Legal and Judicial Ethics, 2009
 If they represent themselves; or p. 45)
 If they represent their organization or
members thereof. Note: The prohibition against the practice of law by a
(Art. 222, Labor Code of the layman is not in conflict with the right of an individual
Philippines, P.D. 442) to defend or prosecute a cause in which he is a party.
An individual has long been permitted to manage,
(6) Under the Cadastral Act, any person can prosecute and defend his own action, but his
represent himself or a claimant before the representation is not considered to be practice of law.
Cadastral Court. (The Cadastral Act, Act (Agpalo, Legal and Judicial Ethics, 2009 p. 45)
2259, Sec. 9)
 Proceedings where lawyers are prohibited
(7) Any person appointed to appear for the from appearing
Government of the Philippines in
accordance with law (Rule 138, Sec. 33, (1) In all katarungan pambarangay proceedings.
Rules of Court) (R.A. 7160, Sec. 415)
(2) Small Claims Cases (Rules of Procedure of
Small Claims Cases)
Note: Three limitations should be observed in order
that the appearance of a layman on behalf of another  Sanctions for practice or appearance without
as authorized by law may be reconciled with the rule authority
that admission to the practice is a judicial function
and that the practice of law is a lawful activity for
members of the bar only. Code: C-E-C-A-D-S

Legal Ethics | 4
(1) A disbarred attorney until his re-admission under the latter statute. Violations of
or a suspended lawyer during his is Sections 7, 8 or 9 of this Act shall be
prohibited from engaging in the practice of punishable with imprisonment not exceeding
five (5) years, or a fine not exceeding five
law; and any such person who assumes to
thousand pesos (P5,000), or both, and, in
be an attorney is liable for contempt of the discretion of the court of competent
court (punishable by fine or imprisonment or jurisdiction, disqualification to hold public
both in the discretion of the court. office.
(b) Any violation hereof proven in a proper
(2) If the unauthorized practice on the part of a administrative proceeding shall be sufficient
person who assumes to be an attorney cause for removal or dismissal of a public
causes damage to a party is liable for estafa. official or employee, even if no criminal
(3) A government official forbidden to practice prosecution is instituted against him.
law may be held criminally liable for
violating Secs. 7(b) and 11 of Republic Act (c) Private individuals who participate in
6713 or the Code of Conduct and Ethical conspiracy as co-principals, accomplices or
Standards for Public Officials and accessories, with public officials or
Employees. employees, in violation of this Act, shall be
subject to the same penal liabilities as the
Section 7. Prohibited Acts and Transactions public officials or employees and shall be
tried jointly with them.
(b) Outside employment and other activities
related thereto. - Public officials and (d) The official or employee concerned may
employees during their incumbency shall not:
bring an action against any person who
obtains or uses a report for any purpose
(1) Own, control, manage or accept
employment as officer, employee, consultant, prohibited by Section 8 (D) of this Act. The
counsel, broker, agent, trustee or nominee Court in which such action is brought may
in any private enterprise regulated, assess against such person a penalty in any
supervised or licensed by their office unless amount not to exceed twenty-five thousand
expressly allowed by law; pesos (P25,000). If another sanction
hereunder or under any other law is heavier,
(2) Engage in the private practice of their
the latter shall apply.
profession unless authorized by the
Constitution or law, provided, that such
practice will not conflict or tend to conflict (4) An officer or employee of the civil service,
with their official functions; or who as a lawyer, engages in the practice of
(3) Recommend any person to any position law without a written permit from the
in a private enterprise which has a regular or department head concerned may be held
pending official transaction with their office. administratively liable.
(5) Disbarment.
Section 11. Penalties. - (a) Any public (6) Suspension.
official or employee, regardless of whether
or not he holds office or employment in a
casual, temporary, holdover, permanent or
regular capacity, committing any violation of PUBLIC OFFICIALS AND PRACTICE OF LAW
this Act shall be punished with a fine not
exceeding the equivalent of six (6) months'
salary or suspension not exceeding one (1) PUBLIC OFFICIALS
year, or removal depending on the gravity of Includes elective or appointive officials and
the offense after due notice and hearing by employees, permanent or temporary, whether in the
the appropriate body or agency. If the career or non-career service, including military and
violation is punishable by a heavier penalty police personnel, whether or not they receive
under another law, he shall be prosecuted compensation, regardless of amount. (Sec. 3(b),

Legal Ethics | 5
R.A. No. 6713, Code of Conduct and Ethical (9) Those prohibited by special law.
Standards for Public Officials and Employees)
Exceptions:
General Rule: The appointment or election of an Public Officials who can practice law but with
attorney to a government office disqualifies him from restrictions (Relative Prohibition)
engaging in the private practice of law.
(1) A lawyer member of the Legislature is
Reason: A public office is a public trust, and prohibited from appearing as counsel
a public officer or employee is obliged not before any court of justice or before the
only to perform his duties with the highest Electoral Tribunals, or quasi-judicial and
degree of responsibility, integrity, loyalty and other administrative bodies. (Art. VI, Sec.
efficiency but also with EXCLUSIVE 14, 1987 Constitution)
FIDELITY.
Note: What is prohibited is to “personally
The disqualification is intended to: appear” in court and other bodies. The
 Preserve public trust in a public word “appearance” includes not only
office
arguing a case before any such body but
 Avoid conflict of interests or a
also filing a pleading on behalf of a client
possibility thereof
as “by simply filing a formal motion, plea,
 Assure the people of impartiality in
or answer.”
the performance of public functions
and thereby promote the public
(2) Members of the sanggunian may engage
welfare.
in the practice of law except in the
Public Officials who cannot practice law
following:
(Absolute Prohibition)

(a) They shall not appear as counsel

(1) Judges and other officials and employees of
before any court in any civil case
the courts (Rule 138, Sec. 5, Rules of
wherein a local government unit or
Court)
any office, agency or instrumentality
(2) Officials or employees of the Solicitor
of the government is the adverse
General (Rule 138, Sec. 5, Rules of Court)
(3) Government Prosecutors (People vs. party.
Villanueva, G.R. No. L-19450, May 27, (b) They shall not appear as counsel in
1965) any criminal case wherein an officer
(4) President, Vice-President, and members of or employee of the national or local
the cabinet and their deputies and assistants government is accused of an offense
(Art. VII, Sec. 13, 1987 Constitution) committed in relation to his office.
(5) Members of Constitutional Commissions (c) They shall not collect any fee for
(Art. IX-A, Sec. 2, 1987 Constitution) their appearance in administrative
(6) Ombudsman and his deputies (Art. IX, Sec. proceedings involving the local
8 (2), 1987 Constitution) government of which he is an official
(7) Civil Service Officers or employees whose (d) They shall not use the property and
duties and responsibilities require that their personnel of the Government except
entire time be at the disposal of the when the sanggunian member
government (Ramos vs. Rada, A.M. No. concerned is defending the interest
202, July 22, 1975) of the government. (Sec. 90(b), R.A.
(8) All governors, city and municipal mayors. No. 7160, Local Government Code
(Sec. 90(a), R.A. No. 7160, Local of the Philippines)
Government Code)

Legal Ethics | 6
 (3) A civil service officer or employee whose matter requiring the services of lawyers. When
duty or responsibility does not require his authorized by the President or head of the office
entire time to be at the disposal of the concerned, it shall also represent government
owned or controlled corporations. The Office of
Government may engage in the private
the Solicitor General shall discharge duties
practice of law provided he can secure a requiring the services of lawyers. (Sec. 35,
written permit from the head of the Administrative Code of 1987)
department concerned. (Sec. 12, Rule
XVIII, Revised Civil Service Rules; (2) Deputized provincial or city fiscal. (Sec. 35,
Ramos vs. Rada, A.M. No. 202, July Administrative Code of 1987)
22, 1975)
(3) Deputized legal officers of the government
departments, bureaus, agencies, and offices
(4) Retired judge or justice receiving
to assist the Solicitor General in cases
pension from the Government, cannot involving their respective offices. (Sec. 35,
act as counsel in a civil case in which Administrative Code of 1987
the Government or any of its subdivision
or agencies is the adverse party or in a (4) Any person appointed to appear for the
criminal case wherein an officer or Government of the Philippines in
employee of the Government is the accordance with law (Rule 138, Sec. 33,
accused of an offense in relation to his Rules of Court)
office. (Sec. 1, R.A. No. 910)

(5) A former government attorney cannot, Lawyer’s oath

after leaving government service, accept
engagement or employment in I,________, do solemnly swear that I will maintain
connection with any matter in which he allegiance to the Republic of the Philippines, I will
had intervened while in the said service. support the Constitution and obey the laws as well
(Rule 6.03, Code of Professional as the legal orders of the duly constituted authorities
Responsibility) therein; I will do no falsehood, nor consent to the
doing of any in court; I will not wittingly or willingly
promote or sue any groundless, false or unlawful
suit, or give aid nor consent to the same; I will delay
Note: Certain local elective officials (like governors, no man for money or malice, and will conduct myself
mayors, provincial board members and councilors) as a lawyer according to the best of my knowledge
are expressly subjected to a total or partial and discretion, with all good fidelity as well to the
proscription to practice their profession or to engage courts as to my clients; and I impose upon myself
these voluntary obligations without any mental
in any occupation, no such interdiction is made on
reservation or purpose of evasion. So help me God.
the punong barangay and the members of the
sangguniang barangay. Expressio unius est
exclusion alterius. (Catu vs. Rellosa, A.C. No. 5738, Note: The lawyer’s oath is not a mere ceremony or
19 February 2008) formality for practicing law. It is a condensed code of
legal ethics. The significance of the oath is that it not
Lawyers authorized to represent the government only impresses upon the attorney his responsibilities
but it also stamps him as an officer of the court with
The following are authorized to represent the rights, powers and duties. It is a source of his
government: obligations and its violation is a ground for
suspension, disbarment or other disciplinary action.
(1) The Office of the Solicitor General shall (Legal and Judicial Ethics, Agpalo 2009, p. 68)
represent the B. DUTIES AND RESPONSIBILITIES OF A
 Government of the Philippines, LAWYER
 its agencies and instrumentalities and
 its officials and agents
in any litigation, proceeding, investigation or TO SOCIETY

Legal Ethics | 7
 Respect for law and legal processes (Canon 1)
 Efficient and convenient legal services (Canon 2) Immoral conduct
 True, honest, fair, dignified and objective Connotes conduct that shows indifference to the
information on legal services (Canon 3) moral norms of society and the opinion of good and
 Participation in the improvement and reforms in respectable members of the community. For such
the legal system (Canon 4) conduct to warrant disciplinary action, the same
 Participation in the legal education program must be “grossly immoral,” that is, it must be so
(Canon 5) corrupt and false as to constitute a criminal act or so
 Lawyers in Government Service (Canon 6) unprincipled as to be reprehensible to a high degree.
(Ui vs. Bonifacio, A.C. No. 3319, June 8, 2000)

That conduct which is willful, flagrant, or shameless,

CANON 1 and which shows a moral indifference to the opinion
of the good and respectable members of the
A LAWYER SHALL UPHOLD THE
community. (Arciga vs. Maniwang, A.M. No. 1608,
CONSTITUTION, OBEY THE LAWS OF THE
LAND AND PROMOTE RESPECT FOR LAW August 14, 1981)
AND LEGAL PROCESSES.
Not confined to sexual conduct, but includes conduct
Rule 1.01 - A lawyer shall not engage in inconsistent with rectitude, or indicative of corruption,
unlawful, dishonest, immoral or deceitful indecency, depravity and dissoluteness. (Advincula
conduct. vs. Macabata, A.C. No. 7204, March 7, 2007)

Rule 1.02 - A lawyer shall not counsel or abet Moral Turpitude

activities aimed at defiance of the law or at Means anything which is done contrary to justice,
lessening confidence in the legal system.
honesty, modesty or good morals, or to any act of
vileness, baseness or depravity in the private and
Rule 1.03 - A lawyer shall not, for any corrupt
motive or interest, encourage any suit or social duties that a man owes his fellowmen or to
proceeding or delay any man’s cause. society, contrary to the accepted rule of right and
duty between man and man. (Legal and Judicial
Rule 1.04 - A lawyer shall encourage his clients Ethics, Agpalo 2009, p. 106)
to avoid, end or settle a controversy if it will
admit of a fair settlement.
Instances of gross immorality:

(1) Abandonment of wife and cohabiting with

another woman. (Obusan vs. Obusan, A.M.
Rule 1.01 - Duty not to engage in unlawful 1392, April 2, 1984)
conduct (2) A lawyer who had carnal knowledge with a
woman through a promise of marriage which
Unlawful conduct he did not fulfill. (Quingwa vs. Puno, A.C.
Is an act or omission which is against the law. No. 389, February 28, 1987)
(Legal and Judicial Ethics, Agpalo 2009, p. 72) (3) Seduction of a woman who is the niece of a
married woman with whom the respondent
lawyer had adulterous relations. (Royong
An immoral or deceitful conduct is one that involves vs. Oblena, G.R. No. 376, April 30, 1963)
moral turpitude. (Legal and Judicial Ethics, (4) Delivering bribe money to a judge on
Agpalo 2009, p. 72) request of the clients. (Lee vs. Abastillas,
A.M. No. RTJ-92-863 and AC. No. 3815,
July 11, 1994)

Legal Ethics | 8
 The purpose of the prohibition is to prevent
Rule 1.02 - Duty not to counsel illegal activities ambulance chasing and barratry. (Legal and
Judicial Ethics, Agpalo 2009, p. 75)
The ethics of the legal profession imposes on all
lawyers, as a corollary of their obligation to obey and Ambulance Chasing – (figuratively speaking)
uphold the constitution and the laws, the duty to the lawyer’s act of chasing an ambulance
promote respect for law and legal processes and to carrying the victim of an accident for the purpose
abstain from activities aimed at defiance of the law of talking to said victim or relatives and offering
or at lessening confidence in the legal system. his legal services for the filing of a case against
(Legal and Judicial Ethics, Agpalo 2009, p. 74) the person who caused the accident. (Legal
Ethics, Pineda 2009, p. 64)
No client corporate or individual, however, powerful
nor any cause, civil or political, however important, is
Note: The lawyer is guilty of ambulance chasing
entitled to receive nor should any lawyer render any
service or advice involving disloyalty to the laws whether the act is done by him personally or by
whose ministers we are, or disrespect of the judicial person under his employ.
office, which we are bound to uphold, or corruption
of any person or persons exercising a public office
or private trust, or deception or betrayal of the public. Evils spawned by ambulance chasing
When rendering any such improper service or advice,
the lawyer invites and merits stern and just
(1) Fomenting of litigation with resulting burdens
condemnation. Correspondingly, he advances the
honor of his profession and the best interests of his on the courts and the public
client when he renders service or gives advice (2) Subordination of perjury
tending to impress upon the client and his (3) Mulcting of innocent persons by judgments
undertaking exact compliance with the strictest upon manufactured causes of actions
principles of moral law. He must also observe and (4) Defrauding of injured persons having proper
advice his client to observe the statute law, though causes of action but ignorant of legal rights
until a statute shall have been construed and
and court procedure
interpreted by competent adjudication he is free and
is entitled to advise as to its validity and as to what
he conscientiously believes to be its just meaning Ambulance Chaser – a lawyer who haunts the
and extent. But above all a lawyer will find his hospitals and visits homes of the afflicted, officiously
highest honor in a deserved reputation for fidelity to intruding their presence and persistently offering his
private trust and to public duty, as an honest man service on the basis of a contingent fee. (Legal
and as a patriotic and loyal citizen. (Canon 32,
Ethics, Pineda 2009, p. 64)
Canons of Professional Ethics)

Respect for law is gravely eroded when lawyers Barratry – It is the lawyer’s act of fomenting suits
themselves engage in unlawful practices and brush among individuals and offering his legal services to
aside the rules of the IBP formulated for their one of them for monetary motives or purposes.
observance. (In re: 1989 IBP Elections, A.M. No. (Legal Ethics, Pineda 2009, p. 64)
491, October 6, 1989)
General Rule: It is unethical for a lawyer to
volunteer legal advice to bring lawsuit.
Rule 1.03 – Duty not to encourage lawsuits
Exception: Canon 28, Canons of Professional
A lawyer owes to society and to the court the duty Ethics
not to stir up litigation. (Legal and Judicial Ethics,
Note: It is unprofessional for a lawyer to
Agpalo 2009, p. 74)
volunteer advice to bring a lawsuit except in rare
cases where ties of blood, relationship or trust

Legal Ethics | 9
 make it his duty to do so. (Canon 28, Canons the circumstances so warrant.
of Professional Ethics)

It is the lawyer’s duty to resist the whims and

caprices of his client and to temper his client’s Rule 2.01 – Not reject the cause of the
propensity to litigate. (Cataneda vs. Ago, G.R. L- defenseless or the oppressed
28546, July 30, 1975)
The duty of a lawyer to accept the cause of the
defenseless and the oppressed empowers the court
to:
Rule 1.04 – Duty to encourage amicable  require him to render professional
settlement services to any party in a case if the
party is without means to employ an
attorney which services are necessary
The useful function of a lawyer is not only to conduct
to protect the rights of such party or
litigation but to avoid it where possible, by advising
secure the ends of justice (Rule 138,
settlement or withholding suit. (Legal and Judicial
Sec. 31, Rules of Court) , or to
Ethics, Agpalo 2009, p. 75)
 designate him as counsel de oficio for
an accused if the latter is unable to
Whenever the controversy will admit of fair judgment,
the client should be advised to avoid or end the employ a counsel de parte (Rule 116,
litigation. (Canon 8, Canons of Professional Secs. 6 and 7)
Ethics)
A lawyer cannot compromise the case of his client Note: A lawyer may refuse to accept the cause of
without the latter’s consent even if he believes that the defenseless or the oppressed for valid reasons
the compromise is for the better interest of the client.
(e.g. he is not in the position to carry out the work
(Philippine Aluminum Wheels, Inc. vs. FASGI
Enterprises, Inc., G.R. No. 137378, October 12, effectively or competently), Rule 14.03, Canon 14,
2000; Section 23, Rule 138, Rules of Court) CPR.

CANON 2 Rule 2.02 – Not refuse to render legal advice

A LAWYER SHALL MAKE HIS LEGAL Even if a lawyer does not accept a case, he shall not
SERVICES AVAILABLE IN AN EFFICIENT refuse to render legal advice to the person
AND CONVENIENT MANNER COMPATIBLE concerned if only to the extent necessary to
WITH THE INDEPENDENCE, INTEGRITY AND
safeguard the latter’s interests, such as advising him
EFFECTIVE-NESS OF THE PROFESSION.
what preliminary steps to take, until he shall have
Rule 2.01 - A lawyer shall not reject, except for secured the services of counsel.
valid reasons, the cause of the defenseless or
the oppressed. Note: A lawyer must refrain from giving legal
advice if the reason for not accepting the case is
Rule 2.02 - In such cases, even if the lawyer that he labours under a conflict of interests
does not accept a case, he shall not refuse to between him and a prospective client or
render legal advice to the person concerned if between a present client and a prospective
only to the extent necessary to safeguard the client. (Rule 14.03, Code of Professional
latter’s rights. Responsibility)

Rule 2.03 - A lawyer shall not do or permit to be

done any act designed primarily to solicit legal Rule 2.03 – Not to solicit legal business
business.
 This rule prohibits professional touting.
Rule 2.04 - A lawyer shall not charge rates
lower than those customarily prescribed unless

Legal Ethics | 10
 The proscription against advertising of legal lower rates. The rule does not prohibit a lawyer from
services or solicitation of legal business aims to charging a reduced fee or none at all to an indigent
preserve the dignity that the practice of law is or a person who would have difficulty paying the fee
primarily a form of public service. (Legal and usually charged for such services. (Comments of
Judicial Ethics, Agpalo 2009, p. 119) the IBP Committee that drafted the Code)

General Rule: Solicitation of legal business not

allowed.
CANON 3
Exception: When it is compatible with the dignity of
the legal profession, made in a modest and A LAWYER IN MAKING KNOWN HIS LEGAL
decorous manner. SERVICES SHALL USE ONLY TRUE,
HONEST, FAIR, DIGNIFIED AND OBJECTIVE
Examples: INFORMATION OR STATEMENT OF FACTS.

 Publication in a reputable law list of Rule 3.01 - A lawyer shall not use or permit the
brief biographical data and use of any false, fraudulent, misleading,
informative data. deceptive, undignified, self-laudatory or unfair
statement or claim regarding his qualifications or
-The law list must be a reputable law list legal services.
published primarily for that purpose; it
cannot be a mere supplemental feature Rule 3.02 - In the choice of a firm name, no
of a paper, magazine, trade journal or false, misleading or assumed name shall be
periodical which is published principally used. The continued use of the name of a
for other purposes. deceased partner is permissible provided that
the firm indicates in all its communications that
 Use of an ordinary simple said partner is deceased.
professional card.
Rule 3.03 - Where a partner accepts public
 Have his name listed in a telephone office, he shall withdraw from the firm and his
directory but not under a designation name shall be dropped from the firm name
of special branch of law. unless the law allows him to practice law
concurrently.
 Publication of a simple
announcement. Rule 3.04 - A lawyer shall not pay or give
anything of value to representatives of the mass
-The announcement or representation media in anticipation of, or in return for, publicity
should be in a form which does not to attract legal business.
constitute a statement or representation
of special experience or expertness.

 Write and sell for publication articles

of general nature on legal subjects. Rule 3.01 – A lawyer shall not use false
statement regarding his qualification or service.
Rule 2.04 – Not to charge rates lower than
customarily prescribed
Offering lower rates than that prescribed by others The best advertising possible for a lawyer is a well-
for similar work or service constitutes an unethical merited reputation for professional capacity and
practice of indirect solicitation of legal business. fidelity to trust. (Legal and Judicial Ethics, Agpalo
2009, p. 120)
What the rule prohibits is the competition in the
matter of charging professional fees for the purpose
of attracting clients in favor of the lawyer who offers

Legal Ethics | 11
A lawyer who uses as his office address the office of
his wife who is a judge was found guilty of using a Prohibited Advertisement. (Canon 27, Canons of
fraudulent, misleading and deceptive address that Professional Ethics)
had no purpose other than to try to impress either
It is unprofessional to solicit professional
the court in which the cases are lodged, or his employment by circulars, advertisements, through
clients that he has close ties to a member of the touters, or by personal communications or interviews
judiciary. (In re: Atty. Renerio G. Paas, A.M. No. not warranted by personal relations. Indirect
01-12-02-SC, April 4, 2003) advertisements for professional employment such as
furnishing or inspiring newspaper comments, or
Engaging in business or other lawful calling entirely procuring his photograph to be published in
connection with causes in which the lawyer has
apart from the attorney’s practice of law is not
been or is engaged or concerning the manner of
necessarily improper. Impropriety arises when the their conduct, the magnitude of the interest involved,
business is of such nature or in such manner as to the importance of the lawyer's position, and all other
be inconsistent with the lawyer’s duties as a member like-laudation, offend the traditions and lower the
of the bar. Such inconsistency arises when the tone of our profession and are reprehensible; but the
business is one that will readily lend itself as a customary use of simple professional cards is not
means of procuring professional employment for him, improper.
such that it can be used as a cloak for indirect
solicitation. (Legal and Judicial Ethics, Agpalo Rule 3.02 – A lawyer shall not use false or
2009, p. 124) misleading firm name.

Note: To avoid such inconsistencies, it is always A law firm may use a deceased partner’s name
desirable and usually necessary that the lawyer provided it indicates in all its communications that
keeps any business in which he is engaged
said partner is dead.
entirely separate and apart from his practice of
the law.
Reason for allowing the continued use of the
Allowed advertisement. (Canon 27, Canons of name of a deceased partner: All of the partners by
Professional Ethics) their joint efforts over a period of time contributed to
the goodwill attached to the firm name, and this
Publication in reputable law lists in a manner goodwill is disturbed by a change in firm name every
consistent with the standards of conduct time a partner dies.
imposed by those canons of brief biographical
and informative data is permissible. Such data
The name of the law firm may not necessarily
must not be misleading and may include only a
identify the individual members of the firm, and
statement of the lawyer's name and the names
consequently, the continued use of the firm
of his professional associates; addresses,
name after the death of one or more partners is
telephone numbers, cable addresses; branches
not a deception. (Comments of the IBP
of the profession practiced; date and place of
Committee that drafted the Code)
birth and admission to the bar; schools attended;
with dates of graduation, degrees and other
If a partner in the law firm had been appointed as a
educational distinctions; public or quasi-public
offices; posts of honor; legal authorship; legal judge, his name in the firm should be dropped
teaching positions; memberships and offices in because he is no longer allowed to practice law. The
bar associations and committees thereof, in same is true to a partner who has been appointed or
legal and scientific societies and legal elected to a government position which prohibits
fraternities; the fact of references; and, with their private practice of law. (Legal Ethics, Pineda 2009,
written consent, the names of clients regularly p. 89)
represented. A certificate of compliance with the
Rules and Standards issued by the Special
Committee on Law Lists may be treated as Filipino lawyers cannot practice law under the name
evidence that such list is reputable. of a foreign law firm, as the latter cannot practice law
in the Philippines and the use of the foreign law

Legal Ethics | 12
firm’s name is unethical. (Dacanay vs. Baker &
McKenzie, A.M. No. 2131, May 10, 1985)
It is every lawyer’s duty to improve the legal system
in the country. Through collective efforts, lawyers
Rule 3.03 – A partner who accepts public office can contribute to the enhancement of the system by
should withdraw from the firm; exception presenting position papers or resolutions for the
introduction of pertinent bills in Congress; petitions
with the Supreme Court for the amendment for the
General Rule: Where a partner accepts public office, amendment of the Rules of Court or introduction of
he shall withdraw from the firm and his name shall New Rules; petitions with the IBP and other forums
be dropped from the firm name. which have any relevant influence to the system.
(Legal Ethics, Pineda 2009, p. 93)
Exception: The law allows him to practice law
concurrently.

Purpose of the rule: To prevent the law firm from

using his name to attract legal business and to avoid CANON 5
suspicion of undue influence. (Comments of the
A LAWYER SHALL KEEP ABREAST OF
IBP Committee that drafted the Code) LEGAL DEVELOPMENTS, PARTICIPATE IN
CONTINUING LEGAL EDUCATION
Rule 3.04 – A lawyer shall not seek media PROGRAMS, SUPPORT EFFORTS TO
publicity ACHIEVE HIGH STANDARDS IN LAW
SCHOOLS AS WELL AS IN THE PRACTICAL
TRAINING OF LAW STUDENTS AND ASSIST
Media publicity, as a normal by-product of efficient IN DISSEMINATING INFORMATION
legal service is not improper. What is improper is for REGARDING THE LAW AND
a lawyer to resort to adroit propaganda to secure JURISPRUDENCE.
media publicity for the purpose of attracting legal
business. (Legal and Judicial Ethics, Agpalo 2009, Three-fold obligation of a lawyer after admission
p. 130) to the practice

Purpose of the rule: Prevent some lawyers from (a) (to himself) To continue improving his
gaining an unfair advantage over others through the knowledge of the law
use of gimmickry, press agentry or other artificial (b) (to the profession) To take an active interest
means. (Comments of the IBP Cpmmittee that in the maintenance of high standards of
drafted the Code) legal obligation
(c) (to the public) To make the law a part of its
When a member of the firm, on becoming a judge is social consciousness (Legal and Judicial
precluded from practicing law, his name should not Ethics, Agpalo 2009, p. 80)
be continued in the firm name. (Canon 33, Canons
of Professional Ethics) Attorneys should familiarize themselves with the
rules and comply with their requirements. They also
are chargeable with notice of changes in the rules
which have been held as including not only express
reglementary provisions but also a regular practice
CANON 4 under the Rules of Court. (Zualo vs. CFI of Cebu,
CA-G.R. No. 27718-R, July 7, 1961)
A LAWYER SHALL PARTICIPATE IN THE
DEVELOPMENT OF THE LEGAL SYSTEM BY
INITIATING OR SUPPORTING EFFORTS IN Lawyers must support and encourage efforts for the
LAW REFORM AND IN THE IMPROVEMENT achievement of high standards in law schools, in the
OF THE ADMINISTRATION OF JUSTICE. practical training of law students such as those

Legal Ethics | 13
involved in the clinical education program of law
schools approved by the Supreme Court. (Rule 138- Rule 6.01 – A prosecutor shall see to it that
A, Revised Rules of Court) justice is done

A public prosecutor is a quasi-judicial officer. He is

CANON 6 the “representative not of an ordinary party to a
controversy, but of a sovereignty whose obligation to
THESE CANONS SHALL APPLY TO govern impartially is as compelling as its obligation
LAWYERS IN GOVERNMENT SERVICE IN to govern at all; and whose interest, therefore, in a
THE DISCHARGE OF THEIR OFFICIAL criminal prosecution is not that it shall win a case but
TASKS.
that justice shall be done. As such, he is in a
peculiar and very definite sense the servant of the
Rule 6.01 - The primary duty of a lawyer
engaged in public prosecution is not to convict law, the two-fold aim of which is that guilt shall not
but to see that justice is done. The suppression escape or innocence suffer. (Jose vs. Court of
of facts or the concealment of witnesses capable Appeals, G.R. No. L-38581, March 31, 1976)
of establishing the innocence of the accused is
highly reprehensible and is cause for disciplinary
action. Primary duty of a prosecutor: Seek equal and
impartial justice.
Rule 6.02 - A lawyer in the government service
shall not use his public position to promote or A public prosecutor should recommend the acquittal
advance his private interests, nor allow the latter of the accused whose conviction is on appeal if he
to interfere with his public duties.
finds no legal basis to sustain the conviction.
(Triente, Sr. vs. Sandiganbayan, G.R. No. 70332-
Rule 6.03 - A lawyer shall not, after leaving
43, November 13, 1986)
government service, accept engagement or
employment in connection with any matter in
which he had intervened while in said service. It is highly reprehensible for a prosecutor to
suppress facts capable of establishing the
innocence of the accused or to conceal witnesses
who can equally establish the accused’s innocence
The ethical duties provided for in the Code of in the crime charged. A prosecutor who is guilty of
Professional Responsibility are rendered even more these acts is subject to disciplinary action. (Legal
exacting as to the lawyers in the government service Ethics, Pineda 2009, p. 105)
because, as government counsel, they have the
added duty to abide by the policy of the State to
promote a high standard of ethics in public service. Rule 6.02 – A lawyer shall not use his public
(Legal and Judicial Ethics, Agpalo 2009, p. 81) position to promote his private interest

A lawyer who holds a government position may not

be disciplined as a member of the bar for This restriction applies particularly to lawyers in
misconduct in the discharge of his duties as a government service who are allowed by law to
government official. However, if the misconduct also engage in private law practice and to those who,
constitutes a violation of the Code of Professional though prohibited from engaging in the practice of
Responsibility or the lawyer’s oath or is of such law, have friends, former associates and relatives,
character as to affect his qualification as a lawyer or who are in the active practice of law. (Legal and
shows moral delinquency on his part, such individual Judicial Ethics, Agpalo 2009, p. 89)
may be disciplined as a member of the bar for such
misconduct. (Pimentel, Jr. vs. Llorente, A.C. No. A public official should see to it that his private
4680, August 29, 2000) activity does not interfere with the discharge of his
official functions. He should not only avoid all

Legal Ethics | 14
impropriety but should also avoid the appearance of private organization endowed with certain
impropriety. (Legal and Judicial Ethics, Agpalo governmental attributes. While it is composed of
2009, p. 89) lawyers who are private individuals, the IBP exists to
perform certain vital public functions and to assist the
government particularly in the improvement of the
Rule 6.03 – A lawyer who is a former public administration of justice, the upgrading of the
official may not accept certain employment standards of the legal profession, and its proper
regulation.

The restriction against a public official from using his Statutory Basis
RA 6397. The Supreme Court may adopt rules of
public position as a vehicle to promote or advance
court to effect the integration of the Philippine Bar
his private interests extends beyond his tenure on under such conditions as it shall see fit in order to
certain matters in which he intervened as a public raise the standards of the legal profession improve
official. Thus, Rule 6.03 of the Code requires that a the administration of justice and enable the bar to
“lawyer shall not, after leaving the government discharge its public responsibility more effectively.
service, accept engagement or employment in
connection with any matter in which he had Integration does not make a lawyer a member of any
group of which he is not already a member. He
intervened while in said service.”
became a member of the Bar when he passed the
Bar examinations. All that integration actually does is
Where the “matter” referred to in Rule 6.03, in which to provide an official national organization for the well-
the lawyer intervened as a government official in a defined but unorganized and incohesive group of
case is different from the “matter” or case in which which every lawyer is already a member. [In the
he intervenes either as incumbent government matter of the Integration of the Bar of the
official or as a former or retired public officer, there is Philippines, (1973)]
no violation of Rule 6.03 nor he will be taking
inconsistent positions nor will there be GENERAL OBJECTIVES OF THE IBP
representation of conflict of interests, nor violation of
Sec. 3(e) of the Anti-Graft Law. (General Bank and (1) To elevate the standards of the legal profession
Trust Co. vs. Ombudsman, G.R. No. 125440, (2) To improve the administration of justice
January 31, 2000; PCGG v. Sandiganbayan, G.R. (3) To enable the Bar to discharge its public
No. 151805, 12 April 2005) responsibility more effectively.
TO THE LEGAL PROFESSION PURPOSE OF THE IBP
 Integrated Bar of the Philippines – Membership (1) Assist in the administration of justice;
and Dues (Rule 139-A) (2) Foster and maintain on the part of its members
 Upholding the dignity and integrity of the high ideals of integrity, learning, professional
profession (Canon 7) competence, public service and conduct;
 Courtesy, fairness and candor towards (3) Safeguard the professional interest of its
professional colleagues (Canon 8) members;
(4) Cultivate among its members a spirit of cordiality
 No assistance in unauthorized practice of law and brotherhood;
(Canon 9) (5) Provide a forum for the discussion of law,
jurisprudence, law reform, pleading, practice and
procedure, and the relations of the Bar to the
Bench and to the public, and publish information
INTEGRATED BAR OF THE PHILIPPINES(Rule relating thereto;
139-A) (6) Encourage and foster legal education;
(7) Promote a continuing program of legal
The Integrated Bar of the Philippines is the national research in substantive and adjective law, and
organization of lawyers created on 16 January 1973 make reports and recommendations thereon.
under Rule 139-A, Rules of Court and constituted on
4 May 1973 into a body corporate by P.D. No. 181.
The IBP is essentially a semi-governmental entity, a Note: The Integrated Bar shall be strictly non-political,

Legal Ethics | 15
and every activity tending to impair this basic feature
is strictly prohibited and shall be penalized A lawyer does not automatically become a member of
accordingly. (Rule 193-A, Sec. 13) the IBP chapter where he resides or works after
becoming a full- fledged member of the Bar. He has
The basic postulate of the IBP is that it is non- the discretion to choose the IBP Chapter he wants to
political in character and that there shall be neither join. (Garcia v. De Vera, 418 SCRA 27)
lobbying nor campaigning in the choice of the IBP
Officers. The fundamental assumption is that the A membership fee in the Integrated Bar is an exaction
officers would be chosen on the basis of for regulation, while the purpose of a tax is revenue. If
professional merit and willingness and ability to the Court has inherent power to regulate the Bar, it
serve. The unseemly ardor with which the follows that as an incident to regulation, it may
candidates pursued the presidency of the impose a membership fee for that purpose. It would
association detracted from the dignity of the legal not be possible to push through an Integrated Bar
profession. The spectacle of lawyers bribing or being program without means to defray the concomitant
bribed to vote did not uphold the honor of the expenses. The doctrine of implied powers necessarily
profession nor elevate it in the public’s esteem. [In includes the power to impose such an exaction. [In
re 1989 Elections of the IBP, (1989)] the matter of the Integration of the Bar of the
Philippines, (1973)]

Note: Election by Exclusion.- Election through A lawyer can engage in the practice of law only by
‘rotation by exclusion’ is the more established rule in paying his dues, and it does not matter if his practice
the IBP. The rule prescribes that once a member of is “limited.” Moreover, senior citizens are not
the chapter would be excluded in the next turn until exempted from paying membership dues. [Santos v.
all have taken their turns in the rotation cycle. Once Llamas, (2000)]
a full rotation cycle ends and a fresh cycle
commences, all the chapters in the region are once We see nothing in the Constitution that prohibits the
again entitled to vie but subject again to the rule on Court, under its constitutional power and duty to
rotation by exclusion. [In the Matter of the Brewing promulgate rules concerning the admission to the
Controversies in the Elections of the Integrated practice of law and the integration of the Philippine
Bar of the Philippines, 686 SCRA 791 (2012)] Bar (Article X, Section 5 of the 1973 Constitution) —
which power the respondent acknowledges — from
requiring members of a privileged class, such as
MEMBERSHIP and DUES lawyers are, to pay a reasonable fee toward
defraying the expenses of regulation of the
Statutory Basis profession to which they belong. It is quite apparent
Rules of Court, Rule 139-A, Section 9. that the fee is indeed imposed as a regulatory
Membership dues. — Every member of the measure, designed to raise funds for carrying out
Integrated Bar shall pay such annual dues as the the objectives and purposes of integration. (In re:
Board of Governors shall determine with the Edillion, A.M. No. 1928 August 3, 1978)
approval of the Supreme Court. A fixed sum
equivalent to ten percent (10%) of the collection There is nothing in the law or rules which allow
from each Chapter shall be set aside as a Welfare exemption from payment of membership dues [even
Fund for disabled members of the Chapter and the
if the lawyer is staying abroad]. At most, as correctly
compulsory heirs of deceased members thereof
observed by the IBP, he could have informed the
.
Secretary of the Integrated Bar of his intention to
Section 10. Effect of non-payment of dues. —
stay abroad before he left. In such case, his
Subject to the provisions of Section 12 of this Rule, membership in the IBP could have been terminated
default in the payment of annual dues for six months and his obligation to pay dues could have been
shall warrant suspension of membership in the
discontinued. [Letter of Atty. Cecilio Arevalo
Integrated Bar, and default in such payment for one
(2005)]
year shall be a ground for the removal of the name of
the delinquent member from the Roll of Attorneys.
NO RETIREMENT IN THE IBP
Membership in the National IBP is mandatory. It is not There is no such thing as retirement in the IBP as
violative of a lawyer’s freedom to choose to associate. understood in labor law. A lawyer, however, may
(In re: Edillion, A.M. No. 1928 August 3, 1978) terminate his bar membership after filing the required

Legal Ethics | 16
verified notice of termination with the Secretary of the allowed to take it, luckily passed it, and was
Integrated Bar. (In re: Atty. Jose Principe, Bar thereafter admitted to the Bar was stripped of his
Matter No. 543, 20 September 20, 1990). license to practice law. (Diao vs. Martinez, A.C. No.
244, March 29, 1963)
Note: Under Rule 139-B. the IBP is given the power
to entertain cases of disbarment filed before it, or
When the applicant concealed a charge of a crime
cases filed before the Supreme Court and referred
against him but which crime does not involve moral
to it for investigation, report and recommendation. It
turpitude, this concealment nevertheless will be
does not however, have the power to suspend or
taken against him. It is the fact of concealment and
disbar.
not the commission of the crime itself that makes
him morally unfit to become a lawyer. When he
made a concealment he perpetrated perjury. (In re:
CANON 7 Ramon Galang, A.C. No. 1163, August 29, 1975)

A LAWYER SHALL AT ALL TIMES UPHOLD Consequences of knowingly making a false

THE INTEGRITY AND DIGNITY OF THE statement or suppression of material fact in the
LEGAL PROFESSION AND SUPPORT THE application for admission to the Bar:
ACTIVITIES OF THE INTEGRATED BAR. - If discovered BEFORE the candidate could
take the bar exams – denied permission to
Rule 7.01 - A lawyer shall be answerable for take the bar exams
knowingly making a false statement or - If discovered AFTER the candidate had
suppressing a material fact in connection with passed the exams but BEFORE having
his application for admission to the bar. taken his oath – not allowed to take the
lawyer’s oath
Rule 7.02 - A lawyer shall not support the
application for admission to the bar of any If discovered AFTER the candidate had taken his
person known by him to be unqualified in oath – his name will be stricken from the Roll of
respect to character, education, or other relevant Attorneys.
attribute.

Rule 7.03 - A lawyer shall not engage in conduct Rule 7.02 – A lawyer shall not support
that adversely reflects on his fitness to practice unqualified applicant to the bar
law, nor shall he, whether in public or private life, A lawyer should aid in guarding the Bar against
behave in a scandalous manner to the discredit admission to the profession of candidates unfit or
of the legal profession. unqualified for being deficient in either moral
character or education. (Canon 29, Canons of
Professional Ethics)

Rule 7.01 – No false statement in his application A lawyer who violates this rule is liable for
for admission to the bar disciplinary action. The act of supporting the
application to the Bar of any person known to him to
be unqualified constitutes gross misconduct in office.
In his application for admission to the bar, the
(Rule 138, Sec. 27, Revised Rules of Court)
applicant must not knowingly make false of
statements regarding the requirements for
A lawyer should not readily execute an affidavit of
admission to the practice of law. If he passes the bar
good moral character in favor of an applicant whom
and he is later found to have made false statements
he knows has not lived up to the standard required.
in his application, he may be disbarred for such
(Legal and Judicial Ethics, Agpalo 2009, p. 102)
falsehood. (Legal and Judicial Ethics, Agpalo
2009, p. 102)
An applicant who was not qualified to take the bar
exams; but due to his false representations was Rule 7.03 – A lawyer shall not engage in any

Legal Ethics | 17
conduct that adversely reflects his fitness to  Contracting a marriage while his first
practice law or discredits the legal profession marriage is still subsisting (Santos vs.
Tan, A.M. No. 2697, April 19, 1991)
 Seducing a woman to have carnal
A lawyer should endeavour to conduct himself at all
knowledge with her on the basis of
times to give credit to the legal profession and to
misrepresentation that he is going to
inspire the confidence, respect and trust of his
marry her (Bolivar vs. Simbol, A.C. No.
clients and the community. (Comments of the IBP
377, April 29, 1966; Almirez vs. Lopez,
Committee that drafted the Code)
A.C. No. 481, February 28, 1969)
 Having carnal knowledge with a student
As officers of the court, lawyers must not only in fact
by taking advantage of his position (De
be of good moral character but also be seen to be of
los Reyes vs. Aznar, A.M. No. 1334,
good moral character and leading lives in
November 28, 1989)
accordance with the highest moral standards of the
community. (Tolosa vs. Cargo, A.M. No. 2385,
Note: An act to be characterized as a grossly
March 8, 1989) immoral conduct will depend on the surrounding
circumstances. (Royong vs. Oblena, G.R. No. 376,
April 30, 1963)
The following are acts which adversely reflect on
the lawyer’s fitness to practice law: Note: It is not necessary that there be prior
 Gross immorality conviction for the offense before a lawyer can be
 Conviction of a crime involving moral disciplined for gross immorality; it is enough that the
act charged, in the language of the law, constitutes a
turpitude
crime. (Royong vs. Oblena, G.R. No. 376, April 30,
 Fraudulent transactions 1963)

Note: Grossly immoral act is one that is so corrupt Note: As officers of the court, lawyers must not only
and false as to constitute a criminal act or so in fact be of good moral character but must also be
unprincipled or disgraceful as to be reprehensible to seen to be of good moral character and leading lives
a high degree. (Reyes vs. Wong, A.M. No. 547, in accordance with the highest moral standards of
January 29, 1975) the community. (Legal and Judicial Ethics, Agpalo
2009, p. 105)
Examples of gross immorality:
Moral turpitude
 Living an adulterous life with a married
woman (Royong vs. Oblena, G.R. No. Means anything which is done contrary to justice,
376, April 30, 1963 ; Quingwa vs. honesty, modesty or good morals, or to any act of
Puno, A.C. No. 389, February 28, 1987) vileness, baseness or depravity in the private and
 Maintaining illicit relations with his niece social duties that a man owes his fellowmen or to
(Sarmiento vs. Cui, A.C. No. 141, society, contrary to the accepted rule of right and
March 29, 1957) duty between man and man. (Legal and Judicial
 Maintaining illicit relations with the niece Ethics, Agpalo 2009, p. 106)
of his common law wife (Royong vs.
Note: In general, all crimes of which fraud or deceit
Oblena, G.R. No. 376, April 30, 1963)
is an element or which are inherently contrary to
 Abandoning his lawful wife to live with rules of right conduct, honesty or morality in a
another woman (Toledo vs. Toledo, civilized community, involve moral turpitude.
A.C. No. 266, April 27, 1963 ; Obusan
vs. Obusan, A.C. No. 1392, April 2, The issuance of worthless checks constitutes gross
1984) misconduct, and puts erring lawyer’s moral character
in serious doubt, though it is not related to his
professional duties as a member of the bar. (Vda.
De Espino vs. Presquito, A.C. No. 4762, June 28,

Legal Ethics | 18
2004) them as meaning. (Legal Ethics, Pineda 2009, p.
129)

CANON 8 Instances of Disrespectful Language

A LAWYER SHALL CONDUCT HIMSELF
WITH COURTESY, FAIRNESS AND CANDOR (1) The lawyer’s referral to the Supreme Court
TOWARD HIS PROFESSIONAL as a “civilized, democratic tribunal” but the
COLLEAGUES, AND SHALL AVOID innuendo would suggest that it is not.
HARASSING TACTICS AGAINST OPPOSING (Surigao Mineral Reservation Board vs.
COUNSEL. Cloribel, G.R. No. L-27072, January 9,
1970)
Rule 8.01 - A lawyer shall not, in his (2) Labelling a judge as “corrupt” in a motion.
professional dealings, use language which is
(Ceniza vs. Sebastian, G.R. No. L-39914,
abusive, offensive or otherwise improper.
July 2, 1984)
Rule 8.02 - A lawyer shall not, directly or (3) Calling an adverse counsel as “bobo.”
indirectly, encroach upon the professional (Castillo vs. Padilla, A.C. No. 2339,
employment of another lawyer; however, it is the February 24, 1984)
right of any lawyer, without fear or favor, to give
proper advice and assistance to those seeking
relief against unfaithful or neglectful counsel. Rule 8.02 – A lawyer shall not encroach upon the
business of another lawyer.

This rule proscribes competition among lawyers in

the matter of securing clientele. A lawyer should not
steal the other lawyer’s client nor induce the latter to
Rule 8.01 – A lawyer shall use temperate
retain him by a promise of better service, good result
language.
or reduced fees for his services. (Legal and
A lawyer should treat the opposing counsel and Judicial Ethics, Agpalo 2009, p. 111)
other lawyers with courtesy, dignity and civility and
use only such temperate but forceful language in his Note: A lawyer should not in any way
communicate upon the subject of controversy
pleadings or arguments as befitting an advocate.
with a party represented by counsel, much less
(Legal and Judicial Ethics, Agpalo 2009, p. 109) should he undertake to negotiate or compromise
the matter with him, but should deal only with his
A lawyer’s language should be forceful but dignified, counsel. It is incumbent upon the lawyer most
emphatic but respectful as befitting an advocate and particularly to avoid everything that may tend to
in keeping with the dignity of the legal profession. mislead a party not represented by counsel, and
(Legal Ethics, Pineda 2009, p. 127) he should not undertake to advise him as to the
law. (Canon 9, Canons of Professional Ethics)
A lawyer who uses intemperate, abusive, abrasive
or threatening language betrays respect disrespect Can a lawyer accept a case previously handled
to the court disgraces the Bar and invites the by another lawyer? Yes, provided that the other
exercise by the court of its disciplinary power. lawyer has been given notice by the client that his
(Surigao Mineral Reservation Board vs. Cloribel, services have been terminated.
G.R. No. L-27072, January 9, 1970)
What if there is no notice of termination by the
Lack or want of intention is no excuse for the client? Can another lawyer take over the case?
Yes, provided he was able to obtain the conformity
disrespectful language employed. Counsel cannot
of the counsel whom he would substitute or if such
escape responsibility by claiming that his words did cannot be had he should give sufficient notice to the
not mean what any reader must have understood other lawyer the contemplated substitution.

Legal Ethics | 19
 unfinished legal business of a deceased lawyer;
Note: A lawyer’s entry of appearance in the case or
without notice to the first lawyer amounts to an
improper encroachment upon the professional c) Where a lawyer or law firm includes non-
employment of the original counsel. lawyer employees in a retirement plan, even if
the plan is based in whole or in part, on a
Note: A lawyer subsequently retained as additional profitable sharing arrangement.
counsel should also communicate first with the
original counsel before he enters his appearance in
the case as this is the ethical thing to do when a
lawyer associates with another in a pending litigation. Public policy requires that the practice of law be
limited to those individuals found duly qualified in
Purpose of the notice: It will enable the lawyer education and character. The purpose is to protect
sought to be changed to assert and protect any
the public, the court, the client, and the bar from the
right to compensation he may claim or possess.
While it may become the duty of the second incompetence or dishonesty of those unlicensed to
lawyer to contest such claim, it is equally his practice law and not subject to the disciplinary
duty to extend to the first lawyer every control of the court.
opportunity to have his claim protected. (Legal
and Judicial Ethics, Agpalo 2009, p. 111) The lawyer’s duty not to assist in the unauthorized
practice of law prohibits him from allowing an
intermediary to intervene in the performance of his
Can a lawyer insist that his brother in the professional obligations. (Legal and Judicial Ethics,
profession refuse employment merely because Agpalo 2009, p. 114)
the termination of his services is a breach of
contract? No, to hold otherwise would be to deny a
litigant the right to be represented at all times by Reasons:
counsel of his choice.
 The responsibilities and qualifications of
a lawyer are individual.
 The lawyer’s relation to his client is
personal.
CANON 9  The lawyer’s responsibility to the client
is direct.
A LAWYER SHALL NOT, DIRECTLY OR
INDIRECTLY, ASSIST IN THE
UNAUTHORIZED PRACTICE OF LAW.
Rule 9.01 – A lawyer shall not delegate legal
work to non-lawyers.
Rule 9.01 - A lawyer shall not delegate to any
unqualified person the performance of any task
A lawyer shall not delegate to a layman any work
which by law may only be performed by a
member of the Bar in good standing. which involves the application of law.

Rule 9.02 - A lawyer shall not divide or stipulate Reason for this rule: Public policy demands
to divide a fee for legal services with persons not that legal work in the representation of parties
licensed to practice law, except: litigant should be entrusted only to those
possessing tested qualification and who are
a) Where there is a pre-existing agreement with sworn to observe the rules and the ethics of the
a partner or associate that, upon the latter’s profession. (Philippine Association of Free
death, money shall be paid over a reasonable Labor Unions vs. Binalbagan Isabela Sugar
period of time to his estate or to persons Co., G.R. No. L-23959, November 29, 1971)
specified in the agreement; or

b) Where a lawyer undertakes to complete

Legal Ethics | 20
Examples of what cannot be delegated: the deceased lawyer during his lifetime
 Computation and determination of which is paid to his estate or heirs.
the period within which to an appeal
an adverse judgment In these two cases there is no improper
 Examination of witnesses arrangement. Impropriety arises where the
effect of the arrangement is
 Presentation of evidence
 to make the estate or heir a member
Note: A lawyer may employ secretaries,
of the partnership along with the
investigators, detectives, researchers, accountants,
etc. to undertake any task not involving the practice surviving partners, or
of law.  where the estate or heir is to receive a
percentage of the fees that may be
He may also avail himself of the assistance of law paid from future business of the
students in many fields of the lawyer’s work. deceased lawyer’s clients
(Comments of the IBP Committee that drafted
the Code)
Why is it improper? Because the fees no
longer represent compensation for past
A lawyer was made to explain why he should not be
services of the deceased lawyer but for
disciplined for collaborating and associating in the
future services of the law firm or its surviving
practice of law with someone who is not a member
partners.
of the bar. (Beltran, Jr. vs. Abad, B.M. No. 139,
October 11, 1984)
 The third exception to the rule does not
involve, strictly speaking, a division of legal
fees with non-lawyer employees. The
Rule 9.02 – A lawyer shall not divide fees with retirement benefits in the form of pension
non-lawyers. represent additional deferred wages or
General Rule: A lawyer shall not divide or stipulate compensation for past services of the
to divide a fee for legal services with a person not employees.
licensed to practice law.

Exceptions:

Code: C-A-R
TO THE COURTS
(1) Where a lawyer undertakes to complete
unfinished legal business of deceased  Candor, fairness and good faith towards the
lawyer. courts (Canon 10)
(2) Where there is a pre-existing agreement  Respect for courts and judicial officers (Canon
with a partner or associate that, upon the 11)
latter’s death, money shall be paid over a  Assistance in the speedy and efficient
reasonable period of time to his estate or to administration of justice (Canon 12)
persons specified in the agreement.  Reliance on merits of his cause and avoidance
(3) Where a lawyer or law firm includes non- of any impropriety which tends to influence or
lawyer employees in a retirement plan, even gives the appearance of influence upon the
if the plan is based in whole or in part on a courts (Canon 13)
profit sharing agreement.

Note:
 First two exceptions to the rule represent
compensation for legal services rendered by
CANON 10

Legal Ethics | 21
 (2) Lawyer presenting falsified documents in
A LAWYER OWES CANDOR, FAIRNESS AND court which he knows to be false. (Bautista
GOOD FAITH TO THE COURT. vs. Gonzales, A.M. No. 1625, February 12,
1990)
Rule 10.01 - A lawyer shall not do any (3) Using in pleadings the IBP number of
falsehood, nor consent to the doing of any in another lawyer. (Bongolota vs. Castillo,
Court; nor shall he mislead, or allow the Court to CBD No. 176, Januar 1, 1995)
be misled by any artifice.

Rule 10.02 - A lawyer shall not knowingly

Rule 10.02 – A lawyer should not misquote nor
misquote or misrepresent the contents of paper,
misrepresent.
the language or the argument of opposing
counsel, or the text of a decision or authority, or
knowingly cite as law a provision already
To knowingly misquote or misrepresent in any of the
rendered inoperative by repeal or amendment,
or assert as a fact that which has not been matters mentioned in this rule is not only
proved. unprofessional but contemptuous as well. (Legal
and Judicial Ethics, Agpalo 2009, p. 146)
Rule 10.03 - A lawyer shall observe the rules of
procedure and shall not misuse them to defeat It is not candid nor fair for the lawyer knowingly to
the ends of justice. misquote the contents of a paper, the testimony of a
witness, the language or the argument of opposing
counsel, of the language of a decision or a textbook;
or with knowledge of its invalidity, to cite as authority
Reasons for exercising candor, fairness, and good a decision that has been overruled or a statute that
has been repealed, or in argument to assert as a
faith to the court
fact that which has not been proved, or in those
 It is essential for the expeditious jurisdictions where a side has the opening and
administration of justice. closing arguments to mislead his opponent by
 It is the very essence of honourable concealing or withholding positions in his opening
membership in the legal profession. argument upon which his side then intends to rely.
(Legal and Judicial Ethics, Agpalo (Canon 22, Canons of Professional Ethics)
2009, p. 144)
A lawyer who deliberately made it appear that the
quoted portions, both in his motion for
Rule 10.1 – A lawyer shall do no falsehood. reconsideration and petition, were the findings and
rulings of the Supreme Court when in truth the
quoted portions were just part of the memorandum
A lawyer should not conceal the truth from the court,
of the Court Adminitrator is guilty of violating this rule.
nor mislead the court in any manner, no matter how
(COMELEC vs. Hon. Noynay, et. al, G.R. No.
demanding his duties to his clients may be. His
132365, July 9, 1998)
duties to his client should yield to his duty to deal
candidly with the court. For no client is entitled to
In citing the Supreme Court’s decisions and rulings,
receive from the lawyer any service involving
it is the bounden duty of the courts, judges and
dishonesty to the courts. (Comments of the IBP
lawyers to reproduce or copy the same word for
Committee that drafted the Code)
word and punctuation mark by punctuation mark.
There is a salient and salutary reason why they
Instances of falsehood:
should do this. Only from this Tribunal’s decisions
(1) Lawyer falsifying a power of attorney and and rulings do all other courts, as well as lawyers
used it in collecting the money due and and litigants take their bearings. Thus, ever present
appropriating the same for his own benefit. is the danger that if not faithfully and exactly quoted,
(In re: Rusiana, A.C. No. 270, March 29, the decisions and rulings of this Court may lose their
1974)

Legal Ethics | 22
proper and correct meaning, to the detriment of the properly attired.
other courts, lawyers and the public who may
thereby be misled. (Insular Life Assurance Co., Rule 11.02 - A lawyer shall punctually appear at
Ltd. Employees Association vs. Insular Life court hearings.
Assurance Co., Ltd., G.R. No. L-25291, January
30, 1971) Rule 11.03 - A lawyer shall abstain from
scandalous, offensive or menacing language or
behavior before the Courts.
A lawyer was reminded to be more careful in his
dealings with the Court when it was found out that
Rule 11.04 - A lawyer shall not attribute to a
he has not been able to make it clear why there was Judge, motives not supported by the record or
less than candor to the Court in his allegations have no materiality to the case.
regarding the merits of his clients’ cases, when it
appears rather evident that he was in possession of Rule 11.05 - A lawyer shall submit grievances
adverse information or knowledge in regard thereto. against a Judge to the proper authorities only.
(The Philippine British Co vs. De Los Angeles,
G.R. Nos. L-33720-21, May 21, 1975)

Rule 10.03 – A lawyer shall not misuse rules of Canon 11 should constantly remind lawyers that
procedure. second only to the duty of maintaining allegiance to
the Republic of the Philippines and to support the
This rule is ever timely and should always be Constitution and obey the laws of the land is the
inculcated among lawyers because the rules of duty of all attorneys to observe and respect due to
the courts of justice and judicial officers. (Legal and
procedure offer innumerable opportunities and
Judicial Ethics, Agpalo 2009, p. 149)
means for delay and to defeat the ends of justice.
Procedural rules are instruments in the speedy and The duty to observe and maintain the respect due to
efficient administration of justice. They should be the courts devolves not only upon lawyers but also
used to achieve such end and not to derail it. (Legal upon those who will choose to enter the profession.
and Judicial Ethics, Agpalo 2009, p. 147) They have the same duty as a member of the bar to
observe the respect due the courts, and their failure
to discharge such duty may prevent them from being
The Court did not ignore the proclivity or tendency of inducted into the office of the attorney. (Legal and
a lawyer who filed several actions covering the same Judicial Ethics, Agpalo 2009, p. 150)
subject matter and sought substantially identical Rule 11.01 – A lawyer shall appear in proper
reliefs. The Court considered the lawyer’s ability and attire.
long experience at the bar, it noted that the filing by
him of identical suits for the same remedy is
Respect to the court must begin with the lawyer’s
reprehensible and merits rebuke. (Macias vs. Uy
outward physical appearance in court. Sloppy or
Kim, et. al, G.R. No. L-31174, May 30, 1972)
informal attire adversely reflects on the lawyer and
demeans the dignity and solemnity of court
proceedings. (Legal and Judicial Ethics, Agpalo
CANON 11 2009, p. 153)

A LAWYER SHALL OBSERVE AND A lawyer who dresses improperly may be cited for
MAINTAIN THE RESPECT DUE TO THE contempt. (Legal and Judicial Ethics, Agpalo 2009,
COURTS AND TO JUDICIAL OFFICERS AND
p. 153)
SHOULD INSIST ON SIMILAR CONDUCT BY
OTHERS.
Rule 11.02 – A lawyer shall be punctual.
Rule 11.01 - A lawyer shall appear in court

Legal Ethics | 23
It is the duty of the lawyer not only to his client, but encouraged and the person making them should be
also to the courts and to the public to be punctual in protected. (Canon 1, Canons of Professional
attendance, and to be concise and direct in the trial Ethics)
and disposition of causes. (Canon 21, Canons of
Professional Ethics) A judge may commit errors or mistakes in his
decision. He may, without realizing it, abuse his
Inexcusable absence from, or repeated tardiness in, discretion in the resolution of issues before him.
attending a pre-trial or hearing may not only subject They do not however, justify a lawyer to “attribute to
the lawyer to disciplinary action, but may also a judge motives not supported by the record or have
prejudice his client who, as a consequence thereof, no materiality to the case.” (Legal and Judicial
may be non-suited, declared in default or adjudged Ethics, Agpalo 2009, p. 157)
liable ex parte, as the case may be. (Legal and
Judicial Ethics, Agpalo 2009, p. 153) The rule does not preclude a lawyer from criticizing
judicial conduct. The rule allows such criticism so
Rule 11.03 – A lawyer shall abstain from
long as it is supported by the record or is material to
offensive language or behavior.
the case. His right to criticize the acts of courts and
A lawyer’s language should be forceful but dignified, judges in a proper and respectful way and through
emphatic but respectful as befitting an advocate and legitimate channels is well recognized. (Legal and
in keeping with the dignity of the legal profession. Judicial Ethics, Agpalo 2009, p. 157)
(Surigao Mineral Reservation Board vs. Cloribel,
G.R. No. L-27072, January 9, 1970)
Rule 11.05 – A lawyer shall not criticize the
personal or official conduct of the judge
The language of a lawyer, both oral and written,
must be respectful and restrained in keeping with
the dignity of the legal profession. The use of When mistakes, errors and irregularities are
abusive language by counsel against the opposing committed by judges, wittingly or unwittingly, the
counsel constitutes at the same time disrespect to aggrieved party is expected to rise to call the
attention of the judge about the mistake, error or
the dignity of the court of justice. (Legal and
irregularity. (Legal Ethics, Pineda 2009, p. 174)
Judicial Ethics, Agpalo 2009, p. 154)
When the criticism of judges goes beyond the walls
Want or lack of intention is no excuse for the of decency and propriety, the Supreme Court will not
disrespectful language. At best, it merely hesitate to punish the lawyer for indiscretions. (In re:
extenuates liability (Paragas vs. Cruz, 14 SCRA 809; Almacen, G.R. No. L-27654, February 18, 1970)
Zaldivar vs. Gonzalez, 166 SCRA 316; Rheem of
the Philippines vs. Ferrer, 20 SCRA 441)
Rule 11.06 – A lawyer shall submit grievances to
proper authorities.
Rule 11.04 – A lawyer shall not attribute to a
judge improper motives. The duty of the bar to support the judge against
unjust criticism and clamor does not, however
preclude a lawyer from filing administrative
It is the duty of the lawyer to maintain towards the
courts a respectful attitude, not for the sake of the complaints against erring judges or from acting as
temporary incumbent of the judicial office, but for the counsel for clients who have legitimate grievances
maintenance of its supreme importance. Judges, not against them. (Legal and Judicial Ethics, Agpalo
being wholly free to defend themselves, are 2009, p. 158)
peculiarly entitled to receive the support of the bar
against unjust criticism and clamor. Whenever there
A lawyer may not file an administrative complaint
is proper ground for serious complaint of a judicial
officer, it is the right and duty of the lawyer to submit against a judge, which arises from his judicial acts,
his grievances to the proper authorities. In such until the lawyer shall have exhausted judicial
cases, but not otherwise, such charges should be remedies which result in the finding that the judge

Legal Ethics | 24
has gravely erred. If a lawyer does so without inconvenience him.
exhausting such judicial remedies or awaiting the
result thereof, he may be administratively held on Rule 12.08 - A lawyer shall avoid testifying in
account thereof. (Legal and Judicial Ethics, behalf of his client, except:
Agpalo 2009, p. 158)
a) on formal matters, such as the mailing,
authentication or custody of an instrument, and
An administrative complaint is not an appropriate
the like, or
remedy where judicial recourse is still available,
b) on substantial matters, in cases where his
such as a motion for reconsideration, an appeal, or a
testimony is essential to the ends of justice, in
petition for certiorari, unless the assailed order or
which event he must, during his testimony,
decision is tainted with fraud, malice, or dishonesty.
entrust the trial of the case to another counsel.
(Santiago III v. Justice Enriquez, Jr. A.M. No. CA-09-
47-J, February 13, 2009)
Canon 12 is a reminder that a lawyer is, first and
foremost, an officer of the court. His duties to the
court are more significant than those which he owes
CANON 12
to his client. His first duty is not to his client but the
administration of justice. (Legal and Judicial Ethics,
A LAWYER SHALL EXERT EVERY EFFORT
Agpalo 2009, p. 159)
AND CONSIDER IT HIS DUTY TO ASSIST IN
THE SPEEDY AND EFFICIENT
ADMINISTRATION OF JUSTICE.
Rule 12.01 – A lawyer should come to court
adequately prepared.
Rule 12.01 - A lawyer shall not appear for trial
unless he has adequately prepared himself on
Non-observance of this rule can have the following
the law and the facts of his case, the evidence
he will adduce and the order of its preferences. consequences:
He should also be ready with the original  Postponement of the pre-trial or hearing.
documents for comparison with the copies.  The judge may consider the client non-
suited or in default.
Rule 12.02 - A lawyer shall not file multiple  The judge may consider the case
actions arising from the same cause. submitted for decision without the
client’s evidence.
Rule 12.03 - A lawyer shall not, after obtaining
extensions of time to file pleadings, memoranda Please note A.M. No. 12-8-8-SC or the Judicial
or briefs, let the period lapse without submitting Affidavit Rule.
the same or offering an explanation for his Rule 12.02 – A lawyer shall not file multiple
failure to do so. actions.

Rule 12.04 - A lawyer shall not unduly delay a A lawyer not only owes to his client the duty of
case, impede the execution of a judgement or fidelity, but more important, he owes the duty of
misuse Court processes. good faith and honourable dealing to the judicial
tribunal before which he practices his profession.
Rule 12.05 - A lawyer shall refrain from talking
Inherent in that duty is the obligation to assist the
to his witness during a break or recess in the
trial, while the witness is still under examination. court in the speedy disposition of cases. (Legal and
Judicial Ethics, Agpalo 2009, p. 161)
Rule 12.06 - A lawyer shall not knowingly assist
a witness to misrepresent himself or to Forum Shopping – is the improper practice of
impersonate another.  going from one court to another in the
hope of securing a favourable relief in
Rule 12.07 - A lawyer shall not abuse, browbeat one court which another court has
or harass a witness nor needlessly denied, or the

Legal Ethics | 25
  filing of repetitious suits or proceedings cause for the dismissal of the case without prejudice,
in different courts concerning unless otherwise provided, upon motion and after
substantially the same subject matter hearing.
 filing a similar case in another forum
after an adverse opinion in another The submission of a false certification or non-
compliance with any of the undertakings therein
forum
(a) shall constitute indirect contempt of court,
Simply put, forum shopping exists when
(b) without prejudice to the corresponding
 two or more actions involve the
administrative and criminal actions.
same transactions, essential facts,
and circumstances, and raise
If the acts of the party or his counsel clearly
identical causes of action, subject constitute willful and deliberate forum shopping, the
matter, and issues same shall be ground for
 the elements of litis pendentia are
present or (a) summary dismissal with prejudice and
 where a final judgment in one case (b) shall constitute direct contempt, as well as
will amount to res judicata in the (c) a cause for administrative sanctions
other
 The principle applies not only with respect to
Note: The filing of successive suits as part suits filed in courts but also in connection with
of an appeal or a special civil action does litigations commenced in courts while
not constitute forum shopping because such administrative proceeding is pending, in order to
remedy is a recognized and authorized defeat administrative processes and in
remedy under the Rules of Court.
anticipation of an unfavorable administrative
Section 5, Rule 7 of the Rules of Court ruling and a favourable court ruling.
(Crisostomo vs. Securities and Exchange
Certification against forum shopping. — The plaintiff Commission, G.R. Nos. 89095 & 89555,
or principal party shall certify under oath in the November 6, 1989)
complaint or other initiatory pleading asserting a
claim for relief, or in a sworn certification annexed The new Rules of Court require that a certification
thereto and simultaneously filed therewith: against shopping be made on initiatory pleading,
omitting therefrom “applications” which was required
(a) that he has not theretofore commenced any under Circular No. 04-94. There being no such
action or filed any claim involving the same issues in mention of “applications” in the new Rules of Court,
any court, tribunal or quasi-judicial agency and, to
in effect amending the mentioned circular,
the best of his knowledge, no such other action or
claim is pending therein; applications for search warrant need not contain a
non-forum certification. (Kenneth Roy Savage/K
(b) if there is such other pending action or claim, a Angelin Export Trading vs. Taypin, G.R. No.
complete statement of the present status thereof; 134217, May 11, 2000)
and
The rule against forum shopping and the
(c) if he should thereafter learn that the same or requirement that a certification to that effect be
similar action or claim has been filed or is pending, complied with in the filing of complaints, petitions, or
he shall report that fact within five (5) days therefrom
other initiatory pleadings in all courts and agencies
to the court wherein his aforesaid complaint or
initiatory pleading has been filed. applies to quasi-judicial bodies. (Maricalum Mining
Corp. vs. National Labor Relations Commission,
Failure to comply with the foregoing requirements et. al, G.R. No. 124711, November 3, 1998)
shall not be curable by mere amendment of the
complaint or other initiatory pleading but shall be

Legal Ethics | 26
Who signs the Certification against Forum Shopping? If a lawyer is honestly convinced of the futility of an
appeal he should not hesitate to inform his client. He
General Rule: It must be signed by the client and not should temper his client’s desire to seek appellate
by the counsel. Otherwise, it is equivalent to non-
review of such decision for it will only increase the
compliance with the Rules of Court and is defective.
burden on appellate tribunals, prolong litigation, and
Exception: When the counsel, clothed with the expose his client to useless expenses of suit.
special power of authority to do so, attests in the (Arangco vs. Baloso, G.R. No. L-28617, January
certification that he has personal knowledge of the 31, 1973)
facts stated and gives justifiable reasons why the
party himself cannot sign the same. (Mary Louise
Rule 12.05 – A lawyer shall not talk to a witness
Anderson v. Enrique Ho, G.R. No. 172590. January
during recess.
7, 2013)
The duty of a lawyer to assist in the speedy and
Rule 12.03 – A lawyer shall file his pleadings efficient administration of justice includes the duty to
within the period. refrain “from talking to his witness during a break or
recess in the trial, while the witness is still under
Failure to file a pleading, memorandum, or brief
examination.” (Rule 12.05, Code of Professional
within the original or extended period constitutes a
Ethics)
breach of duty not only to the court but also to the
client. The lawyer’s failure to make an explanation
Purpose of the rule: To avoid any suspicion that he
constitutes discourtesy to the court. (Legal and
is coaching the witness what to say during the
Judicial Ethics, Agpalo 2009, p. 169)
resumption of the examination. (Legal and Judicial
Ethics, Agpalo 2009, p. 173)
The Court censures the practice of counsels who
secure repeated extensions of time to file their
Rule 12.06 – A lawyer shall not assist a witness
pleadings and thereafter simply let the period lapse to misrepresent
without submitting the pleading or even an
explanation of manifestation of their failure to do so. A lawyer should avoid any such action as may be
(Achacoso vs. Court of Appeals, G.R. No. L- misinterpreted as an attempt to influence the witness
35867, June 28, 1973) what to say in court. A lawyer who presents a
witness whom he knows will give a false testimony
Where a lawyer’s motion for extension of time to file may be subjected to disciplinary action. (Legal and
a pleading, memorandum or brief has remained Judicial Ethics, Agpalo 2009, p. 174)
unacted by the court, the least that is expected of
him is to file it within the period asked for (Roxas vs.
The witness who commits misrepresentation is
Court of Appeals, 156 SCRA 253)
criminally liable for “False Testimony” either under
Art. 181, 182, or 183 of the Revised Penal Code, as
Rule 12.04 – A lawyer shall not delay nor impede
the case may be. The lawyer who induces a witness
execution of judgment.
to commit false testimony is equally guilty as the
witness.
The aim of a lawsuit is to render justice to the parties
The lawyer who presented a witness knowing him to
according to law. Procedural rules are precisely be a false witness is criminally liable for “Offering
designed to accomplish such a worthy objective. False Testimony in Evidence” under Art. 184 of the
Necessarily, therefore, any attempt to pervert the RPC.
ends for which they are intended deserves
condemnation. (Aguinaldo vs. Aguinaldo, et. al, The lawyer who is guilty of the above is both
criminally and administratively liable.
G.R. No. L-30362, November 26, 1970)
Rule 12.07 – A lawyer shall not harass a witness

Legal Ethics | 27
A lawyer should always treat adverse witnesses and and his relation to the party as a witness. (Legal and
suitors with fairness and due consideration, and he Judicial Ethics, Agpalo 2009, p. 175)
should never minister to the malevolence or
prejudices of a client in the trial or conduct of a
cause. The client cannot be made the keeper of the
lawyer's conscience in professional matter. He has CANON 13
no right to demand that his counsel shall abuse the
opposite party or indulge in offensive personalities. A LAWYER SHALL RELY UPON THE MERITS
Improper speech is not excusable on the ground that OF HIS CAUSE AND REFRAIN FROM ANY
it is what the client would say if speaking in his own IMPROPRIETY WHICH TENDS TO
INFLUENCE, OR GIVES THE APPEARANCE
behalf. (Canon 18, Canons of Professional Ethics)
OF INFLUENCING THE COURT.

Under the Rules of Court, it is one of the duties of a

Rule 13.01 - A lawyer shall not extend
lawyer, “To abstain from all offensive personality and extraordinary attention or hospitality to, nor seek
to advance no fact prejudicial to the honor or opportunity for cultivating familiarity with Judges.
reputation of a party or witness unless required by
the justice of the cause with which he is charged.” Rule 13.02 - A lawyer shall not make public
(Rule 138, Section 20(f), Revised Rules of Court) statements in the media regarding a pending
See also Rights of a Witness under Section 3, Rule case tending to arouse public opinion for or
132, Rules of Court against a party.

Rule 13.03 - A lawyer shall not brook or invite

Rule 12.08 – A lawyer shall avoid testifying for a
interference by another branch or agency of the
client
government in the normal course of judicial
proceedings.
General Rule: A lawyer cannot testify in behalf of
his client.
Exceptions:
Improper acts of a lawyer which give the
(1) On formal matters, such as mailing appearance of influencing the court to decide a case
authentication or custody of an instrument, in a particular way lessen the confidence of the
public in the impartial administration of justice, and
and the like.
should be avoided. (Comments of the IBP
(2) On substantial matters, in cases where his Committee that drafted the Code)
testimony is essential to the ends of justice,
in which event he must, during his testimony,
entrust the trial of the case to another Rule 13.01 – A lawyer shall not extend hospitality
counsel. to a judge.

The underlying reason for the impropriety of a The unusual attention and hospitality on the part of a
lawyer acting in such dual capacity lies in the lawyer to a judge may subject both the judge and
difference between the function of a witness and that the lawyer to suspicion. For this reason, the common
of an advocate. practice of some lawyers making judges and
prosecutors godfathers of their children to enhance
Function of a witness – to tell the facts as he recalls their influence and their law practice should be
them in answer to questions. avoided by lawyers and judges alike. (Comments of
the IBP Committee that drafted the Code)
Function of an advocate – that of a partisan.
Marked attention and unusual hospitality on the part
It is difficult to distinguish between the zeal of an of a lawyer to a judge, uncalled for by the personal
advocate and the fairness and impartiality of a relations of the parties, subject both the judge and
disinterested witness. The lawyer will find it hard to the lawyer to misconstructions of motive and should
disassociate his relation to his client as an attorney be avoided. A lawyer should not communicate or

Legal Ethics | 28
argue privately with the judge as to the merits of a
pending cause and deserves rebuke and Rule 13.03 – A lawyer shall not invite judicial
denunciation for any device or attempt to gain from a interference.
judge special personal consideration or favor. A self-
respecting independence in the discharge of
professional duty, without denial or diminution of the Reason: A lawyer who brooks or invites interference
courtesy and respect due the judge's station, is the by another branch or agency of government in the
only proper foundation for cordial personal and
normal course of judicial proceedings endangers the
official relations between bench and bar. (Canon 3,
Canons of Professional Ethics) independence of the judiciary. (Comments of the
IBP Committee that drafted the Code)
It is improper for a litigant or counsel to see a judge
in chambers and talk to him about a matter related A lawyer was reprimanded for gross ignorance of
to the case pending in the court of said judge. the law and the Constitution in having asked the
(Austria vs. Masaquel, G.R. No. L-22536, August President to set aside by decree the Court’s decision
31, 1967)
which suspended him from the practice of law.
(Bumanlag vs. Bumanlag, 74 SCRA 92)
Rule 13.02 – A lawyer shall not publicly discuss
pending cases.
TO THE CLIENTS
Newspaper publication by a lawyer as to pending or
anticipated litigation may interfere with a fair trial in
the courts and otherwise the due administration of  Availability of service without discrimination
justice. Generally, they are to be condemned. If the (Canon 14)
extreme circumstances of a particular case justify a  Services regardless of a person’s status
statement to the public, it is unprofessional to make  Services as counsel de oficio
it anonymous. An ex parte reference to the facts
should not go beyond quotation from the records  Valid grounds for refusal
and papers on file in the court; but even in extreme  Candor, fairness and loyalty to clients (Canon
cases it is better to avoid an ex parte statement. 15)
(Canon 20, Canons of Professional Ethics)  Confidentiality rule
 Privileged communications
The right of a lawyer to comment on a pending  Conflict of interest
litigation or to impugn the impartiality of a judge to  Candid and honest advice to clients
decide it is much circumscribed. The court in a
 Compliance with laws
pending litigation, must be shielded from
 Concurrent practice of another
embarrassment or influence in its all important duty
profession
of deciding the case. (Legal and Judicial Ethics,
 Client’s moneys and properties (Canon 16)
Agpalo 2009, p. 178)
 Fiduciary relationship
 Commingling of funds
Once litigation is concluded the judge who decided it
 Delivery of funds
is subject to the same criticism as any other public
official because then his ruling becomes public  Borrowing or lending
property and is thrown open to public consumption.  Fidelity to client’s cause (Canon 17)
(Legal and Judicial Ethics, Agpalo 2009, p. 178)  Competence and diligence (Canon 18)
 Adequate protection
A lawyer was held to have violated Rule 13.02 when  Negligence
he admittedly caused the holding of a press  Collaborating counsel
conference where he made statements against an  Duty to apprise client
order of a court. (In re: Suspension of Atty.
 Representation with zeal within legal bounds
Rogelio Bagabuyo, A.M. No. 7006, October 9,
2007) (Canon 19)
 Use of fair and honest means

Legal Ethics | 29
  Client’s fraud
 Procedure in handling the case Canon 14 and its implementing rules of the Code of
 Attorney’s fees (Canon 20) Professional Responsibility provide the exception to
the general rule and emphasize the lawyer’s public
 Acceptance fees responsibility of rendering legal services to the
 Contingency fee arrangements needy and the oppressed who are unable to pay
 Attorney’s liens attorney’s fees.
 Fees and controversies with clients
Two reasons for the rule:
 Concepts of attorney’s fees
 Ordinary concept
(1) The poor and the needy are the persons
 Extraordinary concept
who, when in trouble, need most of the
 Preservation of client’s confidences (Canon 21)
services of a lawyer but hesitate to secure
 Prohibited disclosures and use
such services because they cannot afford to
 Disclosure, when allowed
pay counsel’s fees or fear they will be
 Withdrawal of services (Canon 22)
refused for their inability to compensate the
lawyer.
(2) One of the objectives of the IBP is to make
CANON 14 legal services fully available for those who
need them.
A LAWYER SHALL NOT REFUSE HIS
SERVICES TO THE NEEDY.
Rule 14.01 – A lawyer shall not decline to
Rule 14.01 - A lawyer shall not decline to represent unpopular clients.
represent a person solely on account of the
latter’s race, sex, creed or status of life, or Regardless of his personal feelings, a lawyer should
because of his own opinion regarding the guilt of not decline representation because a client or a
said person. cause is unpopular or community reaction is adverse.
(Legal and Judicial Ethics, Agpalo 2009, p. 200)
Rule 14.02 - A lawyer shall not decline, except
for serious and sufficient cause, an appointment It is the right of the lawyer to undertake the defense
as counsel de oficio or as amicus curiae, or a of a person accused of crime, regardless of his
request from the Integrated Bar of the personal opinion as to the guilt of the accused;
Philippines or any of its chapters for rendition of otherwise, innocent persons, victims only of
free legal aid. suspicious circumstances, might be denied proper
defense. Having undertaken such defense, the
Rule 14.03 - A lawyer may not refuse to accept lawyer is bound, by all fair and honorable means, to
representation of an indigent client unless: present every defense that the law of the land
permits, to the end that no person may be deprived
a) he is in no position to carry out the work of life or liberty but by due process of law. (Canon 5,
effectively or competently; Canons of Professional Ethics)

b) he labors under a conflict of interest between Rule 14.01 is applicable only in criminal cases. In
him and the prospective client or between a criminal cases a lawyer cannot decline to represent
present client and the prospective client; an accused or respondent because of his opinion
that said person is guilty of the charge or charges
Rule 14.04 - A lawyer who accepts the cause of filed against him. (Legal Ethics, Pineda 2009, p.
a person unable to pay his professional fees 218)
shall observe the same standard of conduct
governing his relations with paying clients. The lawyer should not “brand his clients as the
culprits.” Such act of discrimination amounts to
unprofessionalism. (Francisco vs. Portugal, A.C.
No. 6155, March 14, 2006)

Legal Ethics | 30
 Every case a lawyer accepts deserves full attention,
Rule 14.02 – A lawyer shall not decline diligence, skill, and competence regardless of its
appointment by the court or by the IBP. importance and whether he accepts it for a fee or for
free. It bears emphasis that a client is entitled to the
The relation of attorney and client may be created by
benefit of any and every remedy and defense that is
 Voluntary agreement between them
authorized by the law and expects his lawyer to
 Appointment of an attorney as counsel de
assert every such remedy or defense. (Sarenas vs.
oficio for a poor or indigent litigant
Ocampos, A.C. No. 4401, January 29, 2004)
It shall be the duty of the attorney so assigned to
render the required service, unless he is excused CANON 15
therefrom by the court for sufficient cause shown.
(Legal and Judicial Ethics, Agpalo 2009, p. 178) A LAWYER SHALL OBSERVE CANDOR,
FAIRNESS AND LOYALTY IN ALL HIS
DEALINGS AND TRANSACTIONS WITH HIS
Rule 14.03 – A lawyer may refuse to represent CLIENTS.
indigent on valid grounds.
Rule 15.01 - A lawyer, in conferring with a
General Rule: A lawyer is not obliged to act as legal prospective client, shall ascertain as soon as
counsel for any person who may wish to become his practicable whether the matter would involve a
client. conflict with another client or his own interest,
and if so, shall forthwith inform the prospective
Exception: Appointment as counsel de oficio or client.
amicus curiae, or a request from the Integrated Bar
of the Philippines or any of its chapters for rendition Rule 15.02 - A lawyer shall be bound by the rule
of free legal aid. on privilege communication in respect of matters
disclosed to him by a prospective client.
Exception to the exception: Serious and sufficient
Rule 15.03 - A lawyer shall not represent
cause
conflicting interests except by written consent of
(1) Lack of competence. He is in no position to
all concerned given after a full disclosure of the
carry out the work effectively or competently;
facts.
(2) Conflict of Interests. He labors under a
conflict of interest between him and the
prospective client or between a present Rule 15.04 - A lawyer may, with the written
client and the prospective client; consent of all concerned, act as mediator,
conciliator or arbitrator in settling disputes.

Rule 14.04 – A lawyer shall observe the same Rule 15.05 - A lawyer when advising his client,
standard for all clients. shall give a candid and honest opinion on the
merits and probable results of the client’s case,
The purpose of the legal profession is to render neither overstating nor understating the
public service and secure justice for those seek its prospects of the case.
aid. The gaining of a livelihood is only a secondary
consideration. Rule 15.06 - A lawyer shall not state or imply
that he is able to influence any public official,
tribunal or legislative body.
The fact that a lawyer merely volunteered his legal
services or that he was a mere counsel de oficio
Rule 15.07 - A lawyer shall impress upon his
neither diminishes the degree of professional client compliance with the laws and principles of
responsibility owed to his client. (Blaza vs. fairness.
Arcangel, A.C. No. 492, September 5, 1967)
Rule 15.08 - A lawyer who is engaged in
another profession or occupation concurrently

Legal Ethics | 31
with the practice of law shall make clear to his Matters disclosed by a prospective client to a lawyer
client whether he is acting as a lawyer or in are protected by the rule on privileged
another capacity. communication even if the prospective client does
not thereafter retain the lawyer or the latter declines
employment. (Legal and Judicial Ethics, Agpalo
2009, p. 195)
Rule 15.01 – A lawyer shall ascertain possible
conflict of interests Reason for the rule: To make the prospective client
free to discuss whatever he wishes with the lawyer
It is the duty of a lawyer to disclose and explain to a without fear that what he tells the lawyer will not be
prospective client all circumstances of his relations divulged nor used against him, and for the lawyer to
to the parties and any interest in or in connection be equally free to obtain information from the
with the controversy, which in his honest judgment prospective client. (Comments of the IBP
might influence the client in the selection of counsel. Committee that drafted the Code)
(Canon 16, Canons of Professional Ethics) Related to this rule is Rule 21.01 of the same
Code. Rule 21.01 provides for the exceptions to
A lawyer may not accept employment from another the prohibition in Rule 15.02, to wit:
in a matter adversely affecting any interest in his
former client with respect to which confidence has (a) When the revelation is authorized by the
been reposed. (Canon 6, Canons of professional client after having been acquainted of the
Ethics) consequences of disclosure;
(b) When the revelation is required by law;
A lawyer should not accept employment as an (c) When necessary to collect the lawyer’s fees
advocate in any matter in which he had intervened or to defend himself, his employees or
while in the government service. (Rule 6.03, Code associates or by judicial action
of Professional Responsibility)
Parties entitled to invoke the privilege
A lawyer should not, after his retirement in a public
office or employment, accept employment in (1) The client
connection with any matter which he has (2) The lawyer
investigated or passed upon while in such office. (3) The lawyer’s secretary, stenographer, or
(Canon 36, Canons of Professional Ethics) clerk who acquired confidential
communication in such capacity, save only
Lawyers are prohibited from representing conflicting when the client and the attorney jointly
interests in a case. The lawyer’s act of appearing consent thereto (Rule 130, Sec. 21(b),
and acting as counsel for the complainants against Revised Rules of Court)
the PNB, that had appointed him bank attorney and
notary public, constitutes malpractice. (Mejia vs. Limitations of the Privileged Communication
Reyes, A.C. No. 378, March 30, 1962)

In case of conflict of interests of a lawyer and his (1) The communication or the physical object
client, the lawyer shall give preference to the client’s must have been transmitted to the counsel
interests. (Legal Ethics, Pineda 2009, p. 233) by the client for the purpose of seeking legal
advice. Otherwise, there is no privileged
communication.
(2) The privilege is limited or has reference only
Rule 15.02 – A lawyer shall preserve the secrets
to communications which are within the
of a prospective client
ambit of lawful employment and does not
extend to those transmitted in contemplation
of future crimes or frauds.

Legal Ethics | 32
 (Legal Ethics, Pineda 2009, p. 241) (3) When the lawyer would be called upon in
the new relation to use against a former
Note: The rule on privileged communication is client any confidential information acquired
applicable to students under the law student practice through their connection or previous
rule or Rule 138-A. (Legal Ethics, Pineda 2009, p. employment.
246) (Legal Ethics, Pineda 2009, p. 247)

Types of Conflict of Interest

Rule 15.03 – A lawyer shall not represent 1. Concurrent or multiple representations -
conflicting interests, exception generally occurs when a lawyer represents
clients whose objectives are adverse to each
Reason for this rule: The rule aims not only to bar other, no matter how slight or remote such
the dishonest practitioner from fraudulent conduct adverse interest may be.
but also to prevent the honest practitioner from 2. Sequential or successive representation –
putting himself in a position where he may be involves representation of a present client who
required to choose between conflicting duties. may have an interest adverse to a prior or
(Legal Ethics, Pineda 2009, p. 252) former client of the firm.

General Rule: A lawyer shall not represent NOTE: What is material in determining whether
conflicting interests there is a conflict of interest in the representation is
probability, not certainty of conflict.

Exception: There is written consent of all concerned Rule 15.04 – A lawyer may act as mediator,
given after full disclosure of facts conciliator, or arbitrator

Conflicting Interests – exists when there is an

inconsistency in the interests of two or more Consent in writing is required to prevent future
opposing parties. controversy on the authority of the lawyer to act as
mediator, conciliator, or arbitrator. However, a
Note: The test is whether or not in behalf of one lawyer who acts as a mediator, conciliator, or
client, it is the lawyer’s duty to fight for an issue arbitrator in settling a dispute cannot represent any
or claim but it is his duty to oppose it for the of the parties to it. (Comments of the IBP
other client. (Canon 6, Canons of Professional
Committee that drafted the Code)
Ethics)

Tests to determine conflict of interest:

Rule 15.05 – A lawyer shall give candid advice on
(1) When a lawyer is duty-bound to fight for an
the merits of the case
issue or claim in behalf of one client and, at
the same time, to oppose that claim for the
other client. It is incumbent upon a lawyer to give a candid and
honest opinion on the merits and probable results of
Note: In this case, a lawyer shall be liable his client’s case with the end in view of promoting
criminally for the offense of “betrayal of trust respect for the law and the legal processes. (Choa
by an attorney” punishable under Art. 209 of
vs. Chiongson, MTJ-95-1063, February 9, 1996)
the Revised Penal Code

(2) When the acceptance of a new relation

Rule 15.06 – A lawyer shall not undertake
would prevent the full discharge of the
influence-peddling
lawyer’s duty of undivided fidelity and loyalty
to the client or invite suspicion of
unfaithfulness or double-dealing in the It is improper for a lawyer to show in any way that he
performance of that duty. has connections and can influence any tribunal or
public official specially so if the purpose is to

Legal Ethics | 33
enhance his legal standing and to entrench the
confidence of the client that his case or cases are
assured of victory. Such a display of influence CANON 16
whether factual or imaginary does not only
undermine our judicial and legal systems but also A LAWYER SHALL HOLD IN TRUST ALL
MONEYS AND PROPERTIES OF HIS CLIENT
degrades our courts for dangerous oppression is
THAT MAY COME INTO HIS POSSESSION.
created in cases that are won not on the merits but
on the magnetic pull of influential connections. Rule 16.01 - A lawyer shall account for all
(Legal Ethics, Pineda 2009, p. 265) money or property collected or received for or
from the client.

Rule 15.07 – A lawyer shall perform duty within Rule 16.02 - A lawyer shall keep the funds of
the law each client separate and apart from his own and
those of others kept by him.

A lawyer is required to represent his client within the

Rule 16.03 - A lawyer shall deliver the funds and
bounds of law. The Code of Professional property of his client when due or upon demand.
Responsibilty enjoins him to employ only fair and However, he shall have a lien over the funds
honest means to attain the lawful objectives of his and may apply so much thereof as may be
client. He may use any arguable construction of the necessary to satisfy his lawful fees and
law or rules which is favourable to his client. But he disbursements, giving notice promptly thereafter
is not allowed to knowingly advance a claim or to his client. He shall also have a lien to the
same extent on all judgements and executions
defense that is unwarranted under existing law.
he has secured for his client as provided for in
(Legal and Judicial Ethics, Agpalo 2009, p. 209) the Rules of Court.

Rule 16.04 - A lawyer shall not borrow money

Rule 15.08 – A lawyer who is engaged in another from his client unless the client’s interests are
profession or occupation must make clear on fully protected by the nature of the case or by
which capacity he is acting independent advice. Neither shall a lawyer lend
money to a client except, when in the interest of
justice, he has to advance necessary expenses
It is not uncommon for lawyers to combine law
in a legal matter he is handling for the client.
practice with some other occupation. The fact of
being a lawyer does not preclude him from engaging
in business, and such practice is not necessarily
improper. Impropriety arises when the business is of
such a manner as to be inconsistent with the
lawyer’s duties as a member of the Bar. (Comments Rule 16.01 – A lawyer shall account for client’s
of the IBP Committee that drafted the Code) funds
A party’s engagement of his counsel in another
capacity concurrent with the practice of law is not A lawyer may receive money or property for or from
prohibited, so long as the roles being assumed by his client in the course of his professional
such counsel is made clear to the client. The only relationship with his client. The lawyer holds such
reason for this clarification requirement is that property or money in trust and he is under obligation
certain ethical considerations operative in one to make an accounting thereof. (Legal and Judicial
profession may not be so in the other. (New Ethics, Agpalo 2009, p. 251)
Sampaguita Builders Construction, Inc. vs.
When a lawyer unjustly retains in his hands money
Philippine National Bank, G.R. No. 148753, July of his client after it has been demanded, he may be
30, 2004) punished for contempt. (Legal Ethics, Pineda 2009,
p. 273)

Legal Ethics | 34
A lawyer was disbarred for having used the money have a lien upon the funds, documents and
of his clients without the consent of the latter. papers of his client which have lawfully come
(Businos vs. Ricafort, A.C. No. 4349, December into his possession and may retain the same
22, 1997) until his lawful fees and disbursements have
been paid, and may apply such funds to the
satisfaction thereof. He shall also have a lien to
Rule 16.02 – A lawyer shall not commingle the same extent upon all judgments for the
client’s funds payment of money, and executions issued in
pursuance of such judgments, which he has
secured in a litigation of his client, from and after
A lawyer should not commingle a client’s money with the time when he shall have the caused a
that of other clients and with his private funds, nor statement of his claim of such lien to be entered
use the client’s money for his personal purposes upon the records of the court rendering such
without the client’s consent. (Legal and Judicial judgment, or issuing such execution, and shall
Ethics, Agpalo 2009, p. 256) have the caused written notice thereof to be
delivered to his client and to the adverse paty;
The relationship between a lawyer and a client is and he shall have the same right and power
highly fiduciary; it requires a high degree of fidelity over such judgments and executions as his
and good faith. Money or other trust property of the client would have to enforce his lien and secure
client coming into the possession of the lawyer the payment of his just fees and disbursements.
should be reported by the latter and accounted for
promptly and should not, under any circumstances,
be commingled with his own or be used by him. Rule 16.04 – A lawyer shall not borrow from, nor
(Espiritu vs. Cabredo IV, A.C. 5831, January 23, lend money to, client.
2003)
This rule against borrowing of money by a
lawyer from his client is intended to
Rule 16.03 – A lawyer shall deliver funds to client,
subject to his lien (1) prevent the former from taking advantage of
his influence over the latter
(2) assure the lawyer’s independent
A lawyer who obtained possession of the funds and professional judgment
properties belonging to his client in the course of his (Comment of the IBP Committee that
professional employment shall deliver the same to drafted the Code)
his client when
(a) they become due, or A lawyer was disbarred for asking a client for a loan
(b) upon demand. and then failing to pay the same. (Frias vs. Lozada,
A.C. 6656, December 13, 2005)
The lawyer’s failure to deliver upon demand gives
rise to the presumption that he has misappropriated General Rule: A lawyer is not allowed to borrow
the funds for his own use to the prejudice of the money from his client.
client and in violation of the trust reposed in him.
(Schulz vs. Flores, A.C. No. 4219, December 8, Exception: The lawyer is allowed to borrow money
2003) from his client provided the interests of the client are
fully protected by the nature of the case or by
A lawyer shall have a lien over the client’s funds and independent advice.
may apply so much thereof to satisfy his lawful fees
and disbursements but must give prompt notice to
his client for the latter’s advisement. This authority is
applicable to the lawyer’s retaining lien. (Legal General Rule: A lawyer may not lend money to
Ethics, Pineda 2009, p. 277) a client.

The Revised Rules of Court provides the procedure Exception: When it is necessary in the interest
of enforcing attorney’s liens – of justice to advance necessary expenses in a
legal matter he is handling for the client.
Section 37. Attorneys' liens. — An attorney shall

Legal Ethics | 35
 which confidence has been reposed. (Canon 6,
Canons of Professional Ethics)

CANON 17 An attorney owes loyalty to his client not only in the

case in which he has represented him but also after
A LAWYER OWES FIDELITY TO THE CAUSE the relation of attorney and client has terminated. It
OF HIS CLIENT AND HE SHALL BE MINDFUL is not a good practice to permit him afterwards to
OF THE TRUST AND CONFIDENCE defend in another case other persons against his
REPOSED IN HIM. former client under the pretext that the case is
distinct from and independent of the former case.
(Lorenzana Food Corporation vs. Daria, A.C. No.
Fidelity to the cause of the client is the essence of 2736, May 27, 1991)
the legal profession. Without this fidelity, the
profession will not survive. (Legal Ethics, Pineda
2009, p. 283)

The lawyer owes "entire devotion to the interest of

the client, warm zeal in the maintenance and
defense of his rights and the exertion of his utmost
learning and ability," to the end that nothing be taken
or be withheld from him, save by the rules of law,
legally applied. No fear of judicial disfavor or public
popularity should restrain him from the full discharge CANON 18
of his duty. In the judicial forum the client is entitled
to the benefit of any and every remedy and defense A LAWYER SHALL SERVE HIS CLIENT WITH
that is authorized by the law of the land, and he may COMPETENCE AND DILIGENCE.
expect his lawyer to assert every such remedy or
defense. But it is steadfastly to be borne in mind that Rule 18.01 - A lawyer shall not undertake a
the great trust of the lawyer is to be performed within legal service which he knows or should know
and not without the bounds of the law. The office of that he is not qualified to render. However, he
attorney does not permit, much less does it demand may render such service if, with the consent of
of him for any client, violation of law or any manner his client, he can obtain as collaborating counsel
of fraud or chicanery, he must obey his own a lawyer who is competent on the matter.
conscience and not that of his client. (Canon 15,
Canons of Professional Ethics) Rule 18.02 - A lawyer shall not handle any legal
matter without adequate preparation.
It is a duty of a lawyer at the time of retainer to
disclose to the client all the circumstances of his
relations to the parties and any interest in or Rule 18.03 - A lawyer shall not neglect a legal
connection with the controversy, which might matter entrusted to him, and his negligence in
influence the client in the selection of counsel. connection there with shall render him liable.

It is unprofessional to represent conflicting interests, Rule 18.04 - A lawyer shall keep the client
except by express consent of all concerned given informed of the status of his case and shall
after a full disclosure of the facts. Within the respond within a reasonable time to client’s
meaning of this canon, a lawyer represents request for information.
conflicting interests when, in behalf of one client, it is
his duty to contend for that which duty to another
client requires him to oppose.
Competence- the sufficiency of lawyer’s
The obligation to represent the client with undivided qualifications to deal with the matter in question and
fidelity and not to divulge his secrets or confidence includes knowledge and skill and the ability to use
forbids also subsequent acceptance of retainers or them effectively in the interest of the client.
employment from others in matters adversely
affecting any interest of the client with respect to Diligence – the attention and care required of a
person in a given situation and is the opposite of

Legal Ethics | 36
negligence. vs. Ibadlit, A.C. CBD No. 190, January 28, 1998)

The practice of law does not require extraordinary If by reason of the lawyer’s negligence actual loss
diligence (exactissima diligentia) or that “extreme has been caused to his client, the latter has a cause
measure of care and caution which persons of of action against him for damages. However, for the
unusual prudence and circumspection use for lawyer to be held liable, his failure to exercise
securing and preserving their rights.” All that is reasonable care, skill and diligence must be the
required is ordinary diligence (diligentia) or that proximate cause of the loss. (Legal Ethics, Pineda
degree of vigilance expected of a bonus pater 2009, p. 295)
familias. (Edquibal vs. Ferrer, A.C. 5687, February
3, 2005) Instances of negligence of Attorneys:

(1) Failure of counsel to ask for additional time

Rule 18.01 – A lawyer shall not legal service he to answer a complaint resulting in a default
is not qualified to render. judgment against his client (Santiago vs.
Fojas, A.M. No. 4103, September 7, 1995)
(2) Failure to file briefs within the reglementary
General Rule: A lawyer is directed not to undertake period (Mariveles vs. Mallari, A.M. No.
legal service which he knows or should know he is 3294, February 17, 1993)
not qualified or competent to render. (3) Failure to appear simply because the client
did not go to counsel’s office on the date of
Exception: If his client consents, the lawyer can the trial (Alcoriza vs. Lumakang, A.M. No.
take as collaborating counsel another lawyer who is 249, November 21, 1978)
competent on the matter. (4) Failure to present evidence (Gonzales vs.
Presiding Judge of Branch I, RTC of
A lawyer who is part of the Public Attorney’s Office Bohol, G.R. No. 75856, June 4, 1990)
cannot practice law. His acceptance of attorney’s
fees from outside clients is a violation of Canon 1 Rule 18.04 – A lawyer shall keep the client
and Rule 18.01 of the Code of Professional informed of the status of his case
Responsibility. (Ramos vs. Imbang, A.C. No. 6788,
August 23, 2007) The client has the right to be fully informed of the
status of the case particularly on the important
Rule 18.02 – A lawyer shall not handle any legal movement or developments therein. Vis-à-vis this
matter without adequate preparation. right, the lawyer has the corresponding duty to notify
his client of the important orders or decisions not yet
The adequate preparation required of the lawyer in known to the client. (Legal Ethics, Pineda 2009, p.
handling of a case covers a wide dimension in law 301)
practice. It includes among other virtues, sufficient
knowledge of the law and jurisprudence, ability in A lawyer was suspended from the practice of law for
trial technique and high proficiency in the formulation his failure to inform his clients of the scheduled trial
of pleadings. (Legal Ethics, Pineda 2009, p. 292) of the case, which trial, the clients failed to attend.
(Avelino vs. Palana, A.M. No. 405, May 31, 1971)

Rule 18.03 – A lawyer shall not neglect a legal

matter entrusted to him.
CANON 19
The legal profession demands of a lawyer that
degree of vigilance and attention expected of a good A LAWYER SHALL REPRESENT HIS CLIENT
father of a family. (PBC vs. Aruego, CA—G.R. No. WITH ZEAL WITHIN THE BOUNDS OF THE
28274, June 18, 1965) LAW.

A lawyer has no right to waive his client’s right to Rule 19.01 - A lawyer shall employ only fair and
appeal. His failure to perfect an appeal within the honest means to attain the lawful objectives of
prescribed period constitutes negligence and his client and shall not present, participate in
malpractice proscribed by Rule 18.03, Canon 18, of presenting or threaten to present unfounded
the Code of Professional Responsibility. (Reontoy criminal charges to obtain an improper

Legal Ethics | 37
advantage in any case or proceeding. client has perpetuated a fraud upon a person or
tribunal, he shall promptly advise the client to rectify
Rule 19.02 - A lawyer who has received the same, and if the client refuses to heed the
information that his client has, in the course of lawyer’s advise for rectification, the lawyer must
the representation, perpetrated a fraud upon a withdraw from the case. (Legal Ethics, Pineda 2009,
person or tribunal, shall promptly call upon the p. 310)
client to rectify the same, and failing which he
shall terminate the relationship with such client Rule 19.03 – A lawyer shall not allow his client to
in accordance with the Rules of Court. dictate the procedure in handling cases

Rule 19.03 - A lawyer shall not allow his client to Reason for the rule: A lawyer is trained and skilled
dictate the procedure on handling the case. in the law. The client has no knowledge of procedure
and necessarily entrusts this to the attorney he
employs. (Legal Ethics, Pineda 2009, p. 311)

In matters of law, it is client who yields to the lawyer

A lawyer’s duty is not to his client but to the and not the lawyer yielding to the client. The lawyer
administration of justice; to that end, his client’s must not accede, but instead must resist his client’s
success is wholly subordinate; and his conduct unlawful requests or instructions. (Anderson vs.
ought to and must always be scrupulously observant Cardeno, A.C. 3523, January 17, 2005)
of the law and ethics. (Maglasang vs. People, G.R.
No. 90083, 4 October 1990) When the client’s requests are proper and lawful, the
lawyer has the duty to oblige. Thus on matters of
Rule 19.01 – A lawyer shall employ fair and compromise, the client’s instructions are generally
honest means to attain the objectives of his followed. (Legal Ethics, Pineda 2009, p. 313)
client
Even if a lawyer believes that the appeal of his client
A lawyer should put up defenses only which he is frivolous, he cannot move to dismiss the appeal
believes to be honestly debatable under the law. without the consent of his client. His remedy is to
(Rule 138, Sec. 20(d), Revised Rules of Court) withdraw from the case. (People vs. Pagaro,
Minute Resolution, G.R. No. 93026-27, July 24,
The lawyer can present every remedy or defenses 1991)
authorized by law in support of his client’s cause,
regardless of his own personal views. (Canon 15,
Canons of Professional Ethics)
CANON 20
The lawyer should not file or threaten to file any
unfounded or baseless cases against the A LAWYER SHALL CHARGE ONLY FAIR
adversaries of his client designed to secure a AND REASONABLE FEES.
leverage to compel the adversaries to yield or
withdraw their own cases against the lawyer’s client. Rule 20.01 - A lawyer shall be guided by the
(Legal Ethics, Pineda 2009, p. 308) following factors in determining his fees:

Rule 19.02 – A lawyer shall not allow his client a) The time spent and the extent of the services
perpetuate fraud rendered or required;

A lawyer should do his best efforts to restrain and to b) The novelty and difficulty of the questions
prevent his client from perpetrating acts which he involved;
himself ought to do, particularly with reference to
their conduct towards the courts, judicial officers and c) The importance of the subject matter;
witnesses. If the client persists in such wrongdoings, d) The skill demanded;
the lawyer should terminate their relation. (Canon 16,
Canons of Professional Ethics) e) The probability of losing other employment as
a result of acceptance of the proffered case;
If in the cause of the employment of the lawyer in a
case, he discovers or receives information that his f) The customary charges for similar services

Legal Ethics | 38
and the schedule of fees of the IBP chapter to (1) The time spent and the extent of the
which he belongs; services rendered or required;
(2) The novelty and difficulty of the questions
g) The amount involved in the controversy and involved;
the benefits resulting to the client form the (3) The importance of the subject matter;
service; d) The skill demanded;
(4) The probability of losing other employment
h) The contingency or certainty of as a result of acceptance of the proffered
compensation; case;
(5) The customary charges for similar services
i) The character of the employment, whether and the schedule of fees of the IBP chapter
occasional or established; and to which he belongs;
(6) The amount involved in the controversy and
j) The professional standing of the lawyer. the benefits resulting to the client form the
service;
Rule 20.02 - A lawyer shall, in cases of referral, (7) The contingency or certainty of
with the consent of the client, be entitled to a compensation;
division of fees in proportion to work performed (8) The character of the employment, whether
and responsibility assumed. occasional or established; and
(9) The professional standing of the lawyer.
Rule 20.03 - A lawyer shall not, without the full
knowledge and consent of the client, accept any
The fact of employment as lawyer by the client
fee, reward, costs, commission, interest, rebate
constitutes the legal basis of the lawyer’s rights to
or forwarding allowance or other compensation
demand payment for his services. No formal contract
whatsoever related to his professional
is necessary to effectuate employment. (Legal
employment from anyone other than the client.
Ethics, Pineda 2009, p. 316)
Rule 20.04 - A lawyer shall avoid controversies Quantum meruit – means “as much as he has
with clients concerning his compensation and deserved”, a legal mechanism in legal ethics which
shall resort to judicial action only to prevent prevents an unscrupulous client from running away
imposition, injustice of fraud. with the fruits of the legal services of a counsel
without paying therefor.

Recovery of attorney’s fees on the basis of

Rule 20.01 – A lawyer shall be guided quantum meruit is authorized when:
accordingly in determining his fees
(1) There is no express contract for payment of
Two concepts of attorney’s fees: attorney’s fees agreed upon between the
lawyer and the client
1. Ordinary – the reasonable compensation paid to (2) When although there is a formal contract for
the lawyer for the legal services he had rendered in attorney’s fees, the fees stipulated are found
favor of his client. The basis of this compensation is unconscionable or unreasonable by the
the fact of employment by the client. court
(3) When the contract for attorney’s fees is void
2. Extraordinary – an indemnity for damages due to purely formal matters or defects of
ordered by the court to be paid by the losing party to execution
the prevailing party in a litigation in cases authorized (4) When the counsel, for justifiable cause, was
by law and is payable not to the lawyer but to the not able to finish the case to its conclusion
client unless there is an agreement that the award (5) When the lawyer and client disregard the
shall pertain to the lawyer as an additional contract for attorney’s fees
compensation or as part thereof. (Legal Ethics, Pineda 2009, p. 326)

When fee is reasonable – The fee is reasonable if it

In determining his fees, a lawyer shall be guided is within the capacity of the client to pay, and is
by the following factors: directly commensurate with the value of the legal

Legal Ethics | 39
services rendered. (Legal Ethics, Pineda 2009, p.
340)
Reason for the rule: To secure the fidelity of the
When fee is unconscionable – To be lawyer to his clients’ cause and to prevent a situation
unconscionable, the amount contracted for must be in which the receipt by him of a rebate or
such that no man in his right senses would offer on commission from another with the client’s business
the one hand and no honest fair man would accept may interfere with the full discharge of his duty to his
on the other. (Legal Ethics, Pineda 2009, p. 340) client. (Legal Ethics, Pineda 2009, p. 348)

There should be no room for suspicion on the part of

the client that his lawyer is receiving compensation
Rule 20.02 – A lawyer shall be entitled to division in connection with the case from third persons with
of fees hostile interests. (Comments of the IBP Committee
that drafted the Code)

General Rule: When lawyer’s jointly represent a

common client for a given fee without any express Compensation – includes any fee, reward, costs,
agreement on how much each will receive, they will commission, interest, rebate, forwarding allowance
share equally as they are considered special or any other benefits received from any other person
partners for a special purpose. in relation to the lawyer’s employment in a case.
General Rule: A lawyer may not receive
Exceptions: compensation other than his client.

(1) If there are specific contracts for the Exception: When the client has full knowledge and
payment of the fees of each lawyer, the approval. (Rule 138, Sec. 20(e), Revised Rules of
contracts shall prevail unless found Court)
unconscionable.
(2) If the lawyers were engaged at different
stages of the case, and there are no specific Rule 20.04 – A lawyer shall avoid controversies
contracts executed, the lawyer who bore the concerning his compensation
brunt of the prosecution of the case to its
successful end is entitled to the full amount
of his fees despite the fact that the client has General Rule: A lawyer should avoid the filing of
retained another lawyer as “exclusive” any case against clients for the enforcement of his
counsel who appeared only after the attorney’s fees.
rendition of a favorable judgment.
(3) If another counsel is referred to the client, Exception: To prevent
and the latter agrees him to take him as  Imposition
collaborating counsel, and there is no  Injustice, or
express agreement on the payment of his  Fraud
attorney’s fees, the said counsel will receive
attorney’s fees in proportion to the work  A lawyer should avoid controversies over fees
performed. with his client and should try to settle amicably
(Legal Ethics, Pineda 2009, p. 345-346) any differences on the subject. (Comments of
the IBP Committee that drafted the Code)

Compensation to an attorney for merely

recommending another lawyer is improper. This When proper, the lawyer can pursue judicial
practice if allowed and abetted, will commercialize actions to protect or collect attorney’s fees due
the legal profession for the recommending lawyers to him. He has two options:
will be acting like “agents” for others. (Legal Ethics,
Pineda 2009, p. 347) (a) In the same case: The lawyer may enforce
his attorney’s fees by filing an appropriate
motion or petition as an incident in the main
Rule 20.03 – A lawyer shall not accept any action where he rendered legal services.
compensation from anyone other than the client (b) In a separate civil action: The lawyer may

Legal Ethics | 40
 also enforce his attorney’s fees by filing an thereof unless prohibited by the client.
independent separate action for collection of
attorney’s fees. Rule 21.05 - A lawyer shall adopt such
(Legal Ethics, Pineda 2009, p. 351) measures as may be required to prevent those
whose services are utilized by him, from
disclosing or using confidences or secrets of the
There should never be an instance where a lawyer client.
gets as attorney’s fees the entire property in
litigation. It is unconscionable for the victor in
Rule 21.06 - A lawyer shall avoid indiscreet
litigation to lose everything he won to the fees of his
conversation about a client’s affairs even with
own lawyer. (Licudan vs. CA, G.R. No. 91958,
members of his family.
January 24, 1991)
Rule 21.07 - A lawyer shall not reveal that he
has been consulted about a particular case
except to avoid possible conflict of interest.

CANON 21

A LAWYER SHALL PRESERVE THE Confidence – refers to information protected by the

CONFIDENCE AND SECRETS OF HIS CLIENT attorney-client privilege under the Revised Rules of
EVEN AFTER THE ATTORNEY-CLIENT Court (Rule 130, Sec. 21(b)). (Comments of the
RELATION IS TERMINATED IBP Committee that drafted the Code)

Rule 21.01 - A lawyer shall not reveal the Secret – refers to the other information gained in the
confidences or secrets of his client except: professional relationship that the client has
requested to be held inviolate or the disclosure of
a) When authorized by the client after which would be embarrassing or would likely be
acquainting him of the consequences of the detrimental to the client. (Comments of the IBP
disclosure; Committee that drafted the Code)

b) When required by law;

Reason for the Canon: To encourage and inspire
c) When necessary to collect his fees or to clients to tell all about the facts of their cases. (Legal
defend himself, his employees or associates or Ethics, Pineda 2009, p. 357)
by judicial action.

Rule 21.02 - A lawyer shall not, to the Rule 21.01 – A lawyer shall not reveal the
disadvantage of his client, use information confidences and secrets of his client
acquired in the course of employment, nor shall
he use the same to his own advantage or that of
a third person, unless the client with full The lawyer is only excused from the duty of
knowledge of the circumstances consents preserving his client’s confidences and secrets
thereto. in these instances:

(a) When authorized by the client after

Rule 21.03 - A lawyer shall not, without the
acquainting him of the consequences of
written consent of his client, give information
disclosure
from his files to an outside agency seeking such
information for auditing, statistical, bookkeeping,
Note: If the client had authorized his lawyer
accounting, data processing, or any similar
after having been fully informed of the
purpose.
consequences to reveal his confidences or
secrets, there is a waiver on the part of the
Rule 21.04 - A lawyer may disclose the affairs of said client to invoke the attorney-client
a client of the firm to partners or associates privilege. This waiver is sufficient.

Legal Ethics | 41
 Exception: If the client with full knowledge of the
However, the waiver of the client is not circumstances consents to the use thereof.
sufficient if the witness to be examined in
regard to the privileged communication is Exception to the Exception: In matters of
the lawyer’s secretary, stenographer or clerk unprivileged information, the lawyer may be judicially
involving facts acquired in such capacity. In compelled to make a disclosure even if the client
such a situation, the consent of the attorney objects
is also required. (Rule 130, Sec. 24(b),
Revised Rules of Court)
Rule 21.03 – A lawyer shall not give information
(b) When required by law from his files

Note: When the law directs the lawyer to

reveal the confidences and secrets of the General Rule: A lawyer shall not give information
client, the law prevails. The privilege cannot from his files to an outside agency seeking
be utilized as a weapon to frustrate the information for auditing, statistical, bookkeeping,
administration of justice or the enforcement accounting, data processing or any similar purpose.
of the laws. (Legal Ethics, Pineda 2009, p.
358) Exception: If the client gives his written consent.

Reason: The lawyer cannot be

professionally consulted on the commission
of future crimes and frauds. Hence, he is not Rule 21.04 – A lawyer may disclose affairs of
estopped from making disclosures to proper client to partners
authorities.

However, information on crimes and frauds General Rule: If a client engaged a law firm as
already committed falls within the privilege counsel, and a lawyer of the firm is assigned to the
and the lawyer cannot reveal or be case, the lawyer may disclose the affairs of the client
compelled to reveal the confidences of the to the partners or associates.
client. (Legal Ethics, Pineda 2009, p. 360)

(c) When necessary to collect his fees or to Exception: The client has prohibited the lawyer from
defend himself, his employees or associates doing so.
or by judicial action
Note: In a law firm, partners or associates
Note: This exception is intended for the usually consult one another involving their
protection of the lawyer’s rights, his cases and some work as a team.
employees or associates – whose rights Consequently, it cannot be avoided that
cannot be suppressed by the use of the some information about the case received
privilege. The lawyer however is permitted from the client may be disclosed to the
only to make disclosures which are partners or associates. (Legal Ethics,
necessary for his action or defense and not Pineda 2009, p. 363)
go beyond which are necessary for his
action. (Legal Ethics, Pineda 2009, p. 360- Rule 21.05 – A lawyer shall adopt measures
361) against disclosures of client’s secrets

Rule 21.02 – A lawyer shall not use client’s

secrets without his consent To maintain the confidentiality of the client’s
confidences and secrets, the lawyer must adopt
measures as will prevent those working under him
General Rule: A lawyer, who acquired information from making disclosures or using said confidences
from a client in the course of his legal employment, and secrets. (Legal Ethics, Pineda 2009, p. 363)
is prohibited from making use of such information,
whether it is privileged or not. The lawyer is obliged to exercise care in selecting
and training his employees so that the sanctity of all

Legal Ethics | 42
confidences and secrets of his clients may be employment effectively;
preserved. (Comments of the IBP Committee that
drafted the Code) e) When the client deliberately fails to pay the
fees for the services or fails to comply with the
retainer agreement;

Rule 21.06 – A lawyer shall avoid indiscreet f) When the lawyer is elected or appointed to
conversation about client’s affairs public office; and

g) Other similar cases.

A lawyer must not only preserve the confidences
and secrets of his clients in his law office but also Rule 22.02 - A lawyer who withdraws or is
outside including his home. He should avoid discharged shall, subject to a retainer lien,
committing calculated indiscretion, that is, accidental immediately turn over all papers and property to
revelation of secrets obtained in his professional which the client is entitled, and shall cooperate
employment. (Legal Ethics, Pineda 2009, p 364) with his successor in the orderly transfer of the
matter, including all information necessary for
the proper handling of the matter.
Rule 21.07 – A lawyer shall not reveal his having
been consulted

General Rule: If a lawyer was consulted about a

Termination of attorney-client relationship
particular case, he should not reveal to others the
matter subject of consultation.
Code: W-D3-A-F-D-I-D-C
Exception: When lawyer will be placed in a situation
(1) Withdrawal of the lawyer under Rule 22.01
of representing of conflicting interests if he does not
disclose the consultation to the next person
Note: Notice of withdrawal without
consulting him on the same matter.
conformity of client is a mere scrap of paper.
The lawyer remains bound to the case of the
client. (Pioneer Insurance and Surety
Corp. vs. De Dios Transportation Co., Inc
and De Dios Marikina Transit Corp., G.R.
CANON 22
No. 147010, July 18, 2003)
A LAWYER SHALL WITHDRAW HIS
(2) Death of the lawyer, unless it is a law firm, in
SERVICES ONLY FOR GOOD CAUSE AND
which case, the other partners may continue
UPON NOTICE APPROPRIATE IN THE
with the case
CIRTUMSTANCES.
General Rule: A contract for legal services,
Rule 22.01 -A lawyer may withdraw his services
being personal, terminates upon the death
in any of the following cases:
of the lawyer.
a) When the client pursues an illegal or immoral
Exception: If the lawyer is a member of a
course of conduct in connection with the matter
law firm, the death of the attending attorney
he is handling;
will not terminate the relationship.
b) When the client insists that the lawyer pursue
Exception to the exception: When there is
conduct violative of these canons and rules;
understanding that the legal services were
to be rendered only by the said attorney.
c) When his inability to work with co-counsel will
not promote the best interest of the client;
Note: Dissolution of a law firm or a law
partnership does not terminate the relation
d) When the mental or physical condition of the
and obligations of the partners to the clients
lawyer renders it difficult for him to carry out the

Legal Ethics | 43
 who have previously engaged the Cases when a lawyer may withdraw from a case
partnership to represent them. (Legal he is handling
Ethics, Pineda 2009, p. 374-375)
(3) Death of the client (1) When the client pursues an illegal or
immoral course of conduct
Note: The relation of the attorney and the (2) When the client insists that the lawyer
client is terminated by the death of the client. pursue conduct violative of the canons and
In the absence of a retainer from the rules
personal representative of his deceased (3) When his inability to work with co-counsel
client, the attorney has, after the death of will not promote the best interest of the client
the latter, no further power or authority to (4) When the mental or physical condition of the
appear or take any further action on behalf lawyer renders it difficult for him to carry out
of the deceased. (Legal Ethics, Pineda the employment effectively
2009, p. 374) (5) When the client deliberately fails to pay the
fees for the services or fails to comply with
Note: The lawyer must report to the court the retainer agreement
the death of his client within 30 days. (Sec. (6) When the lawyer is elected or appointed to
16, Rule 3, Revised Rules of Court) public office; and
Failure to do so may merit disciplinary action. (7) Other similar cases.

(4) Discharge or dismissal of the lawyer by the Rule 22.02 – A lawyer who withdraws or is
client discharged shall immediately turn over all
papers and property of the client and cooperate
Note: While the right of the client to with his successor
terminate the relation is absolute, the right of
an attorney to withdraw or terminate the Duty of a discharged lawyer or one who
relation other than for sufficient cause, is withdraws
considerably restricted. (Legal Ethics,
Pineda 2009, p. 375) (1) Immediately turn over all papers and
property to which the client is entitled
(5) Appointment or election of a lawyer to a (2) Cooperate with the succeeding lawyer in the
government position which prohibits private orderly transfer of the case
practice of law
(6) Full termination of the case or cases Note: The turnover of all papers and property is
(7) Disbarment or suspension of the lawyer subject to the lawyer’s retainer lien.
from the practice of law
(8) Intervening incapacity or incompetency of  This rule applies only to retaining lien. It
the client during the pendency of the case cannot apply to a charging lien which arises
(9) Declaration of the presumptive death of the only after counsel shall have secured a
lawyer favorable money judgment for the client. The
(10)Conviction for a crime and imprisonment of rule contemplates of a lawyer who withdrew
the lawyer from the case or is discharged without
(Legal Ethics, Pineda 2009, p. 379-380) finishing the case. (Legal Ethics, Pineda
2009, p.382)

Note: It is the duty of the lawyer to inform the court

of the termination of the attorney-client relationship –
except only in nos. 2 and 6. Retaining Lien – is a passive lien and may not be
actively enforced. It amounts to a mere right to retain
the papers as against the client until the lawyer is
fully paid. (Legal Ethics, Pineda 2009, p. 382)
Rule 22.01 – Instances when a lawyer may
withdraw his services Charging Lien – this is the equitable right of the
attorney to have the fees due him for services in a
particular suit secured by the judgment or recovery

Legal Ethics | 44
in such suit. (Legal Ethics, Pineda 2009, p. 383) affairs of the Judiciary is of paramount concern. For
sure, public interest is at stake in the conduct and
actuations of officials and employees of the Judiciary.
[Chan v. Algeria (2010)]
C. SUSPENSION, DISBARMENT AND
DISCIPLINE OF LAWYERS (RULE 139-B, 4. It can proceed regardless of interest of the
RULES OF COURT) complainants , if the facts proven so warrant.
[Go v. Candoy, 21 SCRA 439]

NATURE AND CHARACTERISTICS OF 5. It is imprescriptible. Unlike ordinary

DISCIPLINARY ACTIONS AGAINST LAWYERS proceedings, it is not subject to the defense
a) Sui generis of prescription. The ordinary statutes of
b) Prescription limitations have no application to disbarment
proceedings. [Calo v. Degamo, 20 SCRA
Disciplinary Proceedings against Lawyers are 1162; Frias v. Bautista-Lozada, 489 SCRA
SUI GENERIS.— A disbarment proceeding is a 349; Heck v. Santos, 423 SCRA 329].
class by itself. It is sui generis. It has the following
characteristics: Note: An unexplained long delay in filing of
an administrative case creates suspicion in
1. It is neither a civil nor a criminal proceeding. the motives of complainant. Thus, in
It is not—and does not involve—a trial of an Salamanca v. Bautista, 8 SCRA 459 and
action or a suit, but is rather an investigation Valdez v. Valera, 81 SCRA 426, the delay,
by the Court in the conduct of its officers. among other factors, was favorably
Not being intended to inflict punishment, it is considered and respondents were
no sense a criminal prosecution. Accordingly, exonerated.
there is neither a plaintiff nor a prosecutor. x 6. It is conducted confidentially being
x x Public interest is its primary objective, confidential in nature until its final
and the real question for determination is determination (Rule 139-B, Sec. 18, Rules
whether or not the attorney is still a fit of Court)
person to be allowed the privileges as such.
[In Re: Almacen, supra] see also: In re: Note: The confidentiality of the proceedings
Montagne and Dominguez, 3 Phil 557; In is a privilege which MAY BE WAIVED by the
re: Laureta, 148 SCRA 422; Atty. De Vera lawyer in whom and for the protection of
v. Commissioner Ernesto Pineda, 213 whose personal and professional reputation.
SCRA 434; Cojuangco, Jr. v. Palma, 438 It is vested, as by presenting the testimony
SCRA 306. in a disbarment case or using it as
impeaching evidence in a civil suit. [Villalon,
2. Double jeopardy cannot be availed of in Jr. v. IAC, 144 SCRA 443]
disbarment proceedings against an attorney.
Disbarment does not partake of a criminal THREE-FOLD PURPOSE OF THE
proceeding. Thus a lawyer who was found CONFIDENTIALITY
guilty of falsification of public documents (1) To enable the court to make its investigation free
cannot put up the defense of double from any extraneous influence or interference
jeopardy in the disbarment proceeding filed
against him which is based on the same (2) To protect the personal and professional
facts as the criminal case [ De Jesus- reputation of attorneys from baseless charges of
Paras v. Vailoces, Adm. Case No. 439 disgruntled, vindictive, and irresponsible persons or
(1961)]. clients by prohibiting the publication of such charges
pending their final resolution [Albano v. Coloma, AC
No. (1967)]
3. It can be initiated motu proprio by the
Supreme Court or by the IBP. It can be (3) To deter the press from publishing the charges or
initiated without a complainant. proceedings based thereon for even a verbatim
reproduction of the complaint against an attorney in
The withdrawal of complaints CANNOT divest the a newspaper may be actionable.
Court of its jurisdiction… The Court’s interest in the

Legal Ethics | 45
 7. It is itself due process of law. [In re:
Montagne & Dominguez, 3 Phil. 557]

8. Whatever has been decided in a disbarment Grounds for Disbarment

case cannot be a source of right that may be Rule 138, Sec. 27, Revised Rules of Court
enforced in other action, like action for
reconveyance and damages. [Esquivias (1) Deceit - fraudulent and deceptive
v.CA, 272 SCRA 803] misrepresentation, artifice, or device used
by one or more persons to deceive and trick
another. There must be false representation
9. In pari delecto rule is not applicable. [Morfel as a matter of fact.
v. Aspiras, 100 Phil 586; Po Cham v. (2) Malpractice, or other gross misconduct in
Pizarr, 467 SCRA 1; Samaniego v. Ferrer, office.
555 SCRA 1]
Legal Malpractice - consists of failure of an attorney
10. Pendency of a criminal case does not pose to use such skill, prudence, and diligence as lawyers
a prejudicial question in disbarment cases. of ordinary skill and capacity commonly possess and
[Calo v. Degamo, A.C. No. 516 (1967)] exercise in the performance of tasks which they
undertake, and when such failure proximately
11. Monetary claims cannot be granted except causes damage, it gives rise to an action in tort [Tan
restitution and return of monies and Tek Beng v. David, AC No. 1261]
properties of the client given in the course of
the lawyer-client relationship. The Code of Professional Responsibility mandates
that a lawyer shall serve his client with competence
and diligence, shall not neglect a legal matter
It bears to stress that a case of suspension or entrusted to him, and his negligence in connection
disbarment is sui generis not meant to grant relief to therewith shall render him liable and in addition, to
a complainant in a civil case but is intended to keep the client informed of the status of his case. A
cleanse the ranks of the legal profession of its lawyer’s lethargy from the perspective of the Canons
undesirable members in order to protect the public is both unprofessional and unethical showing lack of
and the courts. [Itong v. Florenido, (2011)] diligence and inattention to his duties as a lawyer
and warrants disciplinary sanction. [Sps Arcing v.
Atty. Cefra (2013)]
OBJECTIVES OF SUSPENSION AND
DISBARMENT Gross Misconduct - any inexcusable, shameful, or
flagrant unlawful conduct on the part of the person
(1) To compel the attorney to deal fairly and concerned in the administration of justice which is
honestly with the court and his client, prejudicial to the rights of the parties or to the right
requiring him to be competent, honorable, determination of a cause, a conduct that is generally
and reliable; motivated by a predetermined, obstinate, or
(2) To remove from the profession a person intentional purpose [Yumol v. Ferrer Sr.(2005)]
whose misconduct has proven himself unfit
for the duties and responsibilities belonging (3) Grossly immoral conduct
to the office of an attorney; (4) Conviction of a crime involving moral
(3) To punish the lawyer; turpitude.
(4) To set an example or warning for the other
members of the bar; Note: There must be a conviction. Hence, the
(5) To safeguard the administration of justice mere existence of criminal charges against the
from dishonest and incompetent lawyers; lawyer cannot be a ground for his disbarment or
(6) To protect the public and the court from the suspension.
misbehavior of its officers.
(5) Violation of lawyer’s oath
Note: The purpose of disbarment is not meant as a (6) Willful disobedience of any lawful order of a
punishment to deprive an attorney of a means of superior court.
livelihood. [ Geeslin v. Navarro, A.C. No. 2033 (7) Corruptly or willfully appearing as an
(1990)] attorney for a party to case without an authority

Legal Ethics | 46
 to do so.
Note: The power to disbar is EXCLUSIVELY vested
Other Statutory Grounds in the Supreme Court.
(1) Acquisition of an interest in the subject
matter of the litigation, either through The IBP Board of Governors may, motu proprio or
purchase or assignment [Art 1491, New Civil upon referral by the Supreme Court or by a Chapter
Code] of Board of Officers, or at the instance of any person,
(2) Breach of professional duty, inexcusable initiate and prosecute charges against erring
negligence, or ignorance, or for the attorneys including those in the government service.
revelation of the client’s secrets [Art. 208, [Rule 139-B, Sec. 1, Rules of Court]
Revised Penal Code]
(3) Representing conflicting interests [Art. 209, All charges against Justices of the CA and the
Revised Penal Code] Sandiganbayan, and Judges of the Court of Appeals
and lower courts, even if lawyers are jointly charged
The statutory enumeration of the grounds for with them, shall be filed with the SC, and such
disbarment or suspension is not to be taken as a charges, if filed with the IBP, shall immediately be
limitation on the general power of courts to suspend forwarded to the SC for disposition and adjudication.
or disbar a lawyer. The inherent power of the court [Sec. 1,Supra. as amended in B.M. 1960]
over its officers cannot be restricted. [Quingwa v.
Puno (1967)] Complaints for disbarment may not lie against
impeachable officers of the government during their
tenure. They may only be removed from office by
Lawyer’s Misconduct in his Private Capacity impeachment for and conviction of certain offenses.
A lawyer may be disbarred for any misconduct, [Cuenco v. Fernan, 158 SCRA 29 (1988)]
whether in his professional or private capacity. Any
interested person or the court motu propio may Disbarment should not be decreed where any
initiate disciplinary proceedings. [Marcelo v. Javier, punishment less severe such as reprimand,
A.C. No. 3248, (1992)] suspension or fine would accomplish the end
desired. [Amaya v. Tecson, 450 SCRA 510]

Misconduct Before or Incident to Admission

The fact that he lacked any of the qualifications for Suspension and Disbarment of Lawyers Holding
membership in the bar as the time he took his oath Government Offices
is a ground for his disbarment [Lim v. Antonio,
(1971)] General Rule: A lawyer who holds a government
office MAY NOT be disciplined as a member of the
Misconduct Committed Outside Philippine Bar for misconduct in the discharge of his duties as
Jurisdiction a government official.
If he commits misconduct outside Philippine
jurisdiction, which is also a ground for disciplinary Exception: If the misconduct of the government
action under Philippine law, he may be suspended official is of such a character as to affect his
or disbarred in this country [Agpalo] qualification as a lawyer or to show moral
delinquency, then he may be disciplined as a
The judgment, resolution or order of the foreign member of the Bar upon such ground.
court or disciplinary agency shall be prima facie
evidence of the ground for disbarment or suspension Quantum of Proof; Applicability of Presumption
[Supreme Court Resolution dated 21 February of Innocence
1992 amending Sec 27, Rule 138, Revised Rules
of Court] The Court has consistently held that in suspension
or disbarment proceedings against lawyers, the
Officers Authorized to INVESTIGATE Disbarment lawyer enjoys the presumption of innocence, and the
Cases burden of proof rests upon the complainant. The
(1) Supreme Court evidence required in the suspension or disbarment
(2) IBP through its Commission on Bar Discipline or proceedings is preponderance of evidence. In case
authorized investigators the evidence of the parties are equally balanced, the
(3) Office of the Solicitor General equipoise doctrine mandates a decision in favor of

Legal Ethics | 47
the defendant. (Siao Aba et al v. Atty. De Guzman disbarred or suspended without need of a trial-type
Jr et al (2011)) proceeding. [Prudential Bank v. Castro, (1986)]

AVAILABLE DEFENSES
The purpose and nature of disbarment proceedings
make the number of defenses available in civil and
PROCEEDINGS criminal cases INAPPLICABLE in disciplinary
PROCEDURE FOR SUSPENSION OR proceedings. The Statute of Limitations is NOT a
DISBARMENT OF ATTORNEYS BY THE defense therein.
IBP PROCEDURE FOR SUSPENSION OR
DISBARMENT OF ATTORNEYS (RULE
139-B) BY THE SUPREME COURT MOTU
PROPIO
PRESCRIPTION
The two year prescriptive period for initiating a
Suspensi By division – one year or less suspension or disbarment proceeding against a
on lawyer should be construed to mean two years from
En banc – more than one date of discovery of the professional misconduct
year [Isenhardt v. Atty. Real, (2012)]

Fine Division – P10,000 or less CIVIL LIABILITY

(1) Client is prejudiced by lawyer’s negligence and
En banc – more than P10,000 misconduct.
(2) Breach of fiduciary obligation
Suspensi En banc - If suspension (3) Civil liability to third persons
on and exceeds 1 year OR fine (4) Libelous words in pleadings; violation of
Fine exceeds P10,000 communication privilege
(5) Liability for costs of suit (treble costs) – when
lawyer is made liable for insisting on client’s patently
unmeritorious case or interposing appeal merely to
delay litigation

CRIMINAL LIABILITY
In case of two or more suspensions: Service will be (1) Prejudicing client through malicious breach of
successive, not simultaneous professional duty
(2) Revealing client secrets
An investigating judge cannot dismiss a case. The (3) Representing adverse interests
investigating judge’s authority is only to investigate, (4) Introducing false evidence
make a report and recommendation on the case to (5) Misappropriating client’s funds (estafa)
be submitted to the SC for final determination (6) Libel except if statements are connected with the
[Garciano v. Sebastian (1994)] relevant, pertinent, and material to the cause in
hand or the subject of the inquiry
APPLICATION OF THE DOCTRINE OF RES IPSA CONTEMPT OF COURT
LOQUITOR It is exercised on preservative and not on vindictive
This principle applies to both judges and lawyers. principles and on corrective rather than the
Judges had been dismissed form the service without retaliatory idea of punishment. It is criminal in nature.
the need of a formal investigation because based on The power to punish for contempt is inherent in all
the records, the gross misconduct or inefficacy of the courts. It is essential in the observance of order in
judges clearly appears [Uy v. Mercado (1987)] judicial proceedings and to enforce judgment, orders
and writs..
The same principle applies to lawyers… when it
appears that the lawyer conducted himself in a ACTS OF A LAWYER CONSTITUTING
manner which exhibits his blatant disrespect to the CONTEMPT
court, or his want of good moral character… may be (1) Misbehavior as officer of court

Legal Ethics | 48
(2) Disobedience or resistance to court order practice law under specified conditions.
(3) Abuse or interference with judicial proceedings
(4) Obstruction in administration of justice
(5) Misleading courts MODIFYING CIRCUMSTANCES
(6) Making false allegations, criticisms, insults, veiled Extent of disciplinary action depends on attendance
threats against the courts of mitigating or aggravating circumstance.
(7) Aiding in unauthorized practice of law
(suspended or disbarred) (1) The presence of mitigating circumstances may
(8) Unlawful retention of client’s funds justify suspension instead of disbarment, and
(9) Advise client to commit contemptuous acts censure or reprimand instead of suspension.
(2) Inverse rule applies where aggravating
POWER TO DISCIPLINE LAWYERS; circumstances are present.
SUSPENSION OF ATTORNEY BY THE COURT
OF APPEALS OR A REGIONAL TRIAL COURT. MITIGATING CIRCUMSTANCES
The Court of Appeals or Regional Trial Court may
suspend an attorney from practice for any of the (1) Absence of a prior disciplinary record
causes named in Rule 138, Section 27 until further (2) Absence of a dishonest or selfish motive;
action of the Supreme Court in the case. (3) Personal or emotional problems;
4) Timely good faith effort to make restitution or to
rectify consequences of misconduct;
FORMS OF DISCIPLINARY MEASURES (5) Full and free disclosure to disciplinary board or
cooperative attitude toward proceedings;
(1) Warning – an act or fact of putting one on his (6) Inexperience in the practice of law;
guard against an impending danger, evil (7) Character or reputation;
consequences or penalties. (8) Physical or mental disability or impairment;
(2) Admonition – a gentle or friendly reproof, mild (9) Delay in disciplinary proceedings;
rebuke, warning or reminder, counseling, on a (10) Interim rehabilitation;
fault, error or oversight; an expression of (11) Imposition of other penalties or sanctions;
authoritative advice. (12) Remorse;
(3) Reprimand – a public and formal censure or (13) Remoteness of prior offenses. (IBP Guidelines
severe reproof, administered to a person in fault 9.32)
by his superior officer or a body to which he (14) Others:
belongs. It is imposed on a minor infraction of the (a) Good Faith;
lawyer’s duty to the court or client (b) Want of intention to commit a wrong;
(4) Suspension – a temporary withholding of a (c) Lack of material damage to the
lawyer’s right to practice his profession as a complaining witness;
lawyer for a certain period or for an indefinite (d) Desistance of complainant;
period of time. (e) Error in judgment;
(a) Definite (f) Honest and efficient service in various
(b) Indefinite – qualified disbarment; lawyer government positions;
determines for himself for how long or how short (g) Ready admission of the infraction
his suspension shall last by proving to court that coupled with explanation and plea for
he is once again fit to resume practice of law. forgiveness;
(5) Censure – official reprimand. (h) Clean record of professional service in
(6) Disbarment – the act of the Philippine Supreme the past;
Court in withdrawing from an attorney the (i) Rendered professional services out of
privilege to practice law. The name of the lawyer pure generosity;
is stricken out from the roll of attorneys. (j) Punished in another capacity for a
(7) Interim Suspension – the temporary suspension misconduct for which he now faces a
of a lawyer from the practice of law pending disbarment proceeding;
imposition of final discipline. It includes: (k) Old Age & long membership (may also
(a) Suspension upon conviction of a serious crime. be an aggravation depending on the
(b) Suspension when the lawyer’s continuing circumstance);
conduct is likely to cause immediate and serious
injury to a client or public.
(8) Probation – a sanction that allows a lawyer to AGGRAVATING CIRCUMSTANCES

Legal Ethics | 49
(1) Prior disciplinary offenses; of a conditional pardon, there will be a remission
(2) Dishonest or selfish motive; of unexpired period of sentence.
(3) A pattern of misconduct;
(4) Multiple offenses;
(5) Bad faith obstruction of the disciplinary EFFECT OF SUSPENSION OR DISBARMENT
proceeding by intentionally failing to comply with
rules or orders of the disciplinary agency; (1) Cannot practice law without being held liable for
(6) Submission of false evidence, false statements, contempt of court
or other deceptive practices during the (2) Disbarred for violation of the suspension order
disciplinary process; (3) If holding a government office which requires
(7) Refusal to acknowledge wrongful nature of membership in the bar, dismissal from such office
conduct; but this rule does not apply to impeachable
(8) Vulnerability of victim; officials
(9) Substantial experience in the practice of law;
(10) Indifference to making restitution. (IBP However, the suspended or disbarred lawyer may
Guidelines 9.22) appear as counsel for himself, the same not being
(11) Others: practice of law but the exercise of a right.
(a) Abuse of authority or of attorney-client
relationship; A judgment of suspension or disbarment is always
b) Sexual intercourse with a relative; subject to change or modification by the court.
(c) Making the institution of marriage a
mockery;
(d) Charge of gross immorality; EFFECT OF DESISTANCE OF COMPLAINANT
(e) Previous punishment as member of the
bar; The desistance of complaint or his withdrawal of the
(f) Defraud upon the government; charges against a lawyer does not deprive the court
(g) Use of knowledge or information, of the authority to proceed to determine the matter.
acquired in the course of a previous Nor does it necessarily result in the dismissal of the
professional employment, against a former client. complainant , except when, as consequence of
withdrawal or desistance, no evidence is adduced to
prove the charges. [Bolivar v. Simbal, 16 SCRA
623 (1966); Mortel v. Aspiras, 100 Phil 586 (1956);
National Mines & Allied Workers Union v. Real,
101 SCRA 609 (1980); Banaag v. Salindong, 127
EFFECT OF EXECUTIVE PARDON SCRA 476 (1984)]

(1) Conditional – The disbarment case will not be

dismissed on the basis thereof.
(2) Absolute, before conviction – The disbarment
case will be dismissed. Absolute pardon by the
President may wipe out conviction as well as EFFECTS OF COMPROMISE AGREEMENTS
offense itself and the grant thereof in favor of a
lawyer is a bar to a proceeding for disbarment Dismissal of the administrative case is not warranted
against him based solely on commission of such despite a compromise agreement or of the fact that
offense. a complainant forgave a respondent lawyer.
(a) The reason is that the respondent
lawyer, after the absolute pardon, is
as guiltless and innocent as if he Rationale:
never committed the offense at all.
(3) Absolute, after conviction – If absolute pardon is (1) The Court’s disciplinary authority is not
given to lawyer after being disbarred for dependent on or cannot be frustrated by the
conviction of a crime, it does not automatically private arrangements entered into by the parties;
entitle him to reinstatement to the bar. It must be otherwise, the prompt and fair administration of
shown by evidence aside from absolute pardon justice, as well as the discipline of court
that he is now a person of good moral character personnel, will be undermined.
and fit and proper person to practice law. In case

Legal Ethics | 50
(2) Public interest is at stake in the conduct and made toward the rehabilitation of his character has
actuations of the officials and employees of the been successful. [In re Rusiana,(1974)]
Judiciary.
(3) The Court’s interest in the affairs of the Judiciary In order that there is reinstatement, the following
is a paramount concern that bows to no limits. must be taken into consideration:
[Benigno Reas v. Carlos Relacion, (2011)] (1) The applicant’s character and
standing prior to disbarment;
(2) The nature or character of the
EFFECT OF DEATH OF LAWYER DURING misconduct for which he is disbarred;
PENDENCY OF DISCIPLINARY ACTION (3) His conduct subsequent to
AGAINST HIM disbarment [Cui v. Cui, 1964]
(1) Action rendered moot and academic. (4) His efficient government service [In
(2) Court may still resolve the case on its merit in Re: Adriatico,(1910)]
order to clear publicly the name of the lawyer. (5) The time that has elapsed between
disbarment and the application for
reinstatement and the
circumstances that he has been
DISCIPLINE OF FILIPINO LAWYERS PRACTICE sufficiently punished and disciplined
IN FOREIGN JURISDICTIONS [Prudential Bank v. Benjamin Grecia,
(1986)]
The rule is that a Philippine lawyer may practice law (6) Applicant’s appreciation of
only in the country. He may, however, be admitted to significance of his dereliction and
the bar in a foreign country, where he practices law his assurance that he now
in both countries. If he commits a misconduct possesses the requisite probity and
outside Philippine jurisdiction, which is also a ground integrity;
for disciplinary action under Philippine law, he may (7) Favorable endorsement of the IBP
be suspended or disbarred in this country. and local government officials and
citizens of his community, pleas of
The disbarment or suspension of a member of the his loved ones [Yap Tan v.
Philippine Bar by a competent court or other Sabandal, 1989]
disciplinary agency in a foreign jurisdiction where he
has also been admitted as an attorney is a ground LAWYERS WHO HAVE BEEN SUSPENDED
for his disbarment or suspension if the basis of such GUIDELINES FOR LIFTING THE ORDER OF
action includes any of the acts provided for in Sec. SUSPENSION
27, Rule 138 of the Revised Rules of Court, as xxx
amended.[ In Re: Suspension from the Practice (3) Upon expiration of the period of
of Law in the Territory of Guam of Atty. Leon G. suspension, respondent shall file a
Maquera, 435 SCRA 417] Sworn Statement with the Court,
through the Office of the Bar
Confidant, stating therein that he or
she has desisted from the practice of
law and has not appeared in any
court during the period of his or her
suspension;
(4) Copies of the Sworn Statement shall
be furnished to the Local Chapter of
the IBP and to the Executive Judge
D. READMISSION TO THE BAR of the courts where the respondent
has pending cases handled by him or
READMISSION TO THE BAR her, and/or where he or she has
It is the restoration in disbarment proceedings to a appeared as counsel;
disbarred lawyer the privilege to practice law. (5) The Sworn Statement shall be
considered as proof of respondent’s
The sole object of the court is to determine whether compliance with the order of
or not the applicant has satisfied and convinced the suspension. xxx [Maniago v. De Dios,
court by positive evidence that the effort he has (2010)]

Legal Ethics | 51
LAWYERS WHO HAVE BEEN DISBARRED (2) Maintain the ethics of the profession
Guidelines in resolving requests for judicial (3) Enhance the standards of the practice of law
clemency of disbarred laywers (Rule 1, Section 1)

(1) There must be proof of remorse and

reformation. These include
testimonials of credible institutions
and personalities.
(2) Sufficient time must have lapsed REQUIREMENTS OF COMPLETION OF THE
from the imposition of the penalty to MCLE
ensure a period of reformation.
(3) The age of the person asking for Members of the IBP not exempt under Rule 7 shall
clemency must show that he still complete every three (3) years at least thirty-six (36)
has productive years ahead of him hours of continuing legal education activities
that can be put to good use by approved by the MCLE Committee. The 36 hours
giving him a chance to redeem shall be allocated according to the following:
himself.
(4) There must be a showing of promise Subject Number of Hours
(intellectual aptitude, contribution to Legal Ethics At least six
legal scholarship, etc), and potential (6) hours
for public service. Trial and Pretrial Skills At least four (4)
(5) Other relevant factors to justify hours
clemency. [Re: Letter of Judge Diaz Alternative Dispute At least five (5)
(2007)] Resolution hours
Updates on At least nine (9)
Note: A previously disbarred lawyer who is given Substantive and hours
absolute pardon by the President is not Procedural Law, and
automatically reinstated, he must still file a petition Jurisprudence
for reinstatement with the SC. Legal Writing and Oral At least four (4)
Advocacy hours
LAWYERS WHO HAVE BEEN REPATRIATED International Law and At least two (2)
Lawyers who reacquire their Philippine citizenship International hours
should apply to the SC for license or permit to Conventions
practice their profession. [Sec. 5(4), RA 9225] Such subjects as may Six (6) hours
be prescribed by the
EFFECTS OF REINSTATEMENT MCLE Committee
(1) Recognition of moral rehabilitation and
mental fitness to practice law;
(2) Lawyer shall be subject to same law, rules
and regulations as those applicable to any COMPLIANCE
other lawyer;
(3) Lawyer must comply with the conditions Initial Compliance Period
imposed on his readmission.
The initial compliance period shall begin not later
E. MANDATORY CONTINUING LEGAL than three (3) months from the adoption of Bar
EDUCATION Matter 850. Except for the initial compliance period
for members admitted or readmitted after the
establishment of the program, all compliance
PURPOSE periods shall be for thirty-six (36) months and shall
begin the day after the end of the previous
Purpose of the MCLE compliance period. (Rule 3, Section 1)
Continuing legal education is required to ensure that,
throughout their career, members of the Integrated Compliance Groups
Bar will:

(1) Keep abreast with law and jurisprudence

Legal Ethics | 52
Members of the IBP not exempt from the MCLE The following are exempted from the MCLE:
requirement shall be divided into three (3)
compliance groups, namely: (1) The President and the Vice President of the
Philippines, and the Secretaries and
(a) Compliance Group 1. - Members in the Undersecretaries of Executive Departments;
National Capital Region (NCR) or Metro (2) Senators and Members of the House of
Manila are assigned to Compliance Group 1. Representatives;
(3) The Chief Justice and Associate Justices of
(b) Compliance Group 2. - Members in Luzon the Supreme Court, incumbent and retired
outside NCR are assigned to Compliance members of the judiciary, incumbent of the
Group 2. Judicial and Bar Council and incumbent
court lawyers covered by the Philippine
(c) Compliance Group 3. - Members in Visayas Judicial Academy program of continuing
and Mindanao are assigned to Compliance judicial education;
Group 3. (4) The Chief State Counsel, Chief State
Nevertheless, members may participate in any legal Prosecutor and Assistant Secretaries of the
education activity wherever it may be available to Department of Justice;
earn credit unit toward compliance with the MCLE (5) The Solicitor General and the Assistant
requirement. (Rule 3, Section 2) Solicitors General;
(6) The Government Corporate Counsel,
Compliance Period of Members Admitted or Deputy and Assistant Government
Readmitted after Establishment of the Program Corporate Counsel;
(7) The Chairmen and Members of the
Members admitted or readmitted to the Bar after the Constitutional Commissions;
establishment of the program shall be assigned to (8) The Ombudsman, the Overall Deputy
the appropriate Compliance Group based on their Ombudsman, the Deputy Ombudsman and
Chapter membership on the date of admission or the Special Prosecutor of the Office of the
readmission. Ombudsman;
(9) Heads of government agencies exercising
The initial compliance period after admission or quasi-judicial functions;
readmission shall begin on the first day of the month (10) Incumbent deans, bar reviewers and
of admission or readmission and shall end on the professors of law who have teaching
same day as that of all other members in the same experience for at least ten (10) years in
Compliance Group. accredited law schools;
(11) The Chancellor, Vice-Chancellor and
(a) Where four (4) months or less remain of the members of the Corps of Professors and
initial compliance period after admission or Professional Lecturers of the Philippine
readmission, the member is not required to Judicial Academy; and
comply with the program requirement for the (12) Governors and Mayors. (B.M. No. 850, rule
initial compliance. VII, sec. 1)

(b) Where more than four (4) months remain of Others

the initial compliance period after admission or
readmission, the member shall be required to  The following Members of the Bar are
complete a number of hours of approved likewise exempt:
continuing legal education activities equal to the
number of months remaining in the compliance (a) Those who are not in law practice, private or
period in which the member is admitted or public.
readmitted. Such member shall be required to
complete a number of hours of education in (b) Those who have retired from law practice with
legal ethics in proportion to the number of approval of the IBP Board of Governors. (Rule 7,
months remaining in the compliance period. Section 2)
Fractions of hours shall be rounded up to the
next whole number. (Rule 3, Section 3)
GOOD CAUSE FOR EXEMPTION FROM OR
EXEMPTIONS MODIFICATION OF REQUIREMENT

Legal Ethics | 53
A member may file a verified request setting forth (1) Due to the diminishing interest of the
good cause for exemption (such as physical members of the Bar in the MCLE requirement
disability, illness, post graduate study abroad, program as noted in the Letter of Justice
proven expertise in law, etc.) from compliance with Eduardo Nachura, the Court resolved, upon the
or modification of any of the requirements, including recommendation of the Committee on Legal
an extension of time for compliance, in accordance Education and Bar Matters, to REQUIRE
with a procedure to be established by the MCLE practicing members of the bar to INDICATE in
Committee. (Rule 7, Section 3) all pleadings filed before the courts of quasi-
judicial bodies, the number and date of issue of
their MCLE Certificate of Compliance or
CHANGE OF STATUS Certificate of Exemption, as may be applicable,
for the immediately preceding compliance period.
The compliance period shall begin on the first day of
the month in which a member ceases to be exempt (2) Failure to disclose the required
under Sections 1, 2, or 3 of this Rule and shall end information would cause the dismissal of the
on the same day as that of all other members in the case and the
same Compliance Group. (Rule 7, Section 4) expunction of the pleadings from the records.

PROOF OF EXEMPTION

Applications for exemption from or modification of MANDATORY LEGAL AID SERVICE (Bar Matter
the MCLE requirement shall be under oath and 2012)
supported by documents. (Rule 7, Section 5)
PURPOSE
This Rule seeks to enhance the duty of lawyers to
SANCTIONS society as agents of social change and to the
courts as officers thereof by helping improve
NON-COMPLIANCE FEE access to justice by the less privileged members of
A member who, for whatever reason, is in non- society and expedite the resolution of cases
compliance at the end of the compliance period shall involving them. Mandatory free legal service by
pay a non-compliance fee. (Rule 13, Section 1) members of the bar and their active support thereof
will aid the efficient and effective administration of
LISTING AS DELINQUENT MEMBER justice especially in cases involving indigent and
A member who fails to comply with the requirements pauper litigants. (Sec. 2)
after the sixty (60) day period for compliance has
expired, shall be listed as a delinquent member of
the IBP upon the recommendation of the MCLE SCOPE
Committee. All practicing lawyers are required to render a
minimum of sixty (60) hours of free legal aid
The investigation of a member for non-compliance services to indigent litigants in a year. Said 60
shall be conducted by the IBP's Commission on Bar hours shall be spread within a period of twelve (12)
Discipline as a fact-finding arm of the MCLE months, with a minimum of five (5) hours of free
Committee. (Rule 13, Section 2) legal aid services each month. However, where it is
necessary for the practicing lawyer to render legal
ACCRUAL OF MEMBERSHIP FEE AGAINST A aid service for more than five (5) hours in one
DELINQUENT MEMBER month, the excess hours may be credited to the
Membership fees shall continue to accrue at the said lawyer for the succeeding periods. Clerks of
active rate against a member during the period Court and the IBP Legal Aid Chairperson of the IBP
he/she is listed as a delinquent member. (Section 3) Chapter are designated to coordinate with a lawyer
for cases where he may render free legal aid
Note: Bar Matter No. 1922 - Re: Recommendation service.
of the Mandatory Continuing Legal Education
(MCLE) Board to Indicate in All Pleadings Filed with The following lawyers are excluded in the term
the Courts the Counsel's MCLE Certificate of “practicing lawyer”:
Compliance or Certificate of Exemption.

Legal Ethics | 54
 1. Government employees and incumbent
elective officials not allowed by law to Notary Public or a notary – is any person
practice; commissioned to perform official acts of:
2. Lawyers who by law are not allowed to
appear in court; (1) Acknowledgements;
3. Supervising lawyers of students enrolled in (2) Oaths and affirmations;
law student practice in duly accredited legal (3) Jurats;
clinics of law schools and lawyers of non- (4) Signature witnessing;
governmental organizations (NGOs) and (5) Copy certifications; and
peoples organizations (POs) like the Free (6) Any other act authorizes in the rules
Legal Assistance Group who by the nature
of their work already render free legal aid to Purpose:
indigent and pauper litigants and  To verify the personal appearance of affiant
4. Lawyers not covered under subparagraphs and the genuineness of signature.
(1) to (3) including those who are employed  To authenticate document and verify due
in the private sector but do not appear for execution, making document admissible in
and in behalf of parties in courts of law and evidence without proof of authenticity.
quasi-judicial agencies.
Notarization is not an empty, meaningless, routinary
Note: Indigent and pauper litigants are those act. It is invested with substantive public interest,
whose gross income and that of their immediate such that only those who are qualified or authorized
family do not exceed an amount double the may act as notaries public. A notarial document is by
monthly minimum wage of an employee and law entitled to full faith and credit upon its face.
those who not own any real property. They are Courts, administrative agencies and the public at
exempt from payment of docket fees and lawful large must be able to rely upon the
fees as well as transcripts of stenographic notes. acknowledgement executed by a notary public.
[Baylon v. Almo, (2008)]

PENALTIES
A penalty of Php 4,000 shall be imposed on the QUALIFICATIONS OF A NOTARY PUBLIC
lawyer who fails to meet the required minimum A notary public:
number of hours of legal aid service each year
required by the IBP without satisfactory explanation. (a) Must be a citizen of the Philippines;
The lawyer shall have a “not in good standing” (b) Over 21 years of age;
status and shall not be allowed to appear in court or (c) A resident in the Philippines for at least one
any quasi-judicial body as counsel for a period of 3 (1) year and maintains a regular place of
months. A lawyer who fails to comply with the duties work or business in the city or province
in the Rule for at least 3 consecutive years shall be where the commission is to be issued;
subject to disciplinary proceedings and may be (d) Member of the Philippines Bar (in good
suspended from the practice of law for 1 year. standing, with clearances from the Office of
the Bar Confidant of the SC and the IBP);
Note: "Not in good standing" status shall subsist and
even after the lapse of the three-month period until (e) Must not have been convicted in the first
and unless the penalty shall have been paid. instance of any crime involving moral
turpitude. (A.M. No. 02-8-13-SC, Rule III,
sec. 1)

Note: When there are no persons with the

necessary qualifications OR where there are
qualified persons but they refuse appointment, a
notary public does NOT have to be a lawyer.

The following persons may be appointed as

F. NOTARIAL PRACTICE (A.M. No. 02-8-13- notaries:
SC, as amended) (1) Those who have passed the studies of law
in a reputable university

Legal Ethics | 55
 (2) A clerk or deputy clerk of court for a period witnesses) and undersigned notary
of not less than two years public”; and
(4) The notary public notarizes the
But the rules now require that notaries must be signature by thumb or other mark
members of the Philippine Bar. Hence the through an acknowledgement, jurat, or
Supreme Court, upon the recommendation of signature witnessing
the Sub-Committee on Revision of Rules
Governing Notaries Public, no longer approves (c) Authorized to sign on behalf of a person
requests from non-lawyers for appointment as who is physically unable to sign or make a
notaries. [Tirol, Desk-Book for Philippine mark on an instrument or document if:
Notaries (2014)]
(1) The notary public is directed by the
Term of office of a Notary Public person unable to sign or make a mark to
sign on his behalf;
A notarial commission is granted by an executive (2) The signature of the notary public is
judge after petition of the lawyer, and is good for two affixed in the presence of two
years commencing on the 1st day of January of the disinterested and unaffected witnesses to
year in which the commission is made UNLESS the instrument or document;
earlier revoked or the notary public has resigned (3) Both witnesses sign their own names;
according to these Rules and the Rules of Court. (4) The notary public writes below his
[Rule III, Sec. 11] signature: “Signature affixed by notary in
presence of (names and addresses of person
POWERS AND LIMITATIONS and two (2) witnesses)” ; and
(5) The notary public notarizes his
Authority of a Notary signature by acknowledgement or jurat.

What can be notarized: A notary can notarize PROHIBITIONS

any document, upon request of affiant.
Aside from the prohibition that a notary public
Sec. 1. Powers. – A notary public is shall not perform a notarial act outside his regular
place of work or business, the following shall also
(a) Empowered to perform the following prohibit the notary public from performing a
material acts: notarial act if the person involved as signatory to
the instrument or document:
(1) Acknowledgments;
(2) Oaths and affirmations; (1) Is not in his presence personally at the
(3) Jurats; time of the notarization; and
(4) Signature witnessings; (2) In not personally known to him or
(5) Copy certifications; and otherwise identified by the notary public
(6) Any other act authorized by these rules through competent evidence of identity
as defined by the Rules. [Rule II, Sec. 2
(b) Authorized to certify the affixing of a ([b)]
signature by thumb or mark on an
instrument or document presented for IRREGULARITY IN PERSON
notarization if: Disqualifications

(1) The thumb or other mark is affixed in the (1) If notary is personally a party to the
presence of the notary public and two instrument [Villarin v Sabate, AC No. 3224,
(2) disinterested and unaffected Feb. 2000]
witnesses to the instrument or (2) If he will receive as an indirect and direct
document; result any commission, fee, advantage, right,
(2) Both witnesses sign their own names in title, interest, cash, property, or other
addition of the thumb or other mark; consideration in excess of what is provided in
(3) The notary public writes below the thumb these rules
or other mark: “Thumb or Other Mark (3) If notary is a spouse, common-law partner,
affixed by (name and addresses of ancestor, descendant, or relative by affinity or

Legal Ethics | 56
 consanguinity of the principal up to the fourth execution and of the date of said execution,
degree [Rule IV, Sec. 3] but not of the truthfulness of the statements

Reason: The law assumes that the act which the

Citing Albano v. Mun. Judge Gapusan, A.M. No. officer witnessed and certified to or the date
1022-MJ, (1976), the Court ruled that a notary written by him is not shown to be false since
public should not facilitate the disintegration of notaries are public officers
marriage and the family by encouraging the
separation of the spouses and extrajudicially PUNISHABLE ACTS
dissolving the conjugal partnership through the
notarization of a “Kasunduan Ng Paghihiwalay.” The Executive Judge shall cause the prosecution
[Espinosa v. Omaña (2011)] of any person who:

(1) Knowingly acts or otherwise impersonates a

MANDATORY REFUSAL TO NOTARIZE notary public
(2) Knowingly obtains, conceals, defaces, or
(1) If the transaction is unlawful or immoral destroys the seal, notary register, or official
(2) If the signatory shows signs that he does not records of a notary public
understand consequences of the act, per the (3) Knowingly solicits, coerces, or in any way
notary’s judgment influences a notary public to commit official
(3) If the signatory appears not to act of his own misconduct [Rule XII, Sec. 1]
free will, per the notary’s judgment
(4) If the document or instrument to be notarized
is considered as an improper document by By respondent’s reckless act of notarizing the
these Rules Deed of Absolute Sale without ascertaining the
vendors signatories thereto were the very same
Note: Improper Instrument/Document is a blank persons who executed it and personally
or incomplete instrument or document without appeared before him to attest to the contents and
appropriate notarial certification [Rule IV, Sec. 6] the truth of what were stated therein. [Aquino v.
Manese (2003)]

EFFECTS OF NOTARIZATION Respondent notarized the Special Power of

Attorney, purportedly bearing the signature of
(1) The notary in effect proclaims to the Benitez, on Jan. 4, 2001 or more than two
world: months after the latter’s death. Clearly, the
respondent lied and intentionally perpetuated an
(a) That all parties therein personally untruthful statement. [Sicat v Ariola (2005)]
appeared before him
(b) That they are personally known to Respondent antedated a document in order to
him exculpate someone from being convicted of the
(c) That they are the same persons who Anti-Dummy Law, which is a violation of Rule
executed the instrument 1.01 of Canon 1 of the Code of Professional
(d) That he inquired into the Responsibility as well as the 2004 Rules on
voluntariness of the execution of the Notarial Practice. [Mondejar v. Rubia (2006)]
instrument; and
(e) That they acknowledged personally
before him that they voluntarily and NOTARIAL REGISTER
freely executed the same
 Notarial Register – A chronological official
(2) Converts a private document into a public notarial register of notarial acts consisting of
one and renders it admissible in court a permanently bound book with numbered
without further proof of its authenticity pages. There must only be one active
register at any given time.
(3) Documents enjoy a presumption of
regularity. It constitutes prima facie  Entries in the Notarial Register
evidence of facts which give rise to their

Legal Ethics | 57
 (1) For every notarial act, the notary shall exchange or promissory note, the notary
record in the notarial register at the time public shall
of notarization the following: (a) Make a full and true record of all
proceedings in relation thereto and
(a) Entry number and page number; (b) Shall note therein whether the demand for
(b) Date and time of day of the notarial act; the sum of money was made, by whom,
(c) Type of notarial act; the title or when, and where, whether he presented
description of the instrument, document such draft, bill or not, whether notices
or proceeding; were given, to whom and in what manner;
(d) The name and address of each principal; where the same was made, when and to
(e) The competent evidence of identity as whom and where directed; and of every
defined by these Rules if the signatory is other fact touching the same.
not personally known to the notary;
(f) The name and address of each credible (6) At the end of each week, the notary public
witness swearing to or affirming the shall certify in his notarial register the number
person's identity; of instruments or documents executed,
(g) The fee charged for the notarial act; sworn to, acknowledged, or protested before
(h) The address where the notarization was him; or if none, this certificate shall show this
performed if not in the notary's regular fact.
place of work or business; and
(i) Any other circumstance the notary public (7) A certified copy of each month's entries and a
may deem of significance or relevance. duplicate original copy of any instrument
acknowledged before the notary public shall,
(2) Circumstances of any request to inspect or within the first ten (10) days of the month
copy an entry in the notarial register, including following, be forwarded to the Clerk of Court
and shall be under the responsibility of such
(a) The requester's name, officer. If there is no entry to certify for the
(b) Address month, the notary shall forward a statement to
(c) Signature this effect in lieu of certified copies herein
(d) Thumb mark or other recognized identifier, required.
and
(e) Evidence of identity. Official signature – signed by hand, not by
facsimile stamp or printing device, and at the time
The reasons for refusal to allow inspection or of the notarization
copying of a journal entry shall also be recorded.
Official seal – two-inch diameter seal with the
(3) When the instrument or document is a words “Philippines”, attorney’s name at the
contract, the notary public shall keep an margin and the roll of attorney’s number.
original copy thereof as part of his records
and enter in said records a brief description For vendors, the sale of the seal may only be
of the substance thereof and shall give to upon judicial authority, for a period of 4 years.
each entry a consecutive number, beginning
with number one in each calendar year. He
shall also retain a duplicate original copy for For buyers, a certified copy of the commission is
the Clerk of Court. necessary for purchase. One seal per certificate.

(4) The notary public shall give to each The act of a lawyer notarizing a Special Power of
instrument or document executed, sworn to, Attorney knowing that the person who allegedly
or acknowledged before him a number executed it is dead is a serious breach of the
corresponding to the one in his register, and sacred obligation imposed upon him by the Code
shall also state on the instrument or of Professional Responsibility, specifically Rule
document the page/s of his register on which 1.01 of Canon 1. [Sicat v. Arriola, (2005)]
the same is recorded. No blank line shall be
left between entries. A lawyer is guilty of misconduct in the
performance of his duties if he fails to register in
(5) In case of a protest of any draft, bill of his notarial register the affidavits-complaints

Legal Ethics | 58
which were filed in an administrative case before An Executive Judge may revoke the commission
the Civil Service Commission. [Aquino v. of, or impose appropriate administrative
Pascua, (2007) sanctions upon, any notary public who:

(1) fails to keep a notarial register;

(2) fails to make the proper entry or entries in
JURISDICTION OF NOTARY PUBLIC AND his notarial register concerning his notarial
PLACE OF NOTARIZATION (Rule IV, Sec. 11) acts;
(3) fails to send the copy of the entries to the
General Rule: A notary public may perform Executive Judge within the first ten (10) days
notarial acts only in his regular place of work or of the month following;
business. (4) fails to affix to acknowledgments the date of
expiration of his commission;
Exception: However, a notary public may (5) fails to submit his notarial register, when filled,
perform notarial acts at the request of the parties to the Executive Judge;
at the following places, provided that these (6) fails to make his report, within a reasonable
places are within the territorial jurisdiction of the time, to the Executive Judge concerning the
court that issued the notarial commission: performance of his duties, as may be
required by the judge;
(1) In public offices, convention halls and (7) fails to require the presence of a principal at
other places where oaths of office are the time of the notarial act;
administered; (8) fails to identify a principal on the basis of
(2) Public function areas in hotels and personal knowledge or competent evidence;
similar areas used for the signing of (9) executes a false or incomplete certificate
instruments or documents requiring under Section 5, Rule IV;
notarization; (10)knowingly performs or fails to perform any
(3) Hospitals and other medical institutions other act prohibited or mandated by these
where a part to an instrument is confined Rules; and
for treatment; and (11)commits any other dereliction or act which in
(4) Any place where a party to the the judgment of the Executive Judge
instrument requiring notarization is under constitutes good cause for revocation of
detention. commission or imposition of administrative
sanction.
The act of notarizing documents outside one’s
area of commission is not to be taken lightly. A defective notarization will strip the document of
Aside from being a violation of Sec. 11 of the its public character and reduce it to a private
2004 Rules on Notarial Practice, it also partakes instrument. Consequently, when there is a defect
of malpractice of law and falsification. in the notarization of a document, the clear and
[Laquindanum v. Quintana, AC No. 7036 convincing evidentiary standard normally
(2009) attached to a duly- notarized document is
dispensed with, and the measure to test the
Note: Notary may Notarize Instruments which validity of such document is preponderance of
refer to properties located outside his territorial evidence. (Meneses v. Venturozo, G.R. No.
jurisdiction. “What is important under the Notarial 172196, 19 October 2011)
Law is that the notary public concerned has
authority to acknowledge the document executed
within his territorial jurisdiction.”[Sales v. CA, 211
SCRA 858,865 (1992)] COMPETENT EVIDENCE OF IDENTITY (Rule
II. Sec. 12)

Competent Evidence of Identity – refers to the

identification of an individual based on:

REVOCATION OF COMMISSION (Rule XI Sec.

1). (1) At least one current identification document
issued by an official agency bearing the

Legal Ethics | 59
 photograph and signature of the individual; or protect the integrity of the notarial act.

(2) The oath or affirmation of: Clearly, the laws affecting notarial practice and
the Rules can be applied simultaneously, and
(a) One credible witness not privy to the thus harmonized. In short, the presentation of a
instrument, document or transaction who competent evidence of identity, if required, will
is personally known to the notary public not bar the presentation of the cedula, and vice-
and who personally knows the individual, versa.[Tirol, supra.]

(b) Two credible witnesses neither of whom If the notary public personally knows the affiant,
is privy to the instrument, document or he need not require them to show their valid
transaction who each personally knows the identification cards. This rule is supported by the
individual and shows to the notary public definition of “jurat” under Sec. 6, Rule II of the
documentary identification. 2004 Rules on Notarial Practice. (Jandoquile v.
Revilla, A.C. No. 9514, 10 April 2013)
Competent evidence of identity may consist Notaries public must observe utmost care in
in either: complying with formalities intended to ensure the
integrity of the notarized document and the act it
(a) An identification document; or embodies. In this case, the respondent violated
(b) The oath or affirmation of one or two the Rules on Notarial Practice when he notarized
credible witness, depending on the three documents presented to him by a
circumstances, who is/are not privy to the complainant whose identity is not personally
instrument, document or transaction.[Tirol, known to him and yet he did not require proof of
Desk-Book for Philippine Notaries (2014)] identity from the said person. [Gonzales v.
Padiernos (2008)]

Note: The foregoing pronouncements of the

Court [in Cable Star Inc. v. Cable BOSS SANCTIONS (Rule XI Sec. 1. )
(2008); Sigma v. Inter-Alia (2008); De la Cruz
v. Dimaano (2008)] show that non- Revocation and Administrative Sanctions. –
compliance with the Rules affect the notarial xxx
act itself, i.e. the document will not be
considered a public document. [Tirol, (c) Upon verified complaint by an interested,
supra.] affected or aggrieved person, the notary public
shall
Do the Rules Prohibit the Presentation of
Cedulas? (1) be required to file a verified answer to the
complaint.
Despite several Supreme Court decisions which (2) If the answer of the notary public is not
declare that a residence certificate is no longer satisfactory, the Executive Judge shall
considered a competent evidence of identity, “It conduct a summary hearing.
appears that the laws requiring the presentation (3) If the allegations of the complaint are not
of the cedulas have not been repealed by proven, the complaint shall be dismissed.
subsequent legislative enactments. And so these
laws remain valid until the present (Article 7, Civil (4) If the charges are duly established, the
Code), notwithstanding the Rules’ silence insofar Executive Judge shall impose the appropriate
as ceduals are concerned.” administrative sanctions

But the Rules’ silence on the matter of cedulas II. JUDICIAL ETHICS
should not be taken as proof that these are now
unnecessary. And in any case, there is no conflict Judicial Ethics
between the Rules and the law requiring the It is a branch of moral science which treats of the
presentation of cedula. The requirement for the right and proper conduct to be observed by all
presentation of competent evidence of identity judges and magistrates in trying and deciding
does not abridge or expand the scope of the laws controversies brought to them for adjudication which
affecting notarial practice since its purpose is to conduct must be demonstrative of impartiality,

Legal Ethics | 60
integrity, competence, independence and freedom clerks of superior and inferior courts, and other
from improprieties. officers and employees connected withthe
administration of justice, the property and rights in
litigation or levied upon an execution before the court
A. Sources within whose jurisdiction or territory they exercise
their respective functions; this prohibition includes
The following are the sources of judicial ethics: the act of acquiring by assignment and shall apply to
lawyers, with respect to the property and rights which
1. New Code of Judicial Conduct for the may be the object of any litigation in which they may
Philippine Judiciary (2004); take part by virtue of their profession.

“This Code, which shall hereafter be Art. 2029. The court shall endeavor to
persuade the litigants in a civil case to agree upon
referred to as the New Code of Judicial Conduct
some fair compromise.
for the Philippine Judiciary, supersedes the
Canons of Judicial Ethics and the Code of Art. 2032. The court's approval is necessary
Judicial Conduct heretofore applied in the in compromises entered into by guardians, parents,
Philippines to the extent that the provisions or absentee's representatives, and administrators or
concepts therein are embodied in this Code: executors of decedent's estates.
Provided, however, that in case of deficiency or
absence of specific provisions in this New Code, 5. Rules of Court (Rules 71, 135, 137, 139-B,
the Canons of Judicial Ethics and the Code 140);
of Judicial Conduct shall be applicable in a 6. Revised Penal Code:
suppletory character.”
Art. 204. Knowingly rendering unjust
2. Code of Judicial Conduct (September 5, judgment. — Any judge who shall knowingly
1989); render an unjust judgment in any case submitted
3. Provisions of the 1987 Constitution (Art. VIII, to him for decision, shall be punished by prision
Art. XI, Art. III); mayor and perpetual absolute disqualification.
4. New Civil Code:
A judge is expected to know the jurisdictional
Art. 9. No judge or court shall decline to boundaries of courts and quasi-judicial bodies like
render judgment by reason of the silence, obscurity or the COMELEC as mapped out by the Constitution
insufficiency of the laws. and statutes and to act only within said limits.By
Art. 27. Any person suffering material or annulling complainant’s proclamation as the duly
moral loss because a public servant or employee
elected punong barangay, despite being aware of
refuses or neglects, without just cause, to perform his
official duty may file an action for damages and other the fact that his court had no power to do so, not
relief against he latter, without prejudice to any only is respondent guilty of grave abuse of
disciplinary administrative action that may be taken. authority,knowingly rendering an unjust order,
gross ignorance of the law and procedure, and bias
Art. 739. The following donations shall be and partiality, he also manifests unfaithfulness to a
void: basic legal rule as well as injudicious conduct.
xxx (RIMEO S. GUSTILO vs. HON. RICARDO S.
(3) Those made to a public officer or his wife, REAL, SR., A.M. No. MTJ-00-1250. February 28,
descedants and ascendants, by reason of his office.
2001)
Art. 1491. The following persons cannot
acquire by purchase, even at a public or judicial If the decision rendered by the judge is still on
auction, either in person or through the mediation of appeal, the judge cannot be disqualified on the
another: ground of knowingly rendering an unjust judgment.
xxx (Gahol vs. Riodigue, 64 SCRA 494)
(4) Public officers and employees, the
property of the State or of any subdivision thereof, or
of any government-owned or controlled corporation,
or institution, the administration of which has been Note: It is also worth mentioning that the provisions
intrusted to them; this provision shall apply to judges of Article 204 of the Revised Penal Code as to
and government experts who, in any manner "rendering knowingly unjust judgment" refer to an
whatsoever, take part in the sale; individual judge who does so "in any case
submitted to him for decision" and has no
(5) Justices, judges, prosecuting attorneys,

Legal Ethics | 61
application to the members of a collegiate court Note: Under RA 3019, the judge is liable criminally
such as the Sandiganbayan or its divisions, who for directly or indirectly receiving gifts, present or
reach their conclusions in consultation and other pecuniary or material benefit for himself or for
accordingly render their collective judgment after another under conditions provided in Section 2, b
due deliberation. It also follows, consequently, that a and c of the law.
charge of violation of the Anti-Graft and Corrupt
Practices Act on the ground that such a collective EXCEPTION: Excepted are unsolicited gifts or
decision is "unjust" cannot prosper. (Ethelwoldo E. presents of small value offered or given as a mere
Fernandez, Antonio A. Henson & Angel S. Ong ordinary token of gratitude or friendship according to
Vs. Court of Appeals Asso. Justices Ramon M. local custom or usage (Section 14 RA 3019).
Bato, Jr., Isaias P. Dicdican, A.M. OCA IPI No. 12-
201-CA-J. February 19, 2013) 8. Canons of Judicial Ethics (DOJ
Administrative Order No. 162, August 1,
1946);
Art. 205. Judgment rendered through 9. Code of Professional Responsibility;
negligence. — Any judge who, by reason of 10. Judiciary Act of 1948 (RA 296);
inexcusable negligence or ignorance shall 11. Supreme Court decisions;
render a manifestly unjust judgment in any case 12. Foreign decisions on legal ethics which are
submitted to him for decision shall be punished relevant and persuasive;
by arresto mayor and temporary special 13. Opinions of authorities in Legal and Judicial
disqualification. Ethics;
14. Special Laws (RA 910, June 20, 1953)
Art. 206. Unjust interlocutory order. —
Any judge who shall knowingly render an unjust Note: Under the provisions of RA 910, as amended,
interlocutory order or decree shall suffer the a Justice who reaches age 70 is entitled to full
penalty of arresto mayor in its minimum period retirement benefits with no length of service required.
and suspension; but if he shall have acted by
reason of inexcusable negligence or ignorance Sec. 1. No retiring justice or judge of a
and the interlocutory order or decree be court of record or city or municipal judge during
manifestly unjust, the penalty shall be the time that he is receiving said pension shall
suspension. appear as counsel in any court:

Note: An Interlocutory Order is an order which is 1. In any civil case where the government
issued by the court between the commencement or any of its subdivisions or instrumentalities is an
and the end of a suit or action and which decides adverse party;
some point or matter, but which, however, is not a 2. In any criminal case, where an officer or
final decision of the matter in issue. employee of the government is accused of an
offense committed in relation to his official function;
Art. 207. Malicious delay in the 3. Or collect any fee for his appearance in
administration of justice. — The penalty of any administrative proceedings to maintain an
prision correccional in its minimum period shall interest adverse to the government.
be imposed upon any judge guilty of malicious
delay in the administration of justice. 15. Administrative Orders and Supreme Court
Circulars.
Acceptance of gifts given by reason of
the office of the judge is indirect bribery (Art. 211, DEFINITION OF TERMS
RPC) and when he agrees to perform an act
constituting a crime in connection with the Q: Who is a judge?
performance of his official duties in A: “Judge” means any person exercising judicial
consideration of any offer, promise, gift or power, however designated; A public officer who, by
present receive by such officer, he is guilty of virtue of his office, is clothed with judicial authority, a
direct bribery (Art. 210, RPC). public officer lawfully appointed to decide litigated
questions in accordance with law.
7. Anti-Graft and Corrupt Practices Act (RA
3019); Q: Who are included as a judge’s family?
A: “Judge’s family” includes a judge’s spouse, son,

Legal Ethics | 62
daughter, son-in-law, daughter-inlaw, and any other
relative by consanguinity or affinity within the sixth A4: Sec. 26. No person shall be appointed judge of
civil degree, or person who is a companion or a Metropolitan Trial Court, Municipal Trial Court, or
employee of the judge and who lives in the judge’s Municipal Circuit Trial Court unless:
household. 1. He is a natural-born citizen of the
Philippines;
Q: Who is a De Jure Judge? 2. At least 30 years of age; and
A: One who is exercising the office of judge as a 3. For at least five years, has been engaged
matter of right; an officer of a court who has been in the practice of law in the Philippines, or has held a
duly and legally appointed, qualified and whose term public office in the Philippines requiring admission to
has not expired. the practice of law as an indispensable requisite.
(Judiciary Reorganization Act of 1980)
Q: Who is a De Facto Judge?
A: One who in good faith continues to act and is Bangalore Draft
recognized by common error after the abolition of his
court by statute is deemed judge de facto of the new Significance of the New Code
court which succeeds to the jurisdiction of that It updates and correlates the Code of Judicial
presided over by him; An officer who is not fully Conduct and the Canons of Judicial Ethics and
invested with all the powers and duties conceded to stresses the Philippines’ solidarity with the
judges, but is exercising the office of judge under universal clamor for a universal code of judicial
some color of right. ethics.

Q: What are the general qualifications of all Superseding effect of the New Code on the Canons
judges and magistrates? of Judicial Ethics and the Code of Judicial Conduct
A: A Member of the Judiciary must be a person of - did not completely repeal the old Canons of
proven: Judicial Ethics (Administrative Order No.
1. competence 162) adopted in the Philippines and the
2. integrity
Code of Judicial Conduct of 1989;
3. probity
4. independence - only when the New Code has specific
provisions or concepts covering those found
Q: What are the specific qualifications of all in the Canons of Judicial Ethics and the
judges and magistrates? Code of Judicial Conduct that the latter are
A: QUALIFICATIONS OF SC MEMBERS: considered superseded to that extent.
1. Natural born citizen
2. At least 40 years of age in the absence of specific provisions, or deficiency in
3. Must have been for at least 15 years a the New Code that can be applied to a given
judge of a lower court or engaged in the practice of situation, the Canons of Judicial Ethics and the
law [Sec. 7 (1), Art. VIII, 1987 Constitution] Code of Judicial Conduct shall apply suppletorily
[See, Agpalo’s Legal and Judicial Ethics].
A2: Sec. 7. The Presiding Justice and the Associate
Justice of Collegiate Courts shall have the same Q: What are the principles serving as the
qualifications as those provided in Constitution for foundation of the Bangalore Draft?
Justice of the Supreme Court. (Judiciary A:
Reorganization Act of 1980) 1. A competent, independent, and
impartial judiciary is essential if the courts are to
A3: Sec. 15. No persons shall be appointed fulfill their role in upholding constitutionalism and
Regional Trial Judge unless: the rule of law;
1. He is a natural-born citizen of the 2. Public confidence in the judicial system
Philippines; and in the moral authority and integrity of the
2. At least thirty-five years of age; and judiciary is of utmost importance in a modern
3. For at least ten years, has been engaged democratic society;
in the practice of law in the Philippines or has held a 3. It is essential that judges, individually and
public office in the Philippines requiring admission to collectively, respect and honor judicial office as a
the practice of law as an indispensable requisite. public trust and strive to enhance and maintain
(Judiciary Reorganization Act of 1980) confidence in the judicial system.

Legal Ethics | 63
 (The Bangalore Draft Code of Judicial Promulgation: April 27, 2004
Conduct 2001 adopted by the Judicial Group on
Strengthening Judicial Integrity, as revised at the CANONS
Round Table Meeting of Chief Justices held at the Independence
Peace Palace, The Hague, November 25-26, 2002) Integrity
At its first meeting held in Vienna in April Impartiality
2000 on the invitation of the United Nations Centre Propriety
for International Crime Prevention, and in Equality
conjunction with the 10th United Nations Congress Competence and Diligence
on the Prevention of Crime and the Treatment of
Offenders, the Judicial Group on Strengthening
Judicial Integrity recognized the need for a code
against which the conduct of judicial officers CANON 1
may be measured. INDEPENDENCE

Judicial independence is a pre-requisite to the rule

The Judicial Group recognized, however, of law and a fundamental guarantee of a fair trial. A
that since the Bangalore Draft had been developed judge shall therefore uphold and exemplify judicial
by judges drawn principally from common law independence in both its individual and institutional
countries, it was essential that it be scrutinized by aspects.
judges of other legal traditions to enable it to
assume the status of a duly authenticated
international code of judicial conduct. Q: What is independence?
The revised Bangalore Draft was placed A: It means freedom from the influence, guidance,
before a Round-Table Meeting of Chief Justices (or or control of others.
their representatives) from the civil law system, held
in the Peace Palace in The Hague, Netherlands, in Q: How does this differ from the 1989 Code of
November 2002, with Judge Weeramantry presiding. Judicial Conduct?
Those participating were Judge Vladimir de Freitas A: The new Canon 1 deals solely with the matter of
of the Federal Court of Appeal of Brazil, Chief judicial independence as a “pre-requisite to the
Justice Iva Brozova of the Supreme Court of the rule of law” and a “fundamental guarantee of a fair
Czech Republic, Chief Justice Mohammad Fathy trial” and not primarily with the institutional
Naguib of the Supreme Constitutional Court of Egypt, independence of the judiciary.
Conseillere Christine Chanet of the Cour de
Cassation of France, President Genaro David  As a person, a judge must be free from
Gongora Pimentel of the Suprema Corte de Justicia influences of other persons (Individual
de la Nacion of Mexico, President Mario Mangaze of independence)
the Supreme Court of Mozambique, President Pim  As the court, no branch of the government
Haak of the Hoge Raad der Nederlanden, Justice or agencies thereof could dictate upon it in
Trond Dolva of the Supreme Court of Norway, and the performance of its judicial duties
Chief Justice Hilario Davide of the Supreme (Institutional independence)
Court of the Philippines.
MEMORY AID FOR SECTIONS UNDER CANON 1:
New Code of Judicial Conduct for the Philippine 1. Independent judicial function (Sec. 1)
Judiciary (Bangalore Draft) 2. Outside pressure (Sec. 2)
3. Influencing outcome of litigation (Sec. 3)
In case of deficiency or absence of specific 4. Influence on judicial conduct (Sec. 4)
provisions in this New Code, the Canons of Judicial 5. Independence from executive and legislative
Ethics and the Code of Judicial Conduct shall be (Sec. 5)
applicable in a suppletory character. 6. Independence from society and particular
parties (Sec. 6)
Effectivity Date: June 1, 2004, following its 7. Safeguards for judicial independence (Sec.
publication not later than May 15, 2004 in two 7)
newspapers of large circulation in the Philippines to 8. Promote Public confidence (Sec. 8)
ensure its widest publicity.

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 pending before another court or administrative
SECTION 1. Judges shall exercise the judicial agency.
function independently on the basis of their
assessment of the facts and in accordance with a The interference in the decision-making process of
conscientious understanding of the law, free of any another judge is a breach of conduct so serious as
extraneous influence, inducement, pressure, threat to justify dismissal from service based only on a
or interference, direct or indirect, from any quarter or preponderance of evidence. (The Court
for any reason. Administrator vs. Hermoso, et al., A.M. No. R-97-
RTJ, May 28, 1987)
The highest degree of independence is
required of judges. Once a judge gives in to SECTION 4. Judges shall not allow family, social, or
pressures from whatever source, that judge is other relationships to influence judicial conduct or
deemed to have lost his independence and is judgment. The prestige of judicial office shall not be
considered unworthy of the position. used or lent to advance the private interests of
others, nor convey or permit others to convey the
A judge acted improperly when she rendered rulings impression that they are in a special position to
based on directives she received from a government influence the judge.
official. By her appointment to the office, the public
has laid on respondent their confidence that she is When a judge is related to one of the parties within
mentally and morally fit to pass upon the merits of the sixth degree of consanguinity or affinity, his
their varied contentions. For this reason, they expect disqualification is mandatory. This provision is
her to be fearless in her pursuit to render justice, intended to ensure that judges are spared from
to be unafraid to displease any person, interest or potential influence of family members by
power and to be equipped with a moral fiber disqualifying them even before any opportunity for
strong enough to resist the temptations lurking in impropriety presents itself. (Rivera vs. Barro, A.M.
her office. (Ramirez vs. Corpuz-Macandog A. M. No. 2003-CTJ, February 28, 1980)
No. R-351-RTJ, September 26, 1986)
SEC. 5. Judges shall not only be free from
In this case the judge acted under the pressure of a inappropriate connections with, and influence by, the
rally staged by the complainant and sympathizers. executive and legislative branches of government,
The High Court ruled that the pressure of a rally but must also appear to be free therefrom to a
demanding the issuance of a warrant of arrest reasonable observer.
against the accused is not a sufficient excuse for the
unjustified haste in respondent judge's act of fixing a Judicial independence is the reason for leaving
bail without a hearing. (Libarios vs. Dabalos A.M. exclusively to the Court the authority to deal with
No. RTJ-89-286, July 11, 1991) internal personnel issues, even if the court
employees in question are funded by the local
SECTION 2. In performing judicial duties, Judges government. Because a reasonable person could
shall be independent from judicial colleagues in conclude that the LGU maintained some influence
respect of decisions which the judge is obliged to over the MTC judge, under the New Code of Judicial
make independently. Conduct, respondent judge’s actions created an
improper connection with an
In this case, the respondent judge of the Regional executive/administrative body – the LGU. (Bagatsing
Trial Court (RTC) wrote a letter to a lower court vs. Herrera L-34952, July 25, 1975)
judge of the Municipal Trial Court (MTC) judge
seeking to influence him to hear a case and even SEC. 6. Judges shall be independent in relation to
intimating that he issue an order of acquittal. The society in general and in relation to the particular
High Court ruled that a judge who tries to influence parties to a dispute which he or she has to
the outcome of a litigation pending before another adjudicate.
court not only subverts the independence of the
judiciary but also undermines the people's faith in its Judges should not fraternize with
integrity and impartiality. (Sabitsana Jr. vs. Villamor litigants and their counsel. In fact, they should
A.M. No. 90-474, October 4, 1991) make a conscious effort to avoid them in order
to avoid the perception that their independence
SECTION 3. Judges shall refrain from influencing in has been compromised.
any manner the outcome of litigation or dispute

Legal Ethics | 65
In this case, the Court ruled that “[r]espondent’s act judicial system equal and coordinate with the other
of sending a member of his staff to talk with two departments of the government.” (Borromeo vs.
complainant and show copies of his draft decisions, Marian, G.R. No. 16808, January 3, 1921)
and his act of meeting with litigants outside the office
premises beyond office hours violate the standard of
judicial conduct required to be observed by CANON 2
members of the Bench.” (Tan vs. Rosete, A.M. No. INTEGRITY
MTJ-04-1563, September 8, 2004 (formerly A.M.
OCA IPI No. 02-1207-MTJ) Integrity is essential not only to the proper discharge
of the judicial office but also to the personal
SEC. 7. Judges shall encourage and uphold demeanor of judges.
safeguards for the discharge of judicial duties in
order to maintain and enhance the institutional and Q: What is integrity?
operational independence of the judiciary. A: It is a steadfast adherence to a strict moral or
ethical code. It is moral uprightness, honesty and
The Code of Judicial Conduct mandates judges to honourableness.
administer justice without delay and directs every
judge to dispose of the court’s business promptly Q: What are the virtues of a judge with integrity?
within the period prescribed by the law and the rules. A:
Delay ultimately affects the image of the judiciary. 1. Impartiality
Failure to comply with the mandate of the 2. Propriety
Constitution and of the Code of Judicial Conduct 3. Equality
constitutes serious misconduct, which is detrimental 4. Independence
to the honor and integrity of a judicial office. Inability
to decide a case despite the ample time prescribed Note: The New Code of Judicial Conduct has
is inexcusable, constitutes gross inefficiency, and separated the values of integrity and independence,
warrants administrative sanction of the defaulting emphasizing the need for judges to maintain a life of
judge. (Salud vs. Alumbres, A.M. No. RTJ-00-159, personal and professional integrity in order to
June 23, 2003) properly carry out their judicial functions.

Note: Section 7 requires judges to encourage and Judges must be models of uprightness, fairness and
uphold safeguards for the discharge of judicial duties honesty. (Rural Bank of Barotac Nuevo, Inc. vs.
in order to maintain and enhance judicial Cartagena, G.R. No. A.M. No. 707-MJ, July 21, 1978)
independence while the focus of Section 8 is on
inspiring public confidence. MEMORY AID FOR SECTIONS UNDER CANON 2
1. Conduct above reproach (Sec. 1)
SEC. 8. Judges shall exhibit and promote high 2. Reaffirm people’s faith (Sec. 2)
standards of judicial conduct in order to reinforce 3. Disciplinary action (Sec. 3)
public confidence in the judiciary which is
fundamental to the maintenance of judicial SECTION 1. Judges shall ensure that not only is
independence. their conduct above reproach, but that it is perceived
to be so in the view of a reasonable observer.
A judge should always be imbued with a high sense
of duty and responsibility in the discharge of his In the judiciary, moral integrity is more than a
obligation to promptly and properly administer justice. cardinal virtue; it is a necessity. (Fernandez vs.
He must view himself as a priest, for the Hamoy, A.M. No. RTJ-04-1821, August 12, 2004)
administration of justice is akin to a religious crusade.
(Dimatulac, et al. vs. Villon, et al., G.R. No. 127107, Judges have been penalized for:
October 12, 1998)
1. fraternizing with litigants and/or lawyers
Q: Who are “good judges”? (Dela Cruz vs. Bersamin, A.M. No. RTJ-00-
A: Those who have “mastery of the principles of law, 567, July 25, 2000)
who discharge their duties in accordance with law, 2. demanding and/or accepting bribes (Tan vs.
who are permitted to perform the duties of the office Rosete, A.M. No. MTJ-04-1563, September
undeterred by outside influence, and who are 8, 2004)
independent and self-respecting human units in a

Legal Ethics | 66
 3. altering orders (Rallos vs. Gako, A.M. No. be so; not only be a good judge, but also a good
RTJ-98-1484, March 18, 2000) person. (Dawa vs. De Asa, A.M. No. MTJ-98-1144,
4. delay in rendering decisions (Fernandez vs. July 22, 1998)
Hamoy, A.M. No. RTJ-04-1821, August 12,
2004) While judges should possess proficiency in law in
5. sexual harassment of employees (Dawa vs. order that they can competently construe and
De Asa, A.M. No. MTJ-98-1144, July 22, enforce the law, it is more important that they should
1998) act and behave in such a manner that the parties
6. ignorance of the law (Macalintal v. Teh, A.M. before them should have confidence in their
No. RTJ-93- 1375, October 16, 1997) impartiality. (Sibayan-Joaquin vs. Javellana, A.M. No.
7. keeping and/or flaunting a mistress (In Re RTJ- 00-1001, November 13, 2001)
Judge Marcos, A.M. No. 97-253-RTC, July 6,
2001) SEC. 3. Judges should take or initiate appropriate
8. inebriated behaviour (Lachica vs. Flordeliza, disciplinary measures against lawyers or court
A.M. No. MTJ-9-921, March 4, 1996) personnel for unprofessional conduct of which the
9. frequenting casinos and cock fights (City of judge may have become aware.
Tagbilaran vs. Hontanosas, A.M. No. MTJ-
98-1169, November 29, 2002)
10. not wearing a black robe (Chan vs. Judges should not be lenient in the administrative
Majaducon, A.M. No. RTJ-02-1697, October supervision of employees. As an administrator, the
15, 2003) judge must ensure that all court personnel perform
efficiently and promptly in the administration of
It is not commendable, proper or moral for a judge to justice. (Ramirez vs. Corpuz-Macandog, A. M. No.
be perceived as going out with a woman not his wife. R-351-RTJ, September 26, 1986)
Such is a blemish to his integrity and propriety, as
well as to that of the Judiciary. (Anonymous Vs. Respondent Judge cannot hide behind the
Judge Rio C. Achas, MTCC Branch 2, Ozamiz City, inefficiency of her court personnel. The Code of
MIsamis Occidental, A.M. No. MTJ-11- Judicial Conduct obliges a judge to properly
1801. February 27, 2013) supervise the court personnel to ensure the prompt
and efficient dispatch of business and to require at
Those who don the judicial robe must observe all times the observance of high standards of fidelity
judicial decorum which requires magistrate to be at to duty. Respondent judge is the master of her own
all times temperate in their language, refraining from domain, and she must assume the responsibility that
inflammatory or excessive rhetoric or from resorting goes with it. (Arnel V. Manzon vs. Judge Norma C.
to language of vilification. The respondent’s use of Perello, A.M. No. RTJ-02-1686, May 7, 2004)
vulgar language has no place in the court. The
frequent nocturnal gimmicks also impair the respect Oftentimes, leniency provides the court employees
due to her as a Judge. Furthermore, borrowing the opportunity to commit minor transgressions of
money from her staff is not illegal per se but this is the laws and slight breaches of official duty
an unbecoming conduct of a judge because she ultimately leading to vicious delinquencies. The
exerted moral ascendancy over her staff. (Armi M. respondent judge should constantly keep a watchful
Flordeliza, et al. vs. Judge Julia A. Reyes, A.M. No. eye on the conduct of his employees. He should
MTJ-06-1625, September 18, 2009) realize that big fires start small. His constant scrutiny
of the behavior of his employees would deter any
SEC. 2. The behavior and conduct of judges must abuse on the part of the latter in the exercise of their
reaffirm the people’s faith in the integrity of the duties. Then, his subordinates would check that any
judiciary. Justice must not merely be done but must misdemeanor will not remain unchecked.
also be seen to be done. (Buenaventura vs. Benedicto Adm. Case No. 137-J,
March 27, 1971)
Judges must not only render just, correct and
impartial decisions, but must do so in a manner free Q: To whom is the power to dismiss vested?
of any suspicion as to their fairness, impartiality and A: Although a judge has the power to recommend
integrity. (Rallos vs. Gako, A.M. No. RTJ-98-1484, for appointment court personnel, however, he has
March 17, 2000) no power to dismiss them. The power to dismiss a
court employee is vested with the Supreme Court.
A judge must not only be honest but also appear to

Legal Ethics | 67
RE: REQUEST FOR GUIDANCE/CLARIFICATION they ought to conduct themselves in a manner
ON SECTION 7, RULE III OF REPUBLIC ACT NO. befitting gentlemen and high officers of the court.
10154 REQUIRING RETIRING GOVERNMENT (Atty. Melvin D.C. Mane vs. Judge Medel Arnaldo B.
EMPLOYEES TO SECURE A CLEARANCE OF Belen A.M. No. RTJ-08-2119, June 30, 2008)
PENDENCY/NON-PENDENCY OF CASE/S FROM
THE CIVIL SERVICE COMMISSION. The concern is not only with the judge’s actual
decision but the manner in which the case is
Section 6, Article VIII of the 1987 Philippine decided. A judge has both the duty of rendering a
Constitution exclusively vests in the Supreme Court just decision and the duty of doing it in a manner
administrative supervision over all courts and completely free from suspicion as to his fairness and
court personnel. As such, it oversees the court as to his integrity. It is the duty of all judges not only
personnel’s compliance with all laws and takes the to be impartial but also to “appear impartial.”
proper administrative action against them for any (Geotina vs. Gonzales, G.R. No. 26310, September
violation thereof. As an adjunct thereto, it keeps in 30, 1971)
its custody records pertaining to the administrative
cases of retiring court personnel. Q: What is the Extra-Judicial Source Rule?
A: A principle in the United States which provides
In view of the foregoing, the Court rules that the that to sustain a claim of bias or prejudice, the
subject provision – which requires retiring resulting opinion must be based upon an
government employees to secure a prior clearance extrajudicial source: that is, some influence other
of pendency/non-pendency of administrative case/s than the facts and law presented in the courtroom.
from, among others, the CSC – should not be
made to apply to employees of the Judiciary. SEC. 2. Judges shall ensure that his or her conduct,
(A.M. No. 13-09-08-SC October 1, 2013) both in and out of court, maintains and enhances the
confidence of the public, the legal profession and
CANON 3 litigants in the impartiality of the judge and of the
IMPARTIALITY judiciary.

Impartiality is essential to the proper discharge of The intendment of the above provision of the Rules
the judicial office. It applies not only to the decision of Court is not difficult to find. Its rationale is
itself but also to the process by which the decision is predicated in the long standing precept that no judge
made. should handle a case in which he might be
perceived, rightly or wrongly, to be susceptible to
MEMORY AID FOR SECTIONS UNDER CANON 3 bias and impartiality. His judgment must not be
1. Judicial duties free from bias (Sec. 1) tainted by even the slightest suspicion of improbity
2. Promote confidence, impartiality (Sec. 2) or preconceived interest. The rule is aimed at
3. Minimize instances of disqualification preserving at all times the faith and confidence in
(Sec. 3) courts of justice by any party to the litigation.
4. Public comments; pending and (Urbanes, Jr. vs. Court of Appeals, G.R. No. 117964,
impending case (Sec. 4) March 28, 2001)
5. Disqualifications (Sec. 5)
6. Remittal of disqualifications (Sec.6) A judge should, in pending or prospective litigation
before him, be scrupulously careful to avoid such
SECTION 1. Judges shall perform their judicial action as may reasonably tend to waken the
duties without favor, bias or prejudice. suspicion that his social or business relations or
friendships constitute an element in determining his
An alumnus of a particular law school has no judicial course. He must not only render a just,
monopoly of knowledge of the law. For a judge to correct and impartial decision but should do so in
determine the fitness or competence of a lawyer such a manner as to be free from any suspicion as
primarily on the basis of his alma mater is clearly an to his fairness, impartiality and integrity.
engagement in an argumentum ad hominem. In the (SANGGUNIANG BAYAN OF TAGUIG, METRO
case, the judge questions the capability and MANILA vs. Judge SANTIAGO G. ESTRELLA, A.M.
credibility of the complainant just because he was No. 01-1608-RTJ. January 16, 2001)
not a graduate from UP Law School. The Court has
reminded members of the bench that even on the Respondent’s act of sending a member of his staff to
face of boorish behavior from those they deal with, talk with complainant and show copies of his draft

Legal Ethics | 68
decisions, and his act of meeting with litigants SEC. 4. Judges shall not knowingly, while a
outside the office premises beyond office hours proceeding is before, or could come before, them
violate the standard of judicial conduct required to make any comment that might reasonably be
be observed by members of the Bench. They expected to affect the outcome of such proceeding
constitute gross misconduct which is punishable or impair the manifest fairness of the process. Nor
under Rule 140 of the Revised Rules of Court. shall judges make any comment in public or
(Office of the Court Administrator vs. Judge Roberto otherwise that might affect the fair trial of any person
S. Javellana, et al.A.M. No. RTJ-02-1737, or issue.
September 9, 2004)
Judges should avoid side remarks, hasty
A judge may not be legally prohibited from sitting in conclusions, loose statements or gratuitous
a litigation. But when suggestion is made of record utterances that suggest they are prejudging a
that he might be induced to act in favor of one party case. Judges should be aware that the media
or with bias or prejudice against a litigant arising out might consider them a good and credible source
of circumstances reasonably capable of inciting such of opinion or ideas, and therefore should refrain
a state of mind, he should conduct a careful self- from making any comment on a pending case.
examination. He should exercise his discretion in a Not only is there danger of being misquoted, but
way that the people's faith in the courts of justice is also of compromising the rights of the litigants
not impaired. (Pimentel vs. Salanga, G.R. No. L- in the case.
27934, September 18, 1967)
In this case, a judge was disqualified from trying a
SEC. 3. Judges shall, so far as is reasonable, so criminal case because he met with the complainants
conduct themselves as to minimize the occasions on in chambers and advised them to settle with the
which it will be necessary for them to be disqualified accused because their case was weak. (Martinez vs.
from hearing or deciding cases. Giorenella, No. L-37635, July 22, 1975)

Q: What is the “duty to sit?” However, the Supreme Court has recently held that
A: There is a possibility that no judge would be judges and justices are not disqualified from
available to decide a case because judges with participating in a case simply because they have
jurisdiction over the case would opt to recuse from written legal articles on the law involved in the case.
the case. Hence, it is imperative that judges ensure (Chavez vs. Public Estates Authority, G.R. No.
that they would not be unnecessarily disqualified 133250, May 6, 2003)
from a case. This is referred to as the “duty to sit.” It
is imposed because permitting judges to disqualify SEC. 5. Judges shall disqualify themselves from
themselves for frivolous reasons or for no reason at participating in any proceedings in which they are
all would contravene public policy by unduly unable to decide the matter impartially or in which it
delaying proceedings, increasing the workload of may appear to a reasonable observer that they are
other judges, and fostering impermissible judge- unable to decide the matter impartially. Such
shopping. proceedings include, but are not limited to, instances
where:
The majority view is that the rule of
disqualification of judges must yield to demands (a) The judge has actual bias or prejudice
of necessity. Simply stated, the rule of necessity concerning a party or personal knowledge of
means that a judge is not disqualified to sit in a case disputed evidentiary facts concerning the
if there is no other judge available to hear and proceedings;
decide the case. In other words, when all judges
would be disqualified, disqualification will not be The bias and prejudice must be shown to have
permitted to destroy the only tribunal with power in stemmed from an extra-judicial source and result in
the premises. The doctrine operates on the principle an opinion on the merits on some basis other than
that a basic judge is better than no judge at all. the evidence presented. (Aleria, Jr. vs. Velez, G.R.
Under such circumstances, it is the duty of the No. 127400 November 16, 1998)
disqualified judge to hear and decide the
controversy, however disagreeable it may be. The manner and attitude of a trial judge are crucial
(Parayno vs. Menese, G.R. No. 112684, April 26, to everyone concerned, the offended party, no less
1994) than the accused. It is not for him to indulge or even
to give the appearance of catering to the at-times

Legal Ethics | 69
human failing of yielding to first impressions. It must is also mandated when the judge’s former law
be obvious to the parties as well as the public that partner or associate served as a lawyer in the matter
he follows the traditional mode of adjudication while the judge was practicing with the lawyer.
requiring that he hears both sides with patience and Finally, a judge may not sit in a case in which the
understanding to keep the risk of reaching an unjust judge has been a material witness. (Lewis v. State,
decision at a minimum. What has been said is not 565 S.E.2d 431, Ga. 2002)
merely a matter of judicial ethics. It is impressed
with constitutional significance. (Castillo vs. Juan, Note: Exception under the Old Code. When the
Nos. L-39516-17, January 28, 1975) estate, trust, ward or person for whom he will act as
executor, administrator, trustee, guardian,
(b) The judge previously served as a lawyer fiduciary is a member of the immediate family—
or was a material witness in the matter in which is limited to the spouse and relatives within
controversy; the 2nd degree of consanguinity—provided that the
judge’s services as fiduciary shall not interfere with
A judge may be disqualified if he was formerly the performance of his judicial functions.
associated with one of the parties or their counsel.
(Austria vs. Masaquel, No. L-22536, August 31, (e) The judge’s ruling in a lower court is the
1967) subject of review;

A judge was disqualified for notarizing the affidavit of An Associate Justice of the Court of Appeals refused
a person to be presented as a witness in a case to inhibit himself from reviewing the decision in a
before him. (Mateo vs. Villaluz, Nos. L-34756-59, case which he had partially heard as a trial judge
March 31, 1973) prior to his promotion, on the ground that the
decision was not written by him. The Supreme
(c) The judge, or a member of his or her Court upheld his refusal, but nevertheless
family, has an economic interest in the commented that he "should have been more prudent
outcome of the matter in controversy; and circumspect and declined to take on the case
owing to his earlier involvement in the case. The
A municipal judge who filed complaints in his own Court has held that a judge should not handle a
court for robbery and malicious mischief against a case in which he might be perceived, rightly or
party for the purpose of protecting the property wrongly, to be susceptible to bias and prejudice."
interests of the judge’s co-heirs, and then issued (Sandoval vs. Court of Appeals, G.R. No. 106657,
warrants of arrest against the party, was found guilty August 1, 1996 )
of serious misconduct and ordered dismissed from
the bench before he was able to recuse himself. The (f) The judge is related by consanguinity or
Supreme Court held that "his subsequent inhibition affinity to a party litigant within the sixth civil
from the cases which he filed in his own court does degree or to counsel within the fourth civil
not detract from his culpability for he should have degree; or
not taken cognizance of the cases in the first place –
the evil that the rule on disqualification seeks to In this case, a Municipal Trial Court judge was
prevent is the denial of a party of his right to due dismissed for taking cognizance of a criminal
process.” (Oktubre vs. Velasco, A.M. No. MTJ 02- complaint lodged by his brother, and issuing a
1444, July 20, 2004) warrant of arrest. (Garcia vs. De La Pena, A.M. No.
MTJ-92-637, February 9, 1994)
(d) The judge served as executor,
administrator, guardian, trustee or lawyer in The purpose of the prohibition is to prevent not only
the case or matter in controversy, or a a conflict of interest but also the appearance of
former associate of the judge served as impropriety on the part of a judge. The failure of
counsel during their association, or the respondent judge to inhibit himself in the case of his
judge or lawyer was a material witness uncle constitutes an abuse of his authority and
therein; undermines public confidence in the impartiality of
judges. (DATU INOCENCIO C. SIAWAN vs.
A judge is automatically disqualified from sitting in JUDGE AQUILINO A. INOPIQUEZ, JR., A.M. No.
a case in which the judge previously served as a MTJ-95-1056. May 21, 2001)
lawyer. This restriction extends to judges who
served as lawyers in closely related cases. Recusal (g) The judge knows that his or her spouse

Legal Ethics | 70
 or child has a financial interest, as heir, be:
legatee, creditor, fiduciary, or otherwise, in (a) coupled with a bona fide disclosure to
the subject matter in controversy or in a the parties-in-litigation; and
party to the proceeding, or any other interest (b) subject to express acceptance by all
that could be substantially affected by the the parties of the cited reason as not material or
outcome of the proceedings; substantial. Absent such agreement, the judge may
not continue to hear the case.
Q: Illustrate the distinction of direct and indirect
interest. The judge should disclose on the record
A: If a judge’s relative is a partner at the law firm the basis for his disqualification. Perhaps
representing one of the litigants in the case before prompted by a cultural sense of delicadeza,
the judge, that relative might receive direct some magistrates state only "personal reasons"
pecuniary benefit resulting from a favorable outcome as the ground for inhibiting themselves.
of the litigation. Thus, the relative’s interest is However, such vague reasoning is not
sufficiently direct to require recusal. acceptable, as it would effectively place
voluntary disqualification at the whim of the
Note: While United States jurisprudence has judge. This kind of latitude is not the intended
distinguished between direct and indirect interest, effect of the rule.
there is no equivalent Philippine jurisprudence
on the matter. This rule is intended to ensure The first paragraph of Rule 137, Section 1 is
judges’impartiality by preventing situations in which the rule on disqualification. It enumerates the
a judge must consider familial interests in the grounds under which any judge or judicial officer is
conflicts before him or her. disqualified from acting as such, and the explicit
enumeration of the specific grounds therein does not
Q: What is economic interest? exclude others. Disqualification of a judge is
A: It refers to the necessities of life like wealth and mandatory if any of the listed grounds exists.
proprietary rights. If the judge or member of his
family stands to gain or lose some economic RULE 137
benefits in the dispute when finally decided, he must DISQUALIFICATION OF JUDICIAL OFFICERS
disqualify himself because partiality will take the SECTION 1. Disqualification of judges.—No
better of him. Otherwise, public confidence in the judge or judicial officer shall sit in any case in
judicial system will be eroded. which he, or his wife or child, is pecuniarily
interested as heir, legatee, creditor or otherwise,
The reasons for disqualification cited in Canon 3, or in which he is related to either party within the
Section 5 are “not limited to” these circumstances. sixth degree of consanguinity or affinity, or to
Strict compliance with the rules on disqualification is counsel within the fourth degree, computed
required. The petition to disqualify a judge must be according to the rules of the civil law, or in which
filed before rendition of the judgment, and cannot he has been executor, administrator, guardian,
be raised on appeal. Otherwise, the parties are trustee or counsel, or in which he has presided
deemed to have waived any objection regarding the in any inferior court when his ruling or decision
impartiality of the judge. (Marfil vs. Cuachon, A.M. is the subject of review, without the written
No. 2360-MJ, August 31, 1981) consent of all parties in interest, signed by them
and entered upon the record.
SEC. 6. A judge disqualified as stated above may,
instead of withdrawing from the proceeding, disclose A judge may, in the exercise of his sound
on the records the basis of disqualification. If, based discretion, disqualify himself from sitting in a
on such disclosure, the parties and lawyers case, for just or valid reasons other than those
independently of the judge’s participation, all agree mentioned above.
in writing that the reason for the inhibition is
immaterial or unsubstantial, the judge may then CANON 4
participate in the proceeding. The agreement, PROPRIETY
signed by all parties and lawyers, shall be
incorporated in the record of the proceedings. Propriety and the appearance of propriety are
essential to the performance of all the activities of a
The decision to continue hearing the case, despite judge.
the existence of reasons for disqualification should

Legal Ethics | 71
MEMORY AID FOR SECTIONS UNDER CANON 4 be viewed as burdensome by the ordinary citizen
1. Avoidance of Impropriety (Sec. 1) and should do so freely and willingly. In particular,
2. Acceptance of Personal Restrictions judges shall conduct themselves in a way that is
(Sec. 2) consistent with the dignity of the judicial office.
3. Avoidance of Controversy (Sec. 3)
4. Not participate in cases where he may A judicial officer is subject to scrutiny for both public
be impartial (Sec. 4) and private conduct. Such scrutiny is an unavoidable
5. Not to allow the use of his residence by consequence of occupying a judicial position.
other lawyers (Sec. 5) (Cañeda vs. Alaan A.M. No. MTJ-01-1376, January
6. Freedom of Expression (Sec. 6) 23 2002)
7. Be informed of his financial interests
(Sec. 7) Dignified conduct is best described as conduct
8. Influence of Judicial Conduct (Sec. 8) befitting men and women possessed of temperance
9. Confidential Information (Sec. 9) and respect for the law and for others. Thus, the
10. Engage in other activities (Sec. 10) Supreme Court rebuked judges who made sexually
11. Practice of Profession (Sec. 11) suggestive advances to women, including inviting
12. Form associations (Sec. 12) ladies to go with the judge and his companions to
13. Gifts, Requests, Loans (Sec. 13) the beach, (Mariano v. Gonzales, 114 SCRA 112)
14. Gifts, Requests, Loans by staff (Sec. 14) writing letters asking a married woman to come to
15. Permissible tokens and awards (Sec. 15) the judge’s sala after five o’clock in the evening,
(Hadap v. Lee) and assigning a female stenographer
SECTION 1. Judges shall avoid impropriety and the to the judge’s chambers. (Ritual v. Valencia) A judge
appearance of impropriety in all of their activities. was similarly disciplined for confronting a former
boyfriend and his female companion in a restaurant,
The Philippine courts have also acknowledged the and giving false and misleading information to the
irrelevance of the judge’s perception of impropriety. police. (In re Williams, 777 A.2d 323 N.J. 2001)
In this case, the Court gave a reprimand with
warning to Judge Dojillo for sitting beside the SEC. 3. Judges shall, in their personal relations with
counsel for Dojillo’s brother in the hearing of an individual members of the legal profession who
election protest filed by the latter. The Court was not practice regularly in their court, avoid situations
convinced by Dojillo’s defense that he intended only which might reasonably give rise to the suspicion or
to give moral support. As a judge, he should have appearance of favoritism or partiality.
known family concerns are only secondary to
preserving the integrity of the judiciary as a whole. A judge is commanded at all times to be mindful of
(Vidal v. Dojillo, A.M. No. MTJ-05-1591, July 14 the high calling of a dispassionate and impartial
2005) arbiter expected at all times to be a “cerebral man
who deliberately holds in check the tug and pull of
Acts done by a judge which are not illegal but purely personal preferences which he shares with
are still violations of the Code of Judicial Ethics: his fellow mortals.” Judges should refrain from
(a) Hearing cases on a day when the judge inviting counsel for one side into their chambers
was supposed to be on official leave; after or prior to sessions in court without disclosing
(b) Hearing a motion while on vacation, in to the other counsel the reason for such meetings,
the judge’s room dressed in a polo jacket; being aggressive in demeanor towards a lawyer
(c) Photos showing the judge and one of his appearing before them, and making public
subordinates coming out of a hotel together, despite comments, or allowing court staff to make comments,
absence of clear evidence of sexual congress; on pending cases. (Office of the Court Administrator
(d) Making a joking remark to a litigant vs. Paderanga A.M. No. RTJ-01-1660, August 25
suggesting that the latter prove he harbored no ill 2005)
feelings towards the judge;
(e) Making a comment after conducting a SEC. 4. Judges shall not participate in the
marriage ceremony that the bride and groom should determination of a case in which any member of
sexually satisfy each other so that they will not go their family represents a litigant or is associated in
astray. any manner with the case.

SEC. 2. As a subject of constant public scrutiny, This rule rests on the principle that no
judges must accept personal restrictions that might judge should preside in a case in which the

Legal Ethics | 72
judge is not wholly free, disinterested, impartial English and using phrases such as “moronic
and independent. A judge has both the duty of attitude,” “stupid,” and “putang inamo” to describe
rendering a just decision and the duty of doing it the complainant. (Seludo v. Fineza, 447 SCRA 73)
in a manner completely free from suspicion as to
fairness and integrity. The purpose is to SEC. 7. Judges shall inform themselves about their
preserve the people’s faith and confidence in the personal fiduciary financial interests and shall make
courts of justice. reasonable efforts to be informed about the financial
interests of members of their family.
Even when judges do not intend to use their position
to influence the outcome of cases involving family A judge shall refrain from financial and business
members, it cannot be denied that a judge’s mere dealings that tend to reflect adversely on the court's
presence in the courtroom, (Vidal vs. Dojillo A.M. No. impartiality, interfere with the proper performance of
MTJ-05-1591, July 14 2005) or even writing letters to judicial activities, or increase involvement with
an administrative body conducting an investigation lawyers or persons likely to come before the court.
pursuant to the exercise of quasi-judicial functions (Catbagan v. Barte, 455 SCRA 1)
(Perez vs. Costales A.M. No. RTJ-04-1876 February
23 2005) tend to give rise to the suspicion that SEC. 8. Judges shall not use or lend the prestige of
influence is being used. the judicial office to advance their private interests,
or those of a member of their family or of anyone
SEC. 5. Judges shall not allow the use of their else, nor shall they convey or permit others to
residence by a member of the legal profession to convey the impression that anyone is in a special
receive clients of the latter or of other members of position improperly to influence them in the
the legal profession. performance of judicial duties.

The rationale for this section is the same as that of This rule has two parts. The first is that a
Section 3. The high tribunal held that it was judge may not use judicial office to advance private
inappropriate for a judge to have entertained a interests. The second is that a judge may not give
litigant in his house particularly when the case is still the impression that he or she can be influenced to
pending before his sala. (J. King and Sons v. use the judicial office to advance the private
Hontanosas, 438 SCRA 264) interests of others.

SEC. 6. Judges, like any other citizen, are entitled to In this case, the respondent judge took advantage of
freedom of expression, belief, association and his position as a Makati Regional Trial Court judge
assembly, but in exercising such rights, they shall by filing in the Makati court a collection case in
always conduct themselves in such a manner as to which he and his wife were the complainants. The
preserve the dignity of the judicial office and the Court ruled that although a stipulation in the contract
impartiality and independence of the judiciary. gave the judge, as creditor, choice of venue, the
judge had nonetheless fallen short of what is
While judges are not expected to live a expected of him as a judicial officer. The Court
hermit-like existence or cease functioning as citizens explained that the reason for the ruling of
of the Republic, they should remember that they do impropriety was that peculiar Philippine psyche,
not disrobe themselves of their judicial office upon personality and culture would lead the public, and in
leaving their salas. In the exercise of their civil particular the judge’s adversary in the collection
liberties, they should be circumspect and ever case, to suspect that the judge would use the choice
mindful that their continuing commitment to of venue as a means to exert influence in favor of
upholding the judiciary and its values places upon himself. This is precisely the reason behind this
them certain implied restraints to their freedom. particular section of the new Code. (Javier vs. de
Guzman, A.M. No. RTJ-89-380, December 19 1990)
The use of expletives is frowned upon by the
Supreme Court. The court reprimanded a judge who A judge was found liable for gross misconduct when
used expletives like “putris” and “putang ina,” even he made phone calls to the station commander on
thought they were not directed to any particular behalf of a family friend who had been detained, and
individual. (Re Judge Edmundo Acuna, 464 SCRA asked her bailiff to look into the status of the car that
250) In another case, the court found that the judge had been left in the parking lot when the friend had
displayed unbecoming behaviour by sarcastically been arrested. (Manansala III vs. Asdala, A.M. No.
commenting upon a complainant’s ability to read RTJ-05-1916, May 10 2005)

Legal Ethics | 73
Respondent judge cited complainant in contempt of SEC. 10. Subject to the proper performance of
court because complainant parked his superior’s judicial duties, judges may
vehicle at the parking space reserved for
respondent judge. A magistrate must exhibit that (a) Write, lecture, teach and participate in
hallmark of judicial temperament of utmost sobriety activities concerning the law, the legal
and self-restraint which are indispensable qualities system, the administration of justice or
of every judge. Respondent judge should not have related matters;
allowed himself to be annoyed to a point that he
would even waste valuable court time and resources (b) Appear at a public hearing before an official
on a trivial matter. (Venancio Inonog vs. Judge body concerned with matters relating to the
Francisco B. Ibay, A.M. No. RTJ-09-2175, July 28, law, the legal system, the administration of
2009) justice or related matters;

A judge shall not allow family, social, or other (c) Engage in other activities if such activities
relationships to influence judicial conduct or do not detract from the dignity of the judicial
judgment. Judge Malanyaon needs to be reminded office or otherwise interfere with the
that his judicial identity does not terminate at the end performance of judicial duties.
of the day when he takes off his judicial robes. (Hon.
Julieta A. Decena, et al. vs. Judge Nilo A. This section allows the judge to participate in legal
Malanyaon, A.M. No. RTJ-02-1669, April 14, 2004) academia and public discourse on legal matters with
the proviso that there shall be no interference in
Q: What is ticket-fixing? the performance of the judge’s primary functions
A: It is a misconduct in which judges impermissibly with respect to his or her jurisdiction.
take advantage of their position to avoid traffic
violations. In the landmark case of In Re: Designation of Judge
Rodolfo U. Manzano, (A.M. No. 88-7-1861-RTC,
SEC. 9. Confidential information acquired by judges October 5 1988) a judge sought the Court’s
in their judicial capacity shall not be used or permission to accept membership in the Ilocos Norte
disclosed by for any other purpose related to their Provincial Committee on Justice, an administrative
judicial duties. body. The Court denied his request, ruling that
allowing the judge’s membership would be a
The Court reiterates the common sense rule that violation of the constitutional provision on the
once retired, judges may no longer decide cases. discharge by members of the judiciary of
Neither may they, or even their successors, administrative functions in quasi-judicial or
promulgate decisions written while they were still in administrative agencies. (Section 12, Art. VIII)
office. In short, once retired, they can no longer write
or promulgate decisions, orders or other actions SEC. 11. Judges shall not practice law whilst the
proper only to incumbents. (J. King & Sons holder of judicial office.
Company, Inc. vs. Judge Agapito L. Hontanosas, Jr.,
A.M. No. RTJ-03-1802, September 21, 2004) This prohibition is based on the inherent
incompatibility of the rights, duties and functions of
When a judge released a draft of her decision to a the office of an attorney with the powers, duties and
party, that conduct was found to be not just a simple functions of a judge. (Carual v. Brusola, 317 SCRA
breach of confidentiality but a scheme to make the 54)
party “negotiate” for increases in the monetary
awards to be given by the judge. (Centrum Agri- Philippine courts not only prohibit judges from
Business Realty Corp. v. Katalbas-Moscardon, 247 overtly representing clients as counsel of record,
SCRA 145) (Candia v. Tagabucha, 79 SCRA 52) but also from
acting more subtly in a way more befitting an
It is improper for a judge to allow his wife to have advocate than a judge. For example, a judge may
access to court records which are necessarily not meet with a complainant to give him advice.
confidential, as this practice may convey the (Contreras v. Solis, 260 SCRA 570)
impression that she is the one who can influence the
judge's official functions. (Gordon v. Lilagan, 361 A judge may not involve himself in any activity that is
SCRA 690) an aspect of the private practice of law. His

Legal Ethics | 74
acceptance of an appointment to the Bench inhibits (A.M. No. RTJ-99-1516, July 14 2005) the Court
him from engaging in the private practice of law, suspended the respondent judge for six months for
regardless of the beneficiary of the activity being a allowing his daughters to accept a business
member of his immediate family. He is guilty of partnership offered by persons with pending cases
conduct unbecoming of a judge otherwise. (SONIA before his court.
C. DECENA and REY C. DECENA vs. JUDGE NILO
A. MALANYAON, A.M. No. RTJ-10-2217, April 8,
2013)
SEC. 15. Subject to law and to any legal
SEC. 12. Judges may form or join associations of requirements of public disclosure, judges may
judges or participate in other organizations receive a token gift, award or benefit as appropriate
representing the interests of judges. to the occasion on which it is made provided that
such gift, award or benefit might not reasonably be
This rule also recognizes the difference perceived as intended to influence the judge in the
between membership in associations of judges and performance of judicial duties or otherwise give rise
membership in associations of other legal to an appearance of partiality.
professionals. While attendance at lavish events
hosted by lawyers might create an appearance of General Rule: Judges and members of their families
impropriety, participation in a judges-only cannot accept gifts, award or benefit
organization does not.
Exception: Subject to legal requirements like public
SEC. 13. Judges and members of their families shall disclosure, may accept gifts provided that it might
neither ask for, nor accept, any gift, bequest, loan or not reasonably be perceived as intended to
favor in relation to anything done or to be done or influence judge.
omitted to be done by him or her in connection with
the performance of judicial duties. Section 7(d) of R.A. 6713 allows the following:
(a) Gift of nominal value tendered and
This section should be read in conjunction received as a souvenir or mark of courtesy;
with Section 7(d) of R.A. 6713 which prohibits (b) Scholarship or fellowship grant or
public officials from soliciting or accepting gifts. medical treatment;
According to this provision: (c) Travel grants or expenses for travel
Public officials and employees shall not taking place entirely outside the Philippines (such as
solicit or accept, directly or indirectly, any gift, allowances, transportation, food and lodging) of
gratuity, favor, entertainment, loan or anything of more than nominal value if such acceptance is
money value from any person in the course of their appropriate or consistent with the interest of the
official duties or in connection with any operation Philippines, and permitted by the head office, branch
being regulated by, or any transaction which may be or agency to which the judge belongs.
affected by the functions of their office.
Q: What is a gift?
Receiving money from a party litigant is the kind of A: “Gift" refers to a thing or a right to dispose of
gross and flaunting misconduct on the part of the gratuitously, or any act or liberality, in favor of
judge, who is charged with the responsibility of another who accepts it, and shall include a
administering the law and rendering justice. [Ompoc simulated sale or an ostensibly onerous disposition
v. Torre (1989)] thereof. It shall not include an unsolicited gift of
nominal or insignificant value not given in
SEC. 14. Judges shall not knowingly permit court anticipation of, or in exchange for, a favor from a
staff or others subject to their influence, direction or public official or employee. (Sec. 3 (c), RA No. 6713)
authority, to ask for, or accept, any gift, bequest,
loan or favor in relation to anything done or to be Q: What is a loan?
done or omitted to be done in connection with their A: Loan" covers both simple loan and commodatum
duties or functions. as well as guarantees, financing arrangements or
accommodations intended to ensure its approval.
This section complements the previous (Sec. 3 (c), RA No. 6713)
section and assures that what the judge cannot do
directly, may not be done indirectly through the use
of employees or staff members. In Dulay vs. Lelina, CANON 5

Legal Ethics | 75
 EQUALITY because the complained acts could be committed by
anyone regardless of gender orientation.
Ensuring equality of treatment to all before the Furthermore, statements like “I am a true man not a
courts is essential to the due performance of the gay to challenge a girl and a lesbian like her,” “the
judicial office. handiwork and satanic belief of dirty gossiper,” and
“the product of the dirty and earthly imagination of a
MEMORY AID FOR SECTIONS UNDER CANON 5 lesbian and gossiper” were uncalled for. (Judge
(a) Understand the diversity in society (Sec. Jaime L. Dojillo, Jr. vs. Concepcion Z. Ching, A.M.
1) No. P-06-2245, July 31, 2009)
(b) Not to manifest bias or prejudice (Sec. 2)
(c) Not to differentiate (Sec. 3) Judges may not use derogatory or condescending
(d) Not to influence staff (Sec. 4) language in their judgment when dealing with a rape
(e) Attitude to parties appearing in court complaint. (Iglesia ni Kristo v. Gironella, A.M. No.
(Sec. 5) 2440-CFI, July 25, 1981)

This is a new Canon not found in the SEC. 2. Judges shall not, in the performance of
previous two Philippine Codes of Judicial judicial duties, by words or conduct, manifest bias or
Conduct. It expands the measures to promote prejudice towards any person or group on irrelevant
equality required by international human rights grounds.
agreements. Those agreements advocate a
universal application of law and non- When a judge advised an accused of the best
discrimination between the sexes. The United course of action at arraignment, it appeared that the
Nations Charter and the International Bill of judge was taking sides with the accused. This
Rights, both of which the Philippines has ratified, behavior may create the impression that the
affirm the equality of all human beings and sentence meted out to the accused is – in colorful
establish a norm of “full respect of human rights vernacular – “lutong macao.” (Espayos v. Lee, A.M.
and for fundamental freedom for all without No. 1574-MJ, April 30, 1979)
distinction as to race, sex, language or religion.”
(U.N. Charter, Chapter 1, Art. 1(3); Universal A judge should be the embodiment of competence,
Declaration of Human Rights, Arts. 1 and 2; the integrity and independence and should so behave at
Covenant on Civil and Political Rights and the all times as to promote public confidence in the
Covenant on Economic, Social and Cultural Rights) integrity and impartiality of the judiciary. Respondent
judge failed to provide any legitimate reason for the
Moreover, the Philippines ratified the U.N. issuance of the Orders on a Saturday evening when
Convention on the Elimination of All Forms of the courts were already closed nor was he able to
Discrimination Against Women (CEDAW) on August justify his failure to comply with due process
5, 1981, which requires party states to recognize the requirements, resulting in the unwarranted arrest
important economic and social contributions of and incarceration of powerless individuals. (PANES,
women to the family and to society. It stresses the JR. vs. JUDGE OSCAR E. DINOPOL, RTC, Br 24,
need for a change in attitude, through education of KORONADAL CITY, A.M. OCA-I.P.I. No. 07-2618-
both men and women, to accept equality of rights RTJ February 12, 2013)
and responsibilities and to overcome prejudices and
practices based on stereotyped roles. SEC. 3. Judges shall carry out judicial duties with
appropriate consideration for all persons, such as
SECTION 1. Judges shall be aware of, and the parties, witnesses, lawyers, court staff and
understand, diversity in society and differences judicial colleagues, without differentiation on any
arising from various sources, including but not irrelevant ground, immaterial to the proper
limited to race, color, sex, religion, national origin, performance of such duties.
caste, disability, age, marital status, sexual
orientation, social and economic status and other A judge’s duty to observe courtesy to those who
like causes. appear before him is not limited to lawyers. The said
duty also includes being courteous to litigants and
In Judge Dojillo’s case, he should be more cautious witnesses. Respondent’s conduct towards Consuelo
in his choice of words and use of gender-fair Aznar leaves a lot to be desired. As stated in the
language. Thus, there was no reason for him to complaint, respondent ordered Consuelo Aznar to
emphatically describe Concepcion as a “lesbian” go back to her house to get the original documents

Legal Ethics | 76
in five minutes or he would dismiss the case. degrade the witness’ reputation, but a witness must
Respondent did not offer any explanation to this answer the fact of any previous final conviction for a
charge against him. Respondent’s act in this criminal offense.
instance smacks of judicial tyranny. (Atty. Gloria
Lastimosa-Dalawampu vs. Judge Raphael B. CANON 6
Yrastorza, Sr., A.M. RTJ-03-1793, February 5, 2004) COMPETENCE AND DILIGENCE

Judges must also be concerned with the public’s Competence and diligence are prerequisites to the
impression of the judiciary. When judges of the due performance of judicial office.
same court fight with each other, slap their
personnel in public, or commit acts of sexual MEMORY AID FOR SECTIONS UNDER CANON 6
harassment, the image of the judiciary is impaired. (a) Duties take precedence (Sec. 1)
(Navarro v. Tormis, A.M. No. MTJ-00-1937, April 27, (b) Perform administrative duties (Sec. 2)
2004) (c) Maintain professional competence (Sec.
3)
SEC. 4. Judges shall not knowingly permit court staff (d) Be informed about the law (Sec. 4)
or others subject to his or her influence, direction or (e) Prompt decision making (Sec. 5)
control to differentiate between persons concerned, (f) Maintain order in proceedings (Sec. 6)
in a matter before the judge, on any irrelevant (g) Not to engage in conduct contrary to
ground. duties (Sec. 7)

Judges should organize their courts to ensure the Q: What is diligence?

prompt and convenient dispatch of business and A: It is the quality of a person characterized by his
should not tolerate misconduct by clerks, sheriffs earnest willingness and capability to promptly do or
and other assistants who are sometimes prone to undo what is required by the nature of the obligation
expect favors or special treatment due to their or duty in accordance with existing rules.
professional relationship with the judge. All It carries with it the elements of:
personnel involved in the dispensation of justice 1. perseverance;
should conduct themselves with a high degree of 2. industry;
responsibility. (Mataga v. Rosete, A.M. No. MTJ-03- 3. quickness ; and
1488, October 13, 2004) 4. carefulness

SEC. 5. Judges shall require lawyers in proceedings NOTE: Diligence is the opposite of negligence.
before the court to refrain from manifesting, by Competence is more on the intellectuality; while
words or conduct, bias or prejudice based on diligence, on the performance.
irrelevant grounds, except such as are legally
relevant to an issue in proceedings and may be the SECTION 1. The judicial duties of a judge take
subject of legitimate advocacy. precedence over all other activities.

Judges have the duty to prevent lawyers A judge should not recuse himself simply
from abusing witnesses with unfair treatment. to avoid sitting on difficult or controversial cases.
Witnesses have the following rights and obligations
as provided for in Rule 132, section 3 of the “The administration of justice is a sacred
Revised Rules of Court: task ... and [u]pon assumption to office, a judge
ceases to be an ordinary mortal. He becomes the
(1) To be protected from irrelevant, improper visible representation of the law and more
or insulting questions and from a harsh or insulting importantly, of justice.” [Office of the Court
demeanor; Administrator v. Gines (1993)]
(2) Not to be detained longer than the
interests of justice require SEC. 2. Judges shall devote their professional
(3) Not to be examined except as to matters activity to judicial duties, which include not only the
pertinent to the issues before the court; performance of judicial functions and responsibilities
(4) Not to give an answer which will tend to in court and the making of decisions, but also other
subject him to a penalty for an offense unless tasks relevant to the judicial office or the court’s
otherwise provided by law; or operations.
(5) Not to give an answer which will tend to

Legal Ethics | 77
In the instant case, respondent judge impeded the The Court held that the failure to apply elementary
speedy disposition of cases by his successor on rules of procedure constitutes gross ignorance of the
account of missing records of cases. This fact law and procedure. Neither good faith nor lack of
reflects an inefficient and disorderly system in the malice will exonerate respondent because, as
recording of cases assigned to his sala. Proper and previously noted, the rules violated were basic
efficient court management is as much the judge's procedural rules. All that was needed for respondent
responsibility for the Court personnel are not the to do was to apply them. Unfortunately, in this case
guardians of a Judge's responsibilities. A judge is the Judge chose not to. The Judge failed to resolved
expected to ensure that the records of cases unlawful detainer and forcible entry case according
assigned to his sala are intact. There is no express legal provisions on periods of rendition of
justification for missing records save fortuitous judgments. (Danilo David S. Mariano vs. Judge Jose
events. The loss of not one but eight records is P. Nacional, A.M. No. MTJ-07-1688, February 10,
indicative of gross misconduct and inexcusable 2009)
negligence unbecoming of a judge. [Longboan v.
Polig (1990)] SEC. 4. Judges shall keep themselves informed
about relevant developments of international law,
SEC. 3. Judges shall take reasonable steps to including international conventions and other
maintain and enhance their knowledge, skills and instruments establishing human rights norms.
personal qualities necessary for the proper
performance of judicial duties, taking advantage for Within its own territory, the Philippines
this purpose of the training and other facilities which has the obligation to respect the civil and
should be made available, under judicial control, to political rights recognized by the International
judges. Covenant on Civil and Political Rights without
discrimination as to national origin, among other
factors — an obligation that binds both its
The respondent judge has utterly failed to live up to citizens and foreign nationals within its
the standard of competence required of him. His jurisdiction.
erroneous application of the Indeterminate Sentence
Law committed not just once or twice but in at least As judges are front-liners in the dispensation of
seventeen (17) instances is a compelling evidence justice, it is imperative they keep abreast with the
of his gross ignorance of the law. (The Officers and changes and developments in law and jurisprudence.
Members of the IBP Baguio-Benguet Chapter, et al. As judges are apostles of the law, their ignorance of
vs. Fernando Vil Pamintuan, A.M. No. RTJ-02-1691, the law is impermissible and inexcusable. (Atty.
January 16, 2004) Audie C. Arnado vs. Judge Marino S. Buban, A.M.
No. MTJ-04-1543, May 31, 2004)
The maxim “ignorance of the law excuses no one”
has special application to judges. (Espiritu v. SEC. 5. Judges shall perform all judicial duties,
Javellanos, 280 SCRA 579 (1997) As advocates of including the delivery of reserved decisions,
justice and visible representation of the law, the efficiently, fairly and with reasonable promptness.
public expects judges to be conversant with the
developments of law and jurisprudence and The essence of the judicial function is
proficient in their application or interpretation of it. expressed in Section 1, Rule 124 of the Revised
(Almonte v. Bien, 461 SCRA 218 2005) It is Rules of Court which provides that “Justice shall be
imperative that judges be well-informed of basic impartially administered without unnecessary delay.”
legal principles. This principle permeates the whole system of
judicature, and supports the legitimacy of the
Good faith and absence of malice or corruption are decrees of judicial tribunals.
sufficient defenses to charges of ignorance of the
law. However, the Supreme Court admonished that In this case, respondent judge was found guilty of
“good faith of fallible discretion inheres only within gross inefficiency for having failed to resolve the
the perimeter of tolerable judgment and does not ejectment case within the prescribed 30-day period
apply where the issues are so simple and the after the filing of the parties’ respective Position
applicable legal principles evident and basic as to be Papers, pursuant to Rule 70 of the Rules of Court
beyond possible margin of error. (Poso v. Mijares, and the 1991 Revised Rules on Summary
387 SCRA 485, 507, 2002) Procedure. The Supreme Court took into
consideration the judge’s candid admission and

Legal Ethics | 78
acceptance of his infraction as factors in imposing temperament of utmost sobriety and self-restraint
only a fine and also took into account his age and which are indispensable qualities of every judge.
frail health, although these factors did not in any (Rodriguez v. Bonifacio, 344 SCRA 519 [2000])
way absolve him from liability or excuse him
from diligently fulfilling his duties. (Atty. Manuel J. SEC. 7. Judges shall not engage in conduct
Jimenez, Jr. Vs. Presiding Judge Michael M. incompatible with the diligent discharge of judicial
Amdengan, Municipal Trail Court, Angono Rizal, A.M. duties.
No. MTJ-12-1818. February 13, 2013)
In Beso v. Daguman, (323 SCRA 566, 2000) a judge
The Supreme Court ruled that, “We have always neglected his duty when he failed to exercise extra
reminded judges that the Court is not unmindful of care in ensuring that records of the cases and
the circumstances that may delay the disposition of official documents in his custody were intact. The
the cases assigned to them. Thus, the Court Supreme Court reiterated that “judges must adopt a
remains sympathetic to seasonably filed requests for system of record management and organize their
extension of time to decide cases. Unfortunately, no dockets in order to bolster the prompt and efficient
such requests were made by Judge Fuentes III until dispatch of business.
the judicial audit was conducted by the OCA and a
directive was issued to him by the Court.” (Office of
the Court Administrator Vs. Judge Fernando G.
Fuentes, A.M. No. RTJ-13-2342/A.M. No. RTJ-12- DISCIPLINE OF MEMBERS OF THE JUDICIARY
2318. March 6, 2013)
MEMBERS OF THE SUPREME COURT
Clearly, Judge Villegas’ contumacious conduct and IMPEACHMENT
blatant disregard of the Court’s mandate for more
than three years amounted to studied defiance and Statutory Basis
downright insubordination. A magistrate’s delay in 1987 Constitution, Art. X, Section 2. The
rendering a decision or order and failure to comply President, the Vice-President, the Members
with this Court’s rules, directives and circulars of the Supreme Court, the Members of the
constitute less serious offenses under Rule 140, Constitutional Commissions, and the
Section 9 of the Rules of Court. (Office of the Court Ombudsman may be removed from office on
Administration vs. Judge Franklin A. Villegas, A.M. impeachment for, and conviction of, culpable
No. RTJ-00-1526, June 3, 2004) violation of the Constitution, treason,
bribery, graft and corruption, other high
SEC. 6. Judges shall maintain order and decorum in crimes, or betrayal of public trust. All other
all proceedings before the court and be patient, public officers and employees may be
dignified and courteous in relation to litigants, removed from office as provided by law, but
witnesses, lawyers and others with whom the judge not by impeachment
deals in an official capacity. Judges shall require
similar conduct of legal representatives, court staff
and others subject to their influence, direction or ETHICAL LESSONS FROM FORMER CHIEF
control. JUSTICE CORONA

The respondent judge was guilty of committing acts Overview of Chief Justice Corona’s impeachment
unbecoming of a judge and abuse of authority when December 12, 2011.
he shouted invectives and threw a chair at the A. The House of Representatives charged
complainant, resulting in wrist and other injuries to Chief Justice Corona with eight articles of
the complainant. [Briones v. Ante, Jr. (2002)] impeachment alleging (1) betrayal of public
trust; (2) graft and corruption; and (3)
The respondent judge was found guilty of serious
misconduct and inefficiency by reason of habitual culpable violation of the Constitution.
tardiness. He was fined and suspended for judicial
indolence. [Yu-Asensi v. Villanueva (2000)] Articles of Impeachment Filed by the House of
Representatives:
Besides possessing the requisite learning in the law,
the Supreme Court has emphasized that “a Article I: Partiality and subservience in cases
magistrate must exhibit that hallmark judicial involving the Arroyo administration;

Legal Ethics | 79
 Article II: Failure to disclose to the public shall be disclosed to the public in the manner
his Statement of Assets and Liabilities; provided by law.”
Article III: Flip-flopping decisions in final and
executory cases (Flight Attendants and Stewards
Association of the Philippines (FASAP) vs. D. On May 29, 2012, the Senate found Chief
Philippine Airlines) creating excessive entanglement Justice Corona guilty under Article II of the
with Former President Arroyo, and discussing with Articles of impeachment for his failure to
litigants regarding the cases pending before the declare his true statements of assets,
Supreme Court ( Lejano vs. People or the Vizconde liabilities and net worth. After 20 senators
massacre case); voted in favor of impeachment under this
Article IV: Betrayal of public trust and/or ground, the Senate no longer voted under
committed culpable violation of the Constitution Article III.
when it blatantly disregarded the principle
of separation of powers by issuing a status quo ante
order against the House of Representatives in the Quantum of Evidence Used
case concerning the impeachment of
then Ombudsman Merceditas Navarro-Gutierrez; The impeachment is sui generis, it is
Article V: Gerrymandering in the case of the neither purely political or criminal so it does not
16-newly created cities and promotion of Dinagat require proof beyond reasonable doubt. In the
into a province; course of the impeachment trial, the senator-
Article VI: Improper investigation in the judges expressed differing views. Some argued
plagiarism case of Associate Justice Mariano del that it requires “clear and convincing proof,”
Castillo; while some argued that it needs “preponderance
Article VII: Granting a temporary restraining of evidence.”
order to Former President Arroyo and husband Mike
Arroyo after the DOJ prevented them to go out of the The so-called conflict of laws between R.A.
country; Nos. 6713 and 6426 is more illusory than real.
Article VIII: Graft and corruption when he Section 8 of R.A. No. 6426 merely prohibits the
failed and refused to account for the judiciary examination, inquiry or looking into a foreign
development fund and special allowance for the
judiciary collections. currency deposit account by an entity or person
B. On January 16, 2012. The Senate, sitting as other than the depositor himself. But there is nothing
an impeachment court began the trial. in R.A. No. 6426 which prohibits the depositor from
making a declaration on his own of such foreign
C. The prosecution dropped articles I, IV, V, VI, currency funds, especially in this case where the
VII, VIII, leaving only Articles II and III as
their grounds for impeachment. Constitution mandates the depositor who is a public
officer to declare all assets under oath. xxx I am
The Second Article alleges that Corona
equally aware of the tremendous pressure weighing
“failed to disclose to the public his statement of
heavily upon all the members of this Court as we
assets, liabilities, and net worth” in violation of
section 17, Article XI of the Constitution as well had to come to a decision on this case, one way or
as the Anti-Graft and Corrupt Practices Act (R.A. the other. But to render a just verdict according to
3019). my best lights and my own conscience is a sacred
Section 17, Article XI provides that, “A duty that I have sworn to perform. (Senator Juan
public officer or employee shall, upon Ponce Enrile on rendering a guilty verdict)
assumption of office and as often thereafter as
may be required by law, submit a declaration The Constitution provides that in all criminal
under oath of his assets, liabilities, and net prosecutions, the accused shall be presumed
worth. In the case of the President, the Vice- innocent, until the contrary is proved. The burden of
President, the Members of the Cabinet,
proof is on the prosecution. How much proof is
the Congress, the Supreme Court, the
Constitutional Commissions and other necessary? In other words, what is the standard of
constitutional offices, and officers of the armed proof? I have adopted the very high standard of
forces with general or flag rank, the declaration “overwhelming preponderance of evidence.” My

Legal Ethics | 80
standard is very high, because removal by personal consequences to himself and to preserve
conviction on impeachment is a stunning penalty, the integrity and independence of the judiciary.
Exception: Serious misconduct; inefficiency; gross
the ruin of a life. xxx Assuming for the sake of and patent, or deliberate and malicious error; bad
argument that there is a preponderance of evidence faith.
for the prosecution, the preponderance is not
overwhelming. (Senator Miriam Defensor- In administrative proceedings, the quantum of proof
Santiago on voting to acquit) necessary for a finding of guilt is substantial
evidence or such relevant evidence as a reasonable
Yale professor Charles Black however wrote mind may accept as adequate to support a
that “the Senate has traditionally left the choice of conclusion. Well-entrenched is the rule that
the applicable standard of proof to each individual substantial evidence, and not clear and convincing
senator.” evidence or proof beyond reasonable doubt, is
sufficient as basis for the imposition of any
Public Proceedings disciplinary action upon the erring employee.
(EXECUTIVE JUDGE HENEDINO P. EDUARTE vs.
All proceedings of the impeachment trial are ELIZABETH T. IBAY, A.M. No. P-12-3100,
public because of the national interest involved in November 12, 2013)
the issue. The people through their representatives
are to decide for the outcome of the impeachment. ADMINISTRATIVE LIABILITIES:
[Bag-ao] Grounds for administrative sanctions against judges
(Sec. 67 of the Judiciary Act of 1948):

LOWER COURT JUDGES AND JUSTICES 1. Serious misconduct – implies malice or

wrongful intent, not mere error of
STATUTORY BASIS judgment, judicial acts complained of must
1987 Constitution, Art. VIII, Section 11 be corrupt or inspired by an intention to
The members of the Supreme Court and violate the law, or were in persistent
judges of lower courts shall hold office during disregard for well-known legal rules.
a good behavior until they reach the age of 2. Inefficiency – implies negligence,
seventy years or become incapacitated to incompetence, ignorance, and carelessness,
discharge the duties of their office. The when the judge fails to observe in the
Supreme Court en banc shall have the power performance of his duties that diligence,
to discipline judges of lower courts, or order prudence and circumspection which the law
their dismissal by a vote of majority of the requires in the rendition of any public service.
Members who actually took part in the
deliberations on the issues in the case and MISCONDUCT
voted thereon. Misconduct means intentional wrongdoing or
deliberate violation of a rule of law or a standard of
Well entrenched is the rule that a judge may not be behaviour. In order to constitute an administrative
administratively sanctioned for mere errors offense, it should relate to or be connected with the
of judgment in the absence of showing of any bad performance of the official functions of a public
faith, fraud, malice, gross ignorance, corrupt officer. In grave misconduct, as distinguished from
purpose, or a deliberate intent to do an injustice on simple misconduct, the elements of corruption, clear
his or her part. Moreover, as a matter of public policy, intent to violate the law or flagrant disregard of an
a judge cannot be subjected to liability for any of his established rule must be established. (RE:
official acts, no matter how erroneous, as long as he COMPLAINT OF LEONARDO A. VELASCO
acts in good faith. (Narciso G. Dulalia v. Judge AGAINST ASSOCIATE JUSTICES FRANCISCO H.
Afable E. Cajigal, RTC, Br. 96, Quezon City, A.M. VILLARUZ, JR., ALEX L. QUIROZ, AND SAMUEL R.
No. OCA IPI No. 10-3492-RTJ, December 4, 2013) MARTIRES OF THE SANDIGANBAYAN, A.M. OCA
IPI No. 10-25-SB-J, January 15, 2013)
General Rule: A judge is not liable administratively,
civilly or criminally when he acts within his power Judge Hurtado’s failure to return the money he
and jurisdiction. received from Neri while he was still a clerk a court
This frees the judge from apprehension of constitutes simple misconduct. (Epifania M. Neri vs.

Legal Ethics | 81
Judge Barulio L. Hurtado, Jr., A.M. No. RTJ-00-1584, acceptance of his infraction as factors in imposing
February 18, 2004) only a fine and also took into account his age and
frail health, although these factors did not in any way
Respondent Judge averred that he was constrained absolve him from liability or excuse him from
to reverse himself on the motion for reconsideration diligently fulfilling his duties. (Atty. Manuel J.
due to the death threats he had received. The Code Jimenez, Jr. Vs. Presiding Judge Michael M.
of Judicial Conduct commands that a judge must not Amdengan, A.M. No. MTJ-12-1818, February 13,
succumb to attempts to influence his judgment and 2013)
must resist any pressure from whatever source in
order to uphold the integrity and independence of Judge Hurtado was only able to promulgate the
the Judiciary. The Court finds respondent Judge decision in one (1) criminal case, leaving seventy
guilty of MISCONDUCT. (Emiliana M. Garcia vs. (70) more undecided. He was utterly remiss in the
Florencio P. Bueser, A.M. No. RTJ-03-1792, March performance of his duties. His lackadaisical attitude
10, 2004) towards the disposition of cases pending in his court
constitutes gross inefficiency, neglect of duty and
SERIOUS MISCONDUCT serious misconduct to the detriment of the honor and
For serious misconduct to obtain, the judicial act/s integrity of the judiciary. (Report on Judicial Audit,
complained of should be corrupt or inspired by an A.M. No. 02-8-441-RTC, March 3, 2004)
intention to violate the law or persistent disregard of
well-known legal precepts. (GEOFFREY BECKETT Without a doubt, Judge Carbonell’s failure to decide
vs. JUDGE OLEGARIO R. SARMIENTO, JR., RTC several cases within the reglementary period,
Br 24 CEBU CITY, A.M. No. RTJ-12-2326, January without justifiable and credible reasons, constituted
30, 2013) gross inefficiency, warranting the imposition of
administrative sanctions. (RE: FAILURE OF
If a judge is to be disciplined for a grave offense, the FORMER JUDGE ANTONIO A. CARBONELL TO
evidence against him should be competent and DECIDE CASES SUBMITTED FOR DECISION AND
derived from direct knowledge. Presumptions and TO RESOLVE PENDING MOTIONS IN THE
hearsays are not substantial evidence for immorality REGIONAL TRIAL COURT, BRANCH 27, SAN
and conduct to the best interest of the service. FERNANDO, LA UNION, A.M. No. 08-5-305-RTC,
(Margie Corpus Macias vs.Judge Joaquin S. Macias, July 9, 2013)
A.M. No. RTJ-01-1650, September 29, 2009)
While judges should not be disciplined for
To dismiss a judge for what may be considered as inefficiency on account merely of occasional
serious offenses under the Code, there must be, mistakes or errors of judgments, it is highly
ideally, reliable evidence to show that the judicial imperative that they should be conversant with
acts complained of were ill-motivated, corrupt or fundamental and basic legal principles in order to
inspired by a persistent disregard of well-known merit the confidence of the citizenry. (JESUS D.
rules. (Corazon R. Tanjuanco vs. Judge Ireneo L. CARBAJOSA vs. JUDGE HANNIBAL R. PATRICIO,
Gako, .M. No. RTJ-06-2016, March 23, 2009) A.M. No. MTJ-13-1834, October 2, 2013)

SERIOUS INEFFICIENCY ERROR OR IGNORANCE OF LAW

Prompt disposition of cases is attained basically Judges are expected to strive for excellence in the
through the efficiency and dedication to duty of
performance of their duties. As exemplars of law and
judges. If they do not possess these traits, delay in
justice, they are mandated to embody competence,
the disposition of cases is inevitable to the prejudice
integrity and independence. Verily, they owe it to the
of litigants. (Esterlina Acuzar vs. Judge Gaydifredo T.
public to know the very laws they are supposed to
Ocampo A.M. No. MTJ-02-1396, March 10, 2004) apply to controversies. They are called upon to
exhibit more than a cursory acquaintance of the
In this case, respondent judge was found guilty of
statutes and procedural laws. Anything less would
gross inefficiency for having failed to resolve the
constitute gross ignorance of the law. (Dario
ejectment case within the prescribed 30-day period
Manalastas vs. Judge Rodrigo R. Flores, A.M. No.
after the filing of the parties’ respective Position
MTJ-04-1523, February 6, 2004)
Papers, pursuant to Rule 70 of the Rules of Court
After years of service in the judiciary, judges are
and the 1991 Revised Rules on Summary
expected to have become already conversant with
Procedure. The Supreme Court took into
the Rules, which they apply and rely on every day in
consideration the judge’s candid admission and

Legal Ethics | 82
court. Years of service in the bench simply negate public records of indubitable integrity. The complaint
any notion that a judge could be grossly ignorant of shall be in writing and shall state clearly and
procedural laws. (P/Supt. Alejandro Gutierrez, et al. concisely the acts and omissions constituting
vs. Judge Godofredo G. Hernandez, Sr. A.M. No. violations of standards of conduct prescribed for
MTJ-06-1628, June 8, 2007) Judges by law, the Rules of Court, or the Code of
Judicial Conduct.
It must be stressed that as a matter of policy, the
acts of a judge in his judicial capacity are not subject Sec. 2. Action on the complaint. – If the complaint
to disciplinary action. He cannot be subjected to is sufficient in form and substance, a copy thereof
liability — civil, criminal or administrative — for any shall be served upon the respondent, and he shall
of his official acts, no matter how erroneous, as long be required to comment within ten (10) days from
as he acts in good faith. Only judicial errors tainted the date of service. Otherwise, the same shall be
with fraud, dishonesty, gross ignorance, bad faith or dismissed.
deliberate intent to do an injustice will be
administratively sanctioned. To hold otherwise would Sec. 3. By whom complaint investigated. – Upon
be to render judicial office untenable, for no one the filing of the respondent’s comment, or upon the
called upon to try the facts or interpret the law in the expiration of the time for filing the same and unless
process of administering justice can be infallible in other pleadings or documents are required, the
his judgment. (Ethelwoldo E. Fernandez, Antonio A. Court shall refer the matter to the Office of the Court
Henson & Angel S. Ong Vs. Court of Appeals Asso. Administrator for evaluation, report, and
Justices Ramon M. Bato, Jr., Isaias P. Dicdican, A.M. recommendation or assign the case for investigation,
OCA IPI No. 12-201-CA-J. February 19, 2013) report, and recommendation to a retired member of
the Supreme Court, if the respondent is a Justice of
Unfamiliarity with the Rules of Court is a sign of the Court of Appeals and the Sandiganbayan, or to a
incompetence. Basic procedural rules must be at the Justice of the Court of Appeals, if the respondent is
palm of his hands. A judge must be acquainted with a Judge of a Regional Trial Court or of a special
legal norms and precepts as well as with procedural court of equivalent rank, or to a Judge of the
rules. Thus, this Court has been consistent in ruling Regional Trial Court if the respondent is a Judge of
that when the law is so elementary, for a judge not an inferior court.
to be aware of it constitutes gross ignorance of the
law. (Prosecutor Jorge D. Baculi vs. Judge Sec. 4. Hearing. – The investigating Justice or
MedelArnaldo B. Belen, A.M. No. RTJ-09-2176, April Judge shall set a day of the hearing and send notice
20, 2009) thereof to both parties. At such hearing the parties
may present oral and documentary evidence. If,
Inefficiency implies negligence, ignorance and after due notice, the respondent fails to appear, the
carelessness. A judge would be inexcusably investigation shall proceed ex parte.
negligent if he failed to observe in the performance The Investigating Justice or Judge shall terminate
of his duties that diligence, prudence and the investigation within ninety (90) days from the
circumspection which the law requires in the date of its commencement or within such extension
rendition of any public service. [In re: Climaco, as the Supreme Court may grant.
(1974)]
Sec. 5. Report. – Within thirty (30) days from the
termination of the investigation, the investigating
RULE 140: DISCIPLINE OF JUDGES OF Justice or Judge shall submit to the Supreme Court
REGULAR AND SPECIAL COURTS AND a report containing findings of fact and
JUSTICES OF THE COURT OF APPEALS AND recommendation. The report shall be accompanied
THE SANDIGANBAYAN by the record containing the evidence and the
Sec. 1. How instituted. – Proceedings for the pleadings filed by the parties. The report shall be
discipline of judges of regular and special courts and confidential and shall be for the exclusive use of the
Justices of the Court of Appeals and the Court.
Sandiganbayan may be instituted motu proprio by
the Supreme Court or upon a verified complaint, Sec. 6. Action. – The Court shall take such action
supported by affidavits of person who have personal on the report as the facts and the law may warrant.
knowledge of the facts alleged therein or by
documents which may substantiate said allegations, Sec. 12. Confidentiality of proceedings. –
or upon an anonymous complaint, supported by Proceedings against Judges of regular and special

Legal Ethics | 83
courts and Justices of the Court of Appeals and the failure to pay a just debt under Section 8, Rule
Sandiganbayan shall be private and confidential, but 140 of the Rules of Court. (Victoriano G.
a copy of the decision or resolution of the court shall Manlapaz Vs. Judge Manuel T. Sabillo,
be attached to the record of the respondent in the MCTC, Lamitan, Basilan, A.M. No. MTJ-10-
Office of the Court Administrator. 1771. February 13, 2013)

GROUNDS Criminal complaints against judges such as

Sec. 7. Classification of charges. – Administrative for violations of the Anti-Graft and Corrupt
charges are classified as serious, less serious, or Practices Act and the Revised Penal Code
light. should be filed with the Office of the
Sec. 8. Serious charges. – Serious charges include: Ombudsman and not with the Supreme Court.
(1) Bribery, direct or indirect; Judges being public officers are subject to the
(2) Dishonesty and violations of the Anti-Graft and jurisdiction of the Ombudsman who can
Corrupt Practices Law (R.A. No. 3019); investigate and prosecute them for violations
(3) Gross misconduct constituting violations of the of the criminal laws, conformably with the
Code of Judicial Conduct; provisions of the Constitution.
(4) Knowingly rendering an unjust judgment or order
as determined by a competent court in an However, if there are administrative questions
appropriate proceeding; relevant to the investigation of the criminal
(5) Conviction of a crime involving moral turpitude; responsibility of judges and court personnel,
(6) Willful failure to pay a just debt; the same should first be referred to the
(7) Borrowing money or property from lawyers and Supreme Court. The Supreme Court must
litigants in a case pending before the court; determine first whether or not a judge or a
(8) Immorality; court employee acted within the scope of his
(9) Gross ignorance of the law or procedure; administrative duties. (Maceda vs. Hon.
(10) Partisan political activities; and Ombudsman Conrado Vasquez, G.R. No.
(11) Alcoholism and/or vicious habits. 102781, April 22, 1993)

Sec. 9. Less Serious Charges. – Less serious Under Section 1 of Rule 140 of the
charges include: Rules of Court, anonymous complaints may
(1) Undue delay in rendering a decision or order, or be filed against judges, but they must be
in transmitting the records of a case; supported by public records of indubitable
(2) Frequently and unjustified absences integrity. Courts have acted in such instances
without leave or habitual tardiness; needing no corroboration by evidence to be
(3) Unauthorized practice of law; offered by the complainant. Thus, for
(4) Violation of Supreme Court rules, anonymous complaints, the burden of proof in
directives, and circulars; administrative proceedings which usually
(5) Receiving additional or double rests with the complainant, must be
compensation unless specifically authorized buttressed by indubitable public records and
by law; by what is sufficiently proven during the
(6) Untruthful statements in the certificate of investigation. If the burden of proof is not
service; and overcome, the respondent is under no
(7) Simple Misconduct. obligation to prove his defense. (Anonymous
Vs. Judge Rio C. Achas, MTCC Branch 2,
Employees of the judiciary should be living Ozamiz City, MIsamis Occidental, A.M. No.
examples of uprightness not only in the MTJ-11-1801. February 27, 2013)
performance of official duties but also in their
personal and private dealings with other AUTOMATIC CONVERSION OF
people so as preserve at all times the good ADMINISTRATIVE CASES AGAINST CA AND
name and standing of the courts in the SANDIGANBAYAN JUSTICES AND LOWER
community. In this case, the complaint’s claim COURT JUDGES
against the respondent is a just debt, whose Administrative cases against CA, Sandiganbayan
existence and justness the respondent himself justices, and lower court judges where the charges
admitted. The Court finds respondent Judge constitute misconduct for members of the Bar, shall
Manuel T. Sabillo of the Municipal Circuit Trial also be considered as disciplinary action against the
Court of Lamitan, Basilan GUILTY of willful judge. The respondent shall be required to comment

Legal Ethics | 84
or show cause why he should not be suspended, Q: What are the effects of such violation?
disbarred or sanctioned as a member of the Bar. A:
[A.M. NO. 02-9-02 SC]
Violation of R.A. 3019 and Sec. 17. Art. XI of the
Justices and Judges are also protected from 1987 Constitution
baseless and unfounded administrative complaints
- The Supreme Court promulgated A.M. No. 03-10- Section 7. Statement of assets and liabilities.
01-SC – Resolution Prescribing Measures to Protect Every public officer, within thirty days after the
Members of the Judiciary from Baseless and approval of this Act or after assuming office, and
Unfounded Administrative Complaints. within the month of January of every other year
- Complainant may be required to show cause why thereafter, as well as upon the expiration of his
he should not be held in contempt of court. If the term of office, or upon his resignation or
complainant is a lawyer, he may further be required separation from office, shall prepare and file with
to show cause why he or she should not be the office of the corresponding Department Head,
administratively sanctioned as a member of the Bar or in the case of a Head of Department or chief of
and as an officer of the court. an independent office, with the Office of the
President, or in the case of members of the
Congress and the officials and employees
IMPEACHMENT ETHICAL ASPECTS thereof, with the Office of the Secretary of the
Chief Justice Corona was the first justice of the corresponding House, a true detailed and sworn
Supreme Court to be impeached and convicted. He statement of assets and liabilities, including a
was found guilty for culpable violation of the statement of the amounts and sources of his
Constitution and/or betrayal of public trust for not income, the amounts of his personal and family
correctly declaring his Statements of Assets, expenses and the amount of income taxes paid
Liabilities and Net worth (SALN). for the next preceding calendar year: Provided,
That public officers assuming office less than
The prosecution alleges that he inaccurately two months before the end of the calendar year,
declared his peso and dollar deports, and real estate may file their statements in the following months
properties. of January.

The defense argues that CJ Corona did not declare Power of the Supreme Court Over Judges of the
his dollar deposits (around $2.4M) and peso Lower Courts
deposits (P105 M) because of the banking secrecy The Supreme Court has administrative supervision
and foreign currency deposit units laws. Corona also over all courts and the personnel thereof (Section 6,
said that some undeclared assets are also co- Art. VIII, 1987 Constitution). The Court en banc has
mingled funds that he does not own solely. the power to discipline all judges of lower courts
including Justices of the Court of Appeals. It may
Q: What must be disclosed? even dismiss them by a majority vote of the
A: members who actually took part in the deliberations
1. A true and detailed and sworn statement of the issues in the case and voted thereon (Section
of assets 11, Art. VIII, 1987 Constitution).
2. Liabilities
3. Statement of accounts and services of Justices of the Supreme Court can only be
income Removed by Impeachment
4. Amounts of their personal and family There is no specific law or rule which provides for a
expenses system of disciplining an erring Member of the
5. Amount of income tax paid for the next Supreme Court by the Court itself acting en banc.
preceding calendar year The Justices of the Supreme Court are among the
declared impeachable officers under the Constitution.
Q: When is this filed? Thus, they can only be removed by impeachment
A: Within 30 days after assuming office and unlike judges of the lower courts who can be
thereafter on or before the 15th day of April following removed under Rule 140 of the Rules of Court. As
the close of every calendar year, as well as upon impeachable officers, the Justices of the Supreme
expiration of his term of office, or upon resignation, Court may only be removed in accordance with the
or separation from office. constitutional mandates on impeachment.

Legal Ethics | 85
SANCTIONS IMPOSED BY THE SUPREME
COURT ON ERRING MEMBERS OF THE (b) Misappropriation of fiduciary funds
JUDICIARY (proceeds of cash bail bond) by depositing the check
in his personal account, thus converting the trust
Sec. 11. Sanctions. – fund into his own use [Barja v. Beracio (1976)].
(A) If the respondent is guilty of a serious charge,
any of the following sanctions may be imposed: (c) Extorting money from a party-litigant who
has a case before his court [Haw Tay v. Singayao
(1) Dismissal from the service, forfeiture of (1988)].
all or part of the benefits as the Court may determine,
and disqualification from reinstatement or (d) Solicitation of donation for office
appointment to any public office, including equipment [Lecaroz v. Garcia (1981)].
government-owned or controlled corporations.
Provided, however, that the forfeiture of benefits (e) Frequent unauthorized absences in
shall in no case include accrued leave credits; office [Municipal Council of Casiguruhan, Quezon v.
(2) Suspension from office without Morales (1974)].
salary and other benefits for more than three
(3) but not exceeding six (6) months; or INSTANCES OF GROSS INEFFICIENCY WHICH
(3) A fine of more than P20,000.00 MERITED DISCIPLINE BY THE SUPREME COURT
but not exceeding P40,000.00
(a) Delay not only reinforces the belief of the
(B) If the respondent is guilty of a less people that the wheels of justice in this country grind
serious charge, any of the following slowly; it also invites suspicion, however unfair, of
sanctions shall be imposed: ulterior motives on the part of the judge. Judges
should always be mindful of their duty to render
(1) Suspension from office without salary and justice within the periods prescribed by law. (Murphy
other benefits for not less than one (1) nor Chu, et al. vs. Hon. Mario B. Capellan, A.M. No.
more than three (3) months; or MTJ-11-1779 July 16, 2012)
(2) A fine of more than P10,000.00 but not
exceeding P20,000.00. (b) Delay in the disposition of cases in
violation of the Canon that a judge must promptly
(C) If the respondent is guilty of a light dispose of all matters submitted to him. With or
charge, any of the following sanctions shall without the transcripts of stenographic notes, the 90-
be imposed: day period for deciding cases or resolving motions
must be adhered to. [Balagot v. Opinion (1991)]
(1) A fine of not less than P1,000.00 but not
exceeding P10,000.00 and/or (c) Unduly granting repeated motions for
(2) Censure; postponement of a case. [Araza v. Reyes (1975)]
(3) Reprimand;
(4) Admonition with warning. (d) Unawareness of or unfamiliarity with the
application of the Indeterminate Sentence Law and
The ground for the removal of a judicial officer the duration and graduation of penalties. [In re:
should be established beyond reasonable Paulin (1980)]
doubt. Such is the rule where the charges on
which the removal is sought is misconduct in (e) Reducing to a ridiculous amount
office, willful neglect, corruption or (P6,000.00) the bail bond of the accused in a murder
incompetence. The general rules with regard case thus enabling him to escape the toils of the law.
to admissibility of evidence in criminal trials [Soriano v. Mabbayad (1975)]
apply. (Lilia Tabang, et al. vs. Atty. Glenn C. (f) Imposing the penalty of subsidiary
Gacott, A.C. No. 6490, September 29, 2004) imprisonment on a party for failure to pay civil
indemnity in violation of R.A. 5465. [Monsanto v.
INSTANCES OF SERIOUS MISCONDUCT WHICH Palarca (1983)]
MERITED DISCIPLINE BY THE SUPREME COURT:
(a) Failure to deposit funds with the CONDUCT:
municipal treasurer or produce them despite his Administrative cases against lower court judges and
promise to do so [Montemayor v. Collado (1981)] justices are automatically treated as disbarment

Legal Ethics | 86
cases. In administrative proceedings, the quantum delicadeza. [Javier v. Commission on Elections
of proof necessary for a finding of guilt is (1996)]
substantial evidence or such relevant evidence as
a reasonable mind may accept as adequate to The rationale behind Sec. 1, Rule 137 on
support a conclusion. In this case, the complainants disqualification of judges is to preserve public faith in
had not only failed to substantiate the allegations in the judiciary’s fairness and objectivity to ally
their complaint; they had, in fact, opted to withdraw suspicions and distrust as to a possible bias and
the same. Accordingly, the presumption of regularity prejudice in favor or a party coming into play.
in the performance by the respondents of their [Hacienda Benito, Inc. v. Court of Appeals (1987)]
duties must prevail. (Inocencio D. Ebero, et al. vs.
Makati City Sheriffs Raul T. Camposano, et al. A.M. VOLUNTARY DISQUALIFICATION
No. P-04-1792, March 12, 2004) [Section 1 (2), Rule 137, ROC]
A judge may, in the exercise of his sound discretion,
EFFECT OF WITHDRAWAL, DESISTANCE, disqualify himself from sitting in a case, for just or
RETIREMENT OR PARDON valid reasons other than those mentioned above.
The withdrawal of the case by the complainant, or
the filing of an affidavit of desistance or the A judge may not be legally prohibited from sitting in
complainant’s loss of interest does not necessarily a litigation, but when circumstances appear that will
cause the dismissal thereof. Reason: To condition induce doubt as to his honest actuations and probity
administrative actions upon the will of every in favor of either party, or incite such state of mind,
complainant who for one reason or another, he should conduct a careful examination. He should
condones a detestable act is to strip the Supreme exercise his discretion in a way that people’s faith in
Court of its supervisory power to discipline erring the Courts of Justice is not impaired. The better
members of the judiciary. [Anguluan v. Taguba, course for the judge under such circumstances is to
(1979)] disqualify himself. [Borromeo-Herrera v. Borromeo
(1987)]
Desistance will not justify the dismissal of an
administrative case if the records will reveal that the Neither is the mere filing of an administrative case
judge had not performed his duties. [Espayos v. Lee against a judge a ground for disqualifying him from
(1979)] hearing the case, ‘for if on every occasion the party
apparently aggrieved would be allowed to either stop
DISQUALIFICATIONS OF JUSTICES AND the proceedings in order to await the final decision
JUDGES on the desired disqualification, or demand the
immediate inhibition of the judge on the basis alone
COMPULSORY DISQUALIFICATION of his being so charged, many cases would have to
[Section 1 (1), Rule 137, Rules Of Court] be kept pending or perhaps there would not be
No judge or judicial officer shall sit in any case in enough judges to handle all the cases pending in all
which: the court. (GERMAN WENCESLAO CRUZ, JR. vs.
(a) He, or his wife or child, is pecuniarily interested JUDGE DANIEL C. JOVEN, Municipal Circuit Trial
as heir, legatee, creditor or otherwise; or Court, Sipocot, Camarines Sur, A.M. No. MTJ-00-
(b) He is related to either party within the sixth 1270 January 23, 2001)
degree of consanguinity or affinity, or to counsel
within the fourth degree, computed according to the
rules of the civil law; or Intimacy or friendship between a judge and an
(c) He has been executor, administrator, guardian, attorney of record of one of the parties to a suit is no
trustee or counsel; or ground for disqualification. That one of the counsels
(d) He has presided in any inferior court when his in a case was a classmate of the trial judge is not a
ruling or decision is the subject of review, without the legal ground for the disqualification of the said judge.
written consent of all parties in interest, signed by To allow it would unnecessarily burden other trial
them and entered upon the record. judges to whom the case would be transferred… But
if the relationship between the judge and an attorney
The relationship of the judge with one of the parties for a party is such that there would be a natural
may color the facts and distort the law to the inclination to prejudice the case, the judge should be
prejudice of a just decision. Where this is probable disqualified in order to guaranty a fair trial. [Query of
or even only possible, due process demands that Executive Judge Estrada (1987)]
the judge inhibit himself, if only out of a sense of

Legal Ethics | 87
 matter, and served upon the parties. The
certification shall state why a decision or resolution
has not been rendered or issued within said period.
POWERS AND DUTIES OF COURTS & JUDICIAL (4) Despite the expiration of the applicable
OFFICERS mandatory period, the court, without prejudice to
such responsibility as may have incurred in
NATURE OF OFFICE OF THE JUDGE consequence thereof, shall decide or resolve the
Justices and judges must ever realize that they have case or matter submitted thereto for determination,
no constituency, serve no majority or minority but without further delay.
serve only the public interest as they see it in
accordance with their oath of office, guided only by Judges should decide cases even if the parties
the Constitution and their own conscience and honor. failed to submit memoranda within the given period.
[Galman v. Sandiganbayan (1986)] Non-submission of memoranda is not a justification
for failure to decide cases. [Salvador v. Salamanca
A judge must not be moved by a desire to cater to (1986)]
public opinion to the detriment of the administration
of justice. The previous Code of Judicial Conduct PUBLICITY OF PROCEEDINGS AND RECORDS
specifically warned the judges against seeking The sitting of every court of justice shall be public,
publicity for personal vainglory. Vainglory, in its but any court may, in its discretion, exclude the
ordinary meaning, refers to an individual’s excessive public when the evidence to be adduced is of such
or ostentatious pride especially in one’s own nature as to require their exclusion in the interest of
achievements. Even no longer explicitly stated in the morality or decency. The records of every court of
New Code of Judicial Conduct, judges are still justice shall be public records and shall be available
proscribed from engaging in self-promotion and for the inspection of any interested person, at all
indulging their vanity and pride by Canons 1 (on proper business hours, under the supervision of the
Integrity) and 2 (on Propriety) of the New Code. clerk having custody of such records, unless the
(Gerlie M. Uy and Ma. Consolacion T. court shall, in any special case, have forbidden their
Bascug vs. Judge Erwin B. Javellana, A.M. No. publicity, in the interest of morality or decency. [Sec.
MTJ-07-1666, September 5, 2012) 2, Rule 135 ROC]

PROMPT AND IMPARTIAL ADMINISTRATION OF PROCESS OF SUPERIOR COURTS

JUSTICE Process issued from a superior court in which a case
[Sec. 1, Rule 135 ROC] is pending to bring in a defendant, or for the arrest of
any accused persons, or to execute any order or
General Rule: Courts of justice shall always be judgment of the court, may be enforced in any part
open for the filing of any pleading, motion or other of the Philippines. [Sec. 3, Rule 135 ROC]
papers, for the trial of cases, hearing of motions, and
for the issuance of orders or rendition of judgments. PROCESS OF INFERIOR COURTS
Justice shall be impartially administered without [Sec. 4, Rule 135 ROC]
necessary delay.
General Rule: The process of inferior courts shall
Exception: Legal holidays be enforceable within the province where the
municipality or city lies. It shall not be served outside
Art. VIII, Sec. 15, 1987 Constitution the boundaries of the province in which they are
(1) All cases or matters filed after the effectivity of comprised
this Constitution must be decided or resolved within
twenty-four months from date of submission for the Exceptions:
Supreme Court, and, unless reduced by the (1) Except with the approval of the judge of first
Supreme Court, twelve months for all lower instance of said province; and
collegiate courts, and three months for all lower (2) Only in the following cases:
courts. (a) An order for the delivery of personal
xxx property lying outside the province is to be complied
(3) Upon expiration of the corresponding period, a with;
certification to this effect signed by the Chief Justice (b) An attachment of real or personal
or the presiding judge shall forthwith be issued and a property lying outside the province is to be made
copy thereof attached to the record of the case or (c) The action is against two or more

Legal Ethics | 88
defendants residing in different provinces; and TRIALS AND HEARINGS; ORDERS IN
(d) The place where the case has been CHAMBERS
brought is that specified in a contract in writing All trials upon the merits shall be conducted in open
between the parties, or is the place of the execution court and so far as convenient in a regular court
of such contract as appears therefrom. room. All other acts or proceedings may be done or
conducted by a judge in chambers, without the
Writs of execution issued by inferior courts may be attendance of the clerk or other court officials. [Sec.
enforced in any part of the Philippines without any 7, Rule 135 ROC]
previous approval of the judge of first instance.
Criminal process may be issued by a justice of the INTERLOCUTORY ORDERS OUT OF PROVINCE
peace or other inferior court, to be served outside A judge of first instance shall have power to hear
his province, when the district judge, or in his and determine, when within the district through
absence the provincial fiscal, shall certify that in his without his province, any interlocutory motion or
opinion the interests of justice require such service. issue after due and reasonable notice to the parties.
On the filing of a petition for the writ of habeas
INHERENT POWERS OF THE COURTS corpus or for release upon bail or reduction of bail in
Every court shall have power: any CFI, the hearings may be had at any place in
(a) To preserve and enforce order in its the judicial district which the judge shall deem
immediate presence convenient. [Sec. 8, Rule 135 ROC]
(b) To enforce order in proceedings before it,
or before a person or persons empowered to SIGNING JUDGMENTS OUT OF PROVINCE
conduct a judicial investigation under its authority; Whenever a judge appointed or assigned in any
(c) To compel obedience to its judgments, province or branch of a Court of First Instance in a
orders and processes, and to the lawful orders of a province shall leave the province by transfer or
judge out of court, in a case pending therein; assignment to another court of equal jurisdiction, or
(d) To control, in furtherance of justice, the by expiration of his temporary assignment, without
conduct of its ministerial officers, and of all other having decided a case totally heard by him and
persons in any manner connected with a case which was argued or an opportunity given for
before it, in every manner appertaining thereto; argument to the parties or their counsel, it shall be
(e) To compel the attendance of persons to lawful for him to prepare and sign his decision in
testify in a case pending therein; said case anywhere within the Philippines. He shall
(f) To administer or cause to be send the same by registered mail to the clerk of the
administered oaths in a case pending therein, and in court where the case was heard or argued to be filed
all other cases where it may be necessary in the therein as of the date when the same was received
exercise of its powers; by the clerk, in the same manner as if he had been
(g) To amend and control its process and present in court to direct the filing the of the
orders so as to make them conformable to law and judgment. If a case has been heard only in part, the
justice; Supreme Court, upon petition of any of the parties to
(h) To authorize a copy of a lost or the case and the recommendation of the respective
destroyed pleading or other paper to be filed and district judge, may also authorize the judge who has
used instead of the original, and to restore, and partly heard the case, if no other judge had heard
supply deficiencies in its records and proceedings. the case in part, to continue hearing and to decide
[Sec. 5, Rule 135 ROC] said case notwithstanding his transfer or
appointment to another court of equal jurisdiction.
MEANS TO CARRY JURISDICTION INTO EFFECT [Sec. 9, Rule 135 ROC]
When by law jurisdiction is conferred on a court or
judicial officer, all auxiliary writs, processes and COURT RECORDS & GENERAL DUTIES OF
other means necessary to carry it into effect may be CLERK STENOGRAPHER
employed by such court or officer; and if the
procedure to be followed in the exercise of such ARMS AND GREAT SEAL OF THE SUPREME
jurisdiction is not specifically pointed out by law or by COURT
these rules, any suitable process or mode of [Sec. 1, Rule 136 ROC]
proceeding may be adopted which appears Arms - Paleways of two pieces azure and gules
conformable to the spirit of said law or rules. [Sec. 6, superimposed a balance or center with two tablets
Rule 135 ROC] containing the commandments of God or on either
side; a chief argent with three mullets or equidistant

Legal Ethics | 89
from each other; in point of honor, ovoid argent over orders and notices that follow as a matter of course
all the sun, rayonnant or with eight major and minor under these rules, and may also, when directed so
rays. to do by the judge, receive the accounts of
executors, administrators, guardians, trustees, and
Great Seal - Circular in form, with the arms as receivers, and all evidence relating to them, or to the
described above and a scroll argent with the settlement of the estates of deceased persons, or to
following inscription: Lex Populesque, and guardianships, trusteeships, or receiverships, and
surrounding the whole a garland of laurel leaves in forthwith transmit such reports, accounts, and
or; around the garland the text Supreme Court, evidence to the judge, together with his findings in
Republic of the Philippines. relation to the same, if the judge shall direct him to
make findings and include the same in his report.
ARMS AND SEAL OF THE COURT OF APPEALS [Sec. 5, Rule 136 ROC]
Same as that of the Supreme Court; only difference
is that the seal shall bear around the garland the text CLERK SHALL RECEIVE PAPERS AND
Court of Appeals, Republic of the Philippines. PREPARE MINUTES
The clerk of each superior court shall receive and
ARMS AND SEAL OF THE COURT OF FIRST file all pleadings and other papers properly
INSTANCE presented, endorsing on each such paper the time
Same as that of the Supreme Court; only difference when it was filed, and shall attend all of the sessions
is that the seal shall bear around the garland the text of the court and enter its proceedings for each day in
Court of First Instance, the name of the province, a minute book to be kept by him. [Sec. 6, Rule 136
Republic of the Philippines. ROC]

STYLE OF PROCESS SAFEKEEPING OF PROPERTY

Process shall be under the seal of the court from The clerk shall safely keep all records, papers, files,
which it issues, be styled Republic of the Philippines, exhibits and public property committed to his charge,
Province or City of _____________ to be signed by including the library of the court, and the seals and
the clerk and bear date that day it actually issued. furniture belonging to his office. [Sec. 7, Rule 136
[Sec. 2, Rule 136 ROC] ROC]

CLERK’S OFFICE GENERAL DOCKET

The clerk’s office, with the clerk or his deputy in The clerk shall keep a general docket, each page of
attendance, shall be open during business hours on which shall be numbered and prepared for receiving
all days except Sundays and legal holidays. The all the entries in a single case, and shall enter
clerk of the Supreme Court and that of the Court of therein all cases, numbered consecutively in the
Appeals shall keep office at Manila and all papers order in which they were received, and, under the
authorized or required to be field, therein shall be heading of each case and a complete title thereof,
filed at Manila. [Sec. 3, Rule 136 ROC] the date of each paper filed or issued, of each order
or judgment entered, and of each other step taken in
ISSUANCE BY CLERK OF PROCESS the case so that by reference to a single page the
The clerk of a superior court shall issue under the history of the case may be seen. [Sec. 8, Rule 136
seal of the court all ordinary writs and process ROC]
incident to pending cases, the issuance of which
does not involve the exercise of functions JUDGMENT AND ENTRIES BOOK
appertaining to the court or judge only; and may, The clerk shall keep a judgment book containing a
under the direction of the court or judge, make out copy of each judgment rendered by the court in
and sign letters of administration, appointments of order of its date, and a book of entries of judgments
guardians, trustees, and receivers, and all writs and containing at length in chronological order entries of
process issuing from the court. [Sec. 4, Rule 136 all final judgments or orders of the court. [Sec. 9,
ROC] Rule 136 ROC]

DUTIES OF THE CLERK IN THE ABSENCE OR EXECUTION BOOK

BY DIRECTION OF THE JUDGE The clerk shall keep an execution book in which he
In the absence of the judge, the clerk may perform or his deputy shall record at length in chronological
all the duties of the judge in receiving applications, each execution, and the officer’s return thereon, by
petitions, inventories, reports, and the issuance of all

Legal Ethics | 90
virtue of which real property has been sold. [Sec. 10,
Rule 136 ROC] Typewritten documents shall be written double-
spaced. One side only of the page will be written
CERTIFIED COPIES upon, and the different sheets will be sewn together,
The clerk shall prepare, for any person demanding firmly, by five stitches in the left-hand border to
the same, a copy certified under the seal of the court facilitate the formation of the expediente, and they
of any paper, record, order, judgment, or entry in his must not be doubled. [Sec. 15, Rule 136 ROC]
office, proper to be certified, for the fees prescribed
by these rules. [Sec. 11, Rule 136 ROC] PRINTED PAPERS
All papers required by these rules to be printed shall
OTHER BOOKS AND DUTIES be printed with:
The clerk shall keep such other books and perform (a) Black ink
such other duties as the court may direct. [Sec. 12, (b) On unglazed paper
Rule 136 ROC] (c) Pages 6 inches wide, 9 inches
(d) In pamphlet form
INDEX The type used shall not be smaller than 12 pts.
The general docket, judgment book, entries book The paper used shall be of sufficient weight to
and execution book shall be indexed in alphabetical prevent the printing upon one side from being visible
order in the names of the parties, and each of them. upon the other. [Sec. 16, Rule 136 ROC]
If the court so directs, the clerk shall keep two or
more of either or all of the books and dockets above- STENOGRAPHER
mentioned, separating civil from criminal cases, or It shall be the duty of the stenographer who has
actions from special proceedings, or otherwise attended a session of a court either in the morning
keeping cases separated by classes as the court or in the afternoon, to deliver to the clerk of court,
shall deem best. [Sec. 13, Rule 136 ROC] immediately at the close of such morning or
afternoon session, all the notes he has taken, to be
TAKING OF RECORD FROM THE CLERK’S attached to the record of the case; and it shall
OFFICE likewise be the duty of the clerk to demand that the
[Sec. 14, Rule 136 ROC] stenographer comply with said duty. The clerk of
General Rule: No record shall be taken from the court shall stamp the date on which such notes are
clerk’s office without an order of the court except as received by him. When such notes are transcribed
otherwise provided by these rules. the transcript shall be delivered to the clerk, duly
Exception: The Solicitor General or any of his initialed on each page thereof, to be attached to the
assistants, the provincial fiscal or his deputy, and the record of the case.
attorneys de officio shall be permitted, upon proper
receipt, to withdraw from the clerk’s office the record Whenever requested by a party, any statement
of any cases in which they are interested. made by a judge of First Instance, or by a
commissioner, with reference to a case being tried
UNPRINTED PAPERS by him, or to any of the parties thereto, or to any
All unprinted documents presented to the superior witness or attorney, during the hearing of such case,
courts of the Philippines shall be written on paper: shall be made of record in the stenographic notes.
(a) Of good quality [Sec. 17, Rule 136 ROC]
(b) 12 and 3/8 inches long
(c) 8 ½ inches wide DOCKET AND OTHER RECORDS OF INFERIOR
(d) Not less than 1 ½ inch top and left-hand side COURTS.
margins Every municipal and city judge shall keep a well-
bound book labeled docket, in which he shall enter
Papel catalan, of the first and second classes, legal for each case:
cap, and typewriting paper of such weight as not to
permit the writing of more than one original and two (a) The title of the case including the names of all
carbons at one time, will be accepted, provided that the parties;
such paper is of the required size and of good (b) The nature of the case, whether civil or criminal,
quality. and if the latter, the offense charged;
(c) The date of issuing preliminary and intermediate
Documents written with ink shall not be of more than process including orders of arrest and subpoenas,
twenty-five lines to one page. and the date and nature of the return thereon;

Legal Ethics | 91
(d) The date of the appearance or default of the clerk of court shall assess and collect the
defendant; corresponding fees. [Sec. 2, Rule 141 ROC]
(e) The date of presenting the plea, answer, or
motion to quash, and the nature of the same; PERSONS AUTHORIZED TO COLLECT LEGAL
(f) The minutes of the trial, including the date thereof FEES
and of all adjournments; [Sec. 3, Rule 141 ROC]
(g) The names and addresses of all witnesses; Except as otherwise provided in this rule, the officers
(h) The date and nature of the judgment, and, in a and persons hereinafter mentioned, together with
civil case, the relief granted; their assistants and deputies, may demand, receive,
(i) An itemized statement of the costs and take the several fees hereinafter mentioned and
(j) The date of any execution issued, and the date allowed for any business by them respectively done
and contents of the return thereon; by virtue of their several offices, and no more. All
(k) The date of any notice of appeal filed, and the fees so collected shall be forthwith remitted to the
name of the party filing the same. Supreme Court. The persons herein authorized to
collect legal fees shall be accountable officers and
A municipal (or city) judge may keep two dockets, shall be required to post bond in such amount as
one for civil and one for criminal cases. He shall also prescribed by the law.
keep all the pleadings and other papers and exhibits
in cases pending in his court, and shall certify copies (a) Clerks of the Supreme Court, CA, CTA, and
of his docket entries and other records proper to be Sandiganbayan (Sec.4)
certified, for the fees prescribed by these rules. It (b) Clerks of RTCs (Sec. 7)
shall not be necessary for the municipal (or city) (c) Clerks of Court of First Level Courts (Sec. 8)
judge to reduce to writing the testimony of witnesses, (d) Sheriffs, Process Servers and other persons
except that of the accused in preliminary serving processes (Sec. 10)
investigations. [Sec. 18, Rule 136 ROC] (e) Stenographers (Sec. 11)
(f) Notaries (Sec. 12)
ENTRY ON DOCKET OF INFERIOR COURTS. (g) Other officers taking depositions (Sec. 13)
[Sec. 19, Rule 136 ROC]
Each municipal (or city) judge shall, at the beginning It is not simply the filing of the complaint or
and in front of all his entries in his docket, make and appropriate initiatory pleading, but the payment of
subscribe substantially the following entry: the prescribed docket fee, that vests a trial court with
jurisdiction over the subject matter or nature of the
A docket of proceedings in cases before, action. Where the filing of the initiatory pleading is
___________________, municipal judge (or city not accompanied by payment of the docket fee, the
judge) of the municipality (or city) court may allow payment of the fee within a
of___________________, in the province reasonable time but in no case beyond the
of___________________, Republic of the applicable prescriptive or reglementary period. [Sun
Philippines. Life Insurance Office LTD., v. Asuncion (1989)]

Witness my signature, COSTS

________________________ RECOVERY OF COSTS [RULE 142]
Municipal Judge (or City Judge) PREVAILING PARTY
Unless otherwise provided in these rules, costs shall
LEGAL FEES be allowed to the prevailing party as a matter of
course, but the court shall have power, for special
MANNER OF PAYMENT reasons, adjudge that either party shall pay the
Upon filing of the pleading or other application which costs of an action, or that the same be divided, as
initiates an action or proceeding, the fees prescribed may be equitable. No costs shall be allowed against
therefor shall be paid in full. [Sec. 1, Rule 141 ROC] the Republic of the Philippines unless otherwise
provided by law. [Sec. 1, Rule 142 ROC]
FEES IN LIEN
Where the court in its final judgment awards a claim DISMISSED APPEAL OR ACTION
not alleged, or a relief different from, or more than If an action or appeal is dismissed for want of
that claimed in the pleading, the party concerned jurisdiction or otherwise, the court nevertheless shall
shall pay the additional fees which shall constitute a have the power to render judgment for costs, as
lien on the judgment in satisfaction of said lien. The justice may require. [Sec. 2, Rule 142 ROC]

Legal Ethics | 92
FRIVOLOUS APPEAL
Where an action or an appeal is found to be
frivolous, double or treble costs may be imposed on
the plaintiff or appellants, which shall be paid by his
attorney, if so ordered by the court. [Sec. 3, Rule
142 ROC]

FALSE ALLEGATIONS
An averment in a pleading made without reasonable
cause and found untrue shall subject the offending
party to the payment of such reasonable expenses
as may have been necessarily incurred by the other
party by reason of such untrue pleading. The
amount of expenses so payable shall be fixed by the
judge in the trial, and taxed as costs. [Sec. 4, Rule
142 ROC]

NON-APPEARANCE OF WITNESS
If a witness fails to appear at the time and place
specified in the subpoena issued by any inferior
court, the costs of the warrant of arrest and of the
arrest of the witness shall be paid by the witness if
the court shall determine that his failure to answer
the subpoena was willful or without just excuse.
[Sec. 12, Rule 142 ROC]

Legal Ethics | 93