Legal Ethics by Atty.

Louie John Lood Requirements for the admission to the Practice of Law
Compiled notes from power point slides Citizen of the Philippines
SY 2015-2016 Resident of the Philippines
At least 21 years of age
INTRODUCTORY CONCEPTS Of good moral character
Significance of Legal Ethics Produce before the SC satisfactory evidence of good moral
Guards against the abuses and ills of the profession such as character
dishonesty, deceit, negligence, immorality and other forms No charges involving moral turpitude have been filed or
of malpractice.
pending
Raises the standard of the legal profession.
Complied with the academic requirements
Encourages and enhances the respect of the la Pass the bar examinations
Assures an effective and efficient administration of justice Take the lawyers oath, and
Assists in the keeping and maintenance of law and order Sign the Roll of Attorneys
Provides basis for the weeding out of the unfit and the misfit
Supreme Court allowed Filipino graduates of foreign law schools to
Definition of terms take the Philippine Bar
Bar and Bench
Bar Admission Filipino citizen who are graduates of foreign law schools are allowed
Lawyer / titutlo de Abogado counselor-at-law / attorney to take the bar examinations provided they show the ff:
Trial Lawyer Completion of all courses leading to the degree of Bachelor
Practising Lawyerr of Laws or its equivalent degree
Pro Se Recognition of accreditation of the law school by the proper
Client authority
Attorney-at-law Completion of all the fourth year subjects in a law school
Attorney-in-fact duly recognized by the Philippine Government [SC Bar
Counsel De Officio Matter 1153: RE: Letter of Atty. Estelito Mendoza (2010)]
Attorney Ad Hoc
Attorney of Record Continuing Requirements for the Practice of Law
Of Counsel Good and regular standing
Lead Counsel Membership in the IBP
House Counsel Payment of IBP dues
Amicus Curiae Payment of professional tax
Amicus Curiae Par Excellence Compliance with the MCLE
Advocate Possession of good moral character
Solicitor
Prohibitions and Limitations in the Practice of Law
Assumpsit
Appearance of Non-Lawyers in Court
Bar Association
Practice of Law by the Public Officials
Integrated Bar of the Philippines

Appearance of non-lawyers Exceptions

PRACTICE OF LAW
in court
Regulation of Practice of Law
Before the MTC (Sec.34,
Supreme Court (Art.VIII, Sec. 5 (5), 1987 Constitution General Rule: Only those Rule 138, ROC)
Promulgate rules concerning the protection and who are licensed to practice Before any other court
enforcement of constitutional rights, pleading, practice and law can appear and handle (Ibid.)
procedure in all courts, the admission to the practice of law, cases in court. In a criminal case before
the integrated bar, and legal assistance to the under- the MtC (Sec.7, Rule 116,
privileged. ROC)
Law Student Practice Rule
(Rule 138-A, ROC)
Nature of the Power Before the NLRC (Art.
Judicial in nature 222, Labor Code)
Judicial discretion Before the Cadastral
Court
Basic characteristics of the Practice of Law Before the DARAB
Not a matter of right but a mere privilege Any official or person
Profession not a business appointed or designated
in accordance with the
Impressed with public interest law to appear for the
Reserved only to those who are academically trained in law government or any of its
AND Possessed of good moral character officials (Sec. 33, Rule
138, ROC)
Persons entitled to practice Law
Persons admitted as members of the bar and who are in
good and regular standing (Sec. 1, Rule 138, ROC)

Practice of Law by the Public Officials

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
 General Rule: the appointment or election of an attorney The Lawyer and Society Canons 1 6 CPR
to a government office disqualifies him from engaging in The Lawyer and the Legal Canons 7 9 CPR
the private practice of law. Profession
Prohibition: (i) absolutely prohibited; (ii) not absolutely The Lawyer and the Courts Canons 10 13 CPR
prohibited
The Lawyer and the Client Canons 14 22 CPR

Absolutely Prohibited Not Absolutely Prohibited,

THE LAWYER AND SOCIETY
Special Restrictions
Judges and other Senators and Canon 1 Duty to Uphold the Constitution and the Laws
officials or employees Members of the Rule 1.01 Duty not to engage in unlawful, dishonest,
of the superior court House of immoral or deceitful conduct
Officials/employees of Representatives Rule 1.02 Duty not to counsel illegal activities
the OSG Members of the Rule 1.03 Duty not to encourage lawsuits; duty not to
Government Sanggunian delay any mans cause
prosecutors Retired Justice or Rule 1.04 Duty to encourage amicable settlement
President, VP, Judge
Members of the Civil service officers CANON 1 Duty to Uphold the Constitution and the Laws
Cabinet, their deputies or employees Lawyers primary duty to society
and assistants whose duty does Also includes the duty to obey legal orders and processes
Chairman and not require their
of the court
members of the entire time to be at
Constitution the disposal of the
Commission government The Lawyers Oath is a condensed Code of ethics
Ombudsman and his A solemn affirmation of the lawyers lifetime
deputies commitment to be:
Governors, city and o A loyal citizen
municipal mayor o A law-abiding person
Civil service officers or o A defender of truth and justice
employees whose
o An advocate of the rule of law
duties required them to
devote their entire o An exemplar of loyalty and fidelity to the courts
time at the disposal of and to clients
the government o A model to emulate both in his professional and
Those who are by private life
special law are By swearing the lawyers oath, an attorney becomes a
prohibited from
guardian of truth and the rule of law, and an
engaging in the practice
of legal profession indispensable instrument in the fair and impartial
administration of justice.
Proceedings where lawyers are prohibited from appearing
In all Katarungang Pambarangay proceedings. Duties of an Attorney (Section 20, Rule 138, Rules of Court)
(R.A. 7169, Sec. 415; see also Magno v. Jacoba, A.C. No. (a) To maintain allegiance to the Republic of the
6296, 22 November 2005) Philippines and to support the Constitution and obey
the laws of the Philippines
Small Claims Cases (Rules of Procedure of Small Claims
(b) To observe and maintain the respect due to the courts
Cases)
of justice and judicial officers
(c) To counsel or maintain such actions or proceedings
Sanctions for practice or appearance without authority only as appearing to him to be just, and such defenses
Contempt of court only as he believes to be honestly debatable under the
Criminal complaint for estafa law
Suspension or disbarment (d) To employ, for the purpose of maintaining the causes
confided to him, such means only as are consistent
Administrative complaint against the government official
with truth and honor, and never seek to mislead the
judge or any judicial officer by an artifice or sales
CODE OF PROFESSIONAL RESPONSIBILITY statement of fact or law
History and Background of the Code of Professional Responsibility (e) To maintain inviolate the confidence, and at every
Initially drafted in 1980 by the IBP Committee on peril to himself, to preserve the secrets of his client,
responsibility, Discipline and Disbarment and to accept no compensation in connection with his
Promulgated on 21 June 1988 by the Supreme Court clients business except from him or with his
knowledge and approval.
Code of Professional Responsibility
Embodiment into one Code of the various pertinent and
subsisting rules, guidelines and standards on the rule of
Rule 1.01 Duty not to engage in unlawful, dishonest, immoral or
conduct of the lawyers sourced from the Constitution,
deceitful conduct
Rules of Court, Canons of Professional Ethics, Statutes, Unlawful conduct transgression of any provision of law,
special laws, treatises and decisions which must be need not be penal law.
observed by all members of the Bar in the exercise of their
Dishonest act act of lying or cheating
profession whether in our out of the court, as well as in
Grossly immoral or deceitful conduct a conduct which is
their public or private lives.
willful, flagrant, or shameless, and which shows a moral
indifference to the opinion of the good and respectable
The Four-Fold Duties of a Lawyer
members of the community; involves moral turpitude
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
 Moral turpitude an act of baseness, vileness or
depravity in the duties which one person owes to another
or to the society in general which is contrary to the usually
accepted and customary rule of right and duty which a
person should follow
Examples of crimes involving moral turpitude
Estafa
Bribery
Murder
Seduction
Abduction
Concubinage
Smuggling
Falsification of public document
Violation of B.P. 22
Instances of gross Immorality
1. Abandonment of wife
and cohabiting with
another woman.
2. Bigamy perpetrated by
the lawyer.
3. A lawyer who had carnal
knowledge with a fees and against the just rights of the injured persons.
woman through a
promise of marriage
which he did not fulfill
4. Seduction of a woman
who is the niece of a
married woman with
whom the respondent
lawyer had adulterous
relations.
5. Lawyer arranging the
marriage of his son to a
woman with whom the
lawyer had illicit
relations. After the
marriage of the woman
to his son, the lawyer
continued his
adulterous relations
with her.
6. Lawyer inveigling a
woman into believing
that they had been
married civilly to satisfy
carnal desires.
7. Lawyer taking
advantage of his
position as chairman of
the college of medicine
and asked a lady
student to go with in
Manila where he had
carnal knowledge of her
under the threat that if
she refused, she would
flunk in all her subjects.
The lawyer owes it to the society and to the court the duty
not to stir up litigation
The reason for the rule: to prevent BARRATRY and
AMBULANCE CHASING
Definition
Barratry act of fomenting suits among individuals and offering his
legal services to one of them for monetary motives or purpose.
Ambulance Chasing act of chasing (figuratively speaking) an
ambulance carrying the victim of an accident for the purpose of
talking to the said victim or relatives and offering his legal service
for the filing of a case against the person who cause the accident.
Evils Spawned by Ambulance Chasing:
Fomenting of litigation with resulting burdens on the
courts and public;
Subordination of perjury
Mulcting of innocent persons by judgments upon
Corresponding Penalty manufactured causes of actions.
DISBARRED
Defrauding of injured persons having proper causes of
action but ignorant of legal rights and court procedure by
DISBARRED means of contracts which retain exorbitant percentages
of recovery and illegal charges for court costs and
DISBARRED expenses and by settlement made for quick returns of
Rule 1.04 Duty to encourage amicable settlement
Whenever the controversy will admit of fair judgment,
DISBARRED
the client should be advised to avoid or to end the
litigation. (to avoid litigation expenses and to help courts
in the declogging of cases)
A lawyer cannot compromise case without clients
consent (Sec. 23, Rule 138, rules of Court)
DISBARRED
Effect of compromise without clients authority/ consent:
unenforceable, meaning be ratified by the client if he/she
so desires.
CANON 2 Duty to be an Efficient Lawyer
Canon 2 Duty to be an Efficient Lawyer
Rule 2.01 Duty not to reject the cause of the defenseless
or oppressed
DISBARRED
Rule 2.02 Duty not to refuse to render legal advice to the
defenseless or oppressed
Rule 2.03 Duty not to do or permit to be done any act to
solicit legal business
Rule 2.04 Duty not to charge rates lower than those
DISBARRED
customarily prescribed
Rule 2.01 Duty not to reject the cause of the defenseless or
oppressed
Oppressed the victims of cruelty, unlawful exaction,
domination or excessive use of authority
Defenseless those who are not in a position to defend
themselves due to poverty, weakness, ignorance or other
similar reasons
Rations: it is the lawyers prime duty to see to it that justice
is accorded to all without discrimination

Legal Aid is a matter of Public Responsibility

Rule 1.02 Duty not to counsel illegal activities
Duty to be performed within the bounds of the law
Model in the community insofar as respect for law is
concerned
Rule 1.03 Duty not to encourage lawsuits; duty not to delay any
mans cause
It is a means for the correction of social imbalance that may
and often do lea to injustice.
Rule 2.02 Duty not to refuse to render legal advice to the
defenseless or oppressed
If only to the extent necessary to safeguard the latters right

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
 Advice may be on what preliminary steps to take until the Rule 3.02 Duty not to use false, misleading or assumed
client has secured the services of counsel. But he shall name for a firm name
refrain from giving legal advice if the reason for not Rule 3.03 Duty to withdraw from the firm when lawyer
accepting the case is that there involves a conflict of interest accepts public office
Rule 3.04 Duty not to seek publicity
between him and the prospective client or between a
present client and a prospective client.
Canon 3.01 Duty not to use or permit use of self-praises or false
claims on qualifications or quality of legal services
Rule 2.03 Duty not to do or permit to be done any act to solicit
Use true, honest, fair, dignified and objective information.
legal business
The unethical act may be done by the lawyer personally
Reasons for the Prohibition:
or through another with his permission
The profession is primarily for public service
Commercializes the profession
Reasons for the Prohibition
Involves self-praise and puffing
The profession is primarily for public service
Damages public confidence
Commercializes the profession
May increase lawsuits and result in needless litigation
Involves self-praise and puffing
Damages public confidence
Solicitation of Legal Business, When Permissible
Must be compatible with the dignity of the legal May increase lawsuits and result in needless litigation
profession
In Re: Tagorda, 53 Phil. 42
Use of simple signs stating the name of the lawyer; use of
LUIS B. TAGORDA
professional cards bearing the name of the lawyer, his
Attorney
office/law firm connected, address, telephone number, Notary Public
special branch of law practiced. CANDIDATE FOR THIRD MEMBER
Advertisements in legal periodicals Province of Isabela
Publication in reputable law lists. (NOTE. As notary public, he can execute for you to deed of sale
for the purchase of land as required by the cadastral office, can
renew lost documents of your animals, can make your
Primary characteristics which distinguishes the legal profession
application and final requisites for your homestead, and can
from business
execute any kind affidavit. As a lawyer, he can help you collect
A duty of public service, of which the emolument is a by- your loans although long overdue, as well as any complaint for
product, an in which one may attain the highest eminence or against you. Come or write to him in his town, Echague, Isabel.
without making much money. He offers free consultation, and is willing to help and serve the
A relation as an officer of ourt to the administration of poor.)
justice involving sincererity, integrity, and reliability.
A relation to clients in the highest degree of fiduciary. Linsangan v. Atty. Tolentino, A.C. No. 6672
NICOMEDES TOLENTINO
A relation to colleagues characterized by candor, fairness
LAW OFFICE
and unwillingness to resort to current business methods
CONSULTANY & MARITIME SERVICES
of advertising and encroachment on their practice or W/ FINANCIAL ASSISTANCE
dealing directly with their clients.
Rule 3.02 Duty not to use false, misleading or assumed name for
Best Advertisement for a Lawyer a firm name.
A well-deserved reputation for competence, honesty and No name not belonging to any of the partners or
fidelity to private trust and public duty. associates may be used in the firm name for any purpose
By his honesty, he gains public confidence and this public A lawyer is not authorized to use in his practice of law a
confidence is his greatest advertisement. name other than the one inscribed in the Roll of
Attorneys.
Rule 2.04 Duty not to charge rates lower than those customarily
prescribed Use of a deceased partners Use of a foreign law firms
Rationale: to avoid any demeaning and degrading name name
competition Allowed Unethical
Exceptions: (i) relatives; (ii) Indigents / poor Reason: all of the Reason: Foreign
Note: Rule 20.01 the customary charges for similar partners, by their firm is not
joint efforts, authorized to
services and the schedule of fees of the IBP chapter to
contributed to the practice law in the
which he belongs goodwill attached to country.
the firm name.
Use of a cross after
the name of the
deceased partner

CANON 3 Duty of Honest and Dignified Pronouncement of Legal Rule 3.03 Duty to withdraw from the firm when lawyer accepts
Service public office
Rationale: to prevent the law firm or partners from
Canon 3 Duty of Honest and Dignified Pronouncement of Legal making use of the name of the public official to attract
Service legal businesses and to avoid suspicion of undue
Canon 3.01 Duty not to use or permit use of self-praises influence.
or false claims on qualifications or quality of legal services
Rule 3.04 Duty not to seek publicity
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
 Rationale: To prevent some lawyers from gaining an
unfair advantage over others thru the use of gimmickry,
press agentry, or other artificial means.
If competitive advertising is allowed, this may lead to self-
laudations, encourage lawyers to engage in overreaching,
overcharging, underrepresentation
misrepresentation.
CANON 4 Duty to support the improvement of the legal system
Lawyers as officers of the court must assist in the
administration of justice
CANON 5 Duty to keep abreast of legal developments
Lawyers must update themselves with the law and must
participate in the dissemination thereof
Judges must also keep abreast of the laws, rulings and
doctrines of the Supreme Court
Three-fold obligation of a lawyer concerning the requirement
of continuing legal education
First he owes it to Second he owes it Third he owes it to
himself to to his profession the lay public to
continue to take an active make the law a
improving his interest in the part of their social
knowledge of the maintenance of consciousness
law high standards of
legal education
Mandatory Continuing Legal Education (MCLE)
Section 2, Rule 7: Other parties exempted from the MCLE
Those who are not in law practice, private or public
Those who have retired from law practice with the
approval of the IBP Board of Governors
Section 3, Rule 7: Good cause for exemption or modification of
requirements
A member may file a verified request setting forth good
cause for exemption from compliance with or
modification of any of the requirements, including an
extension of time for compliance, in accordance with the
procedure to be established by the MCLE Committee.
Section 5, Rule 7: Proof of Exemption
Applications for exemptions from or modification of the
MCLE requirements shall be under oath and supported by
documents.
Section 1, Rule 12: What constitutes non-compliance
Failure to complete the educational requirement within
the compliance period.
Failure to provide attestation of compliance or
exemption.
Failure to provide satisfactory evidence of compliance
(including evidence of exempt status) within the
prescribed period.
Failure to satisfy the educational requirement and furnish
evidence of such compliance within 60 days from receipt
of a non-compliance notice.
Failure to pay non-compliance fee within the prescribed
period
Any other act or omission analogous to any of the
foregoing or intended to circumvent or evade compliance
with the MCLE requirements
Section 1, Rule 7: Parties exempted from the MCLE
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
1. President, VP, the Secretaries and Undersecretaries of
executive departments
2. Senators and Members of the House of Representatives
3. The Chief Justice and Associate Justices of the Supreme
Court, incumbent and retired members of the judiciary,
incumbent members of the JBC, incumbent members of
and
the MCLE Committee, incumbent court lawyers who have
availed of the PhilJA program of continuing legal
education.
4. The Chief State Counsel, Chief State Prosecutor and
Assistant Secretaries of the DOJ
5. The Solicitor General and the Assistant Solicitor General
6. The Government Corporate Counsel, Deputy and
Assistant Government Corporate Counsel
7. The Chairmen and Members of the Constitutional
Commission
8. The Ombudsman, the Overall Deputy Ombudsman, the
Deputy Ombudsmen and the Special Prosecutor of the
Office of the Ombudsman
9. Heads of the government agencies exercising quasi-
judicial functions
10. Incumbent deans, bar reviewers and professors of law
who have teaching experience for at least 10 years in
accredited law school
11. The chancellor, Vice-Chancellor and members of the
Corps of professors and Professional Lectures of the
PhilJA
12. Governors and Mayors
What is the requirement of completion of MCLE?
Members of the IBP shall complete, every 3 years, at least
36 hours of continuing legal education activities (Section 2,
Rule 2).
Who are required to comply with the MCLE requirement?
MCLE is required of members of the Integrated Bar of the
Philippine (IBP), unless exempted
What is the purpose of MCLE?
To ensure that throughout their career, (1)lawyers keep
abreast with law and jurisprudence, (2) maintain the ethics
of the profession, and (3) enhance the standards of the
practice of law (Section 1, Rule 1)
What are MCLE Compliance Periods?
1st Compliance Period: April 15, 2001 April 14, 2004
2nd Compliance Period: April 15, 2004 April 14, 2007
3rd Compliance Period: April 15, 2007 April 14, 2010
4th Compliance Period: April 15, 2010 April 14, 2013
5th Compliance Period: April 15, 2013 April 14, 2016
OCA Circular No. 79-2014 (May 16, 2014)
Failure to disclose: Penalty and Disciplinary Action
Fine: 2k (1st), 3k (2nd), 4k (3rd); and
Listed as delinquent member; and
Discharged from the case and the client allowed to secure
the services of a new counsel with the concomitant right to
demand the return of the fees already paid to the non-
compliant lawyer
What is the rule on new bar passers?
MCLE Governing Board Order No. 1, s. 2008, provides:
. . . .lawyers who pass the Bar when only 4 months or less
remain of the compliance period, are exempted from
complying with the MCLE requirement for the said
compliance period. They shall comply with the MCLE
requirements for the next compliance period. However,
lawyers who are admitted to the Bar either one year after
 the start of the current compliance period or two years
after the start of the said compliance period are required
to comply with the MCLE in accordance with the MCLE
Governing Board resolution dated October 20, 2004.
Rule 13: Consequence of Non-Compliance
Section 1. Non-Compliance Fee
Section 2. Listing as Delinquent Member
Section 3. Accrual of Membership Fee
B.M. No. 1922 ( 3 June 2008)
Re: Number and Date of MCLE Certificate of Completion/Exemption
required in all Pleadings/Motions
As of January 1, 2009, all lawyers are required to indicate
in all pleadings filed before the courts or quasi-judicial
bodies the NUMBER and the DATE of ISSUE of their MCLE
Certificate of Compliance or Certificate of Exemption for
the immediately preceding compliance period.
CANON 6 The Canons apply to lawyers in government service
CANON 6 The Canons apply to lawyers in government service
Rule 6.01 Duty to see to it that justice is done
Rule 6.02 Duty not to use his public position to promote
or advance private interest
Rule 6.03 Restrictions against government lawyers who
left the service
Rule 6.01 Duty to see to it that justice is done
Public Prosecutor
a quasi-judicial officer and as such, he should seek equal
and impartial justice. He should be concerned with seeing
that no innocent man suffers as in seeing that no guilty
man escapes.
is under no compulsion to file a particular criminal
information where he is not convinced that he has
evidence to prop up the averments thereof, or that the
evidence at hand points to a different conclusion.
(People v. Pineda, 20 SCRA 748 [1967])
Rule 6.02 Duty not to use his public position to promote or
advance private interest
Applies to:
1. lawyers in government service allowed by law to engage
in private practice concurrently; and
2. those who, though prohibited from engaging in the
practice of law, have friends, former associates and
relatives who are in the practice of law
Promotion of private interest includes soliciting gifts or anything of
monetary value in any transactions requiring the approval of his
office or which may be affected by the functions of his office.
Rule 6.03 Restrictions against government lawyers who left the
service
Rationale: To avoid conflict of interest, to preclude the
lawyer from using secrets or information learned in his
official capacity or to prevent the appearance of
impropriety.
Violation of restriction. Tantamount to representing
conflicting interest.
Code of Conduct and Ethical Standards (RA 6713)
All public officials and employees, whether lawyers or non-lawyers
are governed by this code
Provides the standards of personal conduct in the discharge and
execution of official duties
Public Office is a Public Trust
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Lawyers in government are public servants who owe the
utmost fidelity to the public service. Thus, they have to be
more sensitive in the performance of their professional
obligations.
A lawyer in public service is a keeper of public faith and is
burdened with a high degree of social responsibility,
perhaps higher than his brethren in private practice
(Vitriolo v. Dasig, 400 SCRA 172 [2003])
Canon 6 makes the Code applicable to lawyers in government
service
Rationale: A lawyer does not shed his professional
obligations upon his assuming public office
Misconduct in the Discharge of Official Duties as
Government Official
RULE: may not be disciplined as a member of the bar for
the misconduct in the discharge of his official duties.
EXCEPTION: If the misconduct of a government official is of
such character as to affect his qualification as a lawyer or
show moral delinquency.
RA 6713, Section 7 (b) (Code of Conduct and Ethical Standards)
(b) Outside employment and other activities related thereto.
Public officials and employees during their incumbency shall not:
1. Own, control, manage or accept employment as office
employee, consultant, counsel, broker, agent, trustee
or nominee in any private enterprise regulated,
supervised or licensed by their office unless expressly
allowed by law.
2. Engage in the private practice of their profession unless
authorized by the constitution or law, provided that
such practice will not conflict or tend to conflict with
their official functions; or
3. Recommend any person to any position in a private
enterprise which has a regular or pending official
transaction with their office.
These prohibitions shall continue to apply for a period of 1 year
after resignation, retirement or separation from public office,
except in case of subparagraph (2) above, but the professional
concerned cannot practice his profession in connection with any
matter before the office he used to be with, in which case the one
year prohibition shall likewise apply.
RA 910 Section 1 (Condition of Pension) An Act to Provide for the
Retirement of Justices as amended by RA 9946
No retiring justice or judge during the time that he is receiving said
pension shall appear as counsel in any court in any civil case wherein
the government or any of its subdivision or instrumentality is an
adverse party, or in a criminal case wherein an officer or employee
of the government is accused of an offense related to his official
functions, or collect any fee for his appearance in any administrative
proceedings to maintain an interest adverse to the government.
RA 3019, Section 3 (d) Anti-Graft and Corruption Practices Act
Accepting or having any member of his family accepts employment
in a private enterprise which has pending official business with him
during the pendency thereof or within one year after its
termination.
THE LAWYER AND THE LEGAL PROFESSION
CANON 7 Duty to uphold the dignity of the legal profession
Canon 7 Duty to uphold the dignity of the legal profession
Rule 7.01 Duty not to make false statements or suppress
a material fact in connection with application for
admission to the bar
 Rule 7.02 Duty not to support unqualified bar applicant
Rule 7.03 Duty not to engage in conduct adversely
affecting the legal profession
Rule 7.01 - Duty not to make false statements or suppress a
material fact in connection with application for admission to the
bar
A lawyer is expected to be honest from the moment he
applies for admission to the bar. However, the falsity
referred in this Canon must be knowingly done
Consequences of knowingly making a false
statement/suppression of material fact in the application
for admission to the Bar
o If discovered before the Bar exams, denied
permission to take the exams
o If discovered after the candidate passed the Bar
exams but before having taken the lawyers
oath, not allowed to take the lawyers oath
o If discovered after the candidate had taken his
oath, his name will be taken off the Roll of
Attorneys
Effects if what is concealed is a crime not involving moral
turpitude
1. Concealment will be taken against him. The
mere act of concealment and not the
commission of the crime makes him morally
unfit to become a lawyer
2. When he made the concealment, he
perpetrated perjury.
3. As to what crime involves moral turpitude, is for
the Supreme Court to determine
Rule 7.02 Duty not to support unqualified bar applicant
A lawyer should aid in guarding the Bar against admission
of unfit/unqualified applicants
The act of supporting the application to the Bar of any
person known to him to be unqualified constitutes gross
misconduct in office (Rule 138, Sec. 27, RRC)
Rule 7.03 Duty not to engage in conduct adversely affecting the
legal profession
There is no distinction as to whether the transgression is
committed in the lawyers professional capacity or in his
private life or in his private transaction because a lawyer
may not divide his personality so as to be an attorney at
one time and a mere citizen at another.
The conduct of nobility and uprightness should stay with
him whether in his public/private life
CANON 8 Duty of Professional Courtesy
Canon 8 Duty of Professional Courtesy
Rule 8.01 Duty not to use abusive and improper language
Rule 8.02 Duty not to encroach upon the professional
employment of another lawyer
Rule 8.01 Duty not to use abusive and improper language
To maintain the dignity of the legal profession, lawyers
must conduct themselves honorably, fairly and candidly
toward each other. Respect generates respect.
Lawyers should treat each other with courtesy, fairness,
candor and civility.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
a. Any kind of language which attacks without
foundation the integrity of the opposing
counsel or the dignity of the court may be
stricken off the records or may subject a lawyer
to disciplinary action
b. The lawyers arguments, whether written or
oral, should be gracious to both the court and
the opposing counsel and be of such words as
may be properly addressed by one gentleman
to another
c. Lack or want of intention is no excuse for the
disrespectful language employed. Counsel
cannot escape responsibility by claiming that
his words did not mean what any reader must
have understood them as meaning. At best, it
extenuates liability.
Rule 8.02 Duty not to encroach upon the professional
employment of another lawyer
A lawyer should not steal another lawyers client nor
induce the latter to retain him by promise of better
service, good results or reduced fees nor should he
disparage another or make unnecessary comparisons. In
short, no to yellow submarine.
No encroachment when Lawyer shall not
previus lawyer was negotiate with the
already dismissed opposite party who is
represented by counsel
Lawyer may interview any It is but proper to give
witness or prospective advice and assistance to
witness for the opposing victims of unfaithful and
side neglectful counsel
CANON 9 Duty to Shun Unauthorized Practice of Law
Canon 9 Duty to shun unauthorized practice of law
Rule 9.01 Duty not to delegate legal work to unqualified
persons
Rule 9.02 Duty not to divide legal fees with non-lawyers
What is the rationale for the prohibition against the practice of law
by a layman?
It is grounded in the need of the public for integrity and
competence of those who undertake to render legal
services. Because of the fiduciary and personal character
of the lawyer-client relationship and the inherently
complex nature of our legal system, the public can better
be assured of the requisite responsibility and competence
if the practice of law is confined to those who are subject
to the requirements and regulations imposed upon the
members of the legal profession.
Rule 9.01 Duty not to delegate legal work to unqualified persons
Public policy requires that practice of law be limited only
to those individuals found duly qualified in education and
character.
Rationale: To protect the public, the court, the client and
the bar from the incompetence or dishonesty of those
unlicensed to practice law and not subject to the
disciplinary control of the court
Assuming to be an Indirect Contempt- fine,
attorney or an officer of imprisonment or both
a court and acting as (Sections 3 & 7, Rule 71,
such without authority Rules of Court)
 Corruptly or willfully Suspension or disbarment
appearing as an (Section 27, Rule 138,
attorney for a party to a Rules of Court)
case without authority
to do so

Unqualified person- not limited to non-lawyers but also lawyers

who are suspended or disbarred or whose authority to practice has
been withdrawn due to a change in the citizenship or allegiance to
the country

Rule 9.02 Duty not to divide legal fees with non-lawyers

General Rule- Non-lawyers are not entitled to attorneys fees

Rationale: If attorneys fees were allowed to non-lawyers,
it would leave the public in hopeless confusion as to
whom to consult in case of necessity and also to leave the
bar in a chaotic condition, aside from the fact that non-
lawyers are not amendable to disciplinary measures.

Exceptions:
Where there is a pre-existing agreement with a
partner or associate that upon the latters
death, money shall be paid over a reasonable
period of time to his estate or to persons
specified in the agreement
Where a lawyer undertakes to complete
unfinished legal business of a deceased lawyer
Where a lawyer or law firm includes non-lawyer
employees in a retirement plan, even if the plan
is based in the whole or in part, on a profit
sharing arrangement
a. Compensation for services
rendered by the deceased
lawyer
b. The person who undertakes
is a lawyer
c. Not a division of fees but a
pension representing
additional deferred wages
to the employees past
services

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
LAWYER AND THE COURTS
CANON 10 Duty of Candor, Fairness and Good Faith to the
Courts
CANON 10 Duty of Candor, Fairness and Good Faith to the
Courts
Rule 10.01 Duty not to do any falsehood; duty not to
mislead
Rule 10.02 Duty not to knowingly misquote or
misrepresent
Rule 10.03 Duty to observe the rules of procedure; duty
not to misuse the rules
A lawyers conduct before the court should be characterized by
candor and fairness. His duty is to uphold the dignity and authority
of the courts to which he owes fidelity, not to promote distrust in
the administration of justice
Rationale: The burden cast on the judiciary would be intolerable if
it could not take at face value what is asserted by counsel
Rule 10.01 Duty not to do any falsehood; duty not to mislead
The Lawyers Oath mandates the lawyer:
o To do no falsehood
o Nor consent to the doing of the same in court
o To conduct himself as a lawyer according to the
best of his knowledge and discretion with all
good fidelity to the court
Some cases of falsehoods which merited discipline:
Lawyers falsely stating in a deed of sale that property
is free from all liens and encumbrances when it is not
so
(Sevilla v. Zoleta, A.C. No. 31, March 28, 1955)
Lawyers making it appear that a person, long dead,
executed a deed of sale in his favor
(Monterey v. Arayata, Per. Rec. Nos. 3527,3408,
August 23, 1935)
Lawyer encashing a check payable to a deceased
cousin by signing the latters name on the check (In
re Samaniego, A.C. No. 74, November 20,1959)
Lawyer falsifying a power of attorney and used it in
collecting the money due to the principal and
appropriating the money for his own benefit
(In re: Rusina, A.C. No. 270, May 29, 1959)
Lawyer denying having received the notice to file
brief which denial is belied by the return card
(Ragacejo v. IAC, 153 SCRA 462)
Lawyer falsifying Sheriffs Return and seeking the
default of the defendant
(Libit v. Oliva, 237 SCRA 375)
Using in pleadings the IBP number of another lawyer
(Bongolato v. Castillo, CBD No. 176, Jan. 1, 1995)
Manufacturing, flaunting and using a spurious CA
resolution before the RTC
(Florido v. Florido, A.C. No. 5624, January 20, 2004)
Rule 10.02 Duty not to knowingly misquote or misrepresent
Rationale: If not faithfully and exactly quoted, the decisions and
rulings of the court may lose their proper and correct meaning, to
the detriment of other courts, lawyers and the public who may
thereby be misled.
A lawyer is prohibited from:
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Knowingly misquoting or misrepresenting contents of a
paper and language or argument of the opposing counsel
Knowingly citing as law, a provision already rendered
inoperative by repeal or amendment
Asserting as a fact that which has not been proved
Quote VERBATIM: In citing the SC decisions and rulings, it is the
duty of the courts, judges and lawyers to reproduce or copy word
per word as well as punctuations
Rule 10.03 Duty to observe the rules of procedure; duty not to
misuse the rules
Rationale: Procedures are instruments in the speedy and efficient
administration of justice. They should be used to achieve such end
and not derail it.
* A lawyer should always bear in mind that the Rules of Procedure,
like the Rules of Court, are intended to facilitate the delivery of
justice to those whom it is due without unnecessary expense and
waste of time for truly, justice delayed is justice denied. Rules of
Procedure must be used to attain such objective. Any lawyer who
uses them to defeat or frustrate the ends of justice deserves
condemnation.
CANON 11 Duty to give respect to the Courts
CANON 11 Duty to give respect to the Courts
Rule 11.01 Duty to appear in court properly attired
Rule 11.02 Duty to be punctual at court hearings
Rule 11.03 Duty to abstain from scandalous, offensive,
or menacing language or behavior before the courts
Rule 11.04 Duty not to attribute to a judge motives not
supported by the record or having no materiality to the
case
Rule 11.05- Duty to submit grievances against a judge to
the proper authorities
Rationale: Disrespect towards the court would necessarily
undermine the confidence of the people in the honesty and
integrity of the members of the court, and consequently to lower or
degrade the administration of justice by the court.
It is one of the bounden duties of an attorney to observe
and maintain the respect due to the courts of justice and
judicial officers (Rule 138, Section 20 [b], RRC). The
respect is not only toward the Justices and Judges but also
to the other officers of the Courts like Clerks of Court,
Sheriffs and other judicial officers who take part in the
judicial work.
Lawyers must be respectful not only in their actions but
also in their use of language whether in oral arguments or
pleadings.
Criticisms of Courts must not spill over the walls of
decency and property:
Freedom of speech is not absolute, and must
occasionally be balanced with the requirements
of equally important public interests, such as
the maintenance of the integrity of the courts
and orderly functioning of the administration of
justice.
Thus, the making of the contemptuous
statements directed against the Court is not an
exercise of freedom of speech, rather, it is an
abuse of such right. Unwarranted attacks on the
dignity of the courts cannot be disguised as free
speech, for the exercise of said right cannot be
used to impair the independence and efficiency
 of courts or public respect and confidence
therein.
Rule 11.01 Duty to appear in court properly attired
As an officer of the court and in order to maintain the
dignity and respectability of the legal profession, a lawyer
who appears in court must be properly attired.
Consequently, the court can hold a lawyer in contempt of
court if he does not appear in proper attire. Any deviation
from the commonly accepted norm of dressing in court is
enough to warrant a citing for contempt.
Respect begins with the lawyers outward physical
appearance in court.
The traditional attires for male lawyers in the Philippines
are the long-sleeve Barong Tagalog or coat and tie.
Female lawyers appear in semi-formal attires. Judges also
appear in the same attire in addition to black robes.
Courts have ordered a male attorney to wear a necktie
and have prohibited a female attorney from wearing a
hat. However, the prohibition of a dress whose hemline
was five inches above the knee was held to be acceptable
as such had become an accepted mode of dress even in
places of worship.
Sloppy or informal attire adversely reflects on the lawyer
and demeans the dignity and solemnity of court
proceedings.
Rule 11.02 Duty to be punctual at court hearings
A lawyer owes the court and his client the duty to
punctually appear at court proceedings
He shall delay no man for money or malice (Lawyers oath)
Inexcusable absence from, or repeated tardiness in
attending a pre-trial or hearing may subject the lawyer to
disciplinary action as his actions showing disrespect to the
court makes him guilty of contemptuous behavior.
Rule 11.03 Duty to abstain from scandalous, offensive, or
menacing language or behavior before the courts
The lawyers duty to render respectful subordination to
the courts is essential to the orderly administration of
justice. Hence, in the assertion of the clients rights,
lawyers even those gifted with superior intellect, are
enjoined to rein up their tempers (Zaldivar v Gonzales,
166 SCRA 316, 1988).
There is no defense against the use in pleading by a lawyer
of disrespectful, threatening, abusive and abrasive
language. It cannot be justified by the constitutional
rights of free speech for such right is not absolute and its
exercise must be within the context of a functioning and
orderly system of dispensing justice.
Pleading containing derogatory, offensive or malicious
statements submitted to the courts or judge in which the
proceedings are pending constitutes direct contempt.
The lawyers disavowal of any offensive intent-
in using defamatory words is of no avail.
Lack or want of intention is no excuse for the
disrespectful language employed. At best, it
extenuates liability (Rheem of the Philippines v
Ferrer, 20 SCRA 441; please see also Rule 8.01)
Rule 11.04 Duty not to attribute to a judge motives not
supported by the record or having no materiality to the case
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
The rule allows such criticism so long as it is supported by
the record or it is material to the case. A lawyers right to
criticize the acts of courts and judges in a proper and
respectful way and through legitimate channels is well
recognized. The cardinal condition of all such criticism is
that it shall be bona fide, and shall not spill over the walls
of decency and propriety.
When public comments and criticisms of a court decision are
permissible and when would it be improper?
A lawyer, like every citizen, enjoys the right to comment
on and criticize the decision of a court. As an officer of the
court, a lawyer is expected not only to exercise that right
but also to consider it his duty to expose the shortcomings
and indiscretions of courts and judges. But such right is
subject to the limitations that it shall be bona fide. It is
proper to criticize the courts and judges, but it is improper
to subject them to abuse and slander, degrade them or
destroy public confidence in them. Moreover, a lawyer
shall not be attribute to a judge, motives not supported
by the record or have no materiality in the case.
What a lawyer can ordinarily say against a concluded litigation and
the manner the judge handed down the decision therein may not
generally be said to a pending action. The court, in a pending
litigation, must be shielded from the embarrassment and influence
in performing the important duty of deciding it.
On the other hand, once litigation is concluded, the judge who
decided on it is subject to the same criticism as any other public
official because then his ruling becomes public property and is
thrown to public consumption.
Rule 11.05- Duty to submit grievances against a judge to the
proper authorities
A lawyer has the duty to defend a judge from unfounded criticism
or groundless personal attack
The duty to respect does not preclude a lawyer from filing
administrative complaints against erring judges, or from acting as
counsel for clients who have legitimate grievances against them.
Nature of the Case Where to File
If administrative in nature It shall be filed with the Office
of the Court of Administrator
of the Supreme Court
If criminal and not purely It shall be filed with the Office
administrative of the Ombudsman
If it involves a Justice of the It must be coursed through the
Supreme Court based on the House of Representative and
impeachable offenses the Senate in accordance with
the rules of impeachment
Constitution, Article VIII, Section 6. The Supreme Court shall have
administrative supervision over all courts and the personnel
thereof.
An administrative complaint is not an appropriate remedy
where judicial recourse is still available, such as a motion
for reconsideration, an appeal, or a petition for certiorari,
unless the assailed order or decision is tainted with fraud,
malice or dishonesty. (Santiago III v Justice Enriquez, Jr.
AM No CA-09-47-J, February 13, 2009)
What is the coverage of Rule 139-B of the Rules of Court? Are the
judges and justices covered by this Rule?
Members of the judiciary are excluded from the coverage
of Section 1, paragraph 2 of Rule 139
 All complaints against justices and judges are required to
be forwarded directly to the Supreme Court
CANON 12 Duty to Assist in the Speedy and Efficient
Administration of Justice
CANON 12 Duty to Assist in the Speedy and Efficient
Administration of Justice
Rule 12.01 Duty to adequately prepare for trial
Rule 12.02 Duty not to engage in forum shopping
Rule 12.03 Duty to file pleadings on time
Rule 12.04 Duty not to unduly delay a case
Rule 12.05 Duty not to talk to witness, during break or
recess, while the latter is still under examination
Rule 12.06 Duty not to knowingly assist a witness to
misrepresent or impersonate
Rule 12.08 Duty to avoid testifying in behalf of his client
CONST Art III, Sec 6. All persons shall have the right to a speedy
disposition of their cases before all judicial, quasi-judicial or
administrative bodies
Rule 138, Sec 20 (g). Duties of attorneys It is the duty of an
attorney: (g) Not to encourage either the commencement or the
continuance of an action or proceeding, or delay any mans cause,
from any corrupt motive or interest
Rule 12.01 Duty to adequately prepare for trial
A lawyer shall not handle any legal matter without adequate
preparation (Rule 18.02)
A lawyer should never come to court unprepared. Most cases
brought to court without preparation are cases lost. Half of the
work of a lawyer is done in the office. It is spent in study and
research. Inadequate preparation obstructs the administration of
justice
Rule 12.02 Duty not to engage in forum shopping
Forum shopping: the institution of two or more actions or
proceedings grounded on the same cause, on the gamble that one
or the other court would make a favorable disposition
The essential elements of forum shopping:
a. Two or more cases are pending
b. The pending cases involve: same parties, same
causes of action, same relief prayed for
Penalties for violation of the rule against forum shopping under
Section 5, Rule 7 of the Rules of Court
1. Failure to comply with the requirement shall not be
curable by mere amendment of the complaint or
other initiatory pleading but shall be cause for
dismissal of the case without prejudice, unless
otherwise provide, upon motion and after hearing.
2. The submission of a false certification of non-
compliance with any of the undertakings therein
shall constitute indirect contempt of court, without
prejudice to the corresponding administrative and
criminal actions, and
3. If the acts of the party or his counsel clearly
constitute willful and deliberate forum shopping, the
same shall be ground for summary dismissal with
prejudice, and shall constitute direct contempt, as
well as a cause for administrative sanctions.
Specific instances of forum shopping that merited sanction
1. When, as a result of an adverse opinion in one
forum, a party seeks a favorable opinion (other than
by appeal or certiorari) in another
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
2. Filing an action in court while the same cause of
action is still pending in an administrative proceeding
3. Filing a second suit in a court without jurisdiction
4. When counsel omits to disclose the pendency of an
appeal, in filing a certiorari case
Who signs the Certification against forum shopping?
General rule: It must be signed by the client and not by the counsel.
Otherwise, it is equivalent to non-compliance with the Rules of
Court is defective.
Exception: When the counsel, clothed with the special power of
authority to do so, attests in the certification that her has personal
knowledge of the facts stated and gives justifiable reasons why the
party himself cannot sign the same
Rule 12.03 Duty to file pleadings on time
The court censures the practice of counsels who secures repeated
extensions of the time to file their pleadings and thereafter simply
let the period lapse without submitting the pleading or even an
explanation or manifestation of their failure to do so
Where a lawyers motion for extension of time to file a pleading,
memorandum or brief has remained unacted by the court, the least
that is expected of him is to file it within the period asked for
Rule 12.04 Duty not to unduly delay a case
It is understandable for a party to make full use of every conceivable
legal defense the law allows it. However, of such attempts to evade
liability to which a party should respond, it must ever be kept in
mind that procedural rules are intended as an aid to justice, not as
means for its frustration.
Once a judgement becomes final and executory, the prevailing
party should not be denied the fruits of his victory by some
subterfuge devised by the losing party. Unjustified delay in the
enforcement of a judgment sets at naught the role of the courts in
disposing justiciable controversies with finality.
Rule 12.05 Duty not to talk to witness, during break or recess,
while the latter is still under examination
Purpose: To prevent the suspicion that he is coaching the witness
what to say during the resumption of examination. Moreover, this
rule is also designed to uphold and maintain fair play with the other
party and to prevent the examining lawyer from being tempted to
coach his own witness to suit his purpose.
Rule 12.06 Duty not to knowingly assist a witness to
misrepresent or impersonate
The witness who commits misrepresentation is criminally liable for
false testimony either under Art 181, 182, or 183 of the Revised
Penal Code, as the case may be. The lawyer who induces a witness
to commit false testimony is equally guilty as the witness.
The lawyer who presented a witness knowing him to be a false
witness is criminally liable for Offering False Testimony in
Evidence under Art 184 of RPC.
The lawyer who is guilty of the above is both criminally and
administratively liable.
Rule 12.07 Duty not to abuse, browbeat or harass or needlessly
inconvenience a witness
The lawyer has a duty to always treat adverse witnesses and suitors
with fairness and due consideration.
Thus, it is misbehavior in court for lawyer to frighten or shout at
witness, to terrorize them or tear them down arrogantly, cross
examine them with incessant questions beyond what is fair and
necessary or maligning them with such other similar acts where
disrespect instead of respect, is the tone of the action.
Rights and Obligations of a Witness under Section 3, Rule 132, RPC
A witness must answer questions, although his answer
may tend to establish a claim against him. However, it is the right of
a witness:
1. To be protected from irrelevant, improper or
insulting questions and from harsh or insulting
demeanor
2. Not to be detained longer than the interests of
justice require;
3. Not to be examined except only as to matter
pertinent to the issue
4. Not to five an answer which will tend to subject him
to a penalty for an offense unless otherwise
provided by law; or
5. Not to give an answer which will tend to degrade his
reputation, unless it be the fact at issue or to a fact
which the fact in issue would be presumed. But a
witness must answer to the fact of his previous final
conviction for an offense.
Rule 12.08 Duty to avoid testifying in behalf of his client
Exceptions:
a. On formal matters, such as the mailing
authentication or custody of an instrument and the
like; or
b. On substantial matters, in cases where his testimony
is essential to the end of justice, in which event he
must, during testimony, entrust the trial of the case
to another counsel
Rationale of the Rule:
a. There is a difference between respective functions of
a witness and advocate
b. The function of a witness is to tell the facts as he
recalls them in answer to question
c. The function of an advocate is that of a partisan
d. The lawyer will find it hard to dissociate his relation
to his client as an attorney and his relation to the
party as a witness
Instances when a lawyer MAY NOT testify as a witness in a case
which he is handling for a client:
1. When as an attorney, he is to testify on the theory of
the case
2. When such would adversely affect any lawful
interest of the client with respect to which
confidence has been reposed on him
3. Having accepted a retainer, he cannot be a witness
against his client
4. He cannot serve conflicting interest
5. When he is to violate the confidence of his client
Instances when a lawyer MAY testify as witness in a case which he
is handling for a client
1. On formal matters, such as the mailing,
authentication or custody of instrument and the like
2. Acting as an expert on his fee
3. On substantial matters in cases where his testimony
is essential to the ends of justice, in which event he
must, during his testimony, entrust the trial of the
case to another counsel
CANON 13 Duty to refrain from acts giving appearance of
influencing the court
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
CANON 13 Duty to refrain from acts giving appearance of
influencing the court
Rule 13.01 Duty not to extend extraordinary attention
not seek opportunity for cultivating familiarity with judges
Rule 13.02 Duty not to make public statements in the
media regarding pending case
Rule 13.03 Duty not to invite outside interference in the
judicial proceedings
In prosecuting or defending cases, the lawyer must be guided by the
principles of justice. He must rely on the merits of his cases and
should avoid using influence and connections to win his cases. His
cases must be won because they are meritorious and not because
of connection, clout, dominance or influence. To do so, the lawyer
breaks the basic principles of justice which is highly condemnable.
Courts as impartial administrators of justice are entitled to dispose
of their business in an orderly manner, free from outside
interference obtrusive of their functions and tending to embarrass
the administration of justice, just as litigants are entitled to have
their causes tried fairly by an impartial tribunal, uninfluenced by
publication, public clamor, bias, prejudice or sympathies.
Rule 13.01 Duty not to extend extraordinary attention not seek
opportunity for cultivating familiarity with judges
Rationale: To protect the good name and reputation of the judge
and the lawyer
The unusual attention may subject both the judge and the lawyer
to suspicion
The common practice of some lawyers making judges and
prosecutors godfathers of their children to enhance their
influence and their law practice should be avoided by
judges and lawyers alike
A lawyer should not see a judge in chamber and talk to
him about a case he is handling and pending in the judges
court
A lawyer should not communicate to the judge the merits
of a pending case.
Rule 13.02 Duty not to make public statements in the media
regarding pending case
Test when public statement is contemptuous The character of the
act done and its tendency to prevent and obstruct the discharge of
official duty is the test to determine whether a newspaper
publication concerning a pending case is contemptuous.
Trial by publicity, when prejudicial
There must be an allegation and proof that the judges
have been unduly influenced, not simply that they might
be, by barrage of publicity
Televising a court trial would amount to a violation of due process.
A carnival atmosphere would be created.
Newspaper publications regarding a pending or
anticipated litigation may interfere with fair trial,
prejudice the administration of justice, or subject a
respondent or an accused to a trial by publicity and create
a public interference of guilt against him
The SC has the power and discretion to allow or disallow a live
media coverage of a trial
Resolution dated 22 October 1991 the SC prohibited
live radio and television coverage in the libel case filed by
former president Corazon Aquino against then Philippine
Star columnist Luis Beltran
 Resolution dated 29 June 2001 the SC denied a petition
to allow live media coverage of the anticipated trial of the
plunder and other criminal cases filed against former
President Joseph E. Estrada before the Sandiganbayan

Resolution dated 13 September 2001 the SC allowed

press to cover the promulgation of the decision live

Resolution dated 14 June 2011 the SC allowed pro hac

vice live radio and television coverage of the Ampatuan
(Maguinadanao Massacre trial subject to guidelines it
specified)

Resolution dated 23 October 2012 the SC disallowed

the live media broadcast of the Maguindanao massacre
trials and allowed only the audio visual recording and
streaming of the video coverage both (1) for documentary
purposes, and (2) for transmittal to specified viewing
areas: (i) outside the courtroom, within the Camp Bagong
Diwa premises, and (ii) selected trial courts in
Maguindanao, Koronadal, South Cotabato and Gen San
City where relatives of the accused and victims reside.

Rule 13.03 Duty not to invite outside interference in the judicial

proceedings

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LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
THE LAWYER AND THE CLIENT
CANON 14 Duty to render legal service to the needy
Rule 14.01 Duty to make available services regardless of status
Rule 14.02 Duty not to decline appointments as counsel de
officio or amicus curae
Duty 14.03 Duty not to refuse representation of the indigent
clients
Rule 14.04 - Duty to observe same standard of conduct for all
clients
CANON 15 Duty of Candor, Fairness and Loyalty to the Client
Rule 15.01 Duty to ascertain conflict of interest
Rule 15.02 Duty to preserve privileged communication
Rule 15.03 Duty not to represent conflicting interests
Rule 15.04 Duty to acts as mediator, conciliator or arbitrator
Rule 15.05 Duty to give candid, honest advice
Rule 15.06 Duty not to claim influence
Rule 15.07 Duty to impress compliance with laws
Rule 15.08 Duty in case of dual profession
*No slides available for CANONS 14-15
CANON 16- Duty to be a trustee of clients money and property
CANON 16- Duty to be a trustee of clients money and property
Rule 16.01- Duty to account for all money or property
collected or received
Rule 16.02- Duty to keep clients funds separate
Rule 16.03- Duty to deliver the funds and property;
attorneys lien
Rule 16.04- Duty not to borrow from nor lend money to client
Art. 1491(5) Civil Code.
The following persons cannot acquire by purchase, even at public
auction, whether in person or though the mediation of another:
(5) Justices, judges, prosecuting attorneys, clerks of
superior and inferior court, and other officers and
employees connected with the administration of justice,
the property and the rights in litigation or levied upon an
execution before the court within whose jurisdiction or
territory they exercise their respective functions: this
prohibition includes the act of acquiring by assignment
and shall apply to lawyers, with respect to the property
and rights which may be the object of any litigation in
which they may take part by virtue of their profession.
Elements of prohibition against the purchase of property to
litigation under Article 1491 of the Civil Code
1. There is an attorney-client relationship;
2. The property is in litigation;
3. The attorney takes part as counsel in the case; and
4. The attorney, by himself or through an agent, purchases
such property during the pendency of said case.
Effects of prohibited purchase
1. A prohibited purchase is null and void ab initio, public
interest and public policy dictate that its nullity is definite
and permanent and cannot be cured by ratification. The
lawyer will be deemed to hold the property in trust for the
client.
2. The client is therefore entitled to recover the property
and interest from his attorney with the fruits. The client
should, however, return the purchase price and the legal
interests.
3. Malpractice on the part of the lawyer and the lawyer may
be disciplined for misconduct.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Rule 16.01 - Duty to account for all money or property collected or
received
A lawyer must be scrupulously careful in handling money
entrusted to him in his professional capacity, because of
the high degree of fidelity and good faith expected on his
part. (Medina v. Bautista, A.C. No. 190. September 1964)
A lawyer, under his oath, pledges himself not to delay any
man for money or malice and is bound to conduct himself
with all good fidelity to his clients. He is obligated to
report promptly the money of his clients that has come to
his possession (otherwise a violation of Sec. 25, Rule 138
of ROC). He should not commingle without his clients
consent. He should maintain a reputation for honesty and
fidelity to private trust.
Rule 16.02 - Duty to keep clients funds separate
A lawyer should keep funds of each client separate and
apart from his own. He should not use clients money for
personal purposes without clients consent. He should
report promptly the money of his client in his possession.
Failure of the lawyer to account all the funds and property
of his client which may come into his possession would
amount to misappropriation which may subject him to
disbarment on the ground of grave misconduct or a
criminal prosecution for estafa under Art. 315 par. 1 (b) of
the RPC.
Rule 16.03- Duty to deliver the funds and property; attorneys lien
A lawyer who obtained possessions of the funds and
properties belonging to his client in the course of his
professional employment shall deliver the same to his
client when (a) they become due, or (b) upon demand.
The lawyers failure to deliver upon demand gives rise to
the presumption that he has misappropriated the funds
for his own use to the prejudice of the client and in
violation of the trust reposed in him.
The rule grants the lawyer a lien over the clients funds in his
possession as well as on all judgments and execution he has secured
for his client, to satisfy his lawful fees and disbursements.
Note: While this rule provides that the lawyer has the
right to retain the funds of his client as may be necessary
to satisfy his lawful fees and disbursements know as Note:
While this rule provides that the lawyer has the right to
retain the funds of his client as may be necessary to satisfy
his lawful fees and disbursements know as attorneys lien
and his lien to the same extent on all judgments and
execution he has secured for his client called charging
liens, he is still duty bound to render an accounting of his
clients funds and property which may come into his
possession in the course of his professional employment.
In the application of attorneys lien a lawyer shall give
notice to his client otherwise, the same might be
construed as misappropriation which may subject him to
disciplinary action.
(Please see also Section 37, Rule 138 of the Rules of Court)
Rule 16.04 - Duty not to borrow from nor lend money to client
Rationale: The Rule against borrowing of money by a lawyer from
his client is intended (i) to prevent the former form taking
advantage of his influence over the latter, and (ii) to assure the
lawyers independent professional judgment.
If a lawyer acquires a financial interest in the outcome of the case,
the free exercise of his judgment may be adversely affected.
Exceptions to the rule against borrowing or lending of money
 The lawyer is allowed to borrow money from his client
provided the interests of the client are fully protected by
the nature of the case or by independent advice.
The lawyer may lend money to a client, when it is
necessary in the interest of justice to advance necessary
expenses in a legal matter he is handling for the client.
The advances made shall be subject to reimbursement.
CANON 17 Duty of Fidelity to the Cause of the Client
Lawyers duty of fidelity commences from the receipt of his retainer
until his effective release from the case or final disposition of the
whole subject matters of the litigation. During that period, he is
expected to take such reasonable steps and such ordinary case as
his clients interest may require.
When a lawyer takes a clients cause, he thereby covenants that he
will exert all effort for its prosecution until its final conclusion. The
failure to exercise due diligence or the abandonment of a clients
case makes such lawyer unworthy of the trust which the client had
reposed on him. A lawyer has the duty to protect with utmost
dedication the interest of his client and of the fidelity, trust and
confidence which he owes his client.
CANON 18 Duty to serve with competence and due diligence
CANON 18 Duty to serve with competence and due diligence
Rule 18.01- Duty not to undertake legal services if not
qualified; collaborating counsel
Rule 18.02- Duty to adequately prepare for cases
Rule 18.03- Duty not to neglect legal matters
Rule 18.04- Duty to inform client of status of the case
Competence refers to the sufficiency of lawyers qualifications to
deal with the matter in question and includes knowledge and skill
and the ability to use them effectively in the interest of the client.
Diligence is the attention and care required of a person in a given
situation and is the opposite of negligence, it is axiomatic in the
practice of law that the price of success is eternal diligence to the
cause of the client.
Lawyer impliedly represents that he possesses requisite degree of
learning, skill, ability which is necessary to the practice of his
profession and which other similarly situated possess, he will exert
his best judgment in the prosecution or defense of the litigation
entrusted to him, he will exercise reasonable and ordinary care and
diligence in the use of his skill and in the application of his
knowledge to his clients cause, he will take such steps as will
adequately safeguard his clients interest. A client may reasonably
expect that counsel will make good his representation.
Rule 18.01 - Duty not to undertake legal services if not qualified;
collaborating counsel
Some cases involve specialized fields of law and require
special training. A lawyer should not accept an
undertaking in specific area of law which he knows or
should know he is not qualified to enter.
Exception: If his client consents, he lawyer can take as
collaborating counsel another lawyer who is competent
on the matter.
Collaborating counsel- one who is subsequently engaged to assist a
lawyer already handling a particular case for client.
The handling lawyer cannot just take another counsel
without the consent of the client. The new lawyer, on the
other hand, cannot just enter his appearance as
collaborating counsel without the conformity of the first
counsel.
The same diligence required of the first counsel is
required of the collaborating counsel.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Rule 18.02 - Duty to adequately prepare for cases
Lawyer should safeguard his clients right and interests by
thorough study and preparation, mastering applicable
law and facts involved in a case, regardless of the nature
of the assignment, and keeping constantly abreast of the
latest jurisprudence and developments in all branches of
the law.
A lawyer should prepare his pleadings with great care and
circumspection. He should refrain from using abrasive
and offensive language, for it merely weakens rather than
strengthens the force of legal reasoning and detracts
from its persuasiveness.
Rule 18.03 - Duty not to neglect legal matters
The standard of diligence required of a lawyer is that of a
good father of a family. He is not bound to exercise
extraordinary diligence.
It should be remembered that the moment the lawyer
takes a clients cause, he covenants that he will exert all
effort for its prosecution until its final conclusion. A
lawyer who fails to exercise due diligence or abandons his
clients cause makes him unworthy of the trust and
confidence reposed on him by the latter. (Legarda v. CA,
209 SCRA 722 (1992)).
Instances of negligence of attorneys
1. Failure to ask for additional time to answer which resulted
in a default judgment against his client.
2. Failure to file brief within the reglementary period to file.
3. Failure to attend to trial without filing a motion for
postponement or for resetting.
4. Failure to take action to have the adverse decision
reconsidered.
5. Failure to notify the court of change of address resulting
in failure to receive judicial orders to the prejudice of
client.
6. Failure to present evidence.
7. Failure to pay appellate docket fee after receiving the
amount for the purpose.
Rule 18.04- Duty to inform client of status of the case
The client has the right to be fully informed of the status
of the case particularly on the important movements or
developments therein, Vis--vis this right, the lawyer has
the corresponding duty to notify his client of the
important orders or decisions not yet known to the client.
A lawyer should notify his client of the adverse decision while within
the period to appeal to enable the client to decide whether to seek
an appellate review. He should communicate with him concerning
the withdrawal of appeal with all its adverse circumstances.
The client is entitled to the fullest disclosure of the mode or manner
by which his interest is defended or why certain steps are taken or
omitted.
It is the duty of a party litigant to be in contact with his counsel from
time to tie in order to be informed of the progress of the case.
CANON 19 Duty to serve only within the bounds of law
CANON 19 Duty to serve only within the bounds of law
Rule 19.01- Duty to employ only fair and honest means
 Rule 19.02- Duty to rectify clients fraud
Rule 19.03- Duty to control proceedings
The client is entitled to the benefit of any and every remedy and
defense that is authorized by the law of the land, and he may expect
his lawyer to assert every such remedy or defense.
The advocacy for the client is to be performed within and
not without the bounds of the law. The office of an
attorney does not permit, much less does it demand of
him for any client, violation of law or any manner of fraud.
A lawyers duty is not to his client but to the
administration of justice. His conduct ought to and must
always be scrupulously observant of law and ethics.
Rule 19.01 - Duty to employ only fair and honest means
In civil case- it is the lawyers duty to counsel or maintain
such actions or maintain such actions or proceedings only
as appear to him to be just, and such defenses only as he
believes to be honestly debatable under the law (Section
20 (C), Rule 138, RPC).
In criminal cases- the lawyer should defend the accused
by all fair and reasonable means that the law permits
regardless of his personal opinion as to the guilt of the
accused.
Only honorable, fair, and honest means shall be employed in the
maintenance of cases
1. A lawyer must not present and offer in evidence any
document which he knows is false.
2. A lawyer should not present a false witness whom he
knows will perjure.
3. A lawyer shall not file or threaten to file any unfounded
or baseless cases against adversaries of his client.
4. A lawyer shall not do any false, nor consent to the doing
for any in court nor shall he mislead or allow the court to
be misled by any artifice.
5. A lawyer shall not knowingly misquote the contents of a
paper, the text of a decision or authority nor shall he
knowingly cite as law a provision already rendered
inoperative because of repeal or amendment, nor shall be
assert as a fact something which has not yet been
established.
6. A lawyer shall not bribe or attempt to bribe a judge to win
his case.
Rule 19.02 - Duty to rectify clients fraud
A lawyer should do his best efforts to restrain and to
prevent his client from perpetrating acts which he himself
ought not to do, particularly with reference to their
conduct toward courts, judicial officers and witnesses. If
the client persists in such wrongdoings, the lawyer should
terminate their relation.
This rule requires the lawyer to terminate his relationship
with the client in the event the latter fails or refuses to
rectify the fraud.
Note: The lawyer shall not volunteer the information
about the clients commission of the fraud to anyone for
that will run counter to his duty to maintain at all times
the clients confidences and secrets.
Rule 19.03 - Duty to control proceedings
Rule: In matters of law, it is the client who should yield to
the lawyer and not the other way around.
Reason: The lawyer is trained and skilled in the law. The
client has not knowledge of procedure and necessarily
entrusts this to the attorney he employs.
Authority of an attorney in the conduct of litigation
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
1. A lawyer has authority to bind the client in all matters
of ordinary judicial procedure. The lawyer, and not the
client, is assumed to have knowledge of the law and the
rules of procedure.
2. On the subject matter of the case, it is the client who
will have final decision.
Lawyers authority to compromise
General Rule: The lawyer has no authority to compromise
his clients case.
Reason: The client, even if represented by counsel,
retains exclusive control over the subject matter of the
litigation.
Exception: The client can authorize his lawyer to
compromise his case, and the settlement made by the
lawyer will bund the client.
Mistakes or negligence of lawyer binding upon client
General Rule: Client s bound by attorneys conduct, negligence and
mistake in handling a case or in management of litigation and in
procedural technique, and he cannot be heard to complain that
result might have been different had his lawyer proceeded
differently.
Exceptions:
1) Where adherence thereto results in outright deprivation
of clients liberty or property or where interest of justice
so requires.
2) Ignorance, incompetence or inexperience of lawyer is so
great and error so serious that client, who has good cause
is prejudiced and denied a day in court.
3) Gross negligence of lawyer.
CANON 20. Duty to charge only fair and reasonable fees
CANON 20. Duty to charge only fair and reasonable fees
Rule 20.01- Guide in determining attorneys fees
Rule 20.02- Division of fees in proportion to the work
performed and responsibility assumed
Rule 20.03- Duty not to accept any fee or other
compensation whatsoever related to his professional
employment from anyone other than the client
Rule 20.04- Duty to avoid compensation controversies with
client
Legal basis for attorneys fees
The fact of employment as lawyer by the client
constitutes the legal basis of the lawyers right to demand
payment for his services. No formal contract is necessary
to effectuate employment.
Requisites for the right to attorneys fees:
1. Existence of attorney-client relationship.
2. Rendition by the lawyer of service to the client.
Reason for adequate compensation:
A lawyer like all other human beings has a right to
livelihood.
That the practice of law is a profession and not a money-
making trade does not operate to deny a lawyer the right
to attorneys fees for his professional services. He has the
right to have and recover from his client a fair and
reasonable compensation for his services, except in cases
where he has agreed to render service gratuitously.
It is necessary in order to enable the lawyer to serve his
clients effectively and to preserve the integrity and
independence of the profession. The legal profession
cannot remain a viable force in fulfilling its role in our
society unless the lawyer receives adequate
compensation for his services.

Written agreement
Not necessary to establish a clients obligation to pay
attorneys fees
As long as the lawyer is honestly and in good faith trying
to serve and represent the interest of his client, an
absence of express undertaking does not defeat recovery
of fees
It is advisable for the benefit of both the lawyer and the
clients: that as soon as they have agreed on the
engagement of the former by the latter, the attorneys
fees are immediately determined and fixed.
Reason: to avoid future misunderstandings which usually arise
when the client thinks low of the value of the services of the
counsel, and the latter thinks high of his services, and no one is
expressing what is in his mind.
Advantages of a written contract for attorneys fees:
1. An express valid contract stipulating for the
compensation which the attorney is to receive for his
services is generally held conclusive as to the amount of
compensation.
2. In case of unjustified dismissal of attorney, he shall be
entitled to recover from the client full compensation
stipulated in the contract. The law seeks to protect
lawyers from unscrupulous and ungrateful clients who
dismiss lawyers to avoid payment of attorneys fees
Two concepts of attorneys fees:
1. Ordinary
the reasonable compensation paid to the
lawyer for the legal services he had rendered in
favour of his client.
The basis of this compensation: the fact of
employment by the client.
2. Extraordinary-
an indemnity for damages ordered by the court
to be paid by the losing party to the prevailing
party in a litigation.
The basis: any of the cases authorized by law
(Art. 2208, Civil Code) and is payable not to the
lawyer but to the client unless there is an
agreement that the award shall pertain to the
lawyer as an additional compensation or as part
thereof.
Attorneys fees as damages:
General rule: Attorneys fees as damages is not
recoverable because it is not the fact of winning that ipso
facto justifies the award but the attendance of any of the
special circumstances
Exceptions: Article 2208 of the New Civil Code
Kinds of retainer agreement
1. General Retainer
It is the fee paid to a lawyer to secure his future services
as general counsel for any ordinary legal problem that
may arise in the ordinary business of the client and
referred to him for legal action.
The client pays fixed retainer fees, which could be
monthly or otherwise.
The fees are paid whether or not there are cases referred
to the lawyer.
2. Special Retainer
fee for a specific case or service rendered by the lawyer
for the client
Kinds of payments that may be stipulated upon
1. Fixed or Absolute Fee
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Payable regardless of the result of the case
2. Contingent Fee
That which is conditioned on the securing of a favourable
judgment and recovery of money or property and the
amount of which may be on a percentage basis
3. Fixed fee payable per appearance
4. Fixed fee computed by the number of hours spent
5. Fixed fee based on piece of work
6. A combination of the above arrangements or an
entirely different agreement not contrary to law, public
morals, or public policy
Rule 20.01. Guide in determining attorneys fees
a. Time spent and extent of services rendered or required.;
b. Novelty and difficulty of questions involved.;
c. Importance of subject matter.;
d. Skill demanded of the lawyer.;
e. Probability of losing other employment.;
f. Customary charges for similar services and schedule of
fees of IBP.;
g. Amount involved in the controversy and benefits
resulting to the client from the service
h. Contingency or certainty of compensation.
i. Character of the employment, whether occasional or
established.;
j. Professional standing of the lawyer.
None of the factors is controlling but are guides only.
The mere fact that an agreement had been reached between the
attorney and the client fixing the amount of the attorneys fees does
not insulate such agreement from review and modification by the
Court where the fees clearly appear to be excessive or
unreasonable.
Situations when counsel cannot recover full amount despite a
written contract for attorneys fees
1. Services are not performed.
2. Justified dismissal of the attorney.
3. Stipulated attorneys fees are unconscionable.
4. Stipulated attorneys fees are in excess of what is
expressly fixed by law.
5. When the lawyer is guilty of bad faith or fraud toward his
client in the matter of his employment.
6. Counsels services were worthless because of his
negligence.
7. Contract of employment is illegal, against morals or public
policy.
8. Serving adverse interest, unless he acted with the consent
of both parties.
QUANTUM MERUIT
This means as much as the lawyer deserves or such
amount as his services merit.
it is fixed by the court
Some instances of recovery of attorneys fees on the basis
of Quantum Meruit:
a. No express contract for payment of attorneys fees.
b. Amount stipulated is unconscionable.
c. Lawyer, without fault, was unable to conclude
litigation.
d. Lawyer, for justifiable cause, was not able to finish
the case.
e. Lawyer and client disregarded the contract for fees.
CONTINGENT CONTRACT CHAMPERTOUS CONTRACT
1. It is one where the lawyer 1. It is one where the lawyer
is paid for his services stipulates with his client in the
depending on the success of prosecution of the case that he
the case. will bear all the expenses for
 the recovery of things or
property being claimed by the
client, and the latter agrees to
pay the former a portion of the
thing or properly recovered as
compensation. It is void for
being against public policy.
2. It may be paid in cash. 2. It is payable in kind only.
3. Lawyers do not undertake 3. Lawyers undertake to pay all
to pay all expenses of expenses of litigation.
litigation.
4. It is a valid contract. 4. It is a void contract.
Rule 20.2 - Division of fees in proportion to the work performed
and responsibility assumed.
This is not in the nature of a brokers commission.
Lawyer- referral system
Under this system, if another counsel is referred to the client,
and the latter agrees to take him as collaborating counsel, and
there is no express agreement on the payment of attorneys
fees, the said counsel will receive attorneys fees in proportion
to the work performed and responsibility assumed. The
lawyers and the client may agree upon the proportion but in
case of disagreement, the court may fix the proportional
division of fees.
Rule 20.03 - Duty not to accept any fee or other compensation
whatsoever related to his professional employment from anyone
other than the client
Rationale: It is intended to secure the fidelity of the
lawyer to his clients cause and to prevent a situation in
which the receipt of him of a rebate or commission from
another with the clients case may interfere with the full
discharge of his duty to his client.
Exception: A lawyer may receive compensation from a
person other than his client when the latter has full
knowledge and approval thereof. (Section 20 (e), Rule
138, RRC).
Rule 20.04. Duty to avoid compensation controversies with client
General Rule: A lawyer should avoid the filing of any case
against a client for the enforcement of a attorneys fees.
[Filing of cases against a client is unwise because in the
process, the lawyer loses the clients aside from suffering
a broken reputation being money- oriented.
Exception:
a. to prevent injustice
b. to prevent fraud
Where and how may attorneys fees be claimed by the lawyer?
1. In the same case - It may be asserted either in the very
action in which the services of a lawyer had been
rendered
2. In a separate civil action - A petition for attorneys fees
may be filed before the judgment in favor of the client is
satisfied or the proceeds thereof delivered to the client
CANON 21. Duty to preserve the clients confidence and secrets
CANON 21. Duty to preserve the clients confidence and
secrets
Rule 21.01 - Duty not to reveal the confidences or secrets,
exceptions
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Rule 21.02 - Duty not to use information received in the
course of employment
Rule 21.03 - Duty not to give information to outside agency
Rule 21.04 and 21.05 - Duty to protect from disclosure
Rule 21.06 - Duty to avoid indiscreet conversation
Rule 21.07 - Duty not to reveal that he was consulted
Confidential- the protection given to the client is perpetual
and does not cease with the termination of the litigation nor is
affected by the party ceasing to employ the attorney and
employ another or any other change of relations between
them. It even survives the death of the client.
Rationale behind this prohibition:
Not only to prevent the dishonest practitioner from
fraudulent conduct, but also to protect the honest lawyer
from unfounded suspicion of unprofessional practice. It is
founded on principles of public policy, on good taste. The
question is not necessarily one of the rights of the parties,
but as to whether the attorney has adhered to proper
professional standard.
Confidence - It refers to the information protected by the
attorney-client privilege
Secret - It refers to other information gained in the
professional relationship that the client has requested to
be held inviolate or the disclosure of which would be
embarrassingly or detrimental to the client.
Confidential communication Information - transmitted
through voluntary act of disclosure between attorney and
client in confidence, and by means of which, so far as to
the client is aware, discloses the information to no third
person other than one reasonable necessary for the
transmission of the information or the accomplishment of
the purpose for which it was given
Requisites for the attorney-client privilege
1. There exists an attorney- client relationship or a kind of
consultancy relationship with a prospective client. That is,
legal advice is what is sought. This includes persons
appointed as counsel de oficio.
2. The communication was made by the client to the lawyer
in the course of the lawyers professional employment.
3. The communication must be intended to be confidential.
Rule 21.01. Duty not to reveal the confidences or secrets,
exceptions
General Rule: A lawyer shall not reveal the confidences and
secrets of his client.
Exceptions:
1. When authorized by the client after acquainting him
of the consequences of the disclosure.
2. When required by law.
3. When necessary to collect his fees or to defend
himself, his employees or associates or by judicial
action. In case client files complaint against his
lawyer or unreasonably refuses to pay his fees,
lawyer may disclose so much of clients confidences
as may be necessary to protect himself or to collect
fees.
4. In cases of contemplated crimes or perpetuation of
fraud.
Rule 21.02. Duty not to use information received in the course of
employment
General Rule: A lawyer, who acquired information from a
client I the course of his legal employment, is prohibited
from making use of such information, whether it is
privileged or not, to the (a) disadvantage of his client, or
 (b) to the lawyers own advantage, or (c) to the advantage
of a third person.
Exception : If the client with full knowledge of
the circumstances to the use thereof.
Exception to the exception: In matters of unprivileged
information, the lawyer may be judicially compelled to
make a disclosure even if the client objects.
Rule 21.03. Duty not to give information to outside agency
Rationale: The work and product of a lawyer, such as his
effort, research, and thought, and the records of his
client, contained in his files are privileged matters.
Exception: If the client gives his written consent.
Rule 21.04 and 21.05. Duty to protect from disclosure
Rule: The professional employment of a law firm is
equivalent to the retainer of the members thereof even
though only one of them is consulted; conversely, the
employment of one member of law firm is generally
considered as employment of the law firm.
The lawyer is obliged to exercise care in selecting and
training his employees so that the sanctity of all
confidences and secrets of his clients may be preserved.
Rule 21.06. Duty to avoid indiscreet conversation
A lawyer must not only preserve the confidences and
secrets of his clients in his law office but also outside
including his home. He should avoid committing
calculated indiscretion, that is, accidental revelation of
secrets obtained in his professional employment.
Reckless or imprudent disclosure of the affairs of his
clients may jeopardize them. Not every member of the
lawyers family has the proper orientation and training for
keeping clients confidences and secrets.
Rule 21.07. Duty not to reveal that he was consulted
General Rule: If a lawyer was consulted about a particular
case, and irrespective of whether or not he was thereafter
hired as counsel, he should not reveal to others the
matter of subject of consultation.
Exception: When the lawyer will be placed in a situation
of representing conflicting interests if he does not
disclose the consultation to the next person consulting
him on the same matter. Otherwise, if he remains silent,
he may be violating the rule against representing
conflicting interests.
See Canon 14, Rule 14.03; see also: Canon 15, Rule 15.01
CANON 22. Duty to withdraw services only for good cause and
upon notice
CANON 22. Duty to withdraw services only for good cause and
upon notice
Rule 22.01 - Good causes for withdrawal of services
Rule 22.02 - Duties of lawyers who withdrew; retaining lien
Termination of attorney- client relationship
1. Withdrawal of the lawyer under Rule 22.01.
2. Death of the lawyer, unless it is a law firm, in which case,
the other partners/lawyers may continue with the case.
3. Death of the client.
4. Discharge or dismissal of the lawyer by the client.
5. Appointment or election of a lawyer to a government
position which prohibits private practice of law.
6. Full termination of the case.
7. Disbarment or suspension of the lawyer from the practice
of law.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
8. Intervening capacity or incompetency of the client during
the pendency of the case, for then the client loses his
capacity to contract, or to control the subject matter of
the action.
9. Declaration of the presumptive death of the lawyer; and
10. Conviction for a crime and imprisonment of the lawyer for
quite some time.
Right of the client to terminate relation with counsel is absolute;
but not vice versa.
While the right of the client to terminate the relation is
absolute, the right of an attorney to withdraw or
terminate the relation other than for a sufficient cause, is
considerably restricted.
Among the fundamental rules of ethics is the principle
that an attorney who undertakes to conduct an action
impliedly stipulates to carry it to its termination. He is not
at liberty to abandon without reasonable cause.
Rule 22.01. Good causes for withdrawal of services
a. Client pursuing an illegal or immoral course of conduct.
b. Clients insistence that lawyer pursues acts violative of
the canons and rules.
c. Inability of lawyer to work with co-counsel.
d. Mental and physical inability of counsel to handle case
effectively.
e. Clients deliberate failure to pay attorneys fees as agreed
upom.
f. Election or appointment of lawyer to public office.
g. Other similar cases.
Change of Counsel
1. Client discharges attorney with or without cause: no
consent or notice to lawyer needed, nor court approval.
2. Attorney may initiate move by withdrawing his
appearance with written consent of client or with leave of
conduct on some justifiable ground.
3. Substitution of counsel in the form of application for that
purpose constitutes an appearance of the substituting
counsel and is a polite way of effecting change;
compliance with formalities is necessary since it involves
ethical considerations.
Requirements for Substitution
1. written application for substitution
2. written consent of client
3. written consent of attorney to be substituted
** In case written consent of attorney cannot be secured, proof of
service of notice of application upon attorney to be substituted.
**In case of death of original attorney, additional requirement:
verified proof of death (necessary)
Rule 22.02. Duties of lawyer who withdraws; retaining lien
1. Immediately turn-over all papers and property to which
the client is entitled; and
2. To cooperate with his successor in the orderly transfer of
the case
Lawyers withdrawal or discharge shall be without prejudice to his
attorneys lien: Purpose of Rule 22.02 (lawyer entitled to retaining
lien) and Rule 16. 03 (lawyer entitled to retaining and charging
lien)
To insure payment of lawyers professional fees and the
reimbursement of his lawful disbursements in keeping
with his dignity as an officer of the court
Kinds of liens
1. Retaining Lien (General Lien)
 The rights of an attorney to retain the funds, documents 2. Basis Lawful possession of Securing of a
and papers of his client which have lawfully come into his papers, documents, favourable money
possession until his lawful fees and disbursements have property belonging to judgment for the
been paid and to apply such funds to the satisfaction client. client.
thereof. 3. Coverage Covers only papers, Covers all
2. Charging Lien (Special Lien) documents, and judgments for the
A right which the attorney has upon all judgments for the property in the lawful payment of money
payment of money and executions issued in pursuance possession of the and executions
thereof, secured in favour of his client. Covers only attorney by reason of issued in pursuance
services rendered by attorney in the action in which the his professional of such judgement.
judgment was obtained and takes effect only after a employment
statement of claim has been entered upon record of the 4. Effectivity As soon as the As soon as the claim
particular action with written notice to his client and attorney gets for attorneys fees
adverse party. possession of the had been entered
papers, documents or into the records of
Requisites for validity of retaining liens property. the case.
1. attorney- client relationship 5. Notice Client need not be Client and adverse
2. lawful possession by lawyer of the clients funds, notified to make it party must be
documents and papers in his professional capacity effective. notified to make it
3. unsatisfied claim for attorneys fees or disbursements effective.
6. Applicability May be exercised Generally, It is
Requisites for validity of charging liens before judgment or exercisable only
1. attorney-client relationship execution or when the attorney
2. attorney has rendered services regardless thereof. had already secured
3. money judgment favourable to the client has been favourable
secured in the action judgment for his
4. attorney has a claim for attorneys fees or advances client.
5. statement of his claim has been duly recorded in the case
with notice thereof served upon the client and adverse
party

RETAINING LIEN CHARGING LIEN

1. Nature Passive lien. Active Lien.
It cannot be actively It can be enforced
enforced. by execution.
A general lien. A special lien

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
E. SUSPENSION, DISBARMENT AND DISCIPLINE OF LAWYERS
Note: Right to practice law being just a privilege is burdened with
conditions. Practice of law is not a natural or constitutional right but
is in the nature of a privilege or franchise
Membership in the Bar being merely a privilege, the same may be
suspended or removed from the lawyer for reasons provided in the
Rules of Court, law and jurisprudence
Purpose of disciplining lawyers
To ascertain that a lawyer still possess those qualifications
which are conditions precedent for the continuous practice of
law and to deter others from similar misconduct, to protect the
court and the public from the misbehavior of its officers.
The nature of the power to discipline
The power to discipline a lawyer is JUDICIAL in nature and can
be exercise only by the courts. It cannot be defeated by the
legislative or executive departments. The authority of the
Supreme Court to discipline lawyers is rooted in its
constitutional prerogative to regulate practice of law and the
admission of persons to engage therein.
Powers of the Supreme Court with regard to the discipline to
errant lawyers
The Supreme Court has the full authority and power to:
Warn
Admonish
Reprimand
Suspend
Disbar a lawyer (Rule 138, Sec 27, ROC)
Interim Suspension, and
Probation (IBP Guidelines)
Powers of the Court of Appeals and the RTC with regard to the
discipline of errant lawyers
Warn
Admonish
Reprimand
Suspend a lawyer from practice for any of the causes
named in Sec 27, Rule 138 of the ROC until further action
of the SC in the case (Sec 16, Rule 139-B of the Rules of
Court)
Note: They cannot disbar a lawyer
Forms of Disciplinary Measures
Warning an act of putting one on his guard against
impending danger, evil, consequence or penalty
Admonision a gentle, friendly repoof, mild rebuke,
warning, reminder, or counseling on a faulty, error or
oversight; an expression of authoritative advice.
Reprimand a public and formal censure or severe reproof,
administered to a person at fault by his superior officer of the
body of the body to which he belongs
Censure Official reprimand
Suspension Temporary withholding a lawyers right to
practice his profession as a lawyers for a certain period or for
an indefinite period of time
a. Defininte
b. Indefinite qualified disbarment, lawyer
determines for himself how long or how
short his suspension shall last by proving to
court that he is once again fit to resume
practice of law
Disbarment act of Supreme Court in withdrawing from an
attorney the right to practice law. The name of the lawyer is
stricken out from the roll of attorneys
Interim a temporary suspension of a lawyer from the
practice of law pending imposition of final discipline
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Probation a sanction that allows a lawyer to practice law
under specified conditions
Main objectives of disbarment and Suspension
To compel the attorney to deal fairly and honestly with his
clients
To remove from the profession a person whose misconduct
has proved him unfit to be entrusted with the duties and
responsibilities belonging to the office of an attorney
To punish the lawyer although not so much as to safeguard
the administration of justice
To set an example or warning for the other members of the
bar
To safeguard the administration of justice from dishonest and
incompetent lawyers
To protect the public
May a lawyer be suspended or discipline for his misconduct in his
private capacity?
General Rule: No.
Exception: If the misconduct is to GROSS as to show him to be
wanting in moral character, honesty, probity and demeanor.
Gross misconduct, although not related to the discharge of his
professional duties as member of the Bar, which puts his moral
character in serious doubt, renders him unfit to continue in the
practice of law.
Characteristic of Disbarment Proceeding
1. Sui Generis neither a civil or a criminal proceeding; it
does not involve a trial of an action or a suit, but is rather
an investigation by the Court into the conduct of one of
its officers
Not a civil action because there is neither plaintiff not
respondent, and involves no private interests. The
complainant is not a party and has no interest in the
outcome except as all citizens have in the proper
administration of justice. There is no redress for private
grievance.
Not a criminal prosecution because it is not meant as a
punishment depriving him of source of livelihood but
rather to ensure that those who exercise the function
should be competent, honorable and reliable so that the
public may repose confidence in them.
2. The defense of double jeopardy cannot be availed of
in a disbarment proceeding.
3. It can be initiated motu propio the Supreme Court or by
the IBP. It can be initiated without a complaint
4. It can proceed regardless of interest or lack of interest of
the complainants, if the facts proven so warrant.
5. It is imprescriptible.
6. It is conducted confidentially.
7. It is in itself due process of law.
8. Whichever has been decided in a disbarment case cannot
be a source of right that may be enforced in another
action.
9. In pari delicto rule is not applicable.
10. No prejudicial question in disbarment proceedings.
11. Penalty in a disbarment case cannot be in the alternative.
12. Monetary claims cannot be granted except restitution
and return of monies and properties of the client given in
the course of the lawyer-client relationship
Effect of the desistance, withdrawal of complaint or non-
appearance of complaint in the disbarment proceedings
The desistance or the withdrawal of the complaint of the
charges against a judge/lawyer does not deprive the court
of the authority to proceed to determine the matter. Nor
does it necessarily result in the dismissal of the complaint
 except when, as a consequence of the withdrawal or
desistance no evidence is adduced to prove the charges.
General Rule: No investigation shall be interrupted or
terminated by reason of the desistance, settlement,
compromise, restitution, withdrawal of the charges, or
failure of the complainant to prosecute the same.
Exception: Unless the SC motu proprio or upon
recommendation of the IBP Board of Governors,
determines that there is no compelling reason to continue
with the disbarment or suspension proceedings against
the respondent.
----- Some missing slides here -----
PROCEDURE FOR THE SUSPENSION, DISBARMENT AND DISCIPLINE
OF LAWYERS
Officers Authorized to Investigate Disbarment Cases
1. Supreme Court
2. IBP through its Commission on Bar Discipline or
authorized investigators; and
3. Office of Solicitor General
Who and how instituted?
Proceedings for the disbarment, suspension, or discipline
of attorneys may be taken
By Supreme Court motu propio
Or by the IBP upon verified complaint of any person. The
complaint shall state clearly and concisely the facts
complained of and shall be supported by affidavits of
persons having personal knowledge of the facts therein
alleged and/or such documents as may substantiate said
facts (Sec 1, Rule 139-B, Rules of Court)
Where to file?
A complaint for disbarment may be filed directly in the SC,
the IBP National Office or in any of the IBP Chapter Offices
in the country
Note: The SC ordinarily refers disbarment cases to the IBP
for investigation, report and recommendation. However,
referral of disbarment cases (filed with or initiated by the
SC) to the IBP is not mandatory
When an IBP Chapter receives a compliant, the same will
be referred to the IBP National Office for appropriate
action
o Timely good faith effort to make restitution or to
rectify consequences of misconduct
o Inexperience in the practice of law
o Remorse
o Age
Aggravating circumstances
o Prior disciplinary offenses
o Dishonest or selfish motives
o A pattern of misconduct
o Multiple offenses
o Submission of false evidences, false statements or other
deceptive practiced during the disciplinary process
o Refusal to acknowledge wrongful nature of conduct
o Vulnerability of the victim
o Indifference to making restitution
Effect of Executive Pardon
If during the pendency of the disbarment proceeding the
respondent was granted executive pardon, the dismissal of the
case on that sole basis will depend on whether the executive
pardon is absolute or conditional
Conditional Pardon
Disbarment case will not be dismissed on the basis
thereof.
Absolute Pardon will be dismissed
Disbarment case will be dismissed.
Wipes out conviction as well as offense itself and the
grant thereof in favor of a lawyer is a bar to a proceeding
for disbarment against him based solely on commission
of such offense.
After the absolute pardon, is as guiltless and innocent as
if he never committed the offense at all
If absolute pardon is given to lawyer after being disbarred for
conviction of a crime, it does not automatically entitle him to
reinstate to the bar. It must be shown by evidence aside from
absolute pardon that he is now a person of good moral
character and fit and proper person to practice law.
In case of a conditional pardon, there will be a remission of
unexpired period of sentence.

Procedural Steps for Disbarment Proceedings

in the IBP: Rule 139-B
in the Supreme Court: Rule 139-B
in the CBD of IBP: BM No 1755, June 17, 2008

Rules on the imposition of penalties

Resolution of the SC En Banc March 16, 1993

TYPE OF PUNISHMENT Division En Banc

Suspension 1 year or less Exceeds 1 year
Fine P10k or less More than P10k
Both Suspension and Fine If suspension
exceeds 1 year
or fine exceeds
P10k
Disbarment Disbarment

Modifying Circumstances: The extent of disciplinary action depends

on the attendance of mitigating or aggravating circumstances

Mitigating circumstances
o Absence of a prior disciplinary record
o Absence of dishonest or selfish motive
o Personal or emotional problems

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
F. REINSTATEMENT
What is reinstatement?
It is the readmission to membership of the Bar and the
restoration to a disbarred lawyer of the privilege to practice
law.
Who has the power to reinstate?
The Supreme Court has the exclusive authority to reinstate
the privilege to practice law to a disbarred lawyer.
The power of the Supreme Court to reinstate is based on its
constitutional prerogative to promulgate rules on the
admission of applicants to practice of law
(Sec 5 [5], Art VIII, 1987 Constitution)
Criteria for Reinstatement
1. Appreciation of the significance of his dereliction
2. Assurance to the court that he now possesses the
requisite proof and integrity necessary to guarantee his
worthiness to be restored to the practice of law;
3. Time elapsed between disbarment and application for
reinstatement;
4. Good conduct and honorable dealing subsequent to his
disbarment;
5. Active involvement in civic, educational and religious
organization;
6. Favorable endorsement of IBP as well as local
government officials and citizens of his community; and
7. Pleas of his loved ones
Conditions may be imposed on the applicant for reinstatement
The SC, in addition to the required rehabilitation, may require
special conditions to be fulfilled by the applicant.
Effects of Reinstatement
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 other lawyer;
3. Lawyer must comply with the conditions imposed on his
readmission
Is the lifting of the suspension order automatic upon the end of
the period of suspension?
No, the lifting of a lawyers suspension is not automatic upon
the end of the period stated in the courts decision, and an
order from the Court lifting the suspension at the end of the
period is necessary in order to enable [him] to resume the
practice of his profession
Guidelines to be observed in the matter of the lifting of an order
suspending a lawyer from the practice of law.
1. After a finding that respondent lawyer must be
suspended from the practice of law, the Court shall
render a decision imposing the penalty;
2. Unless the Court explicitly states that the decision is
immediately executory upon receipt thereof, respondent
has 15 days within which to file a motion for
reconsideration thereof. The denial of said motion shall
render the decision final and executory|||
3. Upon the expiration of the period of suspension,
respondent shall file a 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 of the
courts where respondent has pending cases handles by
him or her, and/or where he or she has appeared as
counsel.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
5. The Sworn Statement shall considered as proof of
respondents compliance with the order of suspension
6. Any finding or report contrary to the statements made by
the lawyer under oath shall be ground for the imposition
of a more severe punishment, or disbarment, as may be
warranted.
(Maniago v de Dios, A.C. No. 7472, 30 March 2010)
The power to disbar must be exercised with great caution
The power to disbar attorneys must always be exercised with
great caution and only in clear cases of misconduct which
seriously affects the standing and character of the lawyer as
an officer of the court and member of the bar.
Admission to the bar is obtained only after years of labor and
study. The office acquired often becomes the source of great
honor and emolument to its possessor. To deprive one of
such an office is often to decree poverty to the lawyer and
destitution to his family. Disbarment, therefore, should never
be decreed where any lesser penalty, such as temporary
suspension, would accomplish the end desired
F. READMISSION TO THE BAR
------------- No slides for these topics
G. NOTARIAL PRACTICE
Q: What must one possess to qualify as a notary public?
To be eligible for commissioning as notary public, the petitioner
must be:
1. A citizen of the Philippines
2. Over 21 years of age
3. A resident in the Philippines for at least 1 year and
maintains a regular place of work or business in the city
or province where the commission is to be issued.
4. A member of the Philippine Bar in good standing with
clearances from the Office of the Bar Confidant of the
Supreme Court and the IBP; and
5. Has not been convicted in the first instance of any crime
involving moral turpitude.
(second par., Sec.1, Rule III, 2004 Rules on Notarial Practice, A.M.
No. 02-8-13-SC)
Q: of the petition and supporting documents for a notarial
commission
Every petition for a notarial commission shall be in writing,
verified, and shall include the following:
1. A statement containing the petitioners personal
qualifications, including the petitioners date of birth,
residence, telephone number, professional tax, receipt,
roll of attorneys number and IBP membership number.
2. Certification of good moral character of the petitioner by
at least 2 executive officers of the local chapter of the IBP
where he is applying for commission.
3. Proof of payment for the filing of the petition as required
by the Rules on Notarial Practice; and
4. Three passport size color, photographs with light
background taken within 30 days of the application. The
photograph should not be retouched. The petitioner shall
sign his name at the bottom part of the photographs.
(Section 2, Rule III, A.M. No. 02-8-13-SC)
Note: Every petitioner for a notarial commission shall pay the
application fee as prescribed in the Rules of Court.
(sec. 3, Rule III, A.M. No. 02-8-13-SC)
Summary Hearing on the Petition
1. The Executive Judge shall conduct a summary hearing on the
petition and shall grant the same if:
 a) The petitioner is sufficient in form and substance;
b) The petitioner proves the allegations contained in
the petition; and
c) The petitioner establishes to the satisfaction of the
Executive Judge that he has read and fully
understood these Rules.
2. The Exec. Judge shall forthwith issue a commission and a
Certificate of Authorization to purchase a Notarial Seal in favor
of the petitioner. (Sec. 4, Rule III, A.M. No. 02-8-13-SC)
Note: Any person who has any cause or reason to object to the
grant of the petition may file a verified written opposition thereto.
The opposition must be received by the Exec. Judge before the date
of the summary hearing.
(Sec. 6, Rule III, A.M. No. 02-8-13-SC)
Commission
refers to the grant of authority to perform notarial acts
and to the written evidence of the authority. (Sec. 3, Rule
II, A.M. 02-8-13-SC)
A notarial commission may be issued by an Executive
Judge to any qualified
person who submits a petition in accordance with the
Rules on Notarial Practice.
(first par., Sec. 1, Rule III, A.M. No. 02-8-13-SC).
Jurisdiction and Term
A person commissioned as notary public may perform
notarial acts in any place within the territorial jurisdiction
of the commissioning court for a period of two (2) years
commencing the first day of January of the year in which
the commissioning is made, unless earlier revoked or the
notary public has resigned under these Rules and the
Rules of Court.
(Sec. 11, Rule III, A.M. No. 02-8-13-SC)
Q: May the term be renewed?
A: Yes
A notary public may file a written application with the
Executive Judge for the renewal of his commission within
45 days before the expiration thereof. A mark, image or
impression of the seal of the notary public shall be
attached to the application.
Failure to file said application will result in the deletion of
the name of the notary public in the register of notaries
public.
The notary public thus removed from the Register of
Notary Public may only be reinstated therein after he is
issued a new commission in accordance with these Rules.
(sec. 13, Rule III, A.M. No. 02-8-13-SC)
What are the powers of a notary public?
A notary public is empowered to perform the following notarial
acts:
1. Acknowledgements;
2. Oaths and affirmations;
3. Jurats;
4. Signature witnessing;
5. Copy certifications; and
6. Any other act authorized by these rules
(Section 1 (a), Rule IV, A.M. No. 02-8-13-SC)
What is an acknowledgement?
Refers to an act in which an individual on a single occasion:
a) Appears in person before the notary public and presents
an integrally complete instrument or document.
b) Is attested to be personally known to the notary public or
identified by the notary public through competent
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
evidence of identity as defined by the Rules on Notarial
Practice; and
c) Represents to the notary public that the signatures on the
instrument or document was voluntarily affixed by him
for the purposes stated in the instrument or document,
declares that he has executed the instrument/document
as his free and voluntary act and deed, and if he acts in a
particular representative capacity, that he has the
authority to sign in that capacity.
(Sec. 1, Rule II, A.M. No. 02-8-13-SC)
What is affirmation or oath?
Refers to an act in which an individual on a single occasion:
1) Appears in person before the notary public
2) Is personally known to the notary public or identified by
the notary public through competent evidence or identity
as defined by the Rules on Notarial Practice; and
3) Avows under penalty of law to the whole truth of the
contents of the instrument or document.
(Sec. 2, Rule II, A.M. No. 02-8-13-SC)
What is a jurat?
Refers to an act in which an individual on a single occasion:
1. Appears in person before the notary public and presents
an instrument or document
2. Is personally known to the notary public or identified by
the notary public through competent evidence of identity
as defined by the Rules on Notarial Practice.
3. Signs the instrument/document in the presence of the
notary ; and
4. Takes an oath or affirmation before the notary public as
to such instrument/document
(Sec. 6, Rule II, A.M. No. 02-8-13-SC)
What is signature witnessing?
Refers to an act in which an individual on a single occasion:
1. Appears in person before the notary public and presents
an instrument or document
2. Is personally known to the notary public or identified by
the notary public through competent evidence of identity
as defined by the Rules on Notarial Practice; and
3. Signs the instrument /document in the presence of the
notary public
(Sec. 14, Rule II, A.M. No. 02-8-13-SC)
What is copy certification?
Refers to an act in which a notary public:
1. Is presented with an instrument/document that is neither
a vital record, a public record, nor publicly recordable;
2. Copies or supervises the copying of the
instrument/document
3. Compares the document with the copy; and
4. Determines that the copy is accurate and complete
(Sec. 4, Rule II, A.M. 02-8-13-SC)
Note: The document copied must be an original document. It
cannot be a copy itself.
Is a notary public authorized to certify the affixing of a signature
by thumb or other mark on an instrument/document presented
for notarization?
Yes. it is also within the powers of a notary public, provided:
1. The thumb or other marks is affixed in the presence of the
notary public and of two (2) disinterested and unaffected
witnesses to the instrument/ddocument
2. Both witnesses sign their own names in addition to the
thumb or other mark
3. The notary public writes below the mark:thumb or other
mark affixed by (name of signatory) in the presence of
 (names and addresses of witnesses) and undersigned
notary public; and
4. The notary public notarizes the signature by thumb or
other mark through an acknowledgement, jurat or
signature witnessing.
(sec. 1 (b), Rule IV, A.M. No. 02-8-13-SC)
Is a notary public authorized to sign on behalf of a person who is
physically unable to sign or make a mark on an
instrument/document?
Yes. It likewise falls within the powers of a notary public, provided:
1. The notary public is directed by the person unable to sign
or make a mark to sign on his behalf;
2. The signature of the notary public is affixed in the
presence of 2 disinterested and unaffected witnesses to
the instrument/document;
3. Both witnesses sign their own names;
4. The notary public writes below his signature: Signature
affixed by notary in the presence of (names and addresses
of person and 2 witnesses); and
5. The notary public notarizes his signature by
acknowledgement or jurat.
How should a notary public notarize an instrument or document?
In notarizing an instrument or document, a notary public shall:
1. Sign by hand on the notarial certificate only the name
indicated and as appearing on the notarys commission;
2. Not sign using a facsimile stamp or printing device; and
3. Affix his official signature only at the time the notarial act
is performed.
(Sec. 1, Rule VII, AM.No. 02-8-13-SC)
PROHIBITIONS
A. A notary public shall not perform a notarial act outside his
regular place of work or business, provided, however, that on
certain exceptional occasions or situations, a notarial act mnay be
performed at the request of the parties in the following sites
located within his territorial jurisdiction:
1) Public offices, convention halls, and similar places where
oaths of office may be administered;
2) Public function areas in hotels and similar places for the
signing of instruments or documents requiring
notarization;
3) Hospitals and other medical institutions where a party to
an instrument or document is confined for treatment; and
4) Any place where a party to an instrument or document
requiring notarization is under detention.
(Sec 2 (a), Rule IV, A.M. No. 02-8-13-SC)
What is the phrase regular place of work or business of a notary
public means?
The regular place of work or business refers to a
stationary office in the city or province wherein the
notary public renders legal and notarial services.
(Sec. 11, Rule II, A.M. No. 02-8-13-SC)
Can a notary public perform a notarial act outside his jurisdiction
and his regular place of work or business?
RULE: A notary public shall not perform a notarial
act outside his jurisdiction and his regular place of
work or business.
EXCEPTION: A notarial act may be performed at the
request of the parties following sites (provided
under Sec. 2 (a) Rule IV, A.M. No. 02-8-13-SC), other
than his regular place of work orbusiness, located
within his territorial jurisdiction.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
B. A notary public shall not perform a notarial act if the person
involved as signatory to the instrument or document is:
1) Not in the notarys presence personally at the time of the
notarization; and
2) Not personally known to the notary public or otherwise
identified by the notary public through competent
evidence of identity as defined by these Rules.
(Sec. 2 (b), Rule IV, A.M. 02-8-13-SC)
What is competent evidence of identity?
Refers to the identification of an individual based on:
1. At least one current identification document issued by
an official agency bearing the photograph and signature
of the individual such as but not limited to:
a. Passport
b. Drivers license
c. Professional Regulation Commission ID
d. National Bureau of Investigation Clearance
e. Police Clearance
f. Postal ID
g. Voters ID
h. Baranggay Certfication
i. Government Service Insurance System e-card
j. Social Security System card
k. Philhealth card
l. Senior Citizen card
m. Overseas Workers Welfare Administration
(OWWA) ID
n. OFW ID
o. Seamans book
p. Alien certificate of registration
q. Government office ID
r. Certification from the National Council for the
Welfare of Disabled Persons (NCWDP)
s. Department of Social Welfare Development
(DSWD) certification
(Amendment to sec. 12(a), _____ 2004 Rules on Notarial Practice,
Feb. 19, 2008).
2. The oath or affirmation of one credible witness nor privy
to the instrument, document or transaction who is
personally known to the notary public and who
personally known to the individual, or of two credible
witnesses neither of whom is privy to the instrument,
document or transaction who each personally knows the
individual and shows to the notary public documentary
identification.
(Sec. 12 (b), Rule II of the 2004 Rules on Notarial Practice)
Note: There are in addition to the presentation of the signatories
Community Tax Certificate (CTC)
(section 163 of the Local Government Code)
(a) When an individual subject to the community tax
acknowledges any document before a notary public... it
shall be the duty of any person, officer, corporation with
whom such transaction is made... to require such
individual to exhibit the community tax certificate.
DISQUALIFICATIONS
A notary public is disqualified from performing a notarial act if he:
a) is a party to the instrument or document that is to be
notarized.
b) will receive, as a direct or indirect result, any commission,
fee, advantage, right, title interest, cash, property, or
other consideration, except as provided by these Rules
and law; or
 c) is a spouse, common-law partner, ancestor, descendant,
or relative by affinity or consanguinity of the principal
within the fourth civil degree
(sec. 1, Rule IV, A.M. No. 02-8-13-SC)
Note: The function of a notary public is, among others, to guard
against any illegal or immoral arrangements, that function would be
defeated if the notary public is one of the signatories to the
instrument. For then he would be interested in sustaining the
validity thereof as it directly involves himself and the validity of his
own act. It would place him in an inconsistent position, and the very
purpose of the acknowledgement, which is to minimize fraud,
would be thwarted. (Villarin v. Sabate, A.C. No. 3224, Feb. 9, 2000)
When may a notary public refuse to notarize even if the
appropriate fee is rendered?
a. The notary knows or has good reason to believe that the
notarial act or transaction is unlawful or immoral
b. The signatory shows a demeanor which engenders in the
mind of the notary public reasonable doubt as to the
formers knowledge of the consequences of the
transaction requiring a notarial act; and
c. In the attorneys judgment, the signatory is not acting of
his or her own free will. (sec. 4, Rule V, A.M. 02-8-13-SC)
d. If the document or instrument to be notarized is
considered as an improper document by the Rules on
Notarial Practice.
Note: Improper instrument/document is a blank or incomplete
instrument or an instrument or document without appropriate
notarial certification. (Sec. 6, Rule V, A.M. No. 02-8-13-SC)
What is a notarial certificate?
Refers to the part of, or attachment to a notarized
instrument or document that is completed by the
notary public which bears the notarys signature and
seal, and states the facts attested to by the notary
public in a particular notarization as provided for by
the Rules on Notarial Practice.
(Sec. 8, Rule II, A.M. No. 02-8-13-SC)
What must the notarial certificate contain?
1. The name of the notary public as exactly indicated in the
commission;
2. The serial number of the commission of the notary public
3. The words Notary Public and the province or city where
the notary public is commissioned, the expiration date
of the commission, the office address of the notary public;
and
4. The roll of attorneys number, the professional tax receipt
number and the place and date of issuance thereof, and
the IBP membership number.
(Sec. 2, Rule VIII, A.M. 02-8-13-SC)
What are the effects of notarization?
1. The notary, in effect, proclaims to the world that:
a. All the parties therein personally appeared
before him;
b. They are personally known to him;
c. They are the same person who executed
the instrument;
d. He inquired into the voluntariness of the
execution of the instrument;
e. They acknowledge personally before him
that they voluntarily and freely executed
the same.
2. Converts a private document into a public one and
renders it admissible in court without further proof
of its authenticity.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
3. Document enjoy a presumption of regularity. It
constitutes prima facie evidence of the facts which
gives rise to their execution and of the date of said
execution, but not of the truthfulness of the
statement.
Who can revoke a notarial commission?
The notarial commission may be revoked by:
1) The Executive Judge of the RTC who issued the
commission (Sec. 1, Rule XI, A.M. No. 02-8-13-SC); or
2) The Supreme Court itself in the exercise of its
general supervisory powers over lawyers.
Grounds for Revocation of Notarial Commission
(Sec. 1, Rule XI, Rule on Notarial Practice)
1. The Executive Judge shall revoke a notarial commission
for any ground on which an application for a commission
may be denied
2. In addition, the Executive Judge may revoke the
commission of, or impose appropriate administrative
sanctions upon, any notary public who:
a. Fails to keep a notarial register
b. Fails to make the proper entry or entries in his
notarial register concerning his notarial acts
c. Fails to send the copy of the entries to the
Executive Judge within the first ten (10) days of
the month following
d. Fails to affix to acknowledgements the date of
expiration of his commission
e. Fails to submit his notarial register, when filed,
to the Executive Judge
f. Fails to make his report, within a reasonable
time, to the Executive Judge concerning the
performance of his duties, as may be required
by the judge.
g. Fails to require the presence of a principal at the
time of the notarial act
h. Fails to identify a principal on the basis of
personal knowledge or competent evidence
i. Executes a false or incomplete certificate under
Sec. 5, Rule IV
j. Knowingly performs or fails to perform any
other act prohibited or mandated by these
Rules;
k. Commits any other dereliction or act which in
the judgement of the Executive Judge
constitutes good cause for revocation of
commission or imposition of administrative
sanction.
 JUDICIAL ETHICS
Supreme Court and Court of Appeals Justices
Sources of Judicial Ethics:
Natural-born citizen of the Philippines;
1. New Code of Judicial Conduct for the Philippine Judiciary
At least 40 years of age;
effective June 1, 2004.
Must have been for 15 years or more a judge of a lower
2. Code of Judicial Conduct which became effective on
court or engaged in the practice of law; and
October 20, 1989.
Must be a person of proven competence, integrity,
3. 1987 Constitution (Art. VIII [Judicial Dept.] Art XI
probity and independence.
[Accountability of Public Officers], and Art III [Bill of
Rights])
Municipal Trial Court
4. New Civil Code of the Philippines (Art. 9, 20, 27, 32, 35,
Regional Trial Court Judges Judges
739, 1491, 2005, 2029 to 2035 and 2046)
5. Rules of Court (Rules 71, 135, 137, 139-8 and 140) Natural-born citizen of Natural-born citizen of
6. Revised Penal Code (Articles 204, 205, 206, and 207) the Philippines; the Philippines;
7. Anti-Graft and Corruption Practices Act (RA No. 3019) At least 35 years of At least 30 years of
8. Canons of Judicial Ethics (Adm. Order No. 162) age; age;
9. Code of Professional Responsibility (with respect to For at least 10 years, For at least 5 years, has
judges relation with lawyers) has been engaged in been engaged in the
the practice of law in practice of law in the
10. Judiciary Act of 1948 (RA No. 296)
the Philippines or has Philippines of has held
11. Judiciary Reorganization Act or 1980 (BP Blg. 129)
held a public office in public office in the
12. Supreme Court Decision the Philippines, Philippines, requiring
13. Foreign Decision on judicial ethics which are relevant and requiring admission to admission to the
persuasive the practice as an practice of law as an
14. Opinions of Authorities in Legal and Judicial Ethics indispensable indispensable
15. Other Statutes requisite. requisite;
16. Administrative Orders and Supreme Court Circulars Must be a person of Must be a person of
proven competence, proven competence,
Importance of Judicial Ethics integrity, probity and integrity, probity and
Without it, no judicial system can work. It is preventive of independence. independence.
anarchy and tyranny for it is both a legal and moral
mechanism that keeps and maintains the trust and New Code of Judicial Conduct for the Philippine Judiciary (A.M.
confidence of the people in the judicial system and No. 03-05-01-SC, 1 June 2004)
ultimately keeps the peace and order in the community. took effect on 1 June 2004;
If the administration of justice is liberated from ethical inspired by the revised Bangalore Draft of the Code of
and moral rules, and is left freewheeling, judges and Judicial Conduct adopted by the Judicial Group on
magistrates cannot be expected to be free, independent, Strengthening Judicial Integrity in the Round Table Meeting
honest, diligent, and impartial. Corollary, litigants will not of Chief Justices held at the Peace Palace, in The Hague, on
find nor enjoy the cold neutrality of independent, wholly- November 25-25, 2002.
free, disinterested and impartial tribunals.
The Bangalore Draft is founded on the following principles
Definition: (a) A competent, independent and impartial judiciary is
Court - is a board or other tribunal which decides a essential if the courts are to fulfill their role in upholding
litigation or contest. constitutionalism and the rule of law;
Judge - is a public officer who, by virtue of his office, is (b) Public confidence in the judicial system and in the moral
clothed with judicial authority. authority and integrity of the judiciary is of utmost
De Jure Judge importance in a modern democratic society.
- an officer of a court who has been duly and (c) It is essential that judges, individually and collectively,
legally elected or appointed. respect and honor judicial office as a public trust and
- An officer of the law fully vested with all of strive to enhance and maintain confidence in the judicial
the powers and functions conceded under system.
the law to a judge, which relate to the
administration of justice within the Significance of the New Code
jurisdiction over which he presides. it updates and correlates the Code of Judicial Conduct and
De Facto Judge the Canons of Judicial Ethics and stresses the Philippines
- an officer who is not fully invested with all solidarity with the universal clamor for a universal code of
of the powers and duties conceded to judicial ethics.
judges, but is exercising the office of judge
under some color of right. Superseding effect of the New Code on the Canons of Judicial
- A judge who in food faith continues to act Ethics and the Code of Judicial Conduct
and is recognized by common error after Did not completely repeal the old Canons of Judicial Ethics
the abolition of his court by statute is (Administrative Order No. 162) adopted in the Philippines
deemed judge de facto of the new court and the Code of Judicial Conduct 1989;
which succeeds to the jurisdiction of that Only when the New Code has specific provisions or
presided over him. concepts covering those found in the Canons of Judicial
Ethics and the Code of Judicial Conduct that the latter are
considered superseded to that extent.
In the absence of specific provisions, or deficiency in the
new Code that can be applied to a given situation, the

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
 Canons of Judicial Ethics and the Code of Judicial Conduct A: No. A judge should always apply the law in deciding cases before
shall apply suppletorily. him. He may not substitute his personal beliefs for what the law
states and disregard the latter, even if he disagrees wit ha particular
The New Code Of Judicial Conduct for the Philippines law or doctrine enunciated by the Supreme Court.
Judiciary is divided into 6 canons
(1) CANON 1 Independence; Q: May a judge, in deciding a case, be guided by popular opinion
(2) CANON 2 Integrity; for fear that his judgment might be criticized should he decide the
(3) CANON 3 Impartiality; other way?
(4) CANON 4 Propriety;
(5) CANON 5 Equality; A: No. A judge is expected to decide cases only on the basis of
(6) CANON 6 Competence and Diligence applicable law on the matter, not on any other extraneous factors,
such as public opinion, personal convictions and partisan interests.
CANON 1. INDEPENDENCE.
SECTION 2. In performing judicial duties, Judges shall be
Judicial independence is a prerequisite to the rule of law
independent from judicial colleagues in respect of decisions which
and a fundamental guarantee of a fair trial. A judge shall
the judge is obliged to make independently. (partly based on
therefore uphold and exemplify judicial independence in
Canon 1 and Rule 1.03 of the Old Code)
both its individual and institutional aspects. (new
Lawyers are expected to lawfully influence/convince
provision)
judges by their pleadings and arguments. But for judges,
Independence means freedom from the influence,
they must not interfere or intervene in the works of their
guidance or control of others. Applied to legal ethics, it is fellow judges.
referred to as judicial independence.
Every judge must decide independently.
The independence required of a judge covers both
In collegial courts, while there may be discussion and
individual independence and institutional independence.
exchange of ideas among justices which ideas may sway
one or the other, at the end of such discussion the judge
must decide on the basis of his own sole judgment.
Individual Judicial Institutional Judicial
Independence Independence
SECTION 3. Judges shall refrain from influencing in any manner the
As a person, the judge As the court, no branch outcome of litigation or dispute pending before another court or
must be free from the of the government or administrative agency. (taken from Rule 2.04 of the Old Code)
influences of other agencies thereof could
A judge who tries to influence the outcome of litigation
persons like members dictate upon it in the
of the family and performance of its pending before another court not only subverts the
friends. judicial duties. independence of the judiciary but also undermines the
No personal Must maintain and fight peoples faith in its integrity and impartiality.
relationship shall for the institutional and Any attempt, whether successful or not, to influence the
influence him to do or operational decision-making process of another judge, especially one
not to do what is independence of courts who is of lower rank and over which he exercises
requested of him from the extraneous supervisory authority, is serious misconduct.
whether right or influences or pressures
wrong. arising from other SECTION 4. Judges shall not allow family, social, or other
Focuses on each branches or agencies of relationships to influence judicial conduct or judgment. The
particular case and the government
prestige of judicial office shall not be used or lent to advance the
seeks to insure the whether local or
private interests of others, nor convey or permit others to convey
judges ability to foreign.
the impression that they are in a special position to influence the
decide cases with Focuses on the
autonomy within the independence of the judge. (Taken from Rule 2.03 of the Old Code similar to Canon 1.2
constraints of the law. judiciary as a branch of of the Canons of Judicial Ethics)
government and Judges should ensure that their family members, friends,
protects judges as a associates refrain from creating the impression that they
class. are in a position to influence the judge.
Judge shall not lend the prestige of his office to others.

Judges family includes:

SECTION 1. Judges shall exercise the judicial function
independently on the basis of their assessment of the facts in
accordance wit ha conscientious understanding of the law, free of
any extraneous influence, inducement, pressure, threat or
interference, direct or indirect, from any quarter of any reason
(based on Rule 3.02 of the Old Code)
Judges should not be swayed by the pressure of public
opinion.
A judge who gives in to pressure loses his independence.
A judge is expected to be fearless in the pursuit of
rendering justice, to resist temptations.
Q: May a judge decide case son the basis of is personal beliefs or
what he considers to be substantial justice in a particular case
before him?
Spouse;
Son/Daughter-in-Law;
Any other relative by consanguinity or affinity within the 6th
civil degree;
Any person who is a companion or employee of the judge and
who lives in the judges household.
Judges should ensure that their family members, friends and
associates refrain from creating the impression that they are in a
position to influence the judge. Judges should, therefore, at all
times remind themselves that they are not in the judiciary to give
out favors but to dispense justice. They should also make it clear
to the members of their family, friends and associates that they
will neither be influenced by anyone, nor would they allow anyone
to interfere in their work.

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
SECTION 5. Judges shall not only be free from inappropriate
connections with, and influence by, the executive and legislative
branches of government, but must also appear to be free
therefrom to a reasonable observer. (new section based on
jurisprudence)
Rationale: to protect the independence and separation of
the judiciary from the two other branches of government.
SECTION 6. Judges shall be independent in relation to society in
general and in relation to the particular parties to a dispute which
he or she has to adjudicate. (new section inspired by Canon 30 of
the Code of Judicial Ethics)
It is desirable that the judge should, as far as reasonably
possible, refrain from all relations which would normally
tend to arouse suspicion that such relations warp or bias
his judgment, and prevent an impartial attitude of mind
in the administration of judicial duties. Judges should not
fraternize with litigants and their counsel; they should
make a conscious effort to avoid them in order to avoid
perception that their independence has been
compromised.
It is not however necessary that they totally live in
seclusion like hermits. They may still commingle in society
but with limitations. They must not compromise their
independence.
SECTION 7. Judges shall encourage and uphold safeguards for the
discharge of judicial duties in order to maintain and enhance the
institutional and operational independence of the judiciary. (new
provision, based on jurisprudence)
SECTION 8. Judges shall exhibit and promote high standards of
judicial conduct in order to reinforce public confidence in the
judiciary which is fundamental to the maintenance. (partly taken
from Rule 2.01 of the Old Code)
There can be no sure guarantee of judicial independence that the
character of those appointed to the Bench.
The judge should always be imbued with a high sense of duty and
responsibility in the discharge of his obligation to promptly and
properly administer justice. He must view himself as a priest for the
administration of justice is akin to a religious crusade. (Dimatulac v
Villon, GR No. 127107, Oct 12, 1998)
THE JUDGES
Who are good judges?
Good judges are described as those who:
1. Have the mastery of the principles of law;
2. Discharge their duties in accordance with law;
3. Are permitted to perform the duties of the office
undeterred by outside influence; and
4. Are independent and self-respecting, human units in
a judicial system equal and coordinate with the other
two departments of the government. (Borromeo v
Mariano GR No. 16808 Jan 3, 1921)
CANON 2. INTEGRITY
Integrity is essential not only to the proper discharge of
the judicial office but also to the personal demeanor of
judges. (based on Rule 1.01 of the Old Code)
Integrity is a steadfast adherence to a strict moral or
ethical code. It is moral uprightness.
Judges should endeavor to conduct themselves strictly in
accordance with the mandate of the existing laws and
Code of Judicial Ethics that they be exemplars in their
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
communities and the living personification of justice and
Rule of Law.
Both in his public and private life, the judge must live
honestly and uprightly being the visible representation of
the law.
Judges must not only be good judges but must appear
as good persons.
Judges are presumed to be honest and men of integrity unless
proven otherwise.
The high qualification required of lawyers to become judges
explains the good and favorable presumption.
When a judge has integrity, it is presumed that he has the
virtues of impartiality, propriety, equality and independence.
SECTION 1. Judges shall ensure that not only is their conduct above
reproach, but that it is perceived to be so in the view of a
reasonable observer. (new provision impaired by Canon 31 of the
Old Code)
A judges official conduct and behavior in the
performance of judicial duties should be free from the
appearance of impropriety and must be beyond reproach.
Even his personal behavior in his everyday life should be
beyond reproach.
A judges conduct should be free from the appearance of
impropriety not only in his official duties but in his
everyday life. One who lives by the precept that might is
right is unworthy to be a judicial officer.
SECTION 2. The behavior and conduct of judges must reaffirm the
peoples faith in the integrity of the judiciary. Justice must not
merely be done but must also be seen to be done. (based partly
on Rule 2.01 of the Old Code)
Because appearance is as important as reality in the
performance of judicial functions, like Ceasars wife, a
judge must not only be pure but beyond suspicion. A
judge has the duty not only to render a just and impartial
decision, but also render it in such a manner as to be free
from any suspicion as to its fairness and impartiality and
also as to the judges integrity.
Judges and justices must not only be proficient in both the
substantive and procedural aspects of the law, but more
importantly, they must possess the highest integrity,
probity and unquestionable moral uprightness, both in
their public and private lives.
Some instances of Improprieties
a. Conducting in-chambers sessions with one party without
the presence of the other party of his counsel.
b. Making the courtroom as a gambling place.
c. Practicing law by accepting cases of individuals.
d. Maliciously kissing a female subordinate.
e. Habitually tardiness which amount to serious misconduct
and inefficiency.
f. Slapping of court personnel.
g. Non-payment of just debt.
SECTION 3. Judges should or initiate appropriate disciplinary
measures against lawyers or court personnel for unprofessional
conduct of which the judge may have become aware. (taken from
Rule 3.10 of the Old Code)
Judges may discipline lawyers and court personnel for
unprofessional conduct.
The judge may summarily punish any person including
lawyers and court personnel, for direct contempt for
misbehavior committed in the presence of or so near a
court or a judge as to obstruct or interrupt the
proceedings before the same. (Rule 71, ROC)
 The judge may also punish any person from indirect
contempt after appropriate charge and hearing who is
guilty of the acts enumerated under Section 12, Rule 71
of the Rules of Court.
CANON 3. IMPARTIALITY
Impartiality is essential to the proper discharge of the
judicial office. It applies not only to the decision itself but
also to the process by which the decision is made. (based
on Rule 2.01 and Canon 3 of the Old Code)
Impartiality is a state of mind of the judge where there is
no consciousness or sense of favor for, bias or prejudice
against any party in a case.
When a judge is impartial, he decides without regard to
the personalities involved, he treats parties equally and
fairly he resolves the cases based on the weight of the
evidence presented and admitted and applies the law
applicable to the facts established and not by the
influence or lack of influence of the parties involved.
Q: Impartiality applicable only to the decision rendered by the
judge?
A: No. Impartiality is essential to the proper discharge of the judicial
office. It applies not only to the decision itself but also to the process
by which the decision is made.
Q: What is the principle of cold neutrality of an impartial judge?
A:
A judge should not only render just, correct, and impartial
decision but should do so in a manner free from suspicion
as to his fairness, impartiality and integrity. This is an
indispensable requisite of due process. (Rallos v Gako,
A.M. No. RTJ-98-1484, Mar. 17, 2000)
Note: A judge has both the duty of rendering a just
decision and the duty of doing it in a manner completely
free from suspicion as to his fairness and as to his
integrity.
SECTION 1. Judges shall perform their judicial duties without
favor, bias or prejudice (based on jurisprudence)
Just like the lady who symbolizes the statuette of justice
who is blindfolded, the judge does not look at the persons
of the parties but only on the weight of evidence on the
scale and the applicable law he must evince the cod
neutrality of a disinterested magistrate with a duty to
apply the law without fear or favor, malice or prejudice to
anyone.
Note: Notatu dignum is the presumption of regularity in
the performance of a judges functions, hence, bias,
prejudice and even undue interest cannot be presumed,
especially weighed against a judges scared obligation
under oath of office to administer justice without respect
to any person and do equal right to the poor and the rich.
Q: Who has the burden of proof to show bias prejudice?
A:
The burden of proof lies with the complainant to show that
there is bias sufficient to be a ground for inhibition.
Note: there is bias or prejudice when the resulting opinion is
based upon an extrajudicial source: that is, some influence
other than the facts and law presented in the courtroom.
Q: What is the degree of proof required to prove bias and
prejudice on the part of the judge?
A: The complainant must prove the same by clear and convincing
evidence since allegations of bias are quite serious. Mere
allegations are not sufficient to constitute a violation of the rule.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
SECTION 2. Judges shall ensure that his or her conduct both in and
out of court, maintains and enhances the confidence of the public,
the legal profession and litigants in the impartiality of the judge
and of the judiciary. (partly based on Canon 2 of the Old Code.)
To maintain and enhance the impartiality of the judge
which gives him the credibility and moral ascendancy to
dispense justice fairly to the people, he must always act
both in his public and private life with dignity, honesty,
competence, and independence.
A judge should not only possess proficiency in law, but
should likewise possess moral integrity for the people
look up to him as a virtuous and upright man.
The people who run the judiciary, particularly judges
and justices, must not only be proficient in both the
substantive and procedural aspects of the law, but
more importantly, they must possess the highest
integrity, probity, and unquestionable moral
uprightness, both in their public and private lives.
Only then can the people be reassured that the
wheels of justice in this county run with fairness and
equity, thus creating confidence in the judicial
system.
SECTION 3. Judges shall, so far as is reasonable, so conduct
themselves as to minimize the occasions on which it will be
necessary for them to be disqualified from hearing or deciding
cases. (based on Canon 5 and Rule 5.02)
Judges should avoid activities on occasions which
will increase possibility of being disqualified from
hearing or deciding cases.
Fraternization with practicing lawyers and litigants is
replete with detriments and drawbacks in the
administration of justice. Even when the judge has
rendered decision happen to win, the judge will be
under heavy suspicion that he acted with partiality
or unfairly. The suspicion becomes a seed of distrust
in the mind of the public ultimately eroding the
public confidence in the judge and in the judicial
system itself.
SECTION 4. Judges shall not knowingly, while a proceeding is
before, or could come before, them make any comment that
might reasonably be expected to affect the outcome of such
proceeding or impair the manifest fairness of the process. Nor
shall judges make nay comment in public or otherwise that might
affect the fair trial of any person or issue. (based on rule 2.02 and
1.07 of the Old Code.)
A judges language both written and spoken, must be
guarded and measured, lest the best of intentions be
misconstrued. (Fecundo v Barjamen, GR No. 88105,
December 18, 1989)
This Section warns judges against making any comment
that might reasonably be expected to affect the outcome
of the proceedings before them of those that the judge
may later decide but not yet before him or impair the
manifest fairness of the process.
Public comment or statement by judges, which might affect fair
trial of cases, must be avoided.
Judges should avoid side remarks, hasty conclusions, loose
statements or gratuitous utterances that suggest they are
prejudging a case. Judges should be aware that the media
might consider them a good and credible source of opinion or
ideas, and therefore should refrain from making any
comment on a pending case. Not only is there danger of being
misquoted, but also of compromising the right of the litigants
in the case.
SECTION 5. Judges shall disqualify themselves from participating a. When he or his wife or A judge may, in the
in any proceedings in which they are unable to decide the matter his child is pecuniarily exercise of his sound
impartially or in which it may appear to a reasonably observer that interested as heir, discretion disqualify
they are unable to decide the matter impartially. Such legatee, creditor or himself, for just and
proceedings include, but are not limited to, instances where: otherwise; valid reasons other
(based on Rule 3.12 of the Old Code) b. When he is related to than those
a) The judge has actual bias or prejudice concerning a either party within the mentioned above.
part or personal knowledge of disputed evidentiary 6th degree of
facts concerning the proceedings; consanguinity or
b) The judge previously serves as a lawyer or was a affinity or to the
material witness in the matter in controversy. counsel within the 4th
c) The judge, or a member of his or her family, has an civil degree.
economic interest in the outcome of the matter in c. When he has been an
controversy. executor, guardian,
d) The judges served as executor, administrator, administrator, trustee
guardian, trustee or lawyer in the case or matter in or counsel.
controversy, or a former associate of the judge d. When he has presided
served as counsel during their association or the in an inferior court
judge or lawyer was a material witness therein; where his ruling or
e) The judges ruling in a lower court is the subject of decision is subject to
review. review.
f) The judge is related by consanguinity or affinity to a
party litigant within the sixth civil degree or to
counsel within the fourth civil degree; or Q: What is the procedure for disqualification/inhibition?
g) The judge knows that his or her spouse or child has A: Section 2, Rule 137 of the Rules of Court provides:
financial interest, as heir, legatee, creditor, fiduciary, Sec. 2 Objection that judge disqualifies, how made and effect.- If it
or otherwise, in the subject matter in controversy or be claimed that an official is disqualified from sitting as above
in a party to the proceeding, or any other interest provided, the party objecting to his competency may, in writing, file
that could be substantially affected by the outcome with the official his objection, stating the grounds therefor, and the
of the proceedings. official shall thereupon proceed with the trial, or withdraw
therefrom, in accordance with his determination of the question of
The Rule on inhibition and disqualification of judges is laid down his disqualification. His decision shall be forthwith made in writing
in Section 1, Rule 1.37 of the Rules of Court. and filed with the other papers in the case, but no appeal or stay
Section 1. Disqualification of judges- No judge or judicial shall be allowed from, or by reason of, his decision in favor of his
officer shall sit in any case in which he, or his wife or child, own competency, until after final judgment in the case.
is pecuniarily interested as heir, legatee, creditor or
otherwise, or in which he is related to either party within Times when Petition for Disqualifications should be filed.
the sixth degree of consanguinity or affinity, or to counsel The petition to disqualify a judge must be filed
within the fourth degree, computed according to the before rendition of the judgment, and cannot be
rules of the civil law, or in which he has been executor, raised on appeal. Otherwise, the parties are deemed
administrator, guardian, trustee or counsel, or in which to have waive any objection regarding the
he has presided in any inferior court when his ruing or impartiality of the judge.
decision is the subject of review, without the written
consent of all parties in interest, signed by them and Q: What is remittal of disqualification?
entered upon the record. A judge disqualified may, instead of withdrawing from the
A judge may, in the exercise of his sound discretion, proceeding, disclose in the records the basis of
disqualify himself from sitting in a case, for just or valid disqualification. If, based on such disclosure, the parties and
reasons other than those mentioned above. lawyers, independently of the judges participation, all agree
in writing that the reason for the inhibition is immaterial or
SECTION 6. A judge disqualified as stated above may, instead of insubstantial; the judge may then participate in the
withdrawing from the proceeding, disclose on the records the proceeding. The agreement, signed by all parties and lawyers,
basis of disqualification. If, based on such disclosure, the parties shall be incorporated in the record of the proceedings.
and lawyers independently of the judges participation, all agree
in writing that the reason for the inhibition is immaterial or CANON 4. PROPRIETY
unsubstantial, the judge may then participate in the proceeding.
The agreement, signed by all parties and lawyers, shall be
Propriety and the appearance of propriety are essential to the
incorporated in the record of the proceedings. (based on Rule 3.13
performance of all the activities of a judge. (based on Canon 3 of
of the Old Code)
the Canons of Judicial Ethics)
Propriety means appropriateness
DISQUALIFICATION INHIBITION
It must be open and manifest to a reasonable observer
1. There are specific grounds 1. The rule only provides
It is required in all of the activities of as judge
enumerated under the Rules of broad basis for inhibition.
Court for disqualification.
Section 1. Judges shall avoid impropriety and the appearance of
2. Judicial officer has no 2. The matter is left to the
impropriety in all of their activities. (based on Canon 3 of the
discretion to sit or try the case. sound discretion of the
Canons of Judicial Ethics)
judge.
The pubic holds judges to higher standards of integrity
and ethical conduct than lawyers and other persons not
Mandatory or Compulsory Voluntary Inhibition
invested with public trust.
Disqualification

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
 Being the visible representation of law and justice, judges
should always conduct themselves within the confines of
proper judicial deportment and behave in a manner short
of reproach.
It prohibits not only actual impropriety but even the mere
appearance of impropriety.
Instances of Improprieties Committed by Judges
1. Judge getting out from a private room in a Resort with one
of his lady subordinates
2. Judge poking his gun to another in a restaurant while in a
state of intoxication.
3. Fraternizing with litigants
4. Hearing of a Motion while a judge was on a vacation in his
room an in improper attire.
5. Judge boxing a driver.
6. Maliciously kissing a personnel of the court
7. Borrowing money from a litigant without intention to pay
8. Hurling intemperate language unbecoming of a judge
Section 2. As a subject of constant public scrutiny, judges must
accept personal restrictions that might be viewed as burdensome
by the ordinary citizen and should do so freely and willingly. In
particular, judges shall conduct themselves in a way that is
consistent with the dignity of the judicial office. (based on
jurisprudence)
Membership in the judiciary circumscribes ones
personal conduct and imposes upon him certain
restrictions, the faithful observance of which, is the
price one has to pay for holding such a distinguished
position. Accordingly, a magistrate of the law must
comport himself in a manner that his conduct must
be free of a whiff of impropriety, not only with
respect to the performance of his official duties, but
also to his behavior outside his sala and as a private
individual. His conduct must be able to withstand the
most searching public scrutiny, for the ethical
principles and sense of propriety of a judge.
Section 3. Judges shall in their personal relations with individual
members of the legal professions who practice regularly in their
court, avoid situations which might reasonably give rise to the
suspicion of appearance of favoritism or partiality.
This section is directed at bolstering the principle of
cold neutrality of an impartial judge as it requires
judges to scrupulously guard against any act that
may be construed as an expression of basis in favor
of a litigant.
Note: Constant company with lawyer tends to breed
intimacy and camaraderie to the point that favors to
the future may be asked from the judge which he
may find it hard to resist.
Section 4. Judges shall not participate in the determination of a
case in which any member of their family represents a litigant or
is associated in any manner with the case.
This rule rests on the principle that no judge should
preside in a case in which the judge is not wholly free,
disinterested, impartial and independent.
Section 5. Judges shall not allow the use of their residence by a
member of the legal professions to receive clients of the latter or
of other members of the legal professions.
It is improper for judge to allow a practitioner to receive
his clients in his (judges) residence.
Such a scenario will create the wrong impression that the
judge and the lawyer are partners in practice of law
The reason is that judges are required to always exhibit
cold neutrality of an impartial judge.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Section 6. Judges, like any other citizen, are entitled, to freedom
of expression, belief, association and assembly, but in exercising
such rights, they shall always conduct themselves in such a
manner as to preserve the dignity of the judiciary.
Judges in the exercise of their civil liberties, should be
circumspect and ever mindful of their continuing
commitment to uphold the judiciary and as values places
upon them certain implied restraints to their freedom. A
judge was admonished for the appearance of engaging in
partisan politics when he participated in a political rally
sponsored by one party, even though he only explained
the mechanics of block voting to the audience.
Section 7. Judges shall inform themselves about their personal
fiduciary financial interest and shall make reasonable efforts to be
informed about the financial interests of members of their family.
A judge shall refrain from financial and business dealings
that tend to reflect adversely on the courts impartiality,
interfere with the proper performance of judicial
activities, or increase involvement with lawyers or
persons likely to come before the court.
They can better observe the directives in Section 4 (A) (h)
of RA 6713 (Code of Conduct and Ethical standards for
public officials and Employee) that public officials and
their families shall lead modest lives. Public officials and
employees and their families shall lead modest lives,
appropriate to their positions and income. They shall not
indulge in extravagant or ostentatious display of wealth in
any form.
Section 8. Judges shall not use or lend the prestige of the judicial
office their private interests, or those of a member of their family
or of anyone else, nor shall they convey or permit others to convey
to influence them in the performance of judicial duties.
The acts prohibited by the rule
a. Judges act of using judicial office to advance private
interests
b. Judges act of giving impression that he can be influenced
to use the judicial office to advance the private interest of
others.
Section 9. Confidential information acquired by judges in their
judicial capacity shall not be used or disclosed by for any other
purpose related to their judicial duties.
The prohibition will discourage if not stop judge from
making business speculations in some business ventures,
the secrets of which they learned by reason of their
position as judges.
Section 10. Subject to the proper performance of judicial duties,
judges may:
a) Write, lecture , teach and participate in activities
concerning the law, the legal system, the
administration of justice or related matters;
b) Appear at a public hearing before an official body
concerned with matters relating to the law, the legal
system, and the administration of justice or related
matters.
c) Engage in other activities if such activities do not
detract from the dignity of the judicial office or
otherwise interfere with the performance of judicial
duties.
This section allows the judge to participate in legal academia and
public discourse on legal matters with the proviso that there shall
be no interference in the performance of the judges primary
functions with respect to his or her jurisdiction. In dealing with the
media however, the acrimonious debate with reporters and the
public, for a knee jerk reaction from the court or judge may only
provoke negative follow-up reports and articles.
This sections tolerance of judicially-related activities is limited by
Sec. 12, Article VIII of the Constitution, which prohibits judges from
being designated to any agency performing quasi-judicial or
administrative functions.
Section 11. Judges shall not practice law while the holder of
judicial office.
This prohibition is based on the inherent incompatibility
of the rights, duties and functions of the office of an
attorney with powers, duties and functions of a judge.
Note: Sec. 35 of Rule 1.38 of the Rules of the Court
prohibits judges from engaging in the practice of law or
giving professional advice to clients.
Philippine courts not only prohibit judges from overtly
representing clients as counsel of record, but also from
acting more subtly in a way more befitting an advocate
than a judge.
Section 12. Judges may form or join associations of judges or
participate in other organizations representing the interests of
judges.
This rule recognizes the difference between membership
in associations of judges and membership in associations
of other legal professionals. While attendance at lavish
events hosted by lawyers might create an appearance of
impropriety, participation in judges-only organizations
does not.
Section 13. Judges and members of their families shall neither ask
for, nor accept, any gift, bequest, loan or favor in relation to
anything done or to be done or omitted to be done by him or her
in connection with the performance of judicial duties.
Gift - refers to a thing or right to dispose of gratuitously, or
any act of liberality, in favor of another who accepts it, and
shall include a simulated sale or ostensibly onerous
disposition thereof. Its hall not include unsolicited gift of
nominal or insignificant value not given in anticipation of, or
in exchange for, a favor from a public official or employee.
Loan - Covers both simple loan and commodatum as well as
guarantees, financing arrangements or accommodations
intended to ensure its approval.
Favor - refer to any benefit or advantage received from a
person not related to the judge which is not included in the
concept of a gift or loan.
Section 13 should be read in connection with Section 7(d) of RA
6713 (Code of Conduct and Ethical Standards for Public officials
and Employee0 which provides that public officials and employees
shall not solicit or accept, directly or indirectly, any gift, gratuity,
favor, entertainment, loan or anything of money value from any
person in the course of their official duties or in connection with any
operation being regulated by, or any transaction may be affirmed
by the functions of their office.
Acceptance of Gifts, Bequests, Loans or Favors From Anyone is
Prohibited
There are many laws which prohibit a judge or any public
officer for that matter, to accept gifts, bequests or favors
or loans from anyone, except when provided by law.
o Bribery, Indirect and Direct (Articles 210 and
211 of the RVP)
o Anti-Graft and Corrupt Practices Act (RA No.
3019)
o Void Donations (Article 739 of the New Civil
Code)
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
o Loans prohibited under the Constitution (Article
XI, Section 16, 1987 Constitution)
Section 14. Judges shall not knowingly permit court staff or others
subject to their influence, direction or authority, to ask for, or
accept, any gift, bequest, loan or favor in relation to anything done
or to be done or omitted to be done in connection with their duties
or functions.
The judge cannot be allowed to do indirectly what he is
not allowed to do directly by permitting other persons like
his subordinates or staff to do or not to do or omit to do
certain acts in consideration of a gift, bequest, loan or
favor. All will be liable under the law.
Section 15. Subject to law and to any legal requirements of public
disclosure, judges may receive a token gift, award or benefit as
appropriate to the occasion on which it is made provided that such
gift, award or benefit might not reasonably be perceived as
intended to influence the judge in the performance of judicial
duties or otherwise give to an appearance of partiality.
Judges are allowed to accept token gifts, awards, or
benefits when given as a consequence of a special
occasion.
To avoid misinterpretation, the Section describes the gift
as token gift to include that it is just a symbolic gesture, it
is not something of value given as compensation or bribe.
CANON 5. EQUALITY
Ensuring equality of treatment to all before the courts is
essential to the due performance of the judicial office.
Equality of Treatment. The judge must treat all litigants
with equality regardless of their race, nationality, sex or
religion. He should not play favorite. He cannot be
respectful to the rich but disrespectful to the poor.
The Canon requires equal treatment to ALL who have
legal business to do with the courts.
Section 1. Judges shall be aware of and understand diversity in
society and differences arising from various sources, including, but
not limited to, race, color, sex, religion, national origin, caste,
disability, age, marital status, sexual orientation, social and
economic status and other like causes.
By adhering to the principle of equality to all, judges shall
not entertain bias or prejudice by reason of the race,
color, sex, religion, age, marital status, sexual orientation,
social and economic status of litigants seeking justice in
court.
Judges must treat all fairly and equally despite their stinking
diversities and difference in many aspects of their life status and
experience.
To render substantial justice and maintain public confidence in the
judicial system, judges are expected to be aware of the diversity in
society that results from an increased worldwide exchange of
people and ideas.
A judge must be able to render substantial justice and
maintain public confidence in the judicial system, by being
aware of the diversity in society. With that awareness, a
judge should not yield to first impression, reach hasty
conclusions or prejudge matters.
Section 2. Judges shall not, in the performance of judicial duties,
by words or conduct, manifest bias or prejudice towards any
person or group on irrelevant grounds.
Magistrates of law must comport themselves at all times
in such a manner that their conduct, can withstand the
highest level of public scrutiny.

Judges should avoid private remarks, hasty conclusions, or
distasteful jokes that may give even erroneous impressions of
prejudice and lead the public to believe that cases before them are
being prejudged.
Litigants are entitled to no less than the cold neutrality
of an impartial judge.
Section 3. Judges shall carry out judicial duties with appropriate
consideration for all persons, such as the parties, witnesses,
lawyers, court staff and judicial colleagues, without
differentiation on any irrelevant ground, immaterial to the proper
performance of such duties.
As arbiters of the law, judges should be conscientious,
studios, courteous, patient and punctual in the discharge
of their judicial duties recognizing that time of litigants,
witnesses and counsel is of value.
Right attitude of judges to lawyers, litigants, witnesses and all other
appearing before the court.
Judges should act with decorum toward lawyers, parties,
court staff, spectators, and alike.
In addressing counsel, litigants, or witnesses, the judge
should avoid a tone that creates animosity.
Judges should always be aware that disrespect to lawyers
generates disrespect to them. There must be mutual
concession of respect.
Respect is not a one-way ticket where the judge should be
respected but free to insult lawyers and others who appear in his
court.
If the judge indulges in intemperate language, the lawyer
can return the attack on his person and character through
an administrative case against the judge.
Patience, attention and courtesy to inexperienced lawyers is
specially directed.
Judges must muster all the patience and attention they
could in order not to discourage the beginners in the
practice of law. Rather than battering them with insulting
remarks and embarrassing questions such as asking them
when they passed the bar examinations, or from what
schools they came from, the good judge would rather
courteously guide the youthful or inexperienced lawyers
with kind words of advice and encouragement, inspiring
them in the process to study harder and excel in the field
of lawyering.
Arrogance of judges must be repressed
Judges must not even think or believe that litigants are
made for the courts and not the courts for the litigants
It is a fundamental principle in our democratic system of
governance that no official, no matter how high above the law.
Section 4. Judge shall not knowingly permit court staff or others
subject to his or her influence, direction or control to differentiate
between persons concerned, in a matter before the judge on any
irrelevant ground.
Duties of judges under this section
1. To ensure that court personnel under their
supervision do not discriminate by dispensing special
favors or disclosing confidential information to any
unauthorized person, regardless of whether such
information came from authorized or unauthorized
sources; and
2. To organize their courts to ensure the promote and
convenient dispatch of business and should not
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
tolerate misconduct by clerks, sheriffs and other
assistants who are sometimes prone to expect favors
or special treatment due to their professional
relationship with the judge.
All personnel involved in the dispensation of justice should conduct
themselves with a high degree of responsibility.
A judge who knowingly permit his court personnel or
others subject to his control to do the above acts of
discrimination or differentiation will be committing a
breach of the New Code.
Section 5. Judges shall require lawyers in proceedings before the
court to refrain from manifesting, by words or conduct, bias or
prejudice based on irrelevant grounds, except such as are legally
relevant to an issue in proceedings and may be the subject of
legitimate advocacy.
Judges should conduct proceedings in court with dignity
and in manner that reflects the importance and
seriousness of proceedings. They should maintain order
and proper decorum in the court.
Every court has the inherent power among the others, to
preserve and enforce orders in its immediate presence, to
compel obedience to its judgements, orders and
processes and to control, in furtherance of justice the
conduct of its officers.
Contempt of Court
Judges should take or initiate appropriate disciplinary measures
against lawyers or court personnel for unprofessional conduct of
which the judge may have become aware.
Judges can order lawyers to stop from abusing, brow
beating or harassing of unnecessarily inconveniencing
witnesses.
Judges can admonish or even hold in contempt of court
lawyers who persist in making disturbing acts or
mouthing libelous statements in court.
CANON 6- COMPETENCE AND DILIGENCE
A judge upon assumption to office, becomes the visible
representation of law and of justice, hence, the Constitution
(Section 7 (3) Article VIII), prescribes that he must be a person of
proven competence as a requisite of his membership in the
judiciary.
As members of the judiciary, judges ought to know the
fundamental legal principles; otherwise, they are
susceptible to administrative sanction for gross ignorance
of the law. (Heirs of Piedad v. Estrella, A.M. No. RTJ- 09-
2170, Dec. 16 2009)
Section 1. The judicial duties of a judge take precedence over all
other activities.
Primary duty of judges- to hear and decide cases brought
to them for trial and adjudication
Judges cannot malinger or refrain from their duty to
decide complicated or controversial cases. Unless there
ae clear and valid grounds for their disqualification or
inhibition, they must not recuse form such cases.
What are the duties of a judge under this section?
1. A judge must perform his judicial duties with regard to a
case where he is not disqualified to do so and, may not
divest himself of such case if he is not so disqualified; and
2. A judge shall not inhibit himself simply to avoid sitting on
difficult or controversial cases.
Section 2. Judges shall devote their professional activity to judicial
duties, which include not only the performance of judicial
functions and responsibilities in court and the making of decisions,
but also another tasks relevant to the judicial office or the courts
operations
A judge does not only hear and decide cases, but also
performs other important tasks like the management and
supervision of court personnel and operations.
Keeping of records of cases which is not an easy task is
under his supervision. Loss of records may be attributed
to his negligence and lack of managerial skill for which he
may be liable administratively.
As an administrative officer of the court, a judge should organize
and supervise the court personnel to ensure prompt and efficient
dispatch of business and require at all times the observance of high
standards of public service and fidelity.
A judge is expected to ensure that the records of the cases
assigned to his sala are intact. There is no justification for
missing records save fortuitous events.
Section 3. Judges shall take reasonable steps to maintain and
enhance their knowledge, skills and personal qualities necessary
for the proper performance of judicial duties, taking advantage for
the purpose of the training and other facilities which should be
made available, under judicial control, to judges.
One who accepts the exalted position of a judge owes the
public and the Court the duty to maintain professional
competence at all times. When a judge display an utter
lack of familiarity with the rules, he erodes the confidence
of the public in the courts. A judge owes the public and
the Court the duty to be proficient in the law and is
expected to keep abreast of laws and prevailing
jurisprudence. Ignorance of law by a judge easily be the
mainspring of injustice.
Ignorance of the Law excuses no one-Ignorance of the aw which
everyone is bound to know, excuses no one- much more so judges
Everyone, especially a judge, is presumed to know the
law- when the law is so elementary, not to be aware of its
constitutes gross ignorance of the law.
Note: To make judges liable for gross ignorance of the law, it is not
enough to prove that they are really non-knowledgeable of the law,
it must also be proved that they were motivated by bad faith,
dishonesty, fraud, corruption and some other similar motives.
Defenses in Charges of Gross Ignorance of the Law
Good faith, absence of malice, corrupt motives or
improper consideration are sufficient defenses in which a
judge charged with ignorance of law can find refuge.
Rationale: As a matter of policy, in the absence of fraud, dishonesty
and corruption, the acts of a judge in his official capacity are not
subject to disciplinary action.
Service in the judiciary means a continuous study and research on
the law from beginning to end. Judges are regulated as persons
learned in the law. Ignorance of the law excuses no one has
spread application to judges.
Though good faith and absence of malice or corruption
are sufficient defense, such does not apply where the
issues are so simple and the applicable legal principles
evident and basic as to be beyond possible margin of
error.
Section 4. Judges shall keep themselves informed about relevant
developments of international law, including international
conventions and other instruments establishing human rights
norms.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
The competence of Philippine judges must not be
confined to domestic laws and jurisprudence.
Norms of the international Law has become the concern
of judges because they form part of legal standards by
which then competence and diligence required by the
New Code of Judicial Conduct are to be measured.
Section 5. Judges shall perform judicial duties, including the
delivery of reserved decisions efficiently, fairly and with
reasonable promptness.
Purpose of the Canon
It is intended to implement the provision of the
Constitution which makes it the judges duty to decide
cases promptly and to gibe parties to a suit the enjoyment
of their right to the speedy disposition of their cases.
Constitutional Provision on Period of Adjudication of Cases-
Section 15, Article VIII of the Constitution
Section 15
(1) All cases or matters filed after the effectivity of this
Constitution must be decided or resolved within 24
months from date of submission for the Supreme Court,
and unless reduced by the SC, 12 months for all lower
collegiate courts, and three months for all other lower
courts.
(2) A case or matter shall be deemed submitted for
decision or resolution upon the filing of the last pleading,
brief, or memorandum required by the Rules of the Court
or by the Court itself.
(3) Upon the expiration of the corresponding period, a
certification to the effect signed by the Chief Justice or the
presiding judge shall forthwith be issued and a copy
thereof attached to the record of the case or matter, and
served upon the parties. The certification shall state why
a decision or resolution has not been rendered or issued
within said period.
(4) Despite the expiration of the applicable mandatory
period, the court, without prejudice to such responsibility
as may have been incurred in consequence thereof, shall
decide or resolve the case or matter submitted thereto
for determination without further delay.
Judges must comply with the reglementary period within which to
decide cases.
No less than the Constitution mandates lower courts to
resolve or decide cases within three months after they
have been submitted for decision.
The requirement that judges must decide cases within the
specified period is intended to prevent delay in the
administration of justice. For justice delayed is justice
denied.
Delay in the disposition of cases impairs the faith and
confidence of the people, specifically the low- income
group, in the judiciary.
Remedy if cases could not be resolved within the prescribed period
Upon proper application, and in meritorious cases,
especially those involving difficult questions of law or
complex issues, the SC allows lower court judges
additional time to decide beyond the ninety-day period.
In short, an application or request for extension of time is
necessary.
Judges by themselves cannot extend the period for
deciding cases beyond that authorized by law- the
extension must first be approved by the SC.
Section 6. Judges shall maintain order and decorum in all
proceedings before the court and be patient, dignifies and
courteous in relation to litigants, witnesses, lawyers and others
with whom the judge deals in an official capacity. Judges shall
require similar conduct of legal representatives, court staff and
others subject to their influence, direction or control.
The ideal judge is one who looks, talks and dresses like
one with decency and respectability. He is a complete
gentleman proficient in law, upright, fearless, honest and
dedicated to the cause of law as dispenser of justice.

Section 7. Judges shall not engage in conduct incompatible with

the diligent discharge of judicial duties.
This section is an all-encompassing rule which will cover
all forms of conduct of judges not covered explicitly by the
Old or New Code which must be avoided. Some acts are
not illegal, but if they will run in conflict with the efficient
discharge of judicial duties, they must be avoided.

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Administrative Charges and Sanctions: Violation of Supreme
Court rules, directives
General Rule: A judge is not liable administratively, civilly or & circulars
criminally when he acts within his legal powers and jurisdiction Receiving
Reason: To free the judge from apprehension of personal additional/double
consequences to himself and to preserve the integrity and compensation unless
independence of the judiciary specifically authorized
by law
Untruthful statements
Exception: Where an error is gross, deliberate and malicious, or is
in the certificate of
incurred with evident bad faith or when there is fraud, dishonesty
service
or corruption
Simple misconduct
Light Vulgar & unbecoming A fine of not less than 1k
In the absence of fraud, dishonesty, or corruption, acts of a judge in conduct but not exceeding 10k
his judicial capacity is not subject to disciplinary actions even Gambling in public Censure
though such acts are erroneous. In such case, the relief of the Fraternizing with Reprimand
aggrieved party is to elevate the error to a higher court for review lawyers & litigants with Admonition w/ warning
and correction. pending case/s in his
court
Exception to the exception: When the law or procedure is so Undue delay in the
elementary, such as provisions of the Rules of Court, not to know, submission of monthly
or how to act as if one does not know the same, constitutes gross reports
ignorance of the law, even without the complainant having to prove
malice or bad faith. Grounds for Administrative Sanctions against Judges

CHARGES SANCTIONS Misconduct- any unlawful conduct on the part of a person

Serious Bribery Dismissal from the concerned in the administration of justice prejudicial to the
(indirect/direct) service, forfeiture of rights of parties or to the right determination of the case
Dishonesty and all/part of the benefits Serious Misconduct- implies malice or a wrongful intent, not a
violations of the Anti- as the Court may mere error of judgment. For it to exist, there must be reliable
Graft & Corrupt determine and evidence showing that the judicial acts complained of were
Practices Law (RA No. disqualification from corrupt or inspired by an intention to violate the law or were
3019) reinstatement/appoint in persistent disregard of well-known legal rules
Gross misconduct ment to any public Inefficiency - implies negligence, incompetence, ignorance and
constituting violations office, including govt. carelessness. A judge would be inexcusably negligent if he
of the Code of Judicial owned/controlled corp. failed to observe in the performance of his duties that
Conduct Provided that the diligence, prudence and circumspection which the law requires
Knowingly rendering forfeiture of benefits in the rendition of any public service.
an unjust shall in no case include
judgment/order as accrued leave credits Ways of Instituting Administrative Charges against Judges:
determined by a Suspension from office o Motu proprio by the Supreme Court
competent court in an w/o salary and other o Upon verified complaint with affidavits of persons
appropriate benefits for more than having personal knowledge of the facts alleged therein
proceeding 3 but not exceeding 6 or by documents which may substantiate said
Conviction of crime A fine of more than 20k allegations
involving moral but not exceeding 40k o Upon an anonymous complaint supported by public
turpitude records of indubitable integrity
Willful failure to pay a
just debt Administrative Procedure on Complaints against Justices and Judges
Borrowing (Rule 140, ROC)
money/property from 1. Institution of Complaint (Sec. 1)
lawyers and litigants in 2. Action on the Complaint (Sec. 2)
a case pending before 3. Designation of Investigator (Sec. 3)
the court 4. Hearing (Sec. 4)
Immorality 5. Report (Sec. 5)
Gross ignorance of the 6. Action by the SC (Sec. 6)
law/procedure
Partisan political Note: Confidentiality of Proceedings (Sec. 12) until final thereof to
activities
protect the reputation of judges/justices, for it is possiband the
Alcoholism/Vicious
charge/s may be unfounded and malicious
habits
Less Undue delay in Suspension from office
Serious Retirement, Resignation or Promotion of a judge does not
rendering a without salary and
decision/order/in other benefits for not necessarily render moot and academic the case against him.
transmitting the less than 1 month nor Desistance on the part of the Complainant does not warrant
records of the case more than 3 months dismissal of administrative complaint
Frequent and A fine of more than 10k Death of a respondent judge will not necessarily render the
unjustified absences but not exceeding 20k administrative case moot and academic
without leave/habitual
tardiness Administrative Cases against Justices, Judges May Automatically
Unauthorized practice Be Treated as Disbarment Cases
of law

LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
 Under A.M. No. 02-9-02-SC (September 17, 2002), serious
administrative cases against justices and judges are
automatically converted as disciplinary proceedings
against them both as such officials and as members of the
Philippine Bar
When is an Administrative Complaint not an Appropriate
Remedy?
The filing of an administrative complaint against a judge is not
an appropriate remedy where judicial recourse is still available.
In the absence of fraud, malice, or dishonesty in rendering the
assailed decision or order, the remedy of the aggrieved party
is to elevate the assailed decision or order to the higher court
for review and correction.
An inquiry into a judges civil, criminal and/or administrative
liability may be made only after the available remedies have
been exhausted and decided with finality.
Justices and judges are also protected from baseless and
unfounded administrative complaints
The SC promulgated A.M. No. 03-10-01-SC Resolutions
Prescribing Measures to Protect Members of the Judiciary
from Baseless and Unfounded Administrative Complaints
Complaints may be required to show cause why he should not
be held in contempt of court. If the complaint is a lawyer, he
may be further required to show cause why he or she should
not be administratively sanctioned as a member of the Bar and
officer of the court.
Civil Liabilities under the Civil Code
Art. 27- Refusal or neglect without just cause by a public
servant to perform his official duty
Any person suffering material or moral loss because a public
servant or employee refuses or neglects without just cause to
perform his official duty may file an action for damages and
other relief against the latter without prejudice to any
disciplinary administrative action that may be taken
Art. 32 - Directly or indirectly obstructing, defeating, violating
or in any manner impending or impairing civil liberties
guaranteed by the Constitution
Any public officer or employee, or any private individual who
directly or indirectly obstructs, defeats, violates or in any
manner impedes or impairs any of the following rights and
liberties of another person shall be liable to the latter for
damages
The responsibility herein set forth is not demandable from a
judge unless his act or omission constitutes a violation of the
Penal Code or other personal statute.
Disabilities of Judges under the Civil Code
Art. 1491 (5) - Justices, judges, prosecuting attorneys, clerks of
court of superior and inferior courts and other officers and
employees connected with the administration of justice
cannot acquire by purchase, even at a public or judicial action,
either in person or through the mediation of another the
property and rights in litigation or levied upon the execution
before the court within whose jurisdiction or territory they
exercise the irrespective functions.
Article 739 - donations made to a judge, his wife, descendants
and ascendants by reason of his office are void.
LEGAL ETHICS BY ATTY. LOUIE JOHN LOOD | Compiled by LSG EH410 2015
Criminal Liabilities under the Revised Penal Code
Art. 204 - Knowingly rendering unjust judgment
Elements:
Offender is a judge
He renders a judgment in a case submitted to him for
decision
The judgment is unjust
The offender knows his judgment is unjust
Art. 205 - Judgment rendered through negligence
Elements:
Offender is a judge
He renders a judgment in a case submitted to him for
decision
Judgment is manifestly unjust
It is due to his inexcusable negligence or ignorance
Art. 206 - Knowingly rendering an unjust interlocutory order
Elements:
Offender is a judge
He performs the following acts:
Knowingly renders unjust interlocutory order
Renders a manifestly unjust interlocutory order or decree
through inexcusable negligence or ignorance
Art. 207 - Malicious delay in the administration of justice
Elements:
Offender is a judge
There is a proceeding in his court
He delays the administration of justice
The delay is malicious. Such delay is caused by the judge
with deliberate intent to inflict damage on either party of
the case
Malfeasance under the Anti-Graft and Corrupt Practices Act
Sec. 3(e), R.A. 3019 - A judge is criminally liable for causing an
undue injury to a person or giving any private party an
unwarranted benefit, advantage or preference in the
discharge of his official function through manifest partially,
evident bad faith and gross inexcusable negligence.
Resolution of Administrative Cases against Judges and Justices
1. If the penalty imposed upon a judge is more than 1
year suspension or a fine more than 10,000php or
both, the administrative case shall be decided by the
SC en banc.
2. If the penalty does not exceed the period and fine
abovementioned, the case will be decided by the
Division where it is assigned.
3. If the decision is one of the dismissal of the Judge,
that decision shall be en banc.
Note:
Sec. 11, Art. VIII of the Constitution provides:
The SC en banc shall have the power to discipline judges of
the lower courts, or order their dismissal by vote of a majority
of the members who actually took part in the deliberations on
the issues in the case and voted thereon
Powers & Liabilities of the Members of the SC
The SC has administrative supervision over all courts and
the personnel there of (Sec. 6, Art. VIII, Constitution)
Justices of the SC can only be removed by impeachment
(Sec. 2, Art. XI, Constitution) Impeachment proceedings
against justices of the SC is sui generis in nature and
governed by the rules created by the impeachment court.
The Congress shall promulgate its rules on impeachment.
(par. 8, Sec. 3, Art. XI, Constitution
LEGAL ETHICS BY Atty. Louie John Lood | Compiled by LSG EH410 2015