Green Notes 2019 Legal Ethics

TABLE OF CONTENTS
Based on 2019 Bar Syllabus

I. LEGAL ETHICS
A. Practice of Law (Rule 138) ……………………………………………………………………………………………………………………………………………………...1
1. Concept…………………………………………………………………………………………………………………………………………………………….………..1
2. Qualifications for admission to the Bar (Bar Matter No. 1153)…………………………………………………………………………………….…2
3. Continuing requirements for membership in the bar…………………………………………………………………………………………………3
4. Appearance of Non-Lawyers………………………………………………………………………………………………………………………………………4
a. Law student practice rule (Rule 138-A) ……………………………………………………………………………………………………….4
b. Non-lawyers in courts and/or administrative tribunals………………………………………………………………………………4
c. Proceedings where lawyers are prohibited from appearing as counsels………………………………………………………5
5. Prohibited practice of non-lawyers and appearance ………………………………………………………………………………………………….5
6. Public officials and the practice of law; prohibitions and disqualifications………………………………………………………………….6
7. The Lawyer’s Oath…………………………………………………………………………………………………………………………………………..…………..7
B. Duties and responsibilities of a 1awyer under the Code of Professional Responsibility……………………………………………………………7
1. To society (Canons 1 to 6) …………………………………………………………………………………………………………………………….…………….7
2. To the legal profession………………………………………………………………………………………………………………………………..……………..11
a. Canon 7 to 9…………………………………………………………………………………………………………………….………………………….11
b. Integrated Bar of the Philippines (Rule 139-A) …………………………………………………………………………………………….12
i. Membership and dues………………………………………………………………………………………………………………………..13
3. To the courts (Canons 10 to 13) …………………………………………………………………………………………………………………………………13
4. To the clients…………………………………………………………………………………………………………………………………………………………….16
a. Canon 14 to 22…………………………………………………………………………………………………………………………………………….16
b. Attorney’s fees…………………………………………………………………………………………………………………………………………..22
i. Acceptance fees………………………………………………………………………………………………………………………………..22
ii. Contingency fee arrangements…………………………………………………………………………………………………………22
iii. Attorney’s liens………………………………………………………………………………………………………………………………….23
iv. Fees and controversies with clients…………………………………………………………………………………………………..23
v. Quantum meruit………………………………………………………………………………………………………………………………..24
C. Suspension, disbarment and discipline of lawyers………………………………………………………………………………………………………………..26
1. Nature and characteristics of disciplinary action against lawyers……………………………………………………………………………..26
2. Grounds……………………………………………………………………………………………………………………………………………………………………27
3. Proceedings (Rule 139-B, Rules of Court, as amended) ………………………………………………………………………………………………28
4. Recoverable amounts; intrinsically linked to professional engagement……………………………………………………………………..29
D. Readmission to the Bar…………………………………………………………………………………………………………………………………………………………29
1. Lawyers who have been suspended…………………………………………………………………………………………………………………………..29
2. Lawyers who have been disbarred…………………………………………………………………………………………………………………………….30
E. Mandatory Continuing Legal Education (Bar Matter No. 850, as amended) ………………………………………………………………………..…30
1. Requirements……………………………………………………………………………………………………………………………………………………………31
2. Compliance……………………………………………………………………………………………………………………………………………………………….31
3. Exemptions……………………………………………………………………………………………………………………………………………………………….31
4. Sanctions…………………………………………………………………………………………………………………………………………………………………..31
F. Notarial Practice (A.M. No. 02-8-13-SC, as amended) ……………………………………………………………………………………………………………32
1. Qualifications of a notary public………………………………………………………………………………………………………………………………..33
2. Term of office of a notary public………………………………………………………………………………………………………………………………..33
3. Powers and limitations……………………………………………………………………………………………………………………………………………..33
4. Notarial Register……………………………………………………………………………………………………………………………………………………….34
5. Jurisdiction of notary public and place of notarization………………………………………………………………………………………………35
6. Competent evidence of identity………………………………………………………………………………………………………………………………..35
7. Sanctions………………………………………………………………………………………………………………………………………………………………….36
8. Relation to Code of Professional Responsibility…………………………………………………………………………………………………………37

II. JUDICIAL ETHICS

A. Sources
1. New Code of Judicial Conduct for the Philippine Judiciary (Bangalore Draft)…………………………………………………………...39
2. Code of Judicial Conduct…………………………………………………………………………………………………………………………………………..39
B. Disqualifications of judicial officers (Rule 137) ……………………………………………………………………………………………………………………..46
1. Compulsory………………………………………………………………………………………………………………………………………………………………46
2. Voluntary………………………………………………………………………………………………………………………………………………………………….47
C. Administrative jurisdiction of the Supreme Court over Judges and Justices (all levels) ………………………………………………………….47

III. PRACTICAL EXERCISES

A. Demand and authorization letters…………………………………………………………………………………………………………………….………………….50
B. Simple contracts; lease and sale…………………………………………………………………………………………………………………………………………...52
C. Special power of attorney…………………………………………………………………………………………………………………………………………………….56

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Green Notes 2019 Legal Ethics

D. Verification and certification of non-forum shopping…………………………………………………………………………………………………………..57

E. Notice of hearing and explanation in motions……………………………………………………………………………………………………………………….58
F. Judicial Affidavits…………………………………………………………………………………………………………………………………………..……………………...59
G. Notarial Certificates; jurat and acknowledgment…………………………………………………………………………………………………………………63
H. Motions for extension of time, to dismiss, and to declare in default………………………………………………………………………………………66

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Green Notes 2019 Legal Ethics

an attorney owes to the court, to his client, to his colleagues in the

profession, and to the public (Malcolm) as embodied in the
Constitution, Rules of Court, the Code of Professional
Responsibility, Canons of Professional Ethics, jurisprudence,
moral law and special laws. (Pineda)

SOURCES
1. 1987 Constitution
2. Rules of Court
3. Code of Professional Responsibility
4. Code of Judicial Conduct
LEGAL 5.
6.
Lawyer’s Oath
Supreme Court decisions

ETHICS 7.
8.
Revised Penal Code
New Civil Code
9. Local Government Code

PRACTICE OF LAW (RULE 138)

CONCEPT

DEFINITION
Any activity in or out of court, which requires the application of
law, legal procedure, knowledge, training, and experience.

According to Justice Padilla, in his dissent in Cayetano v. Monsod,

the following factors are considered in determining whether there
is practice of law [H.A.C.A]:

1. Habituality – Practice of law implies customarily or

habitually holding one’s self out to the public as a lawyer. It
is more than an isolated appearance for it consists in
frequent or customary action.
However, an isolated appearance may constitute practice of
law when there is a rule prohibiting some persons from
engaging in the exercise of the legal profession.
2. Application of law, legal principles, practice or procedure –
It calls for legal knowledge, training and experience.
3. Compensation – Practice of law implies that one must have
presented himself to be in the active and continued practice
of the legal profession and that his professional services are
available to the public for compensation.
4. Attorney-client relationship – Where no such relationship
exists, such as in cases of teaching law or writing law books
or articles, there is no practice of law.

Generally, to practice law is to give advice or render any kind of

service which device or service requires the use in any degree of
legal knowledge or skill. Hence, the Supreme Court declared that
a lawyer-economist, a lawyer-manager, a lawyer-entrepreneur,
and a lawyer-legislator of both rich and the poor as engaged in the
practice of law. (Cayetano v. Monsod, G.R. No. 100113, September
3, 1991)

Teaching law is considered practice of law because the fact of their

being law professors is inextricably intertwined with the fact that
they are lawyers. (Re: Letter of UP Law Faculty, A.M. 10-10-4-SC)

PRACTICE OF LAW IS A PRIVILEGE, NOT A RIGHT

The right to practice law is not a natural or constitutional right but
LEGAL ETHICS is a privilege. It is limited to persons of good moral character with
special qualifications duly ascertained and certified. The exercise
DEFINITION of this privilege presupposes possession of integrity, legal
It is the branch of moral science which treats of the duties which knowledge, educational attainment, and even public trust since a

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lawyer is an officer of the court. A bar candidate does not acquire
the right to practice law simply by passing the bar examinations.
The practice of law is a privilege that can be withheld even from
one who has passed the bar examinations, if the person seeking
admission had practiced law without a license. (Aguirre v. Rana,
B.M. No. 1036, June 10, 2003)
ADMISSION TO PHILIPPINE BAR
Passing the bar is not the only qualification to become an attorney-
at-law. The two essential requisites for becoming a lawyer still had
to be performed, namely:
1. His lawyer’s oath to be administered by this Court; and
2. His signature in the Roll of Attorneys. (Aguirre v. Rana,
supra)
LAW AS A PROFESSION, NOT A BUSINESS OR TRADE
Lawyering is not primarily meant to be a money-making venture,
and law advocacy is not a capital that necessarily yields profits.
Duty to public service and to the administration of justice should
be the primary consideration of lawyers, who must subordinate
their personal interests or what they owe to themselves. (Burbe v.
Magulta, A.C. No. 99-634, June 10, 2002)
POWER TO CONTROL AND
REGULATE THE PRACTICE OF LAW
The Supreme Court has the power to promulgate rules concerning
the protection and enforcement of constitutional rights, pleading,
practice and procedure in all courts, the admission to the practice
of law, the Integrated Bar, and legal assistance to the
underprivileged. (1987 Constitution, Art. VIII, Sec. 5 (5))
THE POWER OF SUPREME COURT TO REGULATE THE
PRACTICE OF LAW INCLUDES THE AUTHORITY TO:
a. Define the term;
b. Prescribe the qualifications of a candidate to and the
subjects of the bar examinations;
c. Decide who will be admitted to practice;
d. Discipline, suspend, or disbar any unfit and unworthy
member of the bar;
e. Reinstate any disbarred or indefinitely suspended attorney;
f. Ordain the Integration of the Philippine Bar;
g. Punish for contempt any person for unauthorized practice
of law;
h. Exercise overall supervision of the legal profession;
i. Exercise any other power as may be necessary to elevate
the standards of the bar and preserve its integrity. (Agpalo)
QUALIFICATIONS FOR ADMISSION TO THE
BAR (BAR MATTER NO. 1153)
WHO MAY PRACTICE LAW
Any person heretofore duly admitted as a member of the bar, or
hereafter admitted as such in accordance with the provisions of
this rule, and who is in good and regular standing. (Rules of Court,
Rule 138, Sec. 1)
EVERY APPLICANT FOR ADMISSION
AS A MEMBER OF THE BAR MUST BE:
1. A citizen of the Philippines,
2. At least twenty-one years of age,
3. Of good moral character, and
4. A resident of the Philippines; and
5. Must produce before the Supreme Court satisfactorily
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Legal Ethics
evidence of good moral character, and
6. That no charges against him, involving moral turpitude,
have been filed or are pending in any court in the
Philippines. (Rules of Court, Rule 138, Sec. 2)
7. Pass the Bar Examinations;
8. Must have complied with the Academic requirements;
9. Take the Lawyer’s Oath; and
10. Sign the Roll of Attorneys.
CITIZENSHIP
The practice of all professions in the Philippines shall be limited to
Filipino citizens save in cases prescribed by law. (Sec. 14 (2), Art.
XII, 1987 Constitution)
Every applicant for admission as a member of the bar must be a
citizen of the Philippines. (Rules of Court, Rule 138, Sec. 2)
Ratio: Citizenship ensures allegiance to the Republic and its laws.
The loss of Filipino citizenship ipso jure terminates the privilege to
practice law in the Philippines except when citizenship is lost by
reason of naturalization and reacquired through R.A. 9225.
(Petition to Resume Practice of Law of Dacanay, B.M. 1678,
December 17, 2007)
AGE
Every applicant for admission as a member of the bar must be at
least 21 years of age. (Rules of Court, Rule 138, Sec. 2)
Ratio: Maturity and discretion are required in the practice of law.
RESIDENCE
Every applicant for admission as a member of the bar must be… a
resident of the Philippines. (Rules of Court, Rule 138, Sec. 2)
Ratio: His/her duties to his client and to the court will require that
he be readily accessible and available.
GOOD MORAL CHARACTER
Good moral character is a continuing qualification required of
every member of the bar, it is not only a qualification precedent to
the practice of law. (Narag v. Narag, A.C. 3405, June 29, 1998)
Absence of a proven conduct or act which has been historically and
traditionally considered as a manifestation of a moral turpitude.
The act or conduct need not amount to a crime; and even if does
not constitute an offense, a conviction upon a criminal charge is
not necessary to demonstrate bad moral character although it
may show moral depravity. (Agpalo)
Good moral character is what a person really is, as distinguished
from good reputation, the estimate in which he is held by the
public in the place where he is known. (In the Matter of the
Disqualification of Bar Examinee Haron S. Meling in the 2002 Bar
Examinations and For Disciplinary Action as Member of the
Philippine Shari’a Bar, B.M. 1154, June 8, 2004)
The Supreme Court may deny lawyer’s oathtaking based on a
conviction for reckless imprudence resulting in homicide (hazing
case). But after the submission of evidence and various
certifications “he may now be regarded as complying with the
requirements of good moral character… he is not inherently of bad
moral fiber.” (In re: Argosino, A.M. 712, March 19, 1997)
Concealment of pending criminal cases constitutes lack of good
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moral character (in petition to take the bar examinations). (In the
Matter of the Disqualification of Bar Examinee Haron S. Meling in the
2002 Bar Examinations and For Disciplinary Action as Member of the
Philippine Shari’a Bar, B.M. 1154, June 8, 2004)
ADDITIONAL REQUIREMENTS FOR OTHER APPLICANTS
All applicants for admission shall, before being admitted to the
examination:
a. Satisfactorily show that they have successfully completed
all the prescribed courses for the degree of Bachelor of Laws
or its equivalent degree,
Prescribed courses: Civil law, commercial law,
remedial law, criminal law, public and private international
law, political law, labor and social legislation, medical
jurisprudence, taxation and legal ethics
b. In a law school or university officially recognized by the
Philippine Government or by the proper authority in the
foreign jurisdiction where the degree has been granted.
Rules of Court, Rule 138, Sec. 5, as amended by Bar Matter
No. 1153)
REQUIREMENTS FOR A FILIPINO CITIZEN WHO GRADUATED
FROM A FOREIGN LAW SCHOOL
He shall be admitted to the bar examination only upon submission
to the Supreme Court of certifications showing:
a. Completion of all courses leading to the degree of Bachelor
of Laws or its equivalent degree;
b. Recognition or accreditation of the law school by the proper
authority; and
c. Completion of all the fourth-year subjects in the Bachelor of
Laws academic program in a law school duly recognized by
the Philippine government.
d. Present proof of having completed a separate bachelor’s
degree course. (Rules of Court, Rule 138, Secs. 5 & 6, as
amended by Bar Matter No. 1153)
CONTINUING REQUIREMENTS FOR
MEMBERSHIP IN THE BAR
1. Good and Regular Standing;
2. Membership in the IBP;
3. Payment of IBP Dues;
4. Payment of Professional Tax;
5. Compliance with the Mandatory Continuing Legal
Education (MCLE);
6. Possession of Good Moral Character;
7. Citizenship.
GOOD MORAL CHARACTER
Lawyers have been repeatedly reminded that their possession
of good moral character is a continuing condition to preserve their
membership in the Bar in good standing. The continued
possession of good moral character is a requisite condition for
remaining in the practice of law. (Advincula v. Macabata, A.C. No.
7204, March 7, 2007)
The possession of good moral character is both a condition
precedent and a continuing requirement to warrant admission to
the Bar and to retain membership in the legal profession. Members
of the Bar are clearly duty-bound to observe the highest degree of
morality and integrity in order to safeguard the reputation of the
Bar. Any errant behavior on the part of a lawyer that tends to
expose a deficiency in moral character, honesty, probity or good
demeanor, be it in the lawyer’s public or private activities, is
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Legal Ethics
sufficient to warrant the lawyer’s suspension or disbarment. (De
Leon v. Pedreña, 708 SCRA 13, October 22, 2013)
RE-ACQUISITION OF THE PRIVILEGE TO PRACTICE LAW
UNDER REPUBLIC ACT NO. 9225
A Filipino lawyer who has lost and reacquired his citizenship under
RA 9225 or the Citizenship Retention and Re-acquisition Act of 2003
is deemed not to have lost his Philippine citizenship. However, he
still needs to apply with the Supreme Court for a license or permit
to engage in such practice after compliance with the following:
a. Updating and payment of annual membership dues in the
IBP;
b. Payment of professional tax;
c. Completion of at least 36 credit hours of MCLE;
d. Retaking of the Lawyer’s Oath (In Re: Petition for Leave to
Resume Practice of Law, Benjamin Dacanay, B.M. No. 1678,
December 17, 2007)
A Filipino lawyer who becomes a citizen of another country and
later re-acquires his Philippine citizenship under RA 9225, remains
to be a member of the Philippine Bar. However, the right to
resume the practice of law is not automatic. RA 9225 provides that
a person who intends to practice his profession in the Philippines
must apply with the proper authority for a license or permit to
engage in such practice. Thus, in pursuance to the qualifications
laid down by the Court for the practice of law, the Office of Bar
Confidant requires the following:
1. Petition for Re-acquisition of Philippine Citizenship;
2. Order (for Re-acquisition of Philippine Citizenship);
3. Oath of Allegiance to the Republic of the Philippines;
4. Identification Certificate (IC) issued by the Bureau of
Immigration;
5. Certificate of Good Standing issued by the IBP;
6. Certification from the IBP indicating updated payments of
annual membership dues;
7. Proof of payment of professional tax; and
8. Certificate of compliance issued by the MCLE Office. (In Re:
Petition to Re-acquire the Privilege to Practice Law in the
Philippines, Epifanio Muneses, B.M. No. 2112, July 24, 2012)
APPEARANCE OF NON-LAWYERS
General Rule: Only those who are licensed to practice law can
appear and handle cases in court.
Exceptions: The following are also allowed in exceptional
circumstances:
a. Law students;
b. By an agent/friend;
c. By the litigant himself.
LAW STUDENT PRACTICE RULE (RULE 138-A)
A law student who has successfully completed his third year of the
regular four-year prescribed law curriculum and is enrolled in a
recognized law school’s clinic legal education program approved
by the Supreme Court, may appear without compensation in any
civil, criminal or administrative case before any trial court, tribunal,
board or officer, to represent indigent clients accepted by the legal
clinic of the law school. (Rules of Court, Rule 138-A, Sec. 1)
The appearance of the law student authorized by this rule shall be
under the direct supervision and control of a member of the IBP
duly accredited by the law school. Any all pleadings, motions,
briefs, memoranda or other papers to be filed, must be signed by
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the supervising attorney for and in behalf of the legal clinic. (Rules
of Court, Rule 138-A, Sec. 2)
Note: The phrase “direct supervision and control” requires the
physical presence of the supervising lawyer during the hearing.
The Rules safeguarding privileged communications between
attorney and client shall apply. (Rules of Court, Rule 138-A, Sec. 3)
The law student shall comply with the standards of professional
conduct governing members of the bar. Failure of an attorney to
provide adequate supervision of student practice may be a ground
for disciplinary action. (Rules of Court, Rule 138-A, Sec. 4)
Sec. 34, Rule 138 is clear that appearance before the inferior courts
by a non-lawyer is allowed, irrespective of whether or not he is a
law student (Cruz v. Mina, G.R. 154207, April 27, 2007). Thus, a law
student may appear under the circumstances of Sec. 38, as an
agent or a friend of a party litigant, without complying with the
requirements of Rule 138- A, e.g., supervision of a lawyer.
Threefold Rationale behind Law Student Practice Rule
1. To ensure that there will be no miscarriage of justice as a
result of incompetence or inexperience of law students,
who, not having as yet passed the test of professional
competence, are presumably not fully equipped to act as
counsels on their own;
2. To provide a mechanism by which the accredited law school
clinic may be able to protect itself from any potential
vicarious liability arising from some culpable action by their
law students; and
3. To ensure consistency with the fundamental principle that
no person is allowed to practice a particular profession
without possessing the qualifications, particularly a license,
as required by law. (In Re: Need that Law Student Practicing
under Rule 138-A be Actually Supervised during Trial, Bar
Matter No. 730, June 13, 1997)
Note: A law student appearing before the RTC under Rule 138-A
should at all times be accompanied by a supervising lawyer. (Bar
Matter No. 730, supra)
NON-LAWYERS IN COURTS
The following are the instances whereby non-lawyers may appear
in court:
1. Before the MTC – a party may conduct his litigation in
person, with the aid of an agent or friend appointed by him
for the purpose, or with the aid of an attorney. (Rules of
Court, Rule 138, Sec. 34)
2. Before any other court – a party may conduct his litigation
personally or by aid of an attorney, and his appearance must
be either personal or by a duly authorized member of the
bar. (Rules of Court, Rule 138, Sec. 34)
3. In a criminal case before the MTC – in a locality where a
duly licensed member of the Bar is not available, the judge
may appoint a non-lawyer who is:
a. A resident of the province; and
b. Of good repute for probity and ability, to defend the
accused. (Rules of Court, Rule 116, Sec. 7)
APPOINTMENT OF COUNSEL DE OFICIO
A counsel de oficio is a counsel, appointed or assigned by the court,
from among such members of the bar in good standing who, by
reason of their experience and ability may adequately defend the
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Legal Ethics
accused. The person need not be a member of the bar if no lawyer
is available in a given locality. (Rules of Court, Rule 116, Sec. 7)
A counsel de oficio is appointed to defend an indigent in a criminal
action (Rules of Court Rule 116, Sections 3, 4, and 5; Rule 138, Sec.
32); or to represent a destitute party in a case. (Rules of Court, Rule
138, Sec. 31)
RIGHT OF A PARTY TO SELF-REPRESENTATION
A party’s representation on his own behalf is not considered to be
a practice of law as “one does not practice law by acting for
himself, any more than he practices medicine by rendering first aid
to himself.” (Maderada v. Mediodea, A.M. No. MTJ-02-1459,
October 14, 2003)
A person can conduct the litigation of the cases personally. He is
not engaged in the practice of law if he represents himself in cases
in which he is party. By conducting the litigation of his own cases,
he acts not as a counsel or lawyer but as a party exercising his right
to represent himself. He does not become a counsel or lawyer by
exercising such right. (Santos v. Judge Lacurom, A.M. No. RTJ-04-
1823, August 28, 2006)
Note: Section 34, Rule 138 of the Rules of Court does not
distinguish between civil and criminal cases.
1. In civil cases, an individual litigant has the right to conduct
his litigation personally. (Rules of Court, Rule 138, Sec. 34)
2. In criminal cases, in grave and less grave offenses, an
accused who is a layman must always appear by counsel; he
cannot conduct his own defense, as his right to counsel may
not be waived without violating his right to due process of
law.
a. The accused may defend himself in person “when it
sufficiently appears to the court that he can properly
protect his rights without the assistance of counsel.”
(Rules of Court, Rule 115, Sec. 1(c))
b. The gravity of the offense and the difficulty of the
questions that may arise should be considered in
determining whether a counsel de oficio should be
appointed, or whether a counsel de parte should be
required.
AGENT OR FRIEND
When appointed or chosen, the agent or friend is not engaged in
the practice of law, since there is no habituality in the activity and
no attorney-client relationship exists. He is only permitted to
appear in the municipal trial court.
NON-LAWYERS IN ADMINISTRATIVE TRIBUNALS
The following are the instances whereby non-lawyers may appear
in administrative tribunals:
1. Under the Labor Code, non-lawyers may appear before the
Commission or any Labor Arbiter only:
a. If they represent themselves; or
b. If they represent their organization or members
thereof. (Labor Code, Art. 222 (1))
2. Under the Cadastral Act, any person claiming any interest in
any part of the lands, whether named in the notice or not,
shall appear before the Court by himself, or by some person
in his behalf. (The Cadastral Act, Act No. 2259, Sec. 9)
Note: Under the 2011 NLRC Rule of Procedure which was
promulgated pursuant to Art. 218 (a), the Labor Code allows:
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1. Non-lawyers, who are not necessarily a party to the case, to
represent a union or members thereof;
2. Non-lawyers who are duly accredited members of any legal
aid office recognized by the Department of Justice or
Integrated Bar of the Philippines; and
3. Non-lawyer owners of establishments, to appear before it.
A non-lawyer may represent a party before the Department of
Agrarian Reform Adjudication Board (DARAB). (Pineda)
LIMITATIONS ON THE APPEARANCE OF NON-LAWYERS
BEFORE THE COURTS
1. He should confine his work to non-adversary contentions
and should not undertake purely legal work (i.e.,
examination of witness, presentation of evidence);
2. His services should not be habitually rendered;
3. Attorney’s fees should not be charged. (Agpalo)
PROCEEDINGS WHERE LAWYERS ARE PROHIBITED FROM
APPEARING AS COUNSELS
1. In small claims cases, no attorney shall appear in behalf of
or represent a party at the hearing, unless the attorney is the
plaintiff or defendant. (Rules of Procedure in Small Claims
Cases, Sec. 17)
Note: If the court determines that a party cannot properly
present his/her claim or defense and needs assistance, the
court may, in its discretion, allow another individual who is
not an attorney to assist that party upon the latter’s
consent. (Rules of Procedure in Small Claims Cases, Sec. 17)
2. In Katarungang Pambarangay Proceedings, parties must
appear in person without the assistance of counsel or
representative, except for minors and incompetent who
may be assisted by their next of kin who are not lawyers.
(Local Government Code, Sec. 415)
PROHIBITED PRACTICE OF NON-LAWYERS
AND APPEARANCE WITHOUT AUTHORITY
PERSONS NOT LAWYERS
A person who has been refused admission to the bar by order of
the Supreme Court but nonetheless attempts to practice law is
guilty of indirect contempt. (2014 Bar Examination)
A respondent adjudged guilty of indirect contempt committed
against a RTC or a court of equivalent or higher rank may be
punished by a fine not exceeding thirty thousand pesos or
imprisonment not exceeding six (6) months, or both. If a
respondent is adjudged guilty of contempt committed against a
lower court, he may be punished by a fine not exceeding five
thousand pesos or imprisonment not exceeding one (1) month, or
both. (1997 Rules of Civil Procedure, Rule 71, Sec. 7)
Note: The liability for the unauthorized practice of law under
Section 3(e), Rule 71 of the Rules of Court is in the nature of
criminal contempt. (Tan v. Balajadia, G.R. No. 169517, March 14,
2006)
LAWYERS WITHOUT AUTHORITY
Under Sec. 27, Rule 138 of the Rules of Court, corruptly or willfully
appearing as an attorney for a party to a case without authority to
do so is a ground for disbarment or suspension. (Vargas v. Ignes,
A.C. No. 8096, July 5, 2010)
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Legal Ethics
REMEDIES AGAINST UNAUTHORIZED PRACTICE OF LAW BY
PERSONS WHO ARE NOT LAWYERS
1. Petition for Injunction;
2. Contempt of Court;
3. Criminal Complaint for Estafa for falsely representing
himself to be an attorney.
REMEDIES AGAINST PRACTICE OF LAW WITHOUT
AUTHORITY
1. Petition for Injunction;
2. Contempt of Court;
3. Disqualification and complaints for disbarment;
4. Administrative complaint against erring lawyer or
government official; and
5. Declaratory Relief. (Agpalo)
PRIVILEGES OF ATTORNEY
1. A lawyer has the privilege and right to practice law during
good behavior before any judicial, quasi-judicial, or
administrative tribunal;
2. He enjoys the presumption of regularity in the discharge of
his duty. His statements, if relevant or material to the case
are absolutely privileged regardless of their defamatory
tenor. He can speak freely and courageously in proceedings
without the risk of criminal prosecution;
3. Passing the bar is equivalent to first grade Civil Service
eligibility for any position in the classified service of the
government, the duties of which require knowledge of law;
or second grade eligibility for any other government
position not requiring proficiency in the law. (Agpalo)
PUBLIC OFFICIALS AND THE PRACTICE
OF LAW; PROHIBITIONS AND
DISQUALIFICATIONS
General Rule: Government lawyers are not allowed to engage in
the private practice of their profession during their incumbency.
Exception: A government lawyer can engage in the practice of his
or her profession under the following conditions:
1. the private practice is authorized by the Constitution or
by the law; and
2. the practice will not conflict or tend to conflict with his
or her official functions.
PROHIBITION OR DISQUALIFICATION OF FORMER
GOVERNMENT ATTORNEYS
In case of lawyers separated from the government service who are
covered under Sec. 7 (b) (2) of R.A. No. 6713 or the Code of Conduct
and Ethical Standards for Public Officials and Employees, a one-
year prohibition is imposed to practice law in connection with any
matter before the office he used to be with.
Rule 6.03 of the Code of Professional Responsibility echoes this
restriction and prohibits lawyers, after leaving government
service, to accept engagement or employment in connection with
any matter in which he had intervened while in the said service.
(Olazo v. Justice Tinga, A.M. No. 10-5-7-SC, December 7, 2010)
PUBLIC OFFICIALS WHO CANNOT PRACTICE LAW OR CAN
PRACTICE LAW WITH RESTRICTIONS
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ABSOLUTELY PROHIBITED TO ENGAGE IN THE PRACTICE OF
LAW
1. Judges and other officials or employees of the superior
court (Rules of Court, Rule 138, Sec. 35);
2. Officials and employees of the Office of the Solicitor
General (Ibid);
3. Government Prosecutors (People v. Villanueva, G.R. No. L-
19450, May 27, 1965, 14 SCRA 109);
4. President, Vice-President, members of the cabinet, their
deputies and assistants (1987 Constitution, Art. VII, Sec. 13);
5. Chairmen and members of the Constitutional Commission
(1987 Constitution, Art. IX-A, Sec. 2);
6. Ombudsman and his deputies (1987 Constitution, Art. IX,
Sec. 8(2));
7. All governors, city and municipal mayors (R.A. No. 7160, Sec.
90)
8. Civil service officers or employees whose duties require
them to devote their entire time at the disposal of the
government. (Catu v. Rellosa, A.C. No. 5738, February 19,
2008); and
9. Those prohibited by special law.
RESTRICTIONS ON CERTAIN INDIVIDUALS TO ENGAGE IN
THE PRACTICE OF LAW
1. No Senator or member of the House of Representative may
personally appear as counsel before any court of justice as
before the Electoral Tribunals, or quasi-judicial and other
administrative bodies. (1987 Constitution, Art. VI, Sec. 14)
2. Under the Local Government Code, Sanggunian members
may practice their professions provided that if they are
members of the Bar, they shall not:
a. Appear as counsel before any court in any civil case
wherein a local government unit or any office,
agency, or instrumentality of the government is the
adverse party;
b. Appear as counsel in any criminal case wherein an
officer or employee of the national or local
government is accused of an offense committed in
relation to his office;
c. Collect any fee for their appearance in administrative
proceedings involving the local government unit of
which he is an official; and
d. Use property and personnel of the government
except when the sanggunian member concerned is
defending the interest of the government. (R.A. No.
7160, Sec. 90)
3. A retired justice or judge receiving pension from the
government, cannot act as counsel:
a. In any civil case in which the government, or any of its
subdivision or agencies is the adverse party; or
b. In a criminal case wherein an officer or employee of
the government is accused of an offense in relation to
his office; or
c. Collect any fee for his/her appearance in any
administrative proceedings to maintain an interest to
the government, national, provincial or municipal, or
to any of its legally constituted officers. (R.A. 910,
Sec. 1, as amended)
LAWYERS AUTHORIZED TO REPRESENT THE GOVERNMENT
Any official or other person appointed or designated in accordance
with law to appear for the Government of the Philippines shall
have all the rights of a duly authorized member of the bar to
Lasallian Commission on Bar Operations
Legal Ethics
appear in any case in which said government has an interest direct
or indirect. (Rules of Court, Rule 138, Sec. 33)
Note: Solicitor General, State Prosecutors, Members of the Office
of the Government Corporate Counsel, Private lawyer retained by
government entities with the approval of OSG or GOCC and the
Commission on Audit.
THE LAWYER’S OATH
I, __(name)__, of __(permanent address)__do solemnly swear that
I will maintain allegiance to the Republic of the Philippines; I will
support its Constitution and obey the laws as well as the legal
orders of the duly constituted authorities therein; I will do no
falsehood, nor consent to the doing of any in court; I will not
wittingly or willingly promote or sue any groundless, false or
unlawful suit, nor give aid nor consent to the same. I will delay no
man for money or malice, and will conduct myself as a lawyer
according to the best of my knowledge and discretion with all
good fidelity as well to the courts as to my clients; and I impose
upon myself this voluntary obligation without any mental
reservation or purpose of evasion. So help me God.
SIGNIFICANCE OF THE LAWYER’S OATH
By the Lawyer's Oath, every lawyer is enjoined not only to obey
the laws of the land but also to refrain from doing any falsehood in
or out of court or from consenting to the doing of any in court, and
to conduct himself according to the best of his knowledge and
discretion with all good fidelity as well to the courts as to his
clients. Every lawyer is a servant of the Law, and has to observe
and maintain the rule of law as well as be an exemplar worthy of
emulation by others. It is by no means a coincidence, therefore,
that honesty, integrity and trustworthiness are emphatically
reiterated by the Code of Professional Responsibility. (Samonte v.
Abellana, 727 SCRA 80, June 23, 2014)
An applicant who has passed the required examination, or has
been otherwise found to be entitled to admission to the bar, shall
take and subscribe before the Supreme Court the corresponding
oath of office. (Rules of Court, Rule 138, Sec. 7)
The lawyer’s oath is not a mere ceremony of formality for
practicing law. Every lawyer should at all times weigh his actions
according to the sworn promises he makes when taking the
lawyer’s oath. If all lawyers conducted themselves strictly
according to the lawyer’s oath and the Code of Professional
Responsibility, the administration of justice will undoubtedly be
faster, fairer and easier for everyone concerned. (In Re: Al C.
Argosino, B.M. No. 712, March 19, 1997)
DUTIES AND RESPONSIBILITIES OF A
LAWYER UNDER THE CODE OF
PROFESSIONAL RESPONSIBILITY
FOUR-FOLD DUTIES OF A LAWYER
1. To society
2. To the legal profession
3. To the court
4. To the client
TO SOCIETY (CANONS 1 TO 6)
CANON 1: RESPECT FOR LAW AND LEGAL PROCESSES
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RULE 1.01
An act constituting immoral or deceitful conduct is one that
involves moral turpitude. It includes any act done contrary to
justice, honesty, modesty or good morals. (Malcolm)
IMMORAL CONDUCT
It is a conduct that is willful, flagrant or shameless, and which
shows a moral indifference to the opinion of the good and
respectable members of the community. (Estrada v. Escritor, A.M.
No. P-02-1651, August 4, 2003)
DECEITFUL CONDUCT
It is having the proclivity for fraudulent and deceptive
misrepresentation, artifice, device that is used upon another who
is ignorant of the true facts, to the prejudice and damage of the
party imposed upon. (Manaquiz v. Emelo, A.C. No. 8968, September
26, 2017)
UNLAWFUL CONDUCT
It is an act or omission which is against the law. Dishonesty
involves lying or cheating. (Agpalo)
DISHONEST CONDUCT
It refers to the disposition to lie, cheat, deceive, defraud, or betray;
be unworthy; lacking in integrity, honesty, probity, integrity in
principle, fairness, and straightforwardness. (Manaquiz v. Emelo,
supra)
IMMORAL AND GROSSLY IMMORAL CONDUCT
Immoral conduct involves acts that are willful, flagrant, or
shameless, and that show a moral indifference to the opinion of
the upright and respectable members of the community. Immoral
conduct is gross when it is so corrupt as to constitute a criminal act,
or so unprincipled as to be reprehensible to a high degree, or when
committed under such scandalous or revolting circumstances as to
shock the community’s sense of decency. The Court makes these
distinctions, as the supreme penalty of disbarment from conduct
requires grossly immoral, not simply immoral, conduct. (Perez v.
Catindig, A.C. No. 5816, March 10, 2015)
EXAMPLES OF GROSSLY IMMORAL ACTS
1. Wanton disregard for the sanctity of marriage as shown
when the lawyer pursued a married woman and thereafter
cohabited with her. (Guevarra v. Eala, A.C. No. 7136, August
1, 2007)
2. Rape of a neighbor’s wife, which constitutes serious moral
depravity, even if his guilt was not proved beyond
reasonable doubt in the criminal prosecution for rape.
(Calub v. Suller, A.C. No. 1474, January 8, 2000)
3. Acts of engaging in illicit relationships with two different
women during the subsistence of his marriage. (Dantes v.
Dantes, A.C. No. 6486, September 22, 2004)
4. A lawyer who is a married man with children, taking
advantage of his position as the chairman of the College of
Medicine of his school in enticing a student in the college to
have carnal knowledge with him under the threat that she
would flunk in all her subjects should she refuse. (Delos
Reyes v. Aznar, Adm. Case No. 1334, November 28, 1989, 179
SCRA 653)
5. The act of having an affair with his client’s wife. (Tiong v.
Florendo, A.C. No. 4428, December 12, 2011)
EXAMPLES OF ACTS WHICH ARE NOT GROSSLY IMMORAL
1. Mere intimacy between a man and a woman, both of whom
Lasallian Commission on Bar Operations
Legal Ethics
possess no impediment to marry, voluntarily carried and
devoid of deceit on the part of the respondent, even if a
child was born out of wedlock of such relationship; it may
suggest a doubtful moral character but not grossly immoral.
(Figueroa v. Barranco, SBC Case No. 519, July 31, 1997)
2. Stealing a kiss from a client. (Advincula v. Macabata, A.C.
No. 7204, March 7, 2007)
MORAL TURPITUDE
An act of baseness, vileness, or depravity in the private duties
which a man owes his fellow men, or to society in general, contrary
to the accepted and customary rule of right and duty between man
and woman or conduct contrary to justice, honesty, modesty, or
good morals. (Dela Torre v. COMELEC, G.R. No. 121592, July 5,
1996)
EXAMPLES OF CRIMES INVOLVING MORAL TURPITUDE
1. Estafa;
2. Bribery;
3. Murder;
4. Bigamy;
5. Seduction;
6. Abduction;
7. Concubinage;
8. Smuggling;
9. Falsification of public documents;
10. Violation of B.P. 22. (Pineda)
CASES:
Respondent’s refusal to marry the complainant was not so corrupt
nor unprincipled as to warrant disbarment. (Arciga v. Maniwang,
A.M. No. 1608, August 14, 1981)
Even though respondent repeatedly engaged in sexual congress
with a woman not his wife and refused to support his child born
from this relationship, he shall not be disbarred. Although he
clearly violated the standards of morality required of the legal
profession, records show that from the time he took his oath, he
has severed ties with complainant and now lives with his wife and
children. Thus, merely indefinite suspension from the practice of
law was ordered. (Zaguirre v. Castillo, A.C. No. 4921, March 6, 2003)
RULE 1.02
A lawyer who assists a client in a dishonest scheme or who
connives in violating the law commits an act which justifies
disciplinary action. (Donton v. Tansingco, A.C. No. 6057, June 27,
2006)
RULE 1.03
The purpose of the prohibition is to prevent ambulance chasing,
which refers to solicitation of almost any kind of legal business by
laymen employed by an attorney for the purpose or by the
attorney himself. (Agpalo)
This rule proscribes “ambulance chasing” (the solicitation of
almost any kind of legal business by an attorney, personally or
through an agent in order to gain employment) as a measure to
protect the community from barratry and champerty. (Linsangan
v. Tolentino, A.C. No. 6672, September 4, 2009)
CHAMPERTY AND MAINTENANCE
Maintenance
The doctrine of maintenance was directed "against wanton and in
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officious intermeddling in the disputes of others in which the
intermeddler has no interest whatever, and where the assistance
rendered is without justification or excuse."
Champerty
It is characterized by "the receipt of a share of the proceeds of the
litigation by the intermeddler." (Cadavedo v. Lacaya, G.R. No.
173188, January 15, 2014)
Ambulance Chasing
Accident-site solicitation of any kind of legal business by laymen
employed by an attorney for the purpose or by the attorney
himself. (Linsangan v. Tolentino, A.C. No. 6672, September 4, 2009)
RULE 1.04
The useful function of a lawyer is not only to conduct litigation but
to avoid it where possible, by advising settlement or withholding
suit. (Agpalo)
Ratio: To save the client from additional expenses and help
prevent clogging of the docket.
Even assuming counsels initiated and participated in the
settlement of the case, there was nothing wrong in their doing so.
It was actually their obligation as lawyers to do so, pursuant to Rule
1.04, Canon 1 of the Code of Professional Responsibility.
(Campugan v. Tolentino, Jr., 752 SCRA, 254, March 11, 2015)
CANON 2: EFFICIENT AND CONVENIENT LEGAL SERVICES
RULE 2.01
This rule stems from one of the obligations of a lawyer which is to
represent the poor and the oppressed in the prosecution of their
claims or the defense of their rights. (Agpalo)
Membership in the bar is a privilege burdened with conditions. It
could be that for some lawyers, especially the neophytes in the
profession, being appointed counsel de oficio is an irksome chore.
For those holding such belief, it may come as a surprise that
counsel of repute and of eminence welcome such an opportunity.
It makes even more manifest that law is indeed a profession
dedicated to the ideal of service and not a mere trade. It is
understandable then why a high degree of fidelity to duty is
required of one so designated. (Ledesma v. Climaco, G.R. No. L-
23815, June 28, 1974)
RULE 2.02
A lawyer may refuse to accept the cause of the defenseless or the
oppressed for valid reasons, such as when he is not in a position to
carry out the work effectively or competently. Nonetheless, he
shall not refuse to render legal advice such as the preliminary steps
to take, until the person concerned shall have secured the services
of counsel. (Agpalo)
VALID REASONS FOR REFUSING TO ACCEPT
REPRESENTATION OF INDIGENT CLIENTS
(Canon 14, Rule 14.03)
1. The lawyer is not in a position to carry out the work
effectively or competently;
2. There is a conflict of interest.
RULE 2.03
The most worthy and effective advertisement possible is the
establishment of a well-merited reputation for professional
Lasallian Commission on Bar Operations
Legal Ethics
capacity and fidelity to trust. The publication or circulation of
ordinary simple business cards is not per se improper, but
solicitation of business by circulars or advertisements, or by
personal communications or interview not warranted by personal
relations is unprofessional. (In Re: Tagorda, G. R. No. 32329, March
23, 1929, 53 Phil 37)
A lawyer’s best advertisement is a well-merited reputation for
professional capacity and fidelity to trust based on his character
and conduct. For this reason, lawyers are only allowed to
announce their services by publication in reputable law lists or use
of simple professional cards. The Court enumerated what
professional calling cards may contain: (a) lawyer’s name; (b) law
firm with which he is connected; (c) address; (d) telephone and (e)
special branch of law practiced. (Linsangan v. Tolentino, supra)
A lawyer who agrees with a non-lawyer to divide attorney’s fees
paid by clients supplied or solicited by the non-lawyer is guilty of
malpractice, the same being a form of solicitation of cases.
RULE 2.04
Charging lower rates than that customarily prescribed can
constitute unfair competition and as such can be an indirect
solicitation of business.
The rule does not prohibit a lawyer from charging a reduced fee or
none at all to an indigent or to a person who would have difficulty
paying the fee usually charged for such services, or if there is a
relationship of friendship between the attorney and the client.
(Aguirre)
CANON 3: TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE
INFORMATION ON LEGAL SERVICES
RULE 3.01
General Rule: A lawyer cannot advertise his talent.
Ratio: To allow a lawyer to advertise his talent or skill is to
commercialize the practice of law, lower the profession in public
confidence and lessen its ability to render efficiently that high
character of service to which every member of the bar is called.
(Director of Religious Affairs v. Bayot, A.C. No. L-1117, March 20,
1944)
Exceptions:
1. Writing legal articles;
2. Publication in reputable law lists, but only of brief
biographical data and informative data;
3. Use of ordinary simple professional cards;
4. The publication of a simple announcement of the opening
of the firm or of changes in the partnership, associates, firm
name or office address;
5. Listing in a telephone directory;
6. Notice to local lawyers and publishing in a legal journal of
his availability to serve other lawyers;
7. Seeking of appointment to public office which can be filled
up only by a lawyer;
8. Activity of an association for the purpose of legal
representation;
9. The offer of free legal services to the indigent even when
broadcasted over the radio. (Agpalo)
Not all types of advertising or solicitation are prohibited. The
canons of the profession enumerate exceptions to the rule against
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advertising or solicitation and define the extent to which they may
be undertaken. The first of such exceptions is the publication in
reputable law lists, in a manner consistent with the standards of
conduct imposed by the canons, of brief biographical and
informative data. The use of an ordinary simple professional card
is also permitted. The card may contain only a statement of his
name, the name of the law firm which he is connected with,
address, telephone number and special branch of law practiced.
Taking into consideration the nature and contents of the
advertisements for which respondent is being taken to task, which
even includes a quotation of the fees charged by said Respondent
Corporation for services rendered, the same definitely do not and
conclusively cannot fall under any of the above-mentioned. (Ulep
v. Legal Clinic, 223 SCRA 378, June 17, 1993)
RULE 3.02
A lawyer is not authorized to use a name other than the one
inscribed in the Roll of Attorneys in his practice of law. (Pangan v.
Ramos, A.M. No. 1053, September 7, 1979)
Use of a foreign firm’s name amounts to misrepresentation
because a foreign law firm is not authorized to practice law in the
Philippines (Dacanay v. Baker & McKenzie, Adm. Case No. 2131,
May 10, 1985)
The continued use of the name of a deceased partner is
permissible provided that the firm indicates in all its
communications that said partner is deceased. (Agpalo)
RULE 3.03
Purpose: To prevent the law firm from using his name to attract
legal business and to avoid suspicion of undue influence.
A civil service officer or employee whose duty or responsibility
does not require his entire time to be at the disposal of the
government may not engage in the private practice of law without
the written permit from the head of the department concerned.
(Agpalo)
Note: Teaching is not a prohibited practice of profession. (1986
Constitutional Commission opinion)
RULE 3.04
Purpose: To prevent some lawyers from gaining an unfair
advantage over others through the use of gimmickry, press
agentry or other artificial means. (Agpalo)
The standards of the legal profession condemn the lawyer's
advertisement of his talents. A lawyer cannot, without violating
the ethics of his profession, advertise his talents or skill as in a
manner similar to a merchant advertising his goods. The
prescription against advertising of legal services or solicitation of
legal business rests on the fundamental postulate that the practice
of law is a profession. (Ulep v. The Legal Clinic, Inc., supra)
CANON 4: PARTICIPATION IN THE IMPROVEMENT OF
REFORMS IN THE LEGAL SYSTEM
While the lawyer’s task in contributing to the improvement of the
legal system is not a matter of strict duty, it is a duty nonetheless
which flows from the lawyer’s sense of public responsibility.
(Pineda)
Examples:
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Legal Ethics
1. Petitions with the SC for amendment or introduction of the
Rules of Court;
2. Presenting position papers or resolutions for the
introduction of pertinent bills in Congress;
3. Asking for exemption from the payment of filing, docket
and other fees of clients (Re: Request of National Committee
on Legal Aid to Exempt Legal Aid Clients from Paying Filing,
Docket and other Fees, A.M. No. 08-11-7-SC, August 28,
2009)
4. Writing legal publications or books as an avenue of
improving the legal system.
CANON 5: PARTICIPATION IN LEGAL EDUCATION
PROGRAMS
The primary duty of lawyers to obey the laws of the land and
promote respect for the law and legal processes carries with it the
obligation to be well-informed of the existing laws and to keep
abreast with legal developments, recent enactments, and
jurisprudence. It is imperative that they be conversant with basic
legal principles. Unless they faithfully comply with such duty, they
may not be able to discharge competently and diligently their
obligations as members of the bar. (Dulalia, Jr. v. Cruz, A.C. No.
6854, April 25, 2007)
Attorney should familiarize themselves with the rules and comply
with their requirements. They are also chargeable with notice of
changes in the rules which have been held as including not only
express reglementary provisions but also a regular practice under
the Rules of Court. (Zualo v. CFI of Cebu, CA-G.R. No. 27718-R, July
7, 1961)
THREE-FOLD OBLIGATION OF A LAWYER
1. He owes it to himself to continue improving his knowledge
of the law;
2. He owes it to his profession to take an active interest in the
maintenance of high standards of legal education; and
3. He owes it to the lay public to make the law a part of their
social consciousness. (Pineda)
MANDATORY CONTINUING LEGAL EDUCATION (MCLE)
Purpose: to ensure that throughout a lawyer’s career, he keeps
abreast with law and jurisprudence, maintains the ethics of the
profession, and enhances the standards of the practice of law.
CANON 6: APPLICATION TO LAWYERS IN GOVERNMENT
SERVICE
RULE 6.01
A member of the bar who assumes public office does not shed his
professional obligation. Lawyers in government are public
servants who owe the utmost fidelity to the public service. A
lawyer in public service is a keeper of public faith and is burdened
with a high degree of social responsibility, perhaps higher than her
brethren in private practice. (Vitriolo v. Dasig, A.C 4984, April 1,
2003)
PUBLIC PROSECUTOR
He is the representative of the sovereignty whose interest in a
criminal prosecution is not that it shall win a case, but that justice
shall be done. (Suarez v. Platon, G.R. No. 46371, February 7, 1940,
69 Phil. 556)
RULE 6.02
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Green Notes 2019 Legal Ethics

The restriction applies particularly to lawyers in government government and the Note: This is unique to
service, who are allowed by law to engage in private law practice interests of the current and government lawyers and
and although prohibited from engaging in the practice of law, have former are adverse. apply primarily to former
friends, former associates and relatives, who are in the active government lawyers.
practice of law. (PCGG v. Sandiganbayan,
supra)
RULE 6.03
In relation to Rule 3.03, Canon 3, if the law allows a public official TO THE LEGAL PROFESSION
to practice law concurrently, he must not use his public position to (CANONS 7 TO 9)
feather his law practice. Moreover, he should not only avoid all
impropriety. Neither should he even inferentially create a public
CANON 7: UPHOLDING THE INTEGRITY AND DIGNITY OF
image that he is utilizing his public position to advance his
THE PROFESSION
professional success or personal interest at the expense of the
public. (Agpalo)
RULE 7.01
Consequences of knowingly making a false statement or
This restriction covers engagement or employment, which means
suppression of a material fact in the application for admission to
that he cannot accept any work or employment from anyone that
the Bar:
will involve or relate the matter in which he intervened as a public
1. If the false statement or suppression of material fact is
official, except on behalf of the body or authority which he served
discovered before the candidate should take the bar
during his public employment. (Comment of IBP that drafted the
examinations, he will be denied permission to take the
Code, pp.32-33)
examinations.
2. If the false statement or suppression of material fact was
Government lawyers may leave government service through
discovered after the candidate had passed the
retirement, resignation, expiration of term of office,
examinations, but before having taken his oath, he will not
abandonment, and dismissal.
be allowed to take his oath as a lawyer.
3. If the discovery was made after the candidate had taken his
General Rule: Practice of profession is allowed immediately after
oath as a lawyer, his name will be stricken from the Roll of
leaving public service.
Attorneys. (Pineda)
Exceptions: The lawyer cannot practice as to matters with which
RULE 7.02
he had connection during his term. This prohibition lasts:
A lawyer should aid in guarding the Bar against admission to the
1. For one year, if he had not intervened;
profession of candidates unfit or unqualified for being deficient in
2. Permanently, if he had intervened.
either moral character or education. (Canons of Professional Ethics,
Canon 29)
The Code 6.03 of the Code of Professional Responsibility cannot
apply to respondent because his alleged intervention is an
A lawyer who violates Rule 7.02 is liable for disciplinary action. The
intervention on a matter different from the matter involved in the
act of supporting the application to the Bar of any person known
Civil case of sequestration. The applicable meaning as the term
to him to be unqualified constitutes gross misconduct in office.
“intervention” is an act of a person who has the power to influence
(Rules of Court, Rule 138, Sec. 27)
the subject proceedings. The evil sought to be remedied by the
Code do not exist where the government lawyer does not act
RULE 7.03
which can be considered as innocuous such as “drafting, enforcing,
The commission of fraud or falsehood in the lawyer’s private
or interpreting government or agency procedures, regulations or
dealings may badly reflect on his fitness to practice law, and he
laws or briefing abstract principles of law.”
may administratively disciplined therefor. (Agpalo)
The “matter” contemplated are those that are adverse-interest
An attorney may be removed, or otherwise disciplined, not only for
conflicts (substantial relatedness and adversity between the
malpractice and dishonesty in the profession, but also for gross
government matter and the new client’s matter in interest) and
misconduct not connected with his professional duties, making
congruent-interest representation conflicts. “Intervention” should
him unfit for the office and unworthy of the privileges which his
be significant and substantial which can or have affected the
license and the law confer upon him. Having been tasked to sell
interest of others (PCGG v. Sandiganbayan, G.R. Nos. 151809-12,
such valuables, Casuga was duty-bound to return them upon
April 12, 2005).
Nevada’s demand. His failure to do so renders him subject to
disciplinary action. To be sure, he cannot use, as a defense, the lack
ADVERSE-INTEREST CONGRUENT-INTEREST of a lawyer-client relationship as an exonerating factor. (Nevada v.
CONFLICTS REPRESENTATION Casuga, A.C. No. 7591, March 20, 2012)
CONFLICTS
It exists where the matter in It prohibits lawyers from In disciplinary proceedings against lawyers, the only issue is
which the former representing a private practice whether the officer of the court is still fit to be allowed to continue
government lawyer client even if the interests of as a member of the Bar. The only concern is the determination of
represents a client in private the former government client respondent’s administrative liability. Furthermore, disciplinary
practice is substantially and the new client are entirely proceedings against lawyers do not involve a trial of an action, but
related to a matter that the parallel. rather investigations by the Court into the conduct of one of its
lawyer dealt with while officers. The issuance of checks which were later dishonored for
employed by the having been drawn against a closed account indicates a lawyer’s

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unfitness for the trust and confidence reposed on her. (Heenan v.
Espejo, A.C. No. 10050, April 13, 2013)
CANON 8: COURTESY, FAIRNESS AND CANDOR TOWARD
PROFESSIONAL COLLEAGUES
RULE 8.01
Rudely interrupting opposing counsel while the latter is presenting
evidence is a violation of Canon 8. (Bugaring v. Español, G.R. No.
133090, January 19, 2001)
The lady senator’s statements that she “spits on the face of Chief
Justice Artemio Panganiban and would rather be in another
environment but not in the Supreme Court of Idiots” were
intemperate and highly improper in substance. No lawyer who has
taken an oath to maintain the respect due to the courts should be
allowed to erode the people’s faith in the judiciary. (Pobre v.
Defensor-Santiago, A.C. No. 7399, August 25, 2009)
A lawyer should treat the opposing counsel and his brethren in the
law profession with courtesy, dignity, and civility. They may “do as
adversaries do in law: strive mightily but eat and drink as friends.
(Valencia v. Cabanting, A.M. 1302, April 26, 1991).
A lawyer’s language should be forceful but dignified, emphatic but
respectful as befitting an advocate and in keeping with the dignity
of the legal profession. (Surigao Mineral Reservation Board v.
Cloribel, G.R. L- 27072, January 9, 1970)
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. (Rheem of the Philippines v Ferrer,
G.R. L-22979, June 26, 1967)
RULE 8.02
A lawyer should not steal another lawyer’s client, nor induce the
latter to retain him by a promise of better service, good results, or
reduced fees for his services. Respondent lawyer committed an
unethical, predatory overstep into another’s legal practice.
(Linsangan v. Tolentino, supra)
However, it is the right of a lawyer, without fear or favor, to give
proper advice and assistance to those seeking relief against
unfaithful or neglectful counsel (Canon 7). He may properly accept
employment to handle a matter which has been previously
handled by another lawyer, provided that the other lawyer has
been given notice by the client that his services have been
terminated.
CANON 9: NO ASSISTANCE IN THE UNAUTHORIZED
PRACTICE OF LAW
RULE 9.01
Ratio: The practice of law is limited only to individuals who have
the necessary educational qualifications and good moral
character. Moreover, an attorney-client relationship is a strictly
personal one. Lawyers are selected on account of their special
fitness through their learning or probity for the work at hand.
The appearing and signing as counsel for and in behalf of her
husband, conducting or offering stipulation/ admission of facts,
conducting direct and cross-examination, all constitute practice of
law. Thus, it is clear that when Atty. Lozada appeared for and in
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Legal Ethics
behalf of her husband in a Civil Case and actively participated in
the proceedings therein in June-July 2007, or within the two (2)-
year suspension, she, therefore, engaged in the unauthorized
practice of law. (Feliciano v Bautista-Lozada, A.C No. 7593, March
11, 2015)
While a reading of Canon 9 appears to merely prohibit lawyers
from assisting in the unauthorized practice of law, the
unauthorized practice of law by the lawyer himself is subsumed
under this provision, because at the heart of Canon 9 is the lawyer's
duty to prevent the unauthorized practice of law. This duty
likewise applies to law students and Bar candidates. As aspiring
members of the Bar, they are bound to comport themselves in
accordance with the ethical standards of the legal profession. (In
Re: Petition to Sign in the Roll of Attorneys, B.M. No. 2540,
September 24, 2013)
A lawyer who obtained his law degree, passed the bar and took the
Attorney’s Oath, but failed to sign the Attorney’s Roll was allowed
to sign after 30 years of practicing the profession but was imposed
a penalty similar to suspension by allowing him to sign in the Roll
of Attorneys 1 year after receipt of the Resolution and was fined
P32,000. (In Re: Medado, B.M. No. 2540, September 24, 2013)
RULE 9.02
A lawyer can only divide or stipulate to divide fees for legal services
with another lawyer who had rendered legal services with him in a
case or legal work. (Pineda)
Ratio: Allowing non-lawyers to get attorney’s fees would confuse
the public as to whom they should consult. It would leave the bar
in a chaotic condition because non-lawyers are also not subject to
disciplinary action. (Pineda)
Exceptions to Rule 9.02:
1. Where there is a pre-existing agreement with a partner or
associate that, upon the latter's death, money shall be paid
over a reasonable period of time to his estate or to persons
specified in the agreement;
2. Where a lawyer undertakes to complete unfinished legal
business of a deceased lawyer; or
3. Where a lawyer or law firm includes non-lawyer employees
in a retirement plan even if the plan is based in whole or in
part, on a profit-sharing agreement.
INTEGRATED BAR OF THE PHILIPPINES
RULE 139-A
It is composed of all persons whose names appear in the Roll of
Attorneys of the Supreme Court.
Purpose — To elevate the standards of the legal profession,
improve the administration of justice, and enable the Bar to
discharge its public responsibility more effectively. (Rules of Court,
Rule 139-A, Sec. 2)
INTEGRATION OF THE BAR
The IBP means the official unification of the entire lawyer
population of the Philippines. This requires membership and
financial support (in reasonable amount) of every attorney as
conditions sine qua non to the practice of law and the retention of
his name in the Roll of Attorneys of the Supreme Court. (In the
Matter of the Integration of the Bar of the Philippines, January 9,
1973)
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FREEDOM OF ASSOCIATION
Integration does not make a lawyer a member of any group of
which he is not already a member. He became a member of the
Bar when he passed the Bar examinations. Bar integration does
not compel the lawyer to associate with anyone. He is free to
attend or not attend the meetings of his Integrated Bar Chapter or
vote or refuse to vote in its elections as he chooses. The only
compulsion to which he is subjected is the payment of annual dues
(In the Matter of the IBP Membership Dues Delinquency of Atty.
Marcial A. Edilion, A.M. No. 1928, August 3, 1978)
STRUCTURE OF THE IBP
Nine Governors shall be elected by the House of Delegates from
the nine Regions on the representation basis of one Governor from
each Region. Each Governor shall be chosen from a list of
nominees submitted by the Delegates from the Region, provided
that not more than one nominee shall come from any Chapter. The
President and the Executive Vice President, if chosen by the
Governors from outside of themselves as provided in Section 7 of
this Rule, shall ipso facto become members of the Board. (Rules of
Court, Rule 139-A, Sec. 6)
IBP OFFICERS
1. President;
2. Executive Vice President who shall be chosen by the
Governors immediately after the latter’s election; either
from among themselves or from other members of the
Integrated Bar, by the vote of at least five Governors. Each
of the regional members of the Board shall be ex officio Vice
President for the Region which he represents;
3. Secretary;
4. Treasurer; and
5. Such other officers and employees as may be required by
the Board of Governors, to be appointed by the President
with the consent of the Board, and to hold office at the
pleasure of the Board or for such term as it may fix. Said
officers and employees need not be members of the
Integrated Bar. (Rules of Court, Rule 139-A, Sec. 7)
MEMBERSHIP AND DUES
Membership — Lawyers seeking positions in the Integrated Bar of
the Philippines must respect the rotational rule. The rotational rule
is adopted to allow equal opportunity for all lawyers in different
regions to have access to positions of leadership in the IBP. (In Re:
Brewing Controversies, dissent, Velasco, A.M. No. 09-5-2-SC, April
11, 2013)
Membership dues — Every member of the Integrated Bar shall
pay such annual dues as the Board of Governors shall determine
with the approval of the Supreme Court. (Rules of Court, Rule 139-
A, Sec. 9)
Effect of non-payment of dues – Default in the payment of annual
dues for six months shall warrant suspension of membership in the
Integrated Bar, and default in such payment for one year shall be a
ground for the removal of the name of the delinquent member
from the Roll of Attorneys. (Rules of Court, Rule 139-A, Sec. 10)
REGULATORY FEE
A membership fee in the Integrated Bar is an exaction for
regulation, while the purpose of a tax is revenue. If the Court has
inherent power to regulate the Bar, it follows that as an incident to
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Legal Ethics
regulation, it may impose a membership fee for that purpose. It
would not be possible to push through an Integrated Bar program
without means to defray the concomitant expenses. (In the Matter
of the Integration of the Bar of the Philippines, supra)
TO THE COURTS (CANONS 10 TO 13)
CANON 10: CANDOR, FAIRNESS AND GOOD FAITH TO THE
COURT
RULE 10.01
A lawyer’s primary duty is not to their clients but to the courts.
Candor in all of the lawyer’s dealings is the very essence of
honorable membership in the legal profession. (Cuaresma v.
Daquis, G.R. L35113, March 25, 1975)
A lawyer should not conceal the truth from the court, nor mislead
the court in any manner, no matter how demanding his duties to
his clients may be. His duties to his client should yield to his duty
to deal candidly with the court. For no client is entitled to receive
from the lawyer any service involving dishonesty to the courts.
(Comments of IBP Committee that drafted the Code)
SOME CASES OF FALSEHOOD COMMITTED BY LAWYERS
1. Falsely stating in a deed of sale that property is free from all
liens and encumbrances. (Sevilla v. Zoleta, 96 Phil 979,
March 28, 1955);
2. Falsifying a power of attorney to use in collecting the money
due to the principal and appropriating the money for his
own benefit (In Re: Rusiana, A.C. 270, March 29, 1974);
3. Denying having received the notice to file brief which is
belied by the return card (Ragasajo v. IAC, G.R. L-69129,
August 31, 1987);
4. Presenting falsified documents in court which he knows to
be false. (Bautista v. Gonzales, A.M. 1625, February 12,
1990);
5. Making it appear that the complaint and reply have been
filed. (Samonte v. Abellana, A.C. No. 3452, June 23, 2014)
RULE 10.02
A lawyer is prohibited from:
1. Knowingly misquoting or misrepresenting ---
a. contents of a paper,
b. language or argument of opposing counsel,
c. text of a decision or authority;
2. Knowingly citing as law, a provision already rendered
inoperative by repeal or amendment; or
3. Asserting as a fact that which has not been proved.
When a lawyer makes a quotation of a decision in his pleadings, he
should quote the same verbatim to avoid misleading the court.
(Pineda)
RULE 10.03
This rule is ever timely and should always be inculcated among
lawyers because the rules of procedure offer innumerable
opportunities and means for delay and to defeat the ends of
justice. Procedural rules are instruments in the speedy and
efficient administration of justice. They should be used to achieve
such end and not to derail it. (Gabriel v. Court of Appeals, G.R. No.
L-43757, July 30, 1976)
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His duty as a lawyer obligates him not to conceal the truth from
the court, or to mislead the court in any manner, no matter how
demanding his duties to his clients may be. In case of conflict, his
duties to his client yield to his duty to deal candidly with the court.
(Que v. Revilla, Jr., A.C. No. 7054, December 4, 2009)
RULE 10.04
Reason: To avoid surprises and back-stabbing. Cards of the
lawyers must be laid on the table for openness, candidness and
transparency. (Pineda)
CANON 11: RESPECT FOR COURTS AND TO JUDICIAL
OFFICERS
RULE 11.01
If a lawyer dresses improperly, he may be cited for contempt.
(Agpalo)
Proper Attire for Counsel:
1. Male -Barong Tagalog or a coat and tie;
2. Female – Semi-formal attires
3. Judges – appear in the same attire in addition to black robes.
RULE 11.02
A lawyer should show respect due the court and judicial officer by
appearing during the trial of a case punctually and in proper attire.
Inexcusable absence from, or repeated tardiness in, attending a
pre-trial or hearing may not only subject the lawyer to disciplinary
action, but may also prejudice his client who, as a consequence
thereof, may be non-suited, declared in default or adjudged liable
ex parte, as the case may be. (Agpalo)
RULE 11.03
A lawyer who uses intemperate, abusive, abrasive or threatening
language betrays disrespects to the court, disgraces the Bar and
invites the exercise by the court of its disciplinary power. (Andres
v. Cabrera, SBC 585, February 29, 1984)
A lawyer’s language should be dignified, and in keeping with the
dignity of the legal profession. (Surigao Mineral Reservation Board
v. Cloribel, G.R. No. L-27072, January 9, 1970)
RULE 11.04
A judge may commit errors or mistakes in his decisions; hence, a
lawyer should not make hasty accusations against the judge
without any cogent and valid ground extant in the record. The rule,
however, does not preclude a lawyer from criticizing judicial
conduct in a fair and respectful manner. The rule allows such
criticism so long as it is supported by the record or is material to
the case.
It is the cardinal condition of all such criticism that it shall be bona
fide, and shall not spill over the walls of decency and propriety. (In
the Matter of Proceedings for Disciplinary Action against Atty. Raul
Almacen, G.R. No. L-27654, February 18, 1970)
Any serious accusation against a judicial officer that is utterly
baseless, unsubstantiated and unjustified shall not be
countenanced. (Go v. Abrogar, G.R. No. 145213, March 28, 2006)
RULE 11.05
The duty of the bar to support the judge against unjust criticism
and clamor does not, however, preclude a lawyer from filing
administrative complaints against erring judges or from acting as
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Legal Ethics
counsel for clients who have legitimate grievances against them.
(Agpalo)
Grievances may be filed with the Supreme Court which has
administrative supervision over all courts and the power to
discipline judges of lower courts. (1987 Constitution, Art. VIII, Secs.
6 and 11)
CANON 12: ASSISTANCE IN THE SPEEDY AND EFFICIENT
ADMINISTRATION OF JUSTICE
RULE 12.01
A newly hired counsel who appears in a case in the midstream is
presumed and obliged to acquaint himself with all the antecedent
processes and proceedings that have transpired in the record prior
to his takeover. (Villasis v. CA, G.R. L-34369, September 30, 1974)
A lawyer is not adequately prepred unless he has a mastery of the
facts of his case, the law and jurisprudence applicable thereto and
upon which he can appropriately anchor his theory or stance. He
must have collated every piece of evidence essential to establish
his case and essential to demolish the pretenses of the opponent’s
theory and capable of presenting and offering his evidence in an
orderly and smooth manner without provoking valid objections.
(Pineda)
RULE 12.02
Ratio: There is an affirmative duty of a lawyer to check against
useless litigations. His signature in every pleading constitutes a
certificate by him that to the best of his knowledge there is a good
ground to support it and that it is not to interpose for delay. The
willful violation of this rule may subject him to appropriate
disciplinary action or render him liable for the costs of litigation.
(Agpalo) This rule prohibits forum shopping.
FORUM SHOPPING
The improper practice of going from one court to another in the
hope of securing a favorable relief in one court which another court
has denied or the filing of repetitious suits or proceedings in
different courts concerning substantially the same subject matter,
or whenever, as a result of an adverse opinion in one forum, a party
seeks a favorable opinion in another forum, other than appeal or
certiorari.
The test to determine forum shopping is whether the elements of
litis pendentia are present or whether a final judgment in one case
will amount to res judicata in the other. (Heirs of Sotto v. Palicte,
G.R. No. 159691, February 17, 2014)
REQUISITES OF LITIS PENDENTIA
1. Identity of parties, or at least such parties represent the
same interests in both actions;
2. Identity of rights asserted and reliefs prayed for, the relief
being founded on the same facts; and
3. Identity of the two preceding particulars is such that any
judgment rendered in the pending case, regardless of which
party is successful, would amount to res judicata in the
other. (HSBC v. Catalan, G.R. No. 159590, October 18, 2014)
REQUISITES OF RES JUDICATA
1. There be a decision on the merits;
2. It be decided by a court of competent jurisdiction;
3. The decision is final; and
4. The two actions involved identical parties, subject matter,
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and causes of action. (Alejandrino v. Court of Appeals, G.R.
No. 114151, September 17, 1998)
SANCTION FOR THE VIOLATION OF RULE AGAINST FORUM
SHOPPING
1. Administrative sanctions;
2. Direct or indirect contempt of court.
There is nothing ethically remiss in a lawyer who files numerous
cases in different fora, as long as he does so in good faith, in
accordance with the Rules, and without any ill-motive or purpose
other than to achieve justice and fairness. The nature of the cases
filed by the respondent, the fact of re-filing them after being
dismissed, the timing of the filing of cases, all indicate that the
respondent was acting beyond the desire for justice and
fairness. Like the court itself, he is an instrument to advance its
ends – the speedy, efficient, impartial, correct and inexpensive
adjudication of cases and the prompt satisfaction of final
judgments. A lawyer should not only help attain these objectives
but should likewise avoid any unethical or improper practices that
impede, obstruct or prevent their realization. (Alcantara v. De
Vera, A.C. No. 5859, November 23, 2010)
RULE 12.03
Postponement is not a matter of right but a sound judicial
discretion. (Edrial v. Quilat-Quilat, G.R. No. 133625, September 6,
2000)
Lawyers should never presume that their motion for extension or
postponement will be granted or that they will be granted the
length of time they pray for. (Ramos v. Dajoyag, Jr. Adm. Case No.
5174, February 28, 2002)
RULE 12.04
Where a lawyer uses his opposition to the motion for execution as
a device to reopen the case or delay the execution of a decision
which has long been final and executory, there is a prima facie
violation of this Rule. (Hoehne v. Plata, MTJ-02-1458, October 10,
2002)
Once a judgment 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. (Aguilar v. Manila
Banking Corporation, G.R. No. 157911, September 19, 2006)
RULE 12.05
Ratio: 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 purposes. (Pineda)
RULE 12.06
The witness who commits the misrepresentation or impersonation
is criminally liable for “False Testimony” either under Arts. 181, 182
or 183 of the Revised Penal Code depending upon the nature of the
case. And the lawyer who induces a witness to commit the 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 the Revised Penal Code. (Pineda)
Lasallian Commission on Bar Operations
Legal Ethics
Subornation of perjury is committed by a person who knowingly
and willfully procures another to swear falsely and the witness
suborned [or induced] does testify under circumstances rendering
him guilty of perjury. (US v. Ballena, G.R. L-6294, February 10, 1911)
RULE 12.07
It is one of the duties of a lawyer to abstain from all offensive
personality and to advance no fact prejudicial to the honor or
reputation of a party or witness unless required by the justice of
the cause with which he is charged. (Rules of Court, Rule 138, Sec.
20 (f))
RULE 12.08
Ratio: The underlying reason for the impropriety of a lawyer
acting in such dual capacity lies in the difference between the
function of a witness and that of an advocate. The function of a
witness is to tell the facts as he recalls then in answer to questions.
The function of an advocate is that of a partisan. The lawyer will
find it hard to disassociate his relation to his client as an attorney
and his relation to the party as a witness. (Jacobs v. Weissinger, 211
Mich. 47, 178 N.W. 65, 1920)
INSTANCES WHEN A LAWYER IS ALLOWED TO TESTIFY IN
BEHALF OF HIS CLIENT
1. On Formal matters, such as the mailing, authentication or
custody of an instrument and the like; or
2. On Substantial matters, in cases where his testimony is
essential to the ends of justice.
CANON 13: RELIANCE ON MERITS OF HIS CAUSE AND
AVOIDANCE FROM ANY IMPROPRIETY WHICH TENDS TO
INFLUENCE, OR GIVES THE APPEARANCE OF INFLUENCE
UPON THE COURT
RULE 13.01
Reason: To protect the good name and reputation of the judge
and the lawyer. If a lawyer extends extraordinary attention or
hospitality to a judge (like the opening of the door of his office or
his car, carrying his things in going to his chambers, lighting his
cigarettes, serving him food in social gathering, spending for his
birthday parties and similar others), will surely lead to
misconstructions of motive on the part of both the judge and the
lawyer. (Code of Professional Ethics, Canon 3)
In order not to subject both the judge and the lawyer to suspicion,
the common practice of some lawyers of making judges and
prosecutors godfathers of their children to enhance their influence
and their law practice should be avoided by judges and lawyers
alike. (Report of IBP Committee)
RULE 13.02
Reason: Newspaper publications by a lawyer concerning a
pending litigation may interfere with a fair trial in court, prejudice
the impartial administration of justice and likely to create an
adverse attitude in the public mind respecting the alleged actions
of the defendants to the pending proceedings. (Agpalo)
Once a litigation is concluded, the judge who decided it is subject
to the same criticism as any other public official because then, his
ruling becomes public property and is thrown open to public
consumption. In a concluded litigation, a lawyer enjoys a wider
latitude of comment or on criticism of the judge’s decision or
actuation. (In Re Gomez, 43 Phil 376, May 16, 1922)
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The propriety of granting or denying the petition involve the
weighing out of the constitutional guarantees of freedom of the
press and the right to public information, on the one hand, and the
fundamental rights of the accused, on the other hand, along with
the constitutional power of a court to control its proceedings in
ensuring a fair and impartial trial. It was held that when these
rights race against one another, the right of the accused must be
preferred to win, considering the possibility of losing not only the
precious liberty but also the very life of an accused. (Re: Request
Radio-TV Coverage of the Trial in the Sandiganbayan of the Plunder
Cases against Former President Joseph Estrada, A.M. No. 01-4-03-
SC, September 13, 2001)
RULE 13.03
Reason: A lawyer who brooks or invites interference by another
branch or agency of government in the normal course of judicial
proceedings endangers the independence of the judiciary.
(Comments of the IBP Committee that drafted the Code)
The Rule should be distinguished from Rule 11.05. The latter rule
refers to complaints against judges themselves which must be
coursed to the proper authorities only. (Pineda)
TO THE CLIENTS (CANONS 14 TO 22)
NATURE OF ATTORNEY-CLIENT RELATIONSHIP
1. Strictly personal;
2. Highly confidential; and
3. Fiduciary.
RETAINER
It refers to the act of a client by which he engages the services of
an attorney to render legal advice, or to defend or prosecute his
cause in court. (Agpalo)
TYPES OF RETAINER
1. General – the purpose of which is to secure beforehand the
services of an attorney for any legal problem that may
afterward arise.
2. Special – a fee for a specific case handled or special services
rendered by the lawyer for a client. (Traders Royal Bank
Employees Union-Independent v. NLRC, G.R. No. 120592,
March 14, 1997)
CANON 14: AVAILABILITY OF SERVICE WITHOUT
DISCRIMINATION
RULE 14.01
General Rule: A lawyer is not obliged to act as legal counsel for
any person who may wish to become his client. He has the right to
decline employment.
Exceptions:
1. A lawyer shall not refuse his services to the needy (Canon
14);
2. A lawyer shall not decline to represent a person solely on
account of the latter’s race, sex, creed or status of life, or
because of his own opinion regarding the guilt of said
person (Rule 14.01);
3. A lawyer shall not decline, except for serious and sufficient
cause, an appointment as counsel de oficio or as amicus
curiae, or a request from the Integrated Bar of the
Philippines or any of its chapters for rendition of free legal
aid (Rule 14.02); and
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Legal Ethics
4. A lawyer may not refuse to accept representation of an
indigent client unless:
a. He is in no position to carry out the work effectively
or competently;
b. He labors under a conflict of interest between him
and the prospective client or between a present client
and the prospective client. (Rule 14.03)
Ratio: It is a declared policy of the State to value the dignity of
every human person and guarantee the rights of every individual,
particularly those who cannot afford the services of counsel. (R.A.
No. 9999 or Free Legal Assistance Act of 2010)
Note: Rule 14.01 is applicable only in criminal cases.
RULE 14.02
A counsel de oficio is a counsel appointed or assigned by the court,
from among such members of the bar in good standing who, by
reason of their experience and ability, may adequately defend the
accused. (Pineda)
An amicus curae means a friend of the court. Experienced and
impartial attorneys may be invited by the Court as amicus curae to
help in the disposition of issued submitted to it. (Pineda)
As counsel de oficio, the lawyer is duty bound to exert his best
efforts and professional ability in behalf of the person assigned to
his care. (In the Matter of Attorney Lope Adriano, G.R. No. L-26868,
February 27, 1969)
CIRCUMSTANCES UNDER WHICH A COUNSEL DE OFICIO
MAY BE APPOINTED
If it appears from the record of the case as transmitted that:
1. the accused is confined in prison;
2. is without counsel de parte on appeal, or
3. has signed the notice of appeal himself, ask the clerk of
court of the Court of Appeals shall designate a counsel de
officio. (Rules of Court, Rule 124, Sec. 2)
RULE 14.03
An indigent is:
1. A person who has no visible means of income or whose
income is insufficient for the subsistence of his family, to be
determined by the fiscal or judge, taking into account the
members of his family dependent upon him for subsistence.
(Sec. 2, RA 6033)
2. A person who has no visible means of support or whose
income does not exceed P300.00 per month or whose
income even in excess of P300.00 per month is insufficient
for the subsistence of his family. (Sec. 2, RA 6035)
The Rule allows two exceptions:
1. Lack of competence – if the lawyer is inexperienced on the
nature of the case for which he is being engaged, he must
be open and candid enough to tell the prospective client
about it. It is dangerous for the client to be represented by
someone who is incompetent.
2. Conflict of Interests – if the lawyer would be confronted
with possible conflict of interests in accepting a case. Rule
15.03 prohibits representations of conflicting of interests.
(Pineda)
RULE 14.04
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If a lawyer accepts a case for a client and the client is unable to pay
the lawyer’s professional fees, he must still represent the client
with utmost fidelity, competence and diligence. The profession is
not a money-raking trade but a noble involvement in the
administration of justice. (Pineda)
CANON 15: CANDOR, FAIRNESS AND LOYALTY TO CLIENTS
RULE 15.01
A lawyer should decline professional employment even though
how attractive the fee offered may be if its acceptance will involve
a violation of any of the rules of the legal profession. (Ylaya v.
Gacott, Adm. Case No. 6475, January 30, 2013)
A lawyer will be representing conflicting interests when, in behalf
of the client, it is his duty to contend for that which duty to another
client (previous, present or potential), he is required to oppose.
(Pineda)
The failure of the attorney to disclose his prior engagement or
interest is a good ground for the client to discharge the attorney.
(McArthur v. Fry, 10 Kan. 233)
Note: Rule 15.03 provides the possible exception to the rule
against representing conflicting interests.
RULE 15.02
A confidential communication refers to information transmitted
by voluntary act of disclosure between attorney and client in
confidence and by means which, so far as the client is aware,
discloses the information to no third person other than one
reasonably necessary for the transmission of the information or
the accomplishment of the purpose for which it was given.
(Mercado v. Vitriolo, A.C. No. 5108, May 26, 2005)
CONFIDENTIALITY RULE
It is settled that the mere relation of attorney and client does not
raise a presumption of confidentiality. The client must intend the
communication to be confidential. (Palm v. Iledan, A.C. No. 8242,
October 2, 2009)
PRIVILEGED COMMUNICATION
An attorney cannot, without the consent of his client, be examined
as to any communication made by the client to him, or his advice
given thereon in the course of, or with a view to, professional
employment, nor can an attorney’s secretary, stenographer, or
clerk be examined, without the consent of the client and his
employer, concerning any fact the knowledge of which has been
acquired in such capacity. (Rules of Court, Rule 130, Sec. 24 (b))
An attorney is to keep inviolate his client’s secrets or confidence
and not to abuse them. Thus, the duty of a lawyer to preserve his
client’s secrets and confidence outlasts the termination of the
attorney-client relationship and continues even after the client’s
death. (Mercado v. Vitriolo, supra)
Note: The privilege continues to exist even after the termination
of the attorney-client relationship.
FACTORS ESSENTIAL TO ESTABLISH A PRIVILEGED
COMMUNICATION
Lasallian Commission on Bar Operations
Legal Ethics
1. There exists an attorney-client relationship, or a prospective
attorney-client relationship, and it is by reason of this
relationship that the client made the communication.
2. Matters disclosed by a prospective client to a lawyer are
protected by the rule on privileged communication even if
the prospective client does not thereafter retain the lawyer
or the latter declines the employment.
3. The client made the communication in confidence.
4. The legal advice must be sought from the attorney in his
professional capacity.
5. The communication made by a client to his attorney must
not be intended for mere information, but for the purpose
of seeking legal advice from his attorney as to his rights or
obligations. (Mercado v. Vitriolo, supra)
RULE 15.03
There is conflict of interest when a lawyer represents inconsistent
interests of two or more opposing parties. (Hornilla v. Salunat, A.C.
No. 5804, July 1, 2003)
Disclosure alone is not enough for the clients must give their
informed consent to such representation. The lawyer must explain
to his clients the nature and extent of conflict and the possible
adverse effect must be thoroughly understood by his clients.
(Nakpil v. Valdes, A.C. No. 2040, March 4, 1998)
The termination of the attorney-client relationship does not justify
a lawyer to represent an interest adverse to or in conflict with that
of the former client. Even after the severance of the relation, a
lawyer should not do anything that will injuriously affect his former
client in any matter in which the lawyer previously represented the
client. (Samson v. Atty. Era, A.C. No. 6664, July 16, 2013)
CONFLICT OF INTEREST
There is conflict of interest when, on behalf of one client, it is the
attorney’s duty to contend for that which his duty to another client
requires him to oppose.
General Rule: A lawyer may not represent two opposing parties at
any point in time. A lawyer need not be the counsel-of-record of
either party. It is enough that the counsel had a hand in the
preparation of the pleading of one party.
Exception: When the parties agree, and for amicable settlement.
(Agpalo)
KINDS OF CONFLICT OF INTERESTS
1. Concurrent Representation (Multiple) – occurs when a
lawyer represents clients whose objectives are adverse to
each other, no matter how slight or remote such adverse
interests may be.
2. Sequential Representation (Successive) – occurs when a
law firm takes a present client who has an interest adverse
to the interest of a former client of the same law firm.
(Pineda)
TESTS TO DETERMINE CONFLICT OF INTEREST
(2009 BAR QUESTION)
1. Conflicting duties - whether a lawyer is duty-bound to fight
for an issue or claim in behalf of one client and, at the same
time, to oppose that claim for the other client.
2. Invitation of Suspicion – whether the acceptance of a new
relation would prevent the full discharge of the lawyer’s
duty of undivided fidelity and loyalty to the client or invite
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suspicion of unfaithfulness or double-dealing in the
performance of that duty.
3. Use of Prior Knowledge Obtained - whether the lawyer
would be called upon in the new relation to use against a
former client any confidential information acquired through
their connection or previous employment. (Quiambao v.
Bamba, Adm. Case No. 6708, August 25, 2005)
Note: The test to determine whether there is a conflict of interest
in the representation is probability, not certainty of conflict.
LIMITATIONS ON THE RULE AGAINST REPRESENTATION OF
CONFLICTING INTERESTS
1. When no conflict of interest exists;
2. A lawyer may properly represent a subsequent client
against a former client in a matter which is not, in any way,
related to the previous controversy in which he appeared for
the former client. The lawyer represents no conflicting
interests in that situation;
3. Where clients knowingly consent.
Note: This may only apply when one client is a former client, and
not where both clients are current clients in the case, where each
asserts an interest adverse to that of the other. Hence, a lawyer
cannot represent both clients at the same time, even if they give
their written consent.
RULE 15.04
Consent in writing is required to prevent future controversy on the
authority of the lawyer to act as mediator, conciliator or arbitrator.
However, a lawyer who acts as mediator, conciliator or arbitrator
in settling a dispute, cannot represent any of the parties to it.
(Report of the IBP Committee)
An attorney’s knowledge of the law and his reputation for fidelity
may make it easy for the disputants to settle their differences
amicably. However, he shall not act as counsel for any of them.
(Agpalo)
RULE 15.05
It is incumbent upon an attorney to give a candid and honest
opinion on the merits and probable results of his client’s case with
the end in view of promoting respect for the law and legal
processes. (Choa v. Chiongson, Adm. Matter No. MTJ-95-1063,
February 9, 1996)
The Court has repeatedly admonished lawyers from making bold
assurances to their clients. A lawyer who guarantees the successful
outcome of a litigation will exert heavy pressure and employ any
means to win the case at all costs. But when the case is lost, he will
blame the courts, placing them under a cloud of suspicion.
(Mercado v. Security Bank Corporation, G.R. No. 160445, February
16, 2006)
RULE 15.06
It is improper for a lawyer to show in any way that he has
connections and can influence any tribunal or public official, like
justices, judges, prosecutors, congressmen and others, specially so
if the purpose is to enhance his legal standing and to entrench the
confidence of the client that his case or cases are assured of
victory. (Pineda)
Lawyers must be reminded that “the practice of law does not
include influence-peddling.” (Report of IBP Committee)
Lasallian Commission on Bar Operations
Legal Ethics
RULE 15.07
The rule requires a lawyer to impress upon his client compliance
with the law and principles of fairness. A lawyer must employ only
fair and honest means to attain the lawful objectives of his
client. It is his duty to counsel his clients to use peaceful and lawful
methods in seeking justice and refrain from doing an intentional
wrong to their adversaries. (Rural Bank of Calape, Inc., Bohol v.
Florido, A.C. No. 5736, June 18, 2010)
A lawyer who advised his client not to obey the order of the court
is guilty of contempt and misconduct. (Conge v. Deret, CA- G.R. No.
08848-CR, March 25, 1974)
RULE 15.08
Ratio: Certain ethical considerations may be operative in one
profession and not in the other. (Agpalo)
Exercise of dual profession is not prohibited but a lawyer must
make it clear when he is acting as a lawyer or when he is acting in
another capacity, especially in occupations related to the practice
of law. (In re: Rothman, 12 N.J. 528, June 8, 1953)
A lawyer is not barred from dealing with his client, but the business
transaction must be characterized with utmost honesty and good
faith. Business transactions between an attorney and his client are
disfavored and discouraged by the policy of the law. Hence, courts
carefully watch these transactions to assure that no advantage is
taken by a lawyer over his client. (Nakpil v. Valdes, Adm. Case No.
2040, March 4, 1998)
CANON 16: CLIENT’S MONEYS AND PROPERTIES
RULE 16.01
Ratio: The lawyer merely holds said money or property in trust.
OBLIGATIONS OF A LAWYER UNDER RULE 16.01
1. When a lawyer collects or receives money from his client for
a particular purpose, he should promptly account to the
client how the money was spent.
2. If he does not use the money for its intended purpose, he
must immediately return it to the client.
3. A lawyer has the duty to deliver his client’s funds or
properties as they fall due or upon demand. (Trenas v.
People, G.R. No. 195002, January 25, 2012)
The fact that a lawyer has a lien for fees on money in his hands
would not relieve him from the duty of promptly accounting for
the funds received. (Daroy v. Legaspi, A.C. No. 936, 1975)
The fact that a lawyer allowed the use of the Nissan Sentra car by
persons who had no business using it, did not inform the court or
the sheriff of the destruction of the car, and did not inform the
court that he took custody of the same constituted infidelity in the
custody of the attached cars and grave misconduct. (Salomon v.
Frial, A.C. No. 7820, September 12, 2008)
FIDUCIARY RELATIONSHIP
The relation between an attorney and his client is highly fiduciary
in its nature and of a very delicate, exacting and confidential in
character, requiring a high degree of fidelity and good faith
(Licuanan v. Melo, citing 7 Am. Jur. 2d 105, A.M. No. 2361, February
9, 1989).
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RULE 16.02
Reason: To prevent confusion and possible misappropriation of
funds and properties, and appearance of impropriety. If the funds
are kept in a separate account, the temptation to convert them to
personal use is one step removed. (Report of IBP Committee)
COMMINGLING OF FUNDS
Under paragraph 11 of the Canons of Legal Ethics, a lawyer is
obligated to report promptly the money of client that has come to
his possession and should not commingle it with his private
property or use it for his personal purpose without his client's
consent. (Licuanan v. Melo, supra)
RULE 16.03
A lawyer’s failure to return upon demand the funds held by him on
behalf of his client gives rise to the presumption that he has
appropriated the same for his own use in violation of the trust
reposed in him by his client. Such act is a gross violation of general
morality as well as of professional ethics. It impairs public
confidence in the legal profession and deserves punishment.
(Dhaliwal v. Dumaguing, A.C. No. 9390, August 1, 2012)
CHARGING LIEN
It is the right which the attorney has upon all judgments for the
payment of money and executions issued in pursuance of said
judgments, which he has secured in a litigation of his client. (Rustia
v. Abeto, G.R. No. 47914, April 30, 1941)
To enforce a charging lien, it is necessary that the lawyer shall have
caused a statement of such lien to be entered upon the records of
the court which rendered the favorable judgment with written
notice to the client and to the adverse party. (Rules of Court, Rule
138, Sec. 37)
RULE 16.04
A lawyer, who as guardian, borrowed money for his benefit using
the property of the ward as collateral without court approval is
guilty of misconduct. (In Re: Pelayo, 44 Phil. 569)
A lawyer’s act of asking a client for a loan, as what respondent did,
and her failure to pay the same, is very unethical. (Frias v. Lozada,
477 SCRA 393)
PROHIBITIONS UNDER RULE 16.04
1. A lawyer shall not borrow money from his client.
Reason: To prevent the lawyer from taking advantage of his
influence over the client. (Junio v. Grupo, Adm. Case No. 5020,
December 18, 2001)
Exception: 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. (Rule 16.04)
Example: A lawyer may borrow money from a client bank,
because the client’s interests are fully protected by the bank’s rules
and regulations. (Pineda)
2. A lawyer shall not lend money to a client.
Reason: To assure the lawyer’s independent professional
judgment. If the lawyer acquires a financial interest in the outcome
of the case, the free exercise of his judgment may be adversely
affected. (Report of IBP Committee)
Lasallian Commission on Bar Operations
Legal Ethics
Exception: 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, subject to
reimbursement. (Pineda)
CANON 17: FIDELITY TO CLIENT’S CAUSE
Reason: Fidelity to the cause of the client is the essence of the
legal profession. Without this fidelity, the profession will not
survive, for in the long run, no one will engage any lawyer
anymore. (Pineda)
A lawyer shall serve his client with competence and diligence, and
his duty of entire devotion to his client’s cause not only requires,
but entitles him to employ every honorable means to secure for
the client what is justly due him or to present every defense
provided by law to enable the latter’s cause to succeed.
(Gamalinda v. Alcantara, A.C. No. 3695, 24 February 1992)
CANON 18: COMPETENCE AND DILIGENCE
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 (Edquibal v. Ferrer, A.C. No. 5687, February 3,
2005)
The competence referred to in the Canon goes beyond formal
qualification of the lawyer to practice law. It has to do with
sufficiency of the lawyer’s qualifications to deal with the matter in
question and includes knowledge and skill and the ability to use
them efficiently in the interest of the client. (Report of IBP
Committee)
For administrative liability under Canon 18 to attach, the negligent
act of the attorney should be gross and inexcusable as to lead to a
result that was highly prejudicial to the client’s interest.
Accordingly, the Court has imposed administrative sanctions on a
grossly negligent attorney for unreasonable failure to file a
required pleading, or for unreasonable failure to file an appeal,
especially when the failure occurred after the attorney moved for
several extensions to file the pleading and offered several excuses
for his nonfeasance. The Court has found the attendance of
inexcusable negligence when an attorney resorts to a wrong
remedy, or belatedly files an appeal, or inordinately delays the
filing of a complaint, or fails to attend scheduled court hearings.
Gross misconduct on the part of an attorney is determined from
the circumstances of the case, the nature of the act done and the
motive that induced the attorney to commit the act. (Seares, Jr. v.
Gonzales-Alzate, Adm. Case No. 9058, November 14, 2012)
RULE 18.01
When a lawyer accepts a case, his acceptance is an implied
representation that he possesses the requisite academic learning,
skill and ability to handle the case. The lawyer has the duty to exert
his best judgment in the prosecution or defense of the case
entrusted to him and to exercise reasonable and ordinary care and
diligence in the pursuit or defense of the case. (Pariñas vs.
Paguinto, A.C. No. 6297, July 13, 2004)
General Rule: A lawyer should not accept a case, which he knows
or should know he is not qualified to render.
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Exception: If his client consents, the lawyer can take as
collaborating counsel another lawyer who is competent on the
matter.
A collaborating counsel is one who is subsequently engaged to
assist a lawyer already handling a particular case for a client. When
a case is complicated, it is not unusual for the handling lawyer to
suggest to the client to allow him to take another lawyer to assist
or collaborate with him in the case. (Pineda)
RULE 18.02
The adequate preparation required of the lawyer in the handling
of a case covers a wide dimension in law practice. It includes:
1. Sufficient knowledge of the law and jurisprudence;
2. Ability in trial technique; and
3. High proficiency in the formulation of pleadings. (Pineda)
While it is true that respondent was not complainant’s lawyer from
the trial to the appellate court stage, this fact did not excuse him
from his duty to diligently study a case he had agreed to handle. If
he felt he did not have enough time to study the pertinent matters
involved, as he was approached by complainant’s husband only
two days before the expiration of the period for filing the
Appellant’s Brief, respondent should have filed a motion for
extension of time to file the proper pleading instead of whatever
pleading he could come up with, just to “beat the deadline set by
the Court of Appeals.” (Hernandez v. Padilla, A.C. No. 9387, June
20, 2012)
RULE 18.03
When a lawyer takes a client’s cause, he covenants that he will
exercise due diligence in protecting the latter’s rights. Failure to
exercise that degree of vigilance and attention expected of a good
father of a family makes the lawyer unworthy of the trust reposed
on him by his client and makes him answerable not just to his client
but also to the legal profession, the courts and society. His
workload does not justify neglect in handling one’s case because it
is settled that a lawyer must only accept cases as much as he can
efficiently handle. (Del Mundo v. Capistrano, A.C. No. 6903, April 16,
2012)
Lawyer's neglect of a legal matter entrusted to him by his client
constitutes inexcusable negligence which merits administrative
liability. (Agot v. Rivera, A.C. No. 8000, August 5, 2014)
A lawyer has no right to waive his client’s right to appeal. His failure
to perfect an appeal within the prescribed period constitutes
negligence and malpractice. (Reontoy v. Ibadlit, A.C. CBD No. 190,
January 28, 1998)
Mere volume of the work of an attorney has never excused an
omission to comply with the period to appeal. Clearly, the neglect
of counsel in not filing the appeal on time was not something that
ordinary diligence and prudence could not have guarded against.
A client is generally bound by the mistakes of his lawyer. (NTA v
Castillo, G.R. No. 154124, Aug. 4, 2010)
RULE 18.04
The relationship of lawyer-client being one of confidence, it is the
lawyer’s duty to keep the client regularly and fully updated on the
developments of the client’s case. The Code provides that “[a]
lawyer shall keep the client informed of the status of his case and
shall respond within a reasonable time to the client’s request for
Lasallian Commission on Bar Operations
Legal Ethics
information.” (Meneses v. Macalino, A.C. No. 6651, February 27,
2006)
A lawyer has the duty to apprise his client of the status and
developments of the case and all other relevant information.
Respondent cannot justify his noncompliance by shifting the
blame to complainant for failing to meet with him, especially so
that he failed to inform his client of the pleadings she needed to
sign. (Sison v. Valdez, A.C. No. 11663, July 31, 2017)
As an officer of the court, it is the duty of an attorney to inform his
client of whatever information he may have acquired which it is
important that the client should have knowledge of. He should
notify his client of any adverse decision to enable his client to
decide whether to seek an appellate review thereof. Keeping the
client informed of the developments of the case will minimize
misunderstanding and loss of trust and confidence in the attorney.
Indeed, the relationship of lawyer-client being one of confidence,
there is ever present the need for the lawyer to inform timely and
adequately the client of important developments affecting the
client’s case. The lawyer should not leave the client in the dark on
how the lawyer is defending the client’s interests. (Mejares v.
Romana, A.C. No. 6196, March 17, 2004)
CANON 19: REPRESENTATION WITH ZEAL AND LEGAL
BOUNDS
A lawyer owes “entire devotion to the interest of the client, warm
zeal in the maintenance and defense of his rights and the exertion
of his utmost learning ability,” to the end that nothing be taken or
be withheld from him, save by the rules of law, legally applied.
(Pineda)
RULE 19.01
USE OF FAIR AND HONEST MEANS
Rule 19.01 commands that a “lawyer shall employ only fair and
honest means to attain the lawful objectives of his client and shall
not present, participate in presenting, or threaten to present
unfounded criminal charges to obtain an improper advantage in
any case or proceeding.” Under this Rule, a lawyer should not file
or threaten to file any unfounded or baseless criminal case or cases
against the adversaries of his client designed to secure leverage to
compel the adversaries to yield or withdraw their own cases
against the lawyer’s client. (Pena v. Aparicio, A.C. No. 7298, June
25, 2007)
RULE 19.02
As a lawyer, he should confront complainant and ask her to rectify
her fraudulent representation. If complainant refuses, then he
should terminate his relationship with her. (Dalisay v. Mauricio,
A.C. No. 5655, January 23, 2006)
A lawyer should use his best efforts to restrain and to prevent his
client from perpetrating acts which he himself out not to do,
particularly with reference to their conduct towards courts, judicial
officers, witnesses. If the client persists in such wrongdoings, the
lawyer should terminate their relation. (Canons of Professional
Ethics, Canon 16)
A lawyer should not allow his client to perpetrate fraud. However,
the lawyer shall not volunteer the information concerning the
client’s commission of fraud to anyone for that will run counter to
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his duty to maintain at all times the client’s confidences and
secrets. (Canons of Professional Ethics, Canon 21)
RULE 19.03
While a lawyer owes utmost zeal and devotion to the interest of
his client, he also has the responsibility of employing only fair and
honest means to attain the lawful objectives of his client and he
should not allow the latter to dictate the procedure in handling the
case. (Fernandez v. Novero, Jr., A.C. No. 5394, December 2, 2002)
CONTROL OVER THE CASE
1. As to matters of procedure - it is the client who yields to
the lawyer and not the lawyer yielding to the client. The
lawyer must not accede, but instead must resist his client’s
unlawful requests or instructions. (Crespo v. Amurao, Adm.
Case No. 109, August 24, 1954)
Reason: The lawyer is trained and skilled in the law. The client has
no knowledge of procedure.
2. As to the subject matter of the case – it is the client.
When the client’s requests are proper and lawful, the lawyer has
the duty to oblige. Thus, on matters of compromise, the client’s
instructions are generally followed. The decision to settle or not to
settle belongs to the client, although the lawyer is urged to
encourage his clients to avoid, end, or settle the controversy if it
will admit of a fair settlement. The client decides whether to
appeal or not to appeal an adverse decision. If he decides not to
appeal, the lawyer must not insist otherwise. (Pineda, 2009)
AUTHORITY TO COMPROMISE
General Rule: A lawyer has no authority to compromise his
client’s case (Revised Rules of Court, Rule 138, Sec. 23)
Exception: Where the lawyer is confronted with an emergency
and prompt, urgent action is necessary to protect the interest of
his client, and there is no opportunity for consultation with him
NEGLIGENCE OF LAWYER BINDING UPON CLIENT
General Rule: Client is bound by attorney’s conduct, negligence,
and mistake in handling case, or in management of litigation and
in procedural technique (Vivero v. Santos, G.R. No. L-8105,
February 28, 1956)
Exceptions:
1. Where adherence thereto results in outright deprivation of
client’s liberty or property or where interest of justice so
requires.
2. Where the error by counsel is purely technical which does
not substantially affect the client’s cause.
3. Ignorance, incompetence, or inexperience of a lawyer is so
great and error so serious that client who has good cause is
prejudiced and denied a day in court.
4. Gross negligence of a lawyer.
5. Lack of acquaintance with technical part of procedure.
CANON 20: ATTORNEY’S FEES
Basis: The fact of employment as lawyer by the client constitutes
the legal basis of the lawyer’s right to demand payment for his
services. No formal contract is necessary to effectuate
employment. (Pineda)
Lasallian Commission on Bar Operations
Legal Ethics
The requisites for the accrual of attorney’s fees are:
1. Existence of attorney-client relationship; and
2. Rendition by the lawyer of services to the client. (Agpalo)
RULE 20.01
There are two concepts of attorney’s fees:
1. Ordinary Concept – the reasonable compensation paid to a
lawyer for the legal services he has rendered to the latter.
2. Extraordinary Concept – the amount of damages which the
court may award to be paid by the losing party to the
prevailing party. (Agpalo)
PROPER TIME FOR FIXING ATTORNEY’S FEES
The proper time for fixing the attorney’s fees is at the
commencement of the lawyer-client relationship. (De Fajardo v.
Bugaring, A.C. No. 5113, October 7, 2004)
ACCEPTANCE FEE
Acceptance fee refers to the charge imposed by the lawyer for
merely accepting the case. Since the acceptance fee only seeks to
compensate the lawyer for the lost opportunity, it is not measured
by the nature and extent of the legal services rendered (Dalupan v.
Gacott, A.C. No. 5067, June 29, 2015)
In a contingent fee contract, the lawyer gets reimbursed for the
advances made for the client in the course of representation,
whether he wins the suit or not; only the amount of the
professional fee is contingent upon winning.
CONTINGENCY FEE ARRANGEMENTS
It is not prohibited by law and is impliedly sanctioned. It is,
however, closely supervised by the court to safeguard the client
from unjust charges or abuse on the part of his counsel. (Licudan v.
CA, G.R. No. 91958, January 24, 1991)
A contingent fee contract is generally valid and binding, unless it is
obtained by fraud, imposition or suppression of facts, or the fee is
so clearly excessive as to amount to an extortion. (Ulanday v.
Manila Railroad Co., Nos. 20117-20130, December 20, 1923)
If under the circumstances f the case, the court finds that the
contingent fee is unconscionable, it will disregard the contract and
fix the reasonable compensation for services rendered on quantum
meruit basis. (Amalgamated Laborers Association v. CIR, No. L-
23467, March 27, 1968)
A contingent fee arrangement is valid in this jurisdiction and is
generally recognized as valid and binding but must be laid down in
an express contract. The amount of contingent fee agreed upon
by the parties is subject to the stipulation that counsel will be paid
for his legal services only if the suit or litigation prospers. A much
higher compensation is allowed as contingent fee in consideration
of the risk that the lawyer may get nothing if the suit fails. (Rayos
v. Hernandez, G.R. No. 169079, February 12, 2007)
Ratio: Contracts of this nature are permitted because they
redound to the benefit of the poor client and the lawyer "especially
in cases where the client has meritorious cause of action, but no
means with which to pay for legal services unless he can, with the
sanction of law, make a contract for a contingent fee to be paid out
of the proceeds of the litigation. Oftentimes, the contingent fee
arrangement is the only means by which the poor and helpless can
seek redress for injuries sustained and have their rights
vindicated." (Rayos v. Hernandez, supra)
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4. The attorney has a claim for attorney’s fees or advances;

CHAMPERTOUS CONTRACT and
It is an agreement whereby an attorney undertakes to pay the 5. A statement of his claim has been duly recorded in the case
expenses of the proceedings to enforce the client’s rights in with notice thereof served upon the client and the adverse
exchange for some bargain to have a part of the thing in dispute. party. (Agpalo)
(Baltazar v. Bañez, A.C. No. 9091, December 11, 2013)
RETAINING LIEN CHARGING LIEN
CONTINGENT CHAMPERTOUS Nature
Payable in cash Payable in kind only Passive Lien. Active Lien.
Lawyers do not undertake to Lawyers undertake to pay all It cannot be actively It can be enforced by
pay all expenses of litigation expenses of litigation enforced. It is a general lien. execution. It is a special lien.
Valid Void Basis
(Pineda) Lawful possession of papers, Securing of a favorable
documents, and property money judgment for the
KINDS OF RETAINER AGREEMENT belonging to the client. client.
Coverage
1. General Retainer - the fee paid to a lawyer to secure his Covers papers, documents, Covers all judgments for the
future services as general counsel for any ordinary legal and properties in the lawful payment of money and
problem that may arise in the routinary business of the possession of the attorney by execution issued in
client and referred to him for legal action. The future reason of his professional pursuance of such judgment;
services of the lawyer are secured and committed to the employment. proceeds of judgment in
retaining client. For this, the client pays the lawyer a fixed favor of client; proceeds of
retainer fee which could be monthly or otherwise, compromise settlement.
depending upon their arrangement. The fees are paid Effectivity
whether or not there are cases referred to the lawyer. The As soon as the attorney gets As soon as the claim for
reason for the remuneration is that the lawyer is deprived of possession of the papers, attorney’s fees had been
the opportunity of rendering services for a fee to the documents, or property. entered into the records of
opposing party or other parties. In fine, it is a compensation the case.
for lost opportunities. Notice
2. Special Retainer - A fee for a specific case handled or Client need not be notified to Notice must be served upon
special service rendered by the lawyer for a client. A client make it effective. client and adverse party.
may have several cases demanding special or individual Applicability
attention. If for every case there is a separate and May be exercised before Generally, exercisable only
independent contract for attorney’s fees, each fee is
judgment or execution or when the attorney had
considered a special retainer. regardless thereof. already secured a favorable
judgment for his client.
ATTORNEY’S LIENS
Extinguishment
When possession lawfully When the client loses the
A retaining lien is a passive lien and may not be actively enforced.
ends, as when the lawyer action as the lien may only be
It amounts to a mere right to retain the papers as against the client
voluntarily parts with the enforced against a judgment
until the lawyer is fully paid. (Pineda)
funds, documents and awarded in favor of the
papers, but NOT when the client, the proceeds thereof
REQUISITES OF A RETAINING LIEN
documents have been or executions thereof.
In order that the exercise of a retaining lien may be valid:
improperly or illegally taken (Pineda and Agpalo)
1. Existence of client-lawyer relationship;
from lawyer’s custody.
2. The claims for attorney’s fees are not satisfied; and
3. That counsel is in possession of the subject papers,
FEES AND CONTROVERSIES WITH CLIENTS
documents and funds.
Lawyer should avoid controversies over fees with this client and
should try to settle amicably any differences on the subject.
Note: The possession must be lawful otherwise, the lawyer cannot
(Report of IBP Committee)
exercise his right to a retaining lien. (Pineda, supra)
A lawyer shall not, without the full knowledge and consent of the
A charging lien is an equitable right to have the fees and lawful
client, accept any fee, reward, costs, commission, interest, rebate
disbursements due a lawyer for his services in a suit secured to him
or forwarding allowances or other compensation whatsoever
out of judgment for the payment of money and executions issued
related to his professional employment from anyone other than
in pursuance thereof in a particular suit. (Agpalo)
the client. (Rule 20.03)
REQUISITES OF A CHARGING LIEN
Canon 20, Rule 20.4 of the CPR mandates that "a lawyer shall avoid
In order that the exercise of a charging lien may be valid:
controversies with clients concerning his compensation and shall
1. Existence of client-lawyer relationship;
resort to judicial action only to prevent imposition, injustice or
2. The attorney has rendered services;
fraud." Likewise, Canon 14 of the Canons of Professional Ethics
3. A money judgment favorable to the client has been secured
states that "controversies with clients concerning compensation
in the action;
are to be avoided by the lawyer so far as shall be compatible with
his self-respect and with his right to receive reasonable

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Green Notes 2019
recompense for his service; and lawsuits with the clients should be
resorted to only to prevent injustice, imposition, or fraud." (Cueto
v. Jimenez, Jr., A.C. No. 5798, January 20, 2005)
QUANTUM MERUIT
It means as much as the lawyer deserves or such amount which his
services merit. The recovery of attorney’s fees based on quantum
meruit is authorized:
1. When there is no express contract for payment of attorney’s
fees;
2. When although there is a formal contract for attorney’s
fees, the fees stipulated are found unconscionable or
unreasonable by the court;
3. When the contract for attorney’s fees is void die to purely
formal defects of execution;
4. When the lawyer, for justifiable cause, was not able to finish
the case to its conclusion;
5. When the lawyer and the client disregard the contract for
attorney’s fees; and
6. When the client dismissed his counsel before the
termination of the case or the latter withdrew therefrom for
valid reasons. (Agpalo)
The doctrine of quantum meruit is a device to prevent undue
enrichment based on the equitable postulate that it is unjust for a
person to retain benefit without paying for it. (Traders Royal Bank
Employees Union-Independent v. NLRC, G.R. No. 120592. March 14,
1997)
GUIDES IN DETERMINING ATTORNEY’S FEES ON QUANTUM
MERUIT BASIS
1. Time spent and extent of the services rendered or required;
2. Novelty and difficulty of questions involved;
3. Importance of subject matter;
4. Skill demanded of a lawyer;
5. Probability of losing other employment;
6. Customary charges for similar services and schedule of fees
of IBP;
7. Amount involved in the controversy and benefits resulting
to the client from the service;
8. Contingency or certainty of compensation;
9. Character of employment, whether occasional or
established’
10. Professional standing of the lawyer. (Rule 20.01)
In the determination of the reasonableness of a lawyer’s attorney’s
fees anchored on the factors enumerated in the Rule, full-blown
trial is necessarily needed because the factors must be established
by evidence. (Metropolitan Bank and Trust Co. v. CA, G.R. Nos.
86100-03, January 23, 1990)
RULE 20.02
Under the lawyer-referral 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 his
attorney’s fees, the said counsel (or substituting counsel, if the first
lawyer withdraws) will receive attorney’s fees in proportion to the
work performed and responsibility assumed. The proportion may
be agreed upon by the lawyers and the client. In case of
disagreement, the court may fix the proportional division of fees.
(Pineda, 2009)
If the lawyers were engaged at different stages of the case, and
there are no specific contracts executed, the lawyer who bore the
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Legal Ethics
brunt of the prosecution of the case to its successful end is entitled
to the full amount of his fees despite the fact that the client has
retained another lawyer as “exclusive” counsel who appeared only
after the rendition of a favorable judgment. (Cruz v. CIR, G.R. No.
18277, August 31, 1963)
It is improper for a lawyer to receive any compensation for merely
recommending another lawyer to his client and render no legal
service at all in the pursuit or defense of the client’s case. This
practice if allowed and abetted, will commercialize the legal
profession for the recommending lawyers will be acting like
“agents” for the others. (Pineda, supra)
RULE 20.03
Ratio: To secure the fidelity of the lawyer to his clients’ cause.
There should be no room for suspicion on the part of the client that
his lawyer is receiving compensation in connection with the case
from third persons with hostile interests. (Report of IBP Committee)
The only exception whereby a lawyer may receive compensation
from a person other than his client is when the latter has full
knowledge and approval thereof. (Rules of Court, Rule 138, Sec. 20
(e))
RULE 20.04
Lawyer should avoid controversies over fees with this client and
should try to settle amicably any differences on the subject.
(Report of IBP Committee)
Exceptions:
1. To prevent imposition;
2. To prevent fraud;
3. To prevent injustice.
JUDICIAL ACTIONS TO RECOVER ATTORNEY’S FEES
1. In the same case – he may enforce his attorney’s fees by
filing an appropriate motion or petition as an incident in the
main action where he rendered legal services. (Lichauco v.
CA, G.R. No. L-23842, March 13, 1975)
2. In a separate civil action.
With respect to the first situation, the remedy for recovering
attorney’s fees as an incident of the main action may be availed of
only when something is due to the client. Attorney’s fees cannot
be determined until after the main litigation has been decided and
the subject of the recovery is at the disposition of the court. The
issue over attorney’s fees only arises when something has been
recovered from which the fee is to be paid.
While a claim for attorney’s fees may be filed before the judgment
is rendered, the determination as to the propriety of the fees or as
to the amount thereof will have to be held in abeyance until the
main case from which the lawyer’s claim for attorney’s fees may
arise has become final. Otherwise, the determination to be made
by the courts will be premature. Of course, a petition for attorney’s
fees may be filed before the judgment in favor of the client is
satisfied or the proceeds thereof delivered to the client. (Rosario v.
De Guzman, G.R. No. 191247, July 10, 2013)
CANON 21: PRESERVATION OF CLIENT’S CONFIDENCES
Rationale of the Canon: The reason of the lawyer-client privilege
is to encourage and inspire clients to tell all about the facts of their
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cases. Unless the clients are so assured that what they disclose to
their lawyers will not be revealed to third persons, they will keep
and suppress matters which they consider unfavorable to them
such that the edited facts presented will be distorted and the legal
advice proffered thereon will become misleading and inaccurate.
Trial may even be conducted along false lines or theories, and this
will open the lawyer to damaging surprises which may be too late
to correct. Such surprises could be avoided if the clients could
candidly tell all without suppression of facts from the start.
(Pineda, 2009)
“Confidence” refers to information protected by the attorney-
client privilege under the Revised Rules of Court. (Report of IBP
Committee)
“Secret” refers to other information gained in the professional
relationship that the client has requested to be held inviolate or
disclosure of which would be embarrassing or would likely be
detrimental to the client. (Id.)
RULE 21.01
General Rule: A lawyer shall not reveal the confidences or 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;
4. He may disclose the affairs of a client of the firm to partners
or associates thereof unless prohibited by the client.
Ratio for Strict Prohibition: A lawyer becomes familiar with all
the facts connected with his client’s case. He learns from his client
the weak points of the action as well as the strong ones. Such
knowledge must be considered sacred and guarded with care. No
opportunity must be given him to take advantage of the client’s
secrets. (Maturan v. Gonzales, A.C. No. 2597, March 12, 1998)
RULE 21.02
If the lawyer makes the prohibited disclosure – that is, the
revelation does not fall under any of the exceptions – he will be
subjected to disciplinary action for breach of trust. (Pineda)
RULE 21.03
Ratio: The work product of a lawyer, such as his effort, research
and thought and the records of his client, contained in his files are
privileged matters. (People v. Sy Juco, G.R. No. L-41957, August 28,
1937)
RULE 21.04
The rule is that 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
a law firm is generally considered as employment of the law firm.
(Hilado v. David, G.R. No. L-961, September 21, 1949)
In a law firm, partners or associates usually consult one another
involving their cases and some work as a team. Consequently, it
cannot be avoided that some information about the case received
from the client may be disclosed to the partners or associates.
(Pineda)
Lasallian Commission on Bar Operations
Legal Ethics
RULE 21.05
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. (Report of IBP Committee)
RULE 21.06
Reason: To better preserve the client’s confidences and secrets.
(Agpalo)
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 lawyer’s
family has the proper orientation and training for keeping client’s
confidences and secrets. (Pineda)
RULE 21.07
Reason: The disclosure and the lawyer’s opinion create an
attorney-client relationship, even though the lawyer does not
eventually accept the employment. (Hilado v. David, supra)
CANON 22: WITHDRAWAL OF SERVICES
The attorney-client relationship may be terminated by the:
1. Act of the client;
2. Act of the attorney;
3. Death of the client;
4. Death of the attorney; or
5. Accomplishment of the purpose for which it was created.
Ordinarily, the attorney-client relation is ended by the completion
of the specific task for which the attorney was employed.
General Rule: The withdrawal in writing, with the client’s
conformity, does not require the approval of the court to be
effective.
Exception: If no new counsel has entered his appearance, the
court may, in order to prevent a denial of a party’s right to the
assistance of counsel require that the lawyer’s withdrawal be held
in abeyance until another lawyer shall have appeared for the party.
(Villasis v. CA, G.R. No. L-34369, September 30, 1974)
Although a lawyer may withdraw his services when the client
deliberately fails to pay the fees for the services, withdrawal is
unjustified if client did not deliberately fail to pay. (Montano v. IBP,
A.C. No. 4215, May 21, 2001)
RULE 22.01
Appearance refers to the act of submitting or presenting oneself
to the court, either as plaintiff or defendant, personally or through
counsel, and seeking general reliefs or special reliefs from the
court. (Pineda)
CASES WHEN LAWYER MAY WITHDRAW
1. Client pursuing an illegal or immoral course of conduct;
2. Client’s insistence that lawyer pursues acts violative of the
canons and rules;
3. Inability of lawyer to work with co-counsel;
4. Mental and physical inability of counsel to handle case
effectively;
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5. Client’s deliberate failure to pay attorney’s fees agreed
upon;
6. Election or appointment of lawyer to public office;
7. Other similar cases.
Note: The enumeration is not exclusive.
RULE 22.02
The following are the duties of a discharged lawyer or one who
withdraws:
1. He must immediately turn over all papers and property to
which the client is entitled; and
2. He shall cooperate with the succeeding lawyer in the orderly
transfer of the case.
Note: The turnover of all papers and property is subject to the
lawyer’s retainer lien.
SUSPENSION, DISBARMENT AND
DISCIPLINE OF LAWYERS
The practice of law is not a right, but a privilege bestowed by the
State upon those who show that they possess, and continue to
possess, the qualifications required by law for the conferment of
such privilege. Membership in the bar is a privilege burdened with
conditions. (Alcantara v. De Vera, A.C. No. 5859, November 23,
2010)
PURPOSE OF DISCIPLINARY PROCEEDINGS
1. To ascertain if a lawyer, in view of the imputed misconduct,
still possess the qualifications which are conditions
precedent for the continuous practice of law;
2. To deter others from similar misconduct;
3. To protect the court and the public from the misbehavior of
its officers;
4. To safeguard the administration of justice from
incompetence and dishonesty of lawyers;
5. To preserve the purity of the legal profession. (Agpalo)
FORMS OF DISCIPLINARY MEASURES
1. Warning – an act of fact of putting one on his guard against
an impending danger, evil consequences or penalties;
2. Admonition – refers to a gentle or friendly reproof, mild,
rebuke, warning or reminder, counselling, on a fault, error
or oversight, an expression of authoritative advice or
warning;
3. Reprimand – a public and formal censure or severe reproof,
administered to a person in fault by his superior officer or a
body to which he belongs. It is more than just a warning or
an admonition. (Tobias v. Veloso,
4. Suspension – temporary withholding of the lawyer’s
privilege to practice his profession for a certain period, or for
an indefinite period of time.
a. Definite
b. Indefinite – qualified disbarment. The lawyer
determines for himself how short or how long his
suspension shall last by proving to court that he is
once again fit to resume practice of law.
5. Interim Suspension – the temporary suspension of a lawyer
from the practice of law pending imposition of final
discipline. It includes:
a. Suspension upon conviction of a serious crime;
Lasallian Commission on Bar Operations
Legal Ethics
b. Suspension when the lawyer’s continuing conduct is
likely to cause immediate and serious injury to a
client or public
6. Censure – official reprimand;
7. Disbarment – act of the Supreme Court in withdrawing
from an attorney the privilege to practice law. The name of
the lawyer is stricken out from the Roll of Attorneys;
8. Probation – a sanction that allows a lawyer to practice law
under specified conditions; (Pineda)
QUANTUM OF PROOF
In administrative cases for disbarment or suspension against
lawyers, the quantum of proof required is clearly preponderant
evidence and the burden of proof rests upon the complainant.
(Cruz v. Centron, Adm. Matter No. P-02-1644, November 11, 2004)
NATURE AND CHARACTERISTICS OF
DISCIPLINARY ACTIONS AGAINST
LAWYERS
SUI GENERIS IN NATURE
A case of suspension or disbarment is sui generis and not meant to
grant relief to a complainant as in a civil case, but is intended to
cleanse the ranks of the legal profession of its undesirable
members in order to protect the public and the courts. (Alicias, Jr.
v. Baclig, A.C. No. 9919, July 19, 2017)
Disciplinary proceedings against lawyers are sui generis. They are
distinct from and may proceed independently of civil and criminal
cases. It is:
1. Neither purely civil nor purely criminal, they are
investigations by the Court into the conduct of its officers.
2. Not a civil action because there is neither plaintiff nor
respondent. Public interest is its primary objective and
involves no private interest;
3. Not a criminal prosecution because it is not intended to
inflict punishment. The real question for determination is
whether or not the attorney is still a fit person to be allowed
the privileges as such. (In Re Almacen, G.R. No. L-27654,
February 18, 1970)
No private interest is involved in disbarment cases. Hence, a real
party-in-interest is not required. The procedural requirement
observed in ordinary civil proceedings that only the real party-in-
interest must initiate the suit does not apply in disbarment cases.
In fact, the person who called the attention of the court to a
lawyer’s misconduct is in no sense a party, and generally has no
interest in the outcome except as all good citizens may have in the
proper administration of justice. (Rayos-Ombac v. Rayos, A.C. No.
2884, January 28, 1998)
PRIVATE AND CONFIDENTIAL
Disbarment proceedings against attorneys shall be private and
confidential except that the final order of the court shall be made
public as in other cases coming before the court. (Rules of Court,
Rule 139, Sec. 10)
NO RES JUDICATA IN DISBARMENT CASES
The doctrine of res judicata applies only to judicial or quasi-judicial
proceedings and not to the exercise of the Court’s administrative
powers. (Dinsay v. Cioco, A.C. No. 2995, 27 November 1996)
PRESCRIPTION
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An administrative complaint against a member of the bar does not
prescribe. If the rule were otherwise, members of the bar would be
emboldened to disregard the very oath they took as lawyers,
prescinding from the fact that as long as no private complainant
would immediately come forward, they stand a chance of being
completely exonerated from whatever administrative liability they
ought to answer for. No matter how much time has elapsed from
the time of the commission of the act complained of and the time
of the institution of the complaint, erring members of the bench
and bar cannot escape the disciplining arm of the Court. (Heck v.
Santos, A.M. No.RTJ-01-1657. February 23, 2004)
MAY BE INITIATED MOTU PROPRIO
In Heck v. Santos, the Court held that “any interested person or the
court motu proprio may initiate disciplinary proceedings.” The
right to institute disbarment proceedings is not confined to clients
nor is it necessary that the person complaining suffered injury from
the alleged wrongdoing. Disbarment proceedings are matters of
public interest and the only basis for the judgment is the proof or
failure of proof of the charges. (Sebastian v. Bajar, A.C. No. 3731,
September 7, 2007)
NO PREJUDICIAL QUESTIONS IN DISBARMENT
PROCEEDINGS
It is not sound judicial policy to await the final resolution of a
criminal case before a complaint against a lawyer may be acted
upon; otherwise, this Court will be rendered helpless to apply the
rules on admission to, and continuing membership in, the legal
profession during the whole period that the criminal case is
pending final disposition, when the objectives of the two
proceedings are vastly disparate. Disciplinary proceedings involve
no private interest and afford no redress for private grievance.
They are undertaken and prosecuted solely for the public welfare
and for preserving courts of justice from the official ministration of
persons unfit to practice law. The attorney is called to answer to
the court for his conduct as an officer of the court. (Yu v. Palaña,
A.C. No. 7747, July 14, 2008, 558 SCRA 21)
IN PARI DELICTO IS NOT A DEFENSE
In a disbarment proceeding, it is immaterial that the complainant
is in pari delicto because this is not a proceeding to grant relief to
the complainant, but one to purge the law profession of unworthy
members to protect the public and the courts. (Mortel v. Aspiras,
G.R. No. L-9152, December 28, 1956,100 Phil. 586, 592)
GROUNDS
The following are specific grounds for suspension or disbarment of
a lawyer under the Rules:
1. Deceit;
2. Malpractice, or other gross misconduct in office;
3. Grossly immoral conduct;
4. Conviction of a crime involving moral turpitude;
5. Violation of oath of office;
6. Willful disobedience of any lawful order of a superior court;
7. Corrupt or willful appearance as an attorney for a party to a
case without authority to do so. (Rules of Court, Rule 138,
Sec. 27)
Note: The enumeration of the statutory grounds for suspension or
disbarment of a lawyer is not exclusive.
Question: May a lawyer be disbarred for causes other than those
mentioned in the statute? When? (1977 Bar)
Lasallian Commission on Bar Operations
Legal Ethics
Held: YES. It is already a settled rule that the statutory
enumeration of the grounds for disbarment or suspension is not to
be taken as a limitation on the general power of courts to suspend
or disbar a lawyer. The inherent powers of the court over its
officers cannot be restricted. (Quingwa v. Puno, A.C. No. 389,
February 28, 1967)
DECEIT
It is a fraudulent and deceptive misrepresentation, artifice, or
device, used by one or more persons to deceive and trick another,
who is ignorant of the true facts, to the prejudice and damage of
the party imposed upon.
To constitute deceit, the statement must be untrue, made with
knowledge of its falsity or with reckless and conscious ignorance
thereof. (Black’s Law Dictionary)
MALPRACTICE OR OTHER GROSS MISCONDUCT
Malpractice refers to any malfeasance or dereliction of duty
committed by a lawyer. (Tan Tek Beng, Adm. Case No. 1261,
December 29, 1983)
1. Legal Malpractice – consists of failure of an attorney to use
such skill, prudence and diligence as lawyers of ordinary skill
and capacity commonly possess and exercise in
performance of tasks which they undertake, and when such
failure proximately causes damage it gives rise to an action
in tort. (Black’s Law Dictionary)
2. Gross Misconduct – any inexcusable, shameful or flagrant
unlawful conduct on the part of the persons concerned in
the administration of justice which is prejudicial to the rights
of the parties or to the right determination of a cause, a
conduct that is generally motivated by a premeditated,
obstinate or intentional purpose. (Yumol, Jr. vs. Ferrer, Sr,
A.C. No. 6585, April 21, 2005)
PROCEEDINGS (RULE 139-B, RULES OF
COURT, AS AMENDED)
POWER TO DISCIPLINE
The Supreme Court En Banc shall have the power to discipline
judges of lower courts, or order their dismissal by a vote of
majority of the Members who actually took part in the
deliberations on the issues in the case and voted in thereon. (1987
Constitution, Art. VIII, Sec. 11). The power of the Court to discipline
is an inherent and exclusive power.
BAR MATTER NO. 1960 (MAY 1, 2000)
AMENDMENT OF SEC. 1, RULE 139-B OF THE
REVISED RULES OF COURT
Proceedings for disbarment, suspension or discipline of attorneys
may be taken by the:
1. Supreme Court motu proprio; or
2. Integrated Bar of the Philippines (IBP) upon the 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 by such
documents as may substantiate said facts.
The IBP Board of Governors may, motu proprio or upon referral by
the Supreme Court or by a Chapter Board of Officers, or at the
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instance of any person, initiate and prosecute proper charges
against erring attorneys including those in the government
service.
COMPLAINT
The complaint must be:
1. Verified;
2. The facts complained of must be stated clearly and
concisely;
3. Supported by affidavits of the persons having personal
knowledge of the facts alleged and/or by such documents as
may substantiate it; and
4. Six copies shall be filed with the Secretary of the IBP or the
Secretary of any of its chapters who shall forthwith transmit
the same to the IBP Board of Governors for assignment to
an investigator. (B.M. No. 1960, Sec. 1)
PROCEDURE FOR DISBARMENT IN THE IBP
1. The Board of Governors shall appoint from among the IBP
members an investigator or when special circumstances so
warrant, a panel of 3 investigators to investigate the
complaint;
2. If the complaint is meritorious, the respondent shall be
served with a copy requiring him to answer within 15 days
from service.
3. The respondent shall file a verified answer containing the
original and five (5) legible copies;
4. After receipt of the answer or lapse of the period to do so,
the Supreme Court, may, motu proprio or at the instance of
the IBP Board of Governors, upon recommendation by the
investigator, suspend an attorney from practice, for any of
the causes under Rule 138, Sec. 27, during the pendency of
the investigation
5. After joinder of the issues or failure to answer, the
respondent shall be given full opportunity to defend
himself. But if the respondent fails to appear to defend
himself in spite of notice, the investigator may proceed ex
parte. The investigation shall be terminated within 3
months from commencement unless extended for good
cause by the Board of Governors upon prior application.
6. The investigator shall submit a report to the IBP Board of
Governors within 30 days from termination of the
investigation which report shall contain his findings and
recommendations together with the stenographic notes
and transcript and all the evidence presented during such
investigation.
7. The Board of Governors shall have the power to review the
decision of the investigator. Its decision shall be
promulgated within a period not exceeding 30 days from
the next meeting of the Board following the submittal of the
Investigator’s report.
a. If the Board, by the vote of a majority of its total
membership, determines that the respondent should
be suspended from the practice of law or disbarred, it
shall issue a resolution setting forth its findings and
recommendations which, together with the whole
record of the case, shall forthwith be transmitted to
the Supreme Court for final action.
b. If the respondent is exonerated by the Board or the
disciplinary sanction imposed by it is less than
suspension or disbarment (such as admonition,
reprimand, or fine) it shall issue a decision
exonerating respondent or imposing such sanction.
Lasallian Commission on Bar Operations
Legal Ethics
The case shall be deemed terminated unless upon
petition of the complainant or other interested party
filed with the Supreme Court within fifteen (15) days
from notice of the Board’s resolution, the Supreme
Court orders otherwise. (Rules of Court, Rule 139-B, as
amended by B.M. 1645, October 1, 2015)
PROCEDURE FOR DISBARMENT BEFORE THE SUPREME
COURT
1. In proceedings initiated motu proprio by the Supreme Court
or in other proceeding when the interest of justice so
requires, the Supreme Court may refer the case for
investigation to the Solicitor General or to any officer of the
Supreme Court or judge of a lower court, in which case the
investigation shall proceed in the same manner provided in
Sections 6 to 11 of Rule 139-B, RRC, save that the review of
the report of investigation shall be conducted directly by the
Supreme Court. (Rules of Court, Rule 139-B, Sec. 13)
2. Based upon the evidence adduced at the investigation, the
Solicitor General or other Investigator designated by the
Supreme Court shall submit to the Supreme Court a report
containing his findings of fact and recommendations
together with the record and all the evidence presented in
the investigation for the final action of the Supreme Court.
(Rules of Court, Rule 139-B, Sec. 14)
MITIGATING CIRCUMSTANCES IN DISBARMENT
1. Good faith in the acquisition of a property of the client
subject of litigation;
2. Inexperience of the lawyer;
3. Age;
4. Apology;
5. Lack of intention to slight or offend the Court (Pineda)
6. Absence of prior disciplinary record;
7. Absence of dishonest or selfish motive;
8. Personal or emotional problems;
9. Timely good faith effort to make restitution or to rectify
consequences of misconduct;
10. Full and free disclosure to disciplinary board or cooperative
attitude toward the proceedings;
11. Character or reputation;
12. Physical or mental disability or impairment;
13. Delay in disciplinary proceedings;
14. Interim rehabilitation;
15. Imposition of other penalties or sanctions;
16. Remorse;
17. Remoteness of prior offenses. (IBP Guidelines 9.32)
AGGRAVATING CIRCUMSTANCES IN DISBARMENT
1. Prior disciplinary offenses;
2. Dishonest or selfish motive;
3. A pattern of misconduct;
4. Multiple offenses;
5. Bad faith obstruction of the disciplinary proceeding by
intentionally failing to comply with rules or orders of the
disciplinary agency;
6. Submission of false evidence, false statements, or other
deceptive practices during the disciplinary process;
7. Refusal to acknowledge wrongful nature of conduct;
8. Vulnerability of victim;
9. Substantial experience in the practice of law;
10. Indifference to making restitution. (IBP Guidelines 9.22).
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RECOVERABLE AMOUNTS; INTRINSICALLY
LINKED TO PROFESSIONAL ENGAGEMENT
The Court cannot order the lawyer to return money to complainant
if he or she acted in a private capacity because its findings in
administrative cases have no bearing on liabilities which have no
intrinsic link to the lawyer’s professional engagement. In
disciplinary proceedings against lawyers, the only issue is whether
the officer of the court is still fit to be allowed to continue as a
member of the Bar. The only concern of the Court is the
determination of respondent’s administrative liability. Its findings
have no material bearing on other judicial actions which the parties
may choose against each other. (Foster v. Agtang, A.C. No. 10579,
December 10, 2014)
READMISSION TO THE BAR
REINSTATEMENT
In disbarment proceedings, reinstatement means the restoration
to a disbarred lawyer, the privilege to practice law. It is nothing
more than readmission to membership in the Bar. (Pineda)
The Supreme Court has the exclusive authority to reinstate a
disbarred or indefinitely suspended lawyer to the office of
attorney-at-law. It may reinstate him for reasons and upon
assurances satisfactory to the court. (In re Adriatico, No. 2532,
November 17, 1910, 17 Phil 324)
The court’s authority to reinstate, like the power to admit a person
to the bar or to remove one therefrom, stems from its
constitutional prerogative to issue rules and regulations
concerning the admission to the practice of law. (1987 Constitution,
Art. VIII, Sec. 5 (5))
LAWYERS WHO HAVE BEEN SUSPENDED
LIFTING OF SUSPENSION IS NOT AUTOMATIC
The lifting of a lawyer’s suspension is not automatic upon the end
of the period stated in the Court’s 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.
Thus, according to the OBC, a suspended lawyer must first present
proof(s) of his compliance by submitting certifications from the
IBP and from the Executive Judge that he has indeed desisted from
the practice of law during the period of suspension. Thereafter, the
Court, after evaluation, and upon a favorable recommendation
from the OBC, will issue a resolution lifting the order of suspension
and thus allow him to resume the practice of law. (Maniago v. De
Dios, A.C. No. 7472, March 30, 2010)
GUIDELINES IN LIFTING AN ORDER OF SUSPENCION
The following guidelines shall 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 expiration of the period of suspension, respondent
shall file a Sworn Statement with the Court, through the
Lasallian Commission on Bar Operations
Legal Ethics
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 handled by him
or her, and/or where he or she has appeared as counsel;
5. The Sworn Statement shall be considered as proof of
respondent’s compliance with the order of suspension;
6. Any finding or report contrary to the statements made by
the lawyer under oath shall be a ground for the imposition
of a more severe punishment, or disbarment, as may be
warranted. (Maniago v. De Dios, supra)
LAWYERS WHO HAVE BEEN DISBARRED
Effect of Reinstatement: Reinstatement to the roll of attorneys
wipes out the restrictions and disabilities resulting from a previous
disbarment. (Cui v. Cui, G.R. No. L-18727, August 31, 1964)
A disbarred member may be reinstated provided he sufficiently
complies with the guidelines for judicial clemency.
GUIDELINES IN RESOLVING REQUESTS
FOR JUDICIAL CLEMENCY
1. There must be proof of remorse and reformation;
2. Sufficient time have lapsed from the imposition of the
penalty to ensure a period of reform;
3. The age of the person asking for clemency must show that
he still has productive years ahead of him that can be put
into good use;
4. There must be a promise as well as potential for public
service; and
5. There must be other relevant factors and circumstances to
justify clemency. (Macarubbo v. Macarubbo, Adm. Case No.
6148, January 22, 2013)
CRITERIA FOR REINSTATEMENT
1. Appreciation of the significance of his dereliction;
2. Assurance to the court that he now possesses the requisite
probity 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
organizations;
6. Favorable indorsement of IBP as well as local government
officials and citizens of his community; and
7. Pleas of his mother and wife for the sake and fortune of his
family. (Tan v. Sabandal, Bar Matter No. 44, February 10,
1989)
Whether the applicant shall be reinstated in the Roll of Attorneys
rests to a great extent on the sound discretion of the Court. The
applicant must, like a candidate for admission to the bar, satisfy
the Court that he is a person of good moral character, a fit and
proper person to practice law. The Court will take into
consideration the applicant’s character and standing prior to the
disbarment, the nature and character of the charge/s for which he
was disbarred, his conduct subsequent to the disbarment, and the
time that has elapsed between the disbarment and the application
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Green Notes 2019 Legal Ethics

for reinstatement. (Que v. Revilla, Jr., A.C. No. 7054, December 4,
2009)
EFFECT OF EXECUTIVE PARDON
If during the pendency of a 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.
1. If pardon is absolute or unconditional – disbarment case
will be dismissed.
2. If pardon is conditional – disbarment case will not be
dismissed on the basis thereof. (Pineda)
LAWYERS WHO HAVE BEEN REPATRIATED
 At least (9) hours- updates on substantive and procedural
laws and jurisprudence
 At least four (4) hours- legal writing and oral advocacy
 At least two (2) hours- international law and international
conventions
 Remaining six (6) hours- such other subjects prescribed by
the MCLE committee. (B.M. No. 850, Rule 2, Sec. 2)
COMPLIANCE
INITIAL COMPLIANCE PERIOD
The initial compliance period shall be from April 15, 2001 up to
April 14, 2004. All succeeding compliance periods shall begin the
day after the end of the preceding compliance period.

CONDITIONS BEFORE A LAWYER WHO REACQUIRES The initial compliance period for members newly admitted or
FILIPINO CITIZENSHIP PURSUANT TO RA 9225 CAN RESUME readmitted to the IBP shall begin on the first day of the month of
LAW PRACTICE admission or readmission and shall end on the same day as that of
all other members. (MCLE Implementing Regulations, Sec. 3)
He must first secure from this Court the authority to do so,
conditioned on: COMPLIANCE GROUPS
1. the updating and payment in full of the annual membership GROUP SCOPE
dues in the IBP; Compliance Group 1 Members in the National
2. the payment of professional tax; Capital Region (NCR) or Metro
3. the completion of at least 36 credit hours of mandatory Manila
continuing legal education; this is especially significant to Compliance Group 2 Members in Luzon outside
refresh the applicant/petitioner’s knowledge of Philippine NCR
laws and update him of legal developments and
Compliance Group 3 Members in Visayas and
4. the retaking of the lawyer’s oath which will not only remind
Mindanao
him of his duties and responsibilities as a lawyer and as an
officer of the Court, but also renew his pledge to maintain
allegiance to the Republic of the Philippines. (Petition for
EXEMPTIONS
Leave to Resume Practice of Law, Benjamin M. Dacanay,
B.M. No. 1678, December 17, 2007) PARTIES EXEMPTED FROM MCLE
1. The President and the Vice President of the Philippines, and
MANDATORY CONTINUING LEGAL the Secretaries and Undersecretaries of Executive
Departments;
EDUCATION (BAR MATTER NO. 850, AS 2. Senators and Members of the House of Representatives;
AMENDED) 3. The Chief Justice and Associate Justices of the Supreme
Court, incumbent and retired members of the judiciary,
Purpose: to ensure that throughout a lawyer’s career, he keeps incumbent members of the Judicial and Bar Council and
abreast with law and jurisprudence, maintains the ethics of the incumbent court lawyers covered by the Philippine Judicial
profession, and enhances the standards of the practice of law. Academy program of continuing judicial education;
4. The Chief State Counsel, Chief State Prosecutor and
COMPOSITION OF THE MCLE BOARD Assistant Secretaries of the Department of Justice;
It shall be composed of five (5) members: 5. The Solicitor General and the Assistant Solicitors General;
1. A retired Justice of the Supreme Court, as Chair; and 6. The Government Corporate Counsel, Deputy and Assistant
2. Four (4) members, nominated by the IBP, the Philippine Government Corporate Counsel;
Judicial Academy, a law center designated by the Supreme 7. The Chairmen and Members of the Constitutional
Court and associations of law schools and/or law professors. Commissions;
(B.M. No. 850, Rule 15, Sec. 1) 8. The Ombudsman, the Overall Deputy Ombudsman, the
Deputy Ombudsman and the Special Prosecutor of the
Note: The members of the Committee shall be of proven probity Office of the Ombudsman;
and integrity. They shall be appointed by the Supreme Court for a 9. Heads of government agencies exercising quasi-judicial
term of three (3) years and shall receive such compensation as may functions;
be determined by the Court. 10. Incumbent deans, bar reviewers and professors of law who
have teaching experience for at least ten (10) years in
REQUIREMENTS accredited law schools;
11. The Chancellor, Vice-Chancellor and members of the Corps
It shall be completed every 3 years, at least thirty-six (36) hours of of Professors and Professorial Lecturers of the Philippine
continuing legal education activities approved by the MCLE Judicial Academy; and
Committee. Of the 36 hours: 12. Governors and Mayors. (B.M. No. 850, Rule 7, Sec. 1)
 At least six (6) hours- legal ethics
 At least four (4) hours- trial and pre-trial skills OTHER PARTIES EXEMPTED FROM MCLE
 At least five (5) hours- alternative dispute resolution 1. Those who are not in law practice, private or public;

Lasallian Commission on Bar Operations 28

Green Notes 2019
2. Those who have retired from law practice with the approval
of the IBP Board of Governors. (B.M. No. 850, Rule 7, Sec. 2)
OTHER EXEMPTIONS OR MODIFICATIONS
For good cause (such as physical disability, illness, post-graduate
study abroad, proven expertise in law and similar ground) and
subject to approval by the Committee, a member may file a
verified request for exemption from compliance, or modification
of any of the MCLE requirements, including extension of time for
compliance. (MCLE Implementing Regulations, Sec. 6)
NON-COMPLIANCE OF MCLE
The following shall constitute non-compliance:
1. Failure to complete education requirement within the
compliance period;
2. Failure to provide attestation of compliance or exemption;
3. Failure to provide satisfactory evidence of compliance
(including evidence of exempt status) within the prescribed
period;
4. Failure to satisfy the education requirement and furnish
evidence of such compliance within sixty (60) days from
receipt of a non-compliance notice;
5. Any other act or omission analogous to any of the foregoing
or intended to circumvent or evade compliance with the
MCLE requirements. (MCLE Implementing Regulations, Sec.
12 (c))
SANCTIONS
A member who is in non-compliance at the end of the compliance
period shall pay a non-compliance fee of P1,000.00 and shall be
listed as a delinquent member of IBP Board of Governors upon the
recommendation of the MCLE Committee, in which case Rule 139-
B of the Court shall apply. (Bar Matter No. 850, as amended, Sec.
12 (e))
BAR MATTER NO. 1922
Practicing members of the bar are required to INDICATE in all
pleadings filed before the courts or quasi-judicial bodies, the
number and date of issue of their MCLE Certificate of Compliance
or Certificate of Exemption, as may be applicable, for the
immediately preceding compliance period.
Failure to disclose the required information would cause the
dismissal of the case and the expunction of the pleadings from the
records. (Re. Number and date of MCLE certificate of
completion/exemption required in all pleadings/motions, B.M. No.
1922, June 3, 2008)
BAR MATTER NO. 2012
RULE ON MANDATORY LEGAL AID SERVICE
PURPOSE
To enhance the duty of lawyers to society as agents of social
change and to the courts as officers thereof by helping improve
access to justice by the less privileged members of society and
expedite the resolution of cases involving them. Mandatory free
legal service by members of the bar and their active support
thereof will aid the efficient and effective administration of justice
especially in cases involving indigent and pauper litigants. (B.M.
No. 2012, Sec. 2)
SCOPE
Lasallian Commission on Bar Operations
Legal Ethics
This Rule shall govern the mandatory requirement for practicing
lawyers to render free legal aid services in all cases (whether civil,
criminal, or administrative) involving indigent and pauper litigants
where the assistance of a lawyer is needed.
It shall also govern the duty of other members of the legal
profession to support the legal aid program of the Integrated Bar
of the Philippines. (B.M. No. 2012, Sec. 3)
Free Legal Aid Services – refer to appearance in court or quasi-
judicial body for and in behalf of an indigent or pauper litigant and
the preparation of pleadings or motions. It shall also cover
assistance by a practicing lawyer to indigent or poor litigants in
court-annexed mediation and in other modes of alternative
dispute resolution (ADR). Services rendered when a practicing
lawyer is appointed counsel de oficio shall also be considered as
free legal aid services and credited as compliance under this Rule.
(B.M. No. 2012, Sec. 4 (d))
Practicing Lawyers - are members of the Philippine Bar who
appear for and in behalf of parties in courts of law and quasi-
judicial agencies, including but not limited to the National Labor
Relations Commission, National Conciliation and Mediation
Board, Department of Labor and Employment Regional Offices,
Department of Agrarian Reform Adjudication Board and National
Commission for Indigenous Peoples.
The term “practicing lawyers” shall EXCLUDE:
1. Government employees and incumbent elective officials
not allowed by law to practice;
2. Lawyers who by law are not allowed to appear in court;
3. Supervising lawyers of students enrolled in law student
practice in duly accredited legal clinics of law schools and
lawyers of non- governmental organizations (NGOs) and
peoples’ organizations (POs) like the Free Legal Assistance
Group who by the nature of their work already render free
legal aid to indigent and pauper litigants; and
4. Lawyers not covered under subparagraphs 1 to 3 including
those who are employed in the private sector but do not
appear for and in behalf of parties in courts of law and quasi-
judicial agencies. (B.M. No. 2012, Sec. 4 (a))
REQUIREMENTS
Every practicing lawyer is required to render a minimum of sixty
(60) hours of free legal aid services to indigent litigants in a year.
A practicing lawyer shall be required to secure and obtain a
certificate from the Clerk of Court attesting to the number of hours
spent rendering free legal aid services in a case. (B.M. No. 2012,
Sec. 5 (a))
NOTARIAL PRACTICE
(A.M. NO. 02-8-13-SC, AS AMENDED)
PURPOSE OF THE NOTARIAL LAW
1. To promote, serve and protect public interest;
2. To simplify, clarify, and modernize the rules governing
public; and
3. To foster ethical conduct among notaries public. (Rule I, Sec.
2)
EFFECT OF NOTARIZED DOCUMENT
The notarization by a notary public converts a private document
into a public document, making it admissible in evidence without
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further proof of its authenticity. A notarial document is, by law,
entitled to full faith and credit upon its face. (Dela Cruz v. Zabala,
A.C. No. 6294, November 14, 2004)
DUTIES OF A NOTARY PUBLIC
1. Explain fully the legal intricacies and consequences of the
subject transaction as would aid the parties in making an
informed decision (Nadayag v. Grageda, Adm. Case No.
3232, September 27, 1994).
2. Observe with utmost care the basic requirements in the
performance of their duties (Nunga v. Viray, A.M. No. 4758,
April 30, 1999).
3. Guard against any illegal or immoral arrangements (Villarin
v. Sabate, A.C. No. 3324, February 9, 2000).
NATURE OF THE DUTIES OF A NOTARY PUBLIC
Notarization is not an empty, meaningless, and routinary act. It
converts a private document to a public document, making it
admissible in evidence without further proof of its authenticity. A
notarial document is, by law, entitled to full faith and credit upon
its face; for this reason, notaries public must observe with utmost
care the basic requirements in the performance of their duties.
(Gaddi v. Atty. Velasco, A.C. No. 8637, September 15, 2014)
The duties of a notary public is dictated by public policy and
impressed with public interest. It is not a meaningless ministerial
act of acknowledging documents executed by parties who are
willing to pay the fees for notarization. (Isenhardt v. Real, Adm.
Case No. 8254, February 15, 2012)
It is of no moment that the subject SPA was not utilized by the
grantee for the purpose it was intended because the property was
allegedly transferred from complainant to her brother by virtue of
a deed of sale consummated between them. What is being
penalized is respondent’s act of notarizing a document despite the
absence of one of the parties. By notarizing the questioned
document, he engaged in unlawful, dishonest, immoral or
deceitful conduct. A notarized document is by law entitled to full
credit upon its face and it is for this reason that notaries public
must observe the basic requirements in notarizing documents.
Otherwise, the confidence of the public in notarized documents
will be undermined. (Isenhardt v. Real, supra)
QUALIFICATIONS OF A NOTARY PUBLIC
A “notary public” and “notary” refer to any person commissioned
to perform official acts under these Rules. (Rule II, Sec. 9)
To be eligible for commissioning as notary public, the petitioner
must possess the following:
1. A citizen of the Philippines;
2. Over twenty-one (21) years of age;
3. A resident in the Philippines for at least one (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 Integrated Bar of the Philippines;
5. Not have been convicted in the first instance of any crime
involving moral turpitude. (Rule III, Sec. 1)
DISQUALIFICATION OF NOTARY PUBLIC FROM
PERFORMING NOTARIAL ACT
Lasallian Commission on Bar Operations
Legal Ethics
1. If he is a party to the instrument or document that is to be
notarized;
2. If he 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 by law; or
3. If he is a spouse, common-law partner, ancestor,
descendant, or relative by affinity or consanguinity of the
principal within the fourth civil degree. (Rule IV, Sec. 3)
FUNCTION OF A NOTARY PUBLIC
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 were 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 acknowledgment, which is to minimize fraud,
would be thwarted. (Vallez v. Arzaga-Quijano, A.M. No. P-99-1338,
November 18, 1999)
TERM OF OFFICE OF A NOTARY PUBLIC
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. (A.M. No. 02-8-13-SC, as amended,
Rule III, Section 11)
POWERS AND LIMITATIONS
POWERS OF NOTARY PUBLIC
A notary public is:
1. Empowered to perform the following notarial acts:
a. Acknowledgements;
b. Oaths and affirmations;
c. Jurats;
d. Signature witnessings;
e. Copy certifications; and
f. Any other act authorized by these Rules
2. Authorized to certify the affixing of a signature thumb or
other mark on an instrument or document presented for
notarization if:
a. The thumb or other mark is affixed in the presence of
the notary public and of two (2) disinterested and
unaffected witnesses to the instrument or document;
b. Both witnesses sign their own names in addition to
the thumb or other mark;
c. The notary public writes below the thumb or other
mark: “Thumb or Other Mark affixed by (name of
signatory by mark) in the presence of (names and
addresses of witnesses) and undersigned notary
public"; and
d. The notary public notarizes the signature by thumb
or other mark through an acknowledgment, jurat, or
signature witnessing.
3. A notary public is authorized to sign on behalf of a person
who is physically unable to sign or make a mark on an
instrument or document if:
a. The notary public is directed by the person unable to
sign or make a mark to sign on his behalf;
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Green Notes 2019
b. The signature of the notary public is affixed in the
presence of two disinterested and unaffected
witnesses to the instrument or document;
c. Both witnesses sign their own names;
d. The notary public writes below his signature:
“Signature affixed by notary in presence of (names
and addresses of person and two (2) witnesses)”; and
e. The notary public notarizes his signature by
acknowledgment or jurat. (Rule IV, Sec. 1)
Acknowledgment – refers to an act in which an individual on a
single occasion:
1. appears in person before the notary public and presents an
integrally complete instrument or document;
2. is attested to be personally known to the notary public or
identified by the notary public through competent evidence
of identity as defined by these Rules; and
3. represents to the notary public that the signature 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 or 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. (Rule II, Sec. 1)
Affirmation or Oath – refers to 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 of identity as
defined by these Rules; and
3. avows under penalty of law to the whole truth of the
contents of the instrument or document. (Rule II, Sec. 2)
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 these Rules;
3. signs the instrument or document in the presence of the
notary; and
4. takes an oath or affirmation before the notary public as to
such instrument or document. (Rule II, Sec. 6)
The jurat is that end part of the affidavit in which the notary
certifies that the instrument is sworn to before her. As such, the
notarial certification is essential. Considering that notarization is
not an empty, meaningless, routinary act, the faithful observance
and utmost respect of the legal solemnity of the oath in the jurat
are sacrosanct. (Bides-Ulaso v. Noe-Lacsamana, Adm. Case No.
7297, September 29, 2009)
Signature Witnessing– refers to a notarial 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 these Rules;
3. signs the instrument or document in the presence of the
notary public. (Rule II, Sec. 14)
Lasallian Commission on Bar Operations
Legal Ethics
Copy Certification – refers to a notarial act in which a notary
public:
1. is presented with an instrument or document that is neither
a vital record, a public record, nor publicly recordable;
2. copies or supervises the copying of the instrument or
document;
3. compares the instrument or document with the copy;
4. determines that the copy is accurate and complete. (Rule II,
Sec. 4)
LIMITATIONS OF NOTARY PUBLIC
A notary public shall:
1. Not perform a notarial act outside his regular place of work
or business.
However, on certain exceptional occasions or situations, a
notarial act may be performed at the request of the parties
in the following sites locates within his territorial
jurisdiction:
a. Public offices, convention halls, and similar places
where oaths of office may be administered;
b. Public function areas in hotels and similar places for
the signing of instruments or documents requiring
notarization;
c. Hospitals and other medical institutions where a
party to an instrument or document is confined for
treatment; and
d. Any place where a party to an instrument or
document requiring notarization is under detention.
2. Not perform a notarial act if the person involved as
signatory to the instrument or document is -
a. Not in the notary’s presence personally at the time of
the notarization; and
b. Not personally known to the notary public or
otherwise identified by the notary public through
competent evidence of identity as defined by these
Rules. (Rule IV, Sec. 2)
MANDATORY REFUSAL TO NOTARIZE
1. If the transaction is unlawful or immoral;
2. If the signatory shows signs that he does not understand
consequences of the act, per the notary’s judgment;
3. If the signatory appears not to act of his own free will, per
the notary’s judgment;
4. If the document or instrument to be notarized is considered
as an improper document by these Rules. (Rule IV, Sec. 4)
Note: Improper Instrument or Document is a blank or incomplete
instrument or document without appropriate notarial
certification. (Rule IV, Sec. 6)
NOTARIAL REGISTER
It refers to a permanently bound book with numbered pages
containing a chronological record of notarial acts performed by a
notary public. (Rule II, Sec. 5)
The register shall be kept in books to be furnished by the Solicitor
General to any notary public upon request and upon payment of
the cost thereof. The register shall be duly paged, and on the first
page, the Solicitor General shall certify the number of pages of
which the book consists. (Rule VI, Sec. 1 (a))
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Green Notes 2019
Note: A notary public shall keep only one active notarial register
at any given time. (Rule VI, Sec. 1 (b))
ENTRIES IN THE NOTARIAL REGISTER
1. For every notarial act, the notary shall record in the notarial
register at the time of notarization the following:
a. vthe entry number and page number;
b. the date and time of day of the notarial act;
c. the type of notarial act;
d. the title or description of the instrument, document
or proceeding;
e. the name and address of each principal;
f. the competent evidence of identity as defined by
these Rules if the signatory is not
personally known to the notary;
g. the name and address of each credible witness
swearing to or affirming the person's identity;
h. the fee charged for the notarial act;
i. the address where the notarization was performed if
not in the notary's regular place of work or business;
and
j. any other circumstance the notary public may deem
of significance or relevance.
2. Reasons and circumstances for not completing a notarial
act.
3. The circumstances of any request to inspect or copy an
entry in the notarial register, including the requester's
name, address, signature, thumbmark or other recognized
identifier, and evidence of identity. The reasons for refusal
to allow inspection or copying of a journal entry shall also be
recorded.
4. When the instrument or document is a contract, the notary
public shall keep an original copy thereof as part of his
records and enter in said records a brief description of the
substance thereof and shall give to each entry a consecutive
number, beginning with number one in each calendar year.
He shall also retain a duplicate original copy for the Clerk of
Court.
5. The notary public shall give to each instrument or document
executed, sworn to, or acknowledged before him a number
corresponding to the one in his register, and shall also state
on the instrument or document the page/s of his register on
which the same is recorded. No blank line shall be left
between entries.
6. In case of a protest of any draft, bill of exchange or
promissory note, the notary public shall make a full and true
record of all proceedings in relation thereto and shall note
therein whether the demand for the sum of money was
made, by whom, when, and where; whether he presented
such draft, bill or note; whether notices were given, to
whom and in what manner; where the same was made,
when and to whom and where directed; and of every other
fact touching the same.
7. At the end of each week, the notary public shall certify in his
notarial register the number of instruments or documents
executed, sworn to, acknowledged, or protested before
him; or if none, this certificate shall show this fact.
8. A certified copy of each month's entries and a duplicate
original copy of any instrument acknowledged before the
notary public shall, within the first ten (10) days of the
month following, be forwarded to the Clerk of Court and
shall be under the responsibility of such officer. If there is no
entry to certify for the month, the notary shall forward a
Lasallian Commission on Bar Operations
Legal Ethics
statement to this effect in lieu of certified copies herein
required.
Respondents allowed their secretaries to notarize documents in
their stead, in violation of Sections 245 and 246 of the Notarial
Law. It is held that the notary public is personally accountable for
all the entries in his notarial register. They cannot be relieved of
responsibility for the violation of the aforesaid sections by passing
the blame to their secretaries. (Lingan v. Atty. Calubaquib, A.C. No.
5377, June 15, 2006)
JURISDICTION OF NOTARY PUBLIC AND
PLACE OF NOTARIZATION
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. (Rule III, Section 11)
General Rule: A notary public shall not perform a notarial act
outside his jurisdiction and his regular place of work or business.
Exceptions: A notarial act may be performed at the request of the
parties in the following sites, other than his regular place of work
or business, 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;
4. Any place where a party to an instrument or document
requiring notarization is under detention. (Rule IV, Sec. 2)
5. Such other places as may be dictated because of
emergency.
COMPETENT EVIDENCE OF IDENTITY
It 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. Driver's license;
c. Professional Regulation Commission ID;
d. National Bureau of Investigation clearance;
e. Police clearance;
f. Postal ID;
g. Voter's ID;
h. Barangay certification;
i. Government Service and Insurance System (GSIS) e-
card;
j. Social Security System (SSS) card;
k. Philhealth card;
l. Senior citizen card;
m. Overseas Workers Welfare Administration (OWWA)
ID;
n. Overseas Filipino Worker ID;
o. Seaman's book;
p. Alien certificate of registration/immigrant certificate
of registration;
q. Government office ID;
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Green Notes 2019
r. Certification from the National Council for the
Welfare of Disabled Persons (NCWDP);
s. Department of Social Welfare and Development
(DSWD) certification.
The oath or affirmation of one credible witness not
privy to the instrument, document or transaction who
is personally known to the notary public and who
personally knows 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.
2. The oath or affirmation of one credible witness not privy to
the instrument, document or transaction who is personally
known to the notary public and who personally knows 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. (Rule II, Sec. 12)
Note: A community tax certificate or cedula is no longer
considered as a valid and competent evidence of identity not only
because it is not included in the list of competent evidence of
identity under the Rules; but moreso, it does not bear the
photograph and signature of the persons appearing before them,
which the Rules deem as the more appropriate and competent
means by which notaries public can ascertain the person's identity.
(Baysac v. Aceron-Papa, A.C. No. 10231, August 10, 2016)
However, a document notarized before the effectivity of the 2004
Notarial Rules will be governed by the relevant provisions of the
Revised Administrative Code, wherein the cedula will suffice as
proof of identity. Otherwise, the requirements of the 2004
Notarial Rules will apply.
A member of the bar who performs an act as a notary public should
not notarize a document unless the persons who signed the same
are the very same persons who executed and personally appeared
before said notary public to attest to the contents and truth of
what are stated therein. The acts of affiants cannot be delegated
to anyone for what are stated therein are facts they have personal
knowledge of and swore to the same personally and not through
any representative. Otherwise, their representative's names
should appear in the said documents as the ones who executed the
same and that is only the time they can affix their signatures and
personally appear before the notary public for notarization of said
document. (Villarin v. Sabate, A.C. No. 3324, February 9, 2000; De
la Cruz v. Dimaano Jr, A.C.No. 7781, September 12, 2008)
SANCTIONS
PUNISHABLE ACTS
The Executive Judge shall cause the prosecution of any person
who:
1. knowingly acts or otherwise impersonates a notary public;
2. knowingly obtains, conceals, defaces, or destroys the seal,
notarial register, or official records of a notary public; and
3. knowingly solicits, coerces, or in any way influences a notary
public to commit official misconduct. (Rule XII, Sec. 1)
REVOCATION OF COMMISSION AND
DISCIPLINARY SANCTIONS
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Legal Ethics
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 acknowledgments the date of
expiration of his commission;
e. fails to submit his notarial register, when filled, 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
Section 5, Rule IV;
j. knowingly performs or fails to perform any other act
prohibited or mandated by these Rules; and
k. commits any other dereliction or act which in the
judgment of the Executive Judge constitutes good
cause for revocation of commission or imposition of
administrative sanction.
3. Upon verified complaint by an interested, affected or
aggrieved person, the notary public shall be required to file
a verified answer to the complaint. If the answer of the
notary public is not satisfactory, the Executive Judge shall
conduct a summary hearing. If the allegations of the
complaint are not proven, the complaint shall be dismissed.
If the charges are duly established, the Executive Judge shall
impose the appropriate administrative sanctions. In either
case, the aggrieved party may appeal the decision to the
Supreme Court for review. Pending the appeal, an order
imposing disciplinary sanctions shall be immediately
executory, unless otherwise ordered by the Supreme Court.
4. The Executive Judge may motu proprio initiate
administrative proceedings against a notary public, subject
to the procedures prescribed in paragraph (3) above and
impose the appropriate administrative sanctions on the
grounds mentioned in the preceding paragraphs (1) and (2).
(Rule XI, Sec. 1)
RELATIONS TO CODE OF PROFESSIONAL
RESPONSIBILITY
The attempt to escape administrative sanctions by pinning the
blame on his secretary cannot be condoned as case law instructs
that in these instances, the lawyer himself, not merely his
secretary, should be held accountable for these kinds of misdeeds.
Worse, he himself caused the intercalation of the notarized SPA by
inserting handwritten alterations therein which changed its
meaning; thus, violating Rule 1.01, Canon 1 of the Code of
Professional Responsibility, which provides that “a lawyer shall not
engage in unlawful, dishonest, immoral or deceitful conduct.”
(Miller v. Miranda, A.C. No. 8507, November 10, 2015)
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Green Notes 2019 Legal Ethics

Performing a notarial act without such commission is a violation of

the lawyer’s oath to obey the laws, more specifically, the Notarial
Law. Then, too, by making it appear that he is duly commissioned
when he is not, he is, for all legal intents and purposes, indulging
in deliberate falsehood, which the lawyer’s oath similarly
proscribes. These violations fall squarely within the prohibition of
Rule 1.01 of Canon 1 of the CPR which provides that a lawyer shall
not engage in unlawful, dishonest, immoral or deceitful conduct
and mandates the obedience of every lawyer to laws and legal
processes. (Maniquez v. Emelo, A.C. No. 8968, September 26, 2017)

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Green Notes 2019 Judicial Ethics

deciding controversies brought to them for adjudication which

conduct must be demonstrative of impartiality, integrity,
competence, independence, and freedom from improprieties.
(Pineda)

JUDGE
A public officer who, by virtue of his office, is clothed with judicial
authority. He is a public officer lawfully appointed to decide
litigated questions in accordance with law. (People v. Manantan,
G.R. No. L-14129, July 31, 1962)

JUDICIAL DE JURE JUDGE

One who is exercising the office of a judge as a matter of right. He

ETHICS is an officer of the law fully vested with all the powers and
functions, conceded under the law to a judge, which relate to the
administration of justice within the jurisdiction over which he
presides. (Luna v. Rodriguez, G.R. No. 12647, November 26, 1917)

DE FACTO JUDGE
An officer who is not fully invested with all of the powers and
duties conceded to judges, but is exercising the office of judge
under some color of right. A judge de facto may be said to be one
who has the reputation of being the officer he assumes to be yet is
not a good officer in point of law, that is, there exists some defect
in his appointment or election and in his right to exercise judicial
functions at the particular time. (Luna v. Rodriguez, supra)

QUALIFICATIONS OF JUDGES AND JUSTICES

Natural-born citizen of the
Philippines;

At least 40 years old;

Supreme Court and
Court of Appeals Must have been for 15 years more, a
Justices judge of a lower court engaged in the
practice of law;

A person of proven competence,

integrity, probity, and
independence. (1987 Constitution,
Art. VIII, Sec. 7)
Natural-born citizen of the
Philippines;

At least 35 years old;

RTC Judges For at least 10 years, has been

engaged in the practice of law or has
held a public office in the Philippines
requiring admission to the practice
of laws as an indispensable requisite.
(B.P. 129, Sec. 15)
MTC Judges Natural-born citizen of the
Philippines;

At least 30 years old;

For at least 5 years, has been

engaged in the practice of law or has
held a public office in the Philippines
JUDICIAL ETHICS requiring admission to the practice
of laws as an indispensable requisite.
The branch of moral science which treats of the right and proper (B.P. 129, Sec. 26)
conduct to be observed by all judges and magistrates in trying and

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Green Notes 2019
SOURCES
1. New Code of Judicial Conduct for the Philippine Judiciary
(NCJC);
2. Code of Judicial Conduct (CJC)
NEW CODE OF JUDICIAL CONDUCT FOR
THE PHILIPPINE JUDICIARY (BANGALORE
DRAFT)
A.M. NO. 03-05-01
PRINCIPLES OF BANGALORE DRAFT
1. A universal recognition that a competent, independent and
impartial judiciary is essential if the courts are to fulfill their
role in upholding constitutionalism and the rule of law.
2. Public confidence in the judicial system and in the moral
authority and integrity of the judiciary is of utmost
importance in a modern democratic society.
3. It is essential that judges, individually and collectively,
respect and honor judicial office as a public trust and strive
to enhance and maintain confidence in the judicial system.
(New Code of Judicial Conduct for the Philippine Judiciary,
2004)
The New Code of Judicial Conduct (NCJC) for the Philippine
Judiciary which took effect on June 1, 2004 supersedes the Canons
of Judicial Ethics and the Code of Judicial Conduct. Provided,
however, that in case of deficiency or absence of specific
provisions in this New Code, the Canons of Judicial Ethics and
Code of Judicial Conduct shall be applicable in a suppletory
character (2007, 2009 Bar).
PURPOSE OF BANGALORE DRAFT
1. To update and correlate the Code of Judicial Conduct and
the Canons of Judicial Ethics adopted for the Philippines;
2. To stress the Philippines’ solidarity with the universal
clamor for a universal code of judicial ethics.
CANONS UNDER THE NEW CODE OF
JUDICIAL CONDUCT
Canon 1: Independence
Canon 2: Integrity
Canon 3: Impartiality
Canon 4: Propriety
Canon 5: Equality
Canon 6: Competence and Diligence
CANON 1: INDEPENDENCE
TWO CONCEPTS OF JUDICIAL INDEPENDENCE
1. Individual judicial independence - focuses on each
particular case and seeks to insure his or her ability to decide
cases with autonomy within the constraints of the law. (In
the Matter of the Allegations Contained in the Columns of Mr.
Amado P. Macasaet Published in Malaya Dated Sept. 18-21,
2007, A.M. No. 07-09-13, August 8, 2008).
2. Institutional judicial independence - focuses on the
independence of the judiciary as a branch of government
and protects judges as a class. (In the Matter of the
Allegations Contained in the Columns of Mr. Amado P.
Macasaet Published in Malaya Dated Sept. 18-21, 2007,
supra)
Lasallian Commission on Bar Operations
Judicial Ethics
The new Canon 1 deals solely with the matter of judicial
independence as a “pre-requisite to the rule of law” and a
“fundamental guarantee of a fair trial.” (New Code of Judicial
Conduct for the Philippine Judiciary, Annotated by Philippine Judicial
Academy, the ABA – Rule of Law Initiative and the U.P. Law Center-
Institute of Judicial Administration, February 27, 2007)
SECTION 1
An independent judiciary has been described as “one free of
inappropriate outside influences.” Judges frequently experience
pressure in the exercise of their judicial functions. Common
sources of pressure upon a judge include political patrons, family
members, friends and associates, colleagues on the bench, media,
civil society, militant groups, criminals and criminal syndicates,
and rebel groups. Canon 1 requires that judges reject pressure
from any source by maintaining independence in the pursuit of
their duties. (New Code of Judicial Conduct for the Philippine
Judiciary, Annotated)
A judge must decide a case based on its merits. For this reason, a
judge is expected to be fearless in the pursuit to render justice, to
be unafraid to displease any person, interest or power, and to be
equipped with a moral fiber strong enough to resist temptation
lurking in her office. Here, it is improper for a judge to have decided
a case based only on a directive from a government official and not
on the judge’s own ascertainment of facts and applicable law
(Ramirez v. Corpuz-Macandog, A.M. No. R-351-RTJ, September 26,
1986)
SECTION 2
Every judge must decide independently, even in collegial court.
While there may be discussions and exchange of ideas among
judges, the judge must decide on the basis of his own, sole,
judgment. (Funa, 2009)
SECTION 3
Judges working in the same building or justices of collegiate courts
develop what is often referred to as compañerismo, a kind of
camaraderie bound by respect and personal friendship resulting
from sharing a common profession. This camaraderie often leads
judges to seek accommodations from fellow judges ranging from
the allowance of provisional remedies to the issuance of
favourable decisions. This is especially true in the Philippines
where “utang na loob” is a sacrosanct cultural value. It must be
emphasized, therefore, that this behavior is unethical and
anathema to the independent dispensation of judicial functions.
Hence, Sections 2 and 3 are intended to address unethical
practices among judges, the most commonplace and pervasive of
which is the situation described above. (New Code of Judicial
Conduct for the Philippine Judiciary, Annotated)
SECTION 4
Ratio: To ensure that judges are spared from potential influence
of family members by disqualifying them even before any
opportunity for impropriety presents itself. (New Code of Judicial
Conduct for the Philippine Judiciary, Annotated)
The term “judge’s family includes:
1. Spouse;
2. Son/daughter;
3. Son-in-law or daughter-in-law;
4. Other relatives by consanguinity or affinity within the sixth
civil degree, or
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Green Notes 2019
5. Any person who is a companion or employee of the judge
and who lives in the judge’s household. (New Code of Judicial
Conduct for the Philippine Judiciary, Annotated)
Constant company with a lawyer tends to breed intimacy and
camaraderie to the point that favors in the future may be asked
from respondent judge, which he may find hard to resist. The
actuation of respondent judge of eating and drinking in public
places with a lawyer who has pending cases in his sala may well
arouse suspicion in the public mind, thus tending to erode the trust
of the litigants in the impartiality of the judge. (Padilla v. Zantua,
A.M. No. MTJ-93-888, October 24, 1994)
SECTION 5
While it is true that Justice Sabio could not have possibly known
prior to his brother's call that his brother intended to speak to him
about the Meralco-GSIS case, the fact remains that Justice Sabio
continued to entertain a call from his brother, who also happens to
be an officer of the executive branch, despite realizing that the
conversation was going to involve a pending case. In his Motion,
Justice Sabio asks the Court if he should have immediately
slammed the phone on his brother. Certainly, such boorish
behavior is not required. However, as soon as Justice Sabio
realized that his brother intended to discuss a case pending before
him or in his division, Justice Sabio should have respectfully but
firmly ended the discussion.
Justice Sabio had no business discussing with his brother court
matters (such as his assignment to a particular case, the possibility
of issuance of a TRO, etc.) which by his own account are not yet
"official" and more importantly, he should not have allowed the
conversation to progress to a point that his brother was already
discussing the merits of the case and persuading him (Justice
Sabio) to rule in favor of one of the parties. (Re: Letter of Presiding
Justice Conrado Vasquez, A.M. No. 08-8-11-CA, October 15, 2008)
SECTION 6
The judge’s act of sending a member of his staff to talk with
complainant and show copies of his draft decisions, and his act of
meeting with litigants outside the office premises beyond office
hours violate the standard of judicial conduct required to be
observed by members of the Bench. They constitute gross
misconduct which is punishable under Rule 140 of the Revised
Rules of Court. (Tan v. Rosete, A.M. No. MTJ-04-1563, September 8,
2004)
SECTION 7
The 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.
SECTION 8
The first duty of judges is to conduct themselves at all times in a
manner that is beyond reproach. In whatever atmosphere or
environs they may happen to be, judges must remain conscious of
their character and reputation as judges and should avoid
anything which will indignify their public positions and demean the
institution to which they belong. (New Code of Judicial Conduct for
the Philippine Judiciary, Annotated)
CANON 2: INTEGRITY
The integrity of the Judiciary rests not only upon the fact that it is
able to administer justice but also upon the perception and
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Judicial Ethics
confidence of the community that the people who run the system
have done justice. At times, the strict manner by which we apply
the law may, in fact, do justice but may not necessarily create
confidence among the people that justice, indeed, is served.
Hence, in order to create such confidence, 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 country run with
fairness and equity, thus creating confidence in the judicial system.
(Talens-Dabon v. Arceo, A.M. No. RTJ-96-1336, July 25, 1996)
It cannot be overemphasized that every employee of the judiciary
should be an example of integrity, uprightness, and honesty. Like
any public servant, he must exhibit the highest sense of honesty
and integrity not only in the performance of his official duties, but
in his personal and private dealings with other people, to preserve
the Court’s good name and standing. This is because the image of
a court of justice is necessarily mirrored in the conduct, official or
otherwise, of the men and women who work thereat, from the
judge to the least and lowest of its personnel. Thus, it becomes the
imperative sacred duty of each and every one in the court to
maintain its good name and standing as a true temple of justice.
(Marquez v. Clores-Ramos, AM No. P-96-1182, July 19, 2000)
Judicial identity does not terminate at the end of the day when he
takes off his judicial robes. Even when garbed in casual wear
outside of the halls of justice, a judge retains the air of authority
and moral ascendancy that he or she wields inside the sala. As the
Court once held: Being the subject of constant public scrutiny, a
judge should freely and willingly accept restrictions on conduct
that might be viewed as burdensome by the ordinary citizen. A
judge should personify judicial integrity and exemplify honest
public service. The personal behavior of a judge, both in the
performance of official duties and in private life should be above
suspicion. (Decena v Malanyaon, 695 SCRA 264, April 8, 2013)
SECTION 1
Sections 1 and 2 of the New Code of Judicial Conduct for the
Philippine Judiciary underscore the importance of public
perception in the maintenance of judicial integrity.
The personal behavior of a judge should be free from the
appearance of impropriety, and his personal behavior, not only in
the bench and in the performance of judicial duties, but also in his
everyday life, should be beyond reproach. (Galang v. Santos, MTJ-
99-1197, May 26, 1999)
Judge Marcos’ conduct of flaunting his mistress is a conduct
unbecoming of a judge. Keeping a mistress is certainly not an act
one would expect of a judge who is expected to possess the
highest standard of morality and decency. If a judge fails to have
high ethical standards, the confidence and high respect for the
judiciary diminishes as he represents the judiciary. (Re: Complaint
of Mrs. Rotilla A. Marcos and Her Children against Judge Ferdinand
J. Marcos, RTC, Br. 20, Cebu City, A.M. No. 97-2-53 RTC, July 6,
2001).
SECTION 2
More than simply projecting an image of probity, a judge must not
only appear to be a "good judge"; he must also appear to be a
40
Green Notes 2019
"good person." (Dawa v. De Asa, A.M. No. MTJ-98-1144, July 22,
1998)
SECTION 3
It is thus incumbent upon a judge to manage his court with a view
to the prompt and convenient disposition of its business and he
should not tolerate abuses, indifference or neglect by clerks,
sheriffs and other officers of the court. (Ramirez v. Corpuz-
Macandog, A.M. No. R-351-RTJ, September 26, 1986)
Oftentimes, such leniency provides the court employees the
opportunity to commit minor transgressions of the laws and slight
breaches of official duty ultimately leading to vicious
delinquencies. The judge should constantly keep a watchful eye on
the conduct of his employees. He should realize that big fires start
small. His constant scrutiny of the behavior of his employees
would deter any abuse on the part of the latter in the exercise of
their duties. Then, his subordinates would know that any
misdemeanor will not remain unchecked. The slightest semblance
of impropriety on the part of the employees of the court in the
performance of their official duties stirs ripples of public suspicion
and public distrust of the judicial administrators. The slightest
breach of duty by and the slightest irregularity in the conduct of
court officers and employees detract from the dignity of the courts
and erode the faith of the people in the judiciary. (Buenaventura v.
Benedicto, A.C. No. 137-J, March 27, 1971)
While scolding an employee in front of litigants may not have been
the most appropriate course of action, it is well within the ambit of
his judicial prerogative to discipline his staff for negligence and/or
mistake. He should, however, not make a habit of showing fits of
temper and resorting to verbal abuse against erring employees. He
should be mindful of the need to maintain professional and
harmonious relations with his court personnel with a view to the
speedy and efficient administration of justice. (Re: Suspension of
Clerk of Court Jocobo, A.M. No. 93-10-1296-RTC, August 12, 1998)
CANON 3: IMPARTIALITY
It 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.
The rule of impartiality is applied more strictly to municipal,
metropolitan and regional trial court judges. (OCA v. Liangco, A.C.
No. 5355, December 13, 2011)
COLD NEUTRALITY OF AN IMPARTIAL JUDGE
In fact, that due process of law requires a hearing before an
impartial and disinterested tribunal, and that every litigant is
entitled to nothing less than the cold neutrality of an impartial
judge. (Gutierrez v. Santos, L-15824, May 30, 1961, 2 SCRA 249)
A judge should strive be at all times "wholly free, disinterested,
impartial and independent. Elementary due process requires a
hearing before an impartial and disinterested tribunal. 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 its fairness and as
to his integrity.” (Azucena v. Muñoz, Adm. Case No. 13N, June 30,
1970, 33 SCRA 722)
SECTION 1
Judges are the visible representations of law and justice. They are
required not only to be objective, but also to appear objective;
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Judicial Ethics
indeed, every litigant is entitled to nothing less than the cold
neutrality of an impartial judge. Due process would be
meaningless if the ultimate decision in a controversy is rendered
by a partial or biased judge. (Abundo v. Manio, A.M. No. RTJ-98-
1416, August 6, 1999)
NOTATU DIGNUM
Notatu dignum is the presumption of regularity in the performance
of a judge’s functions, hence, bias, prejudice and even undue
interest cannot be presumed, especially weighed against a judge’s
sacred allegation under oath of office to administer justice without
respect to any person and do equal right to the poor and the rich.
(Datuin v. Soriano, A.M. RTJ-01-1640, October 15, 2002)
ALLEGATIONS OF BIAS AND PREJUDICE
MUST BE PROVED
Bias and prejudice, to be considered valid reasons for the voluntary
inhibition of judges, must be proved with clear and convincing
evidence. Bare allegations of partiality and prejudgment will not
suffice. These cannot be presumed, especially if weighed against
the sacred obligation of judges whose oaths of office require them
to administer justice without respect to person and to do equal
right to the poor and the rich. (Estrada v. Desierto, G.R. Nos.
146710-15, March 2, 2001)
A judge’s conduct must be clearly indicative of arbitrariness and
prejudice before it can be stigmatized as biased and partial. (Cruz
v. Iturralde, A.M. No. RTJ-03-1775, April 30, 2003)
EXTRA-JUDICIAL SOURCE RULE
Bias and prejudice must be shown to have resulted in an opinion
on the merits on the basis of an extrajudicial source, not on what
the judge learned from participating in the case. As long as
opinions formed in the course of judicial proceedings are based on
the evidence presented and the conduct observed by the
magistrate, such opinion – even if later found to be erroneous – will
not prove personal bias or prejudice on the part of the judge. While
palpable error may be inferred from the decision or the order itself,
extrinsic evidence is required to establish bias, bad faith, malice or
corrupt purpose. (Gochan v. Gochan, G.R. No. 146089, February 27,
2003)
SECTION 2
A judge may not be legally prohibited from sitting in a litigation.
But when suggestion is made of record that he might be induced
to act in favor of one party or with bias or prejudice against a
litigant arising out of circumstances reasonably capable of inciting
such a state of mind, he should conduct a careful self-
examination. He should exercise his discretion in a way that the
people's faith in the courts of justice is not impaired. (Pimentel v.
Salanga, G.R. No. L-27934, September 18, 1967, 21 SCRA 160)
SECTION 3
Judges may, in their exercise of sound discretion, restrict
themselves voluntarily from sitting in a case, but such a decision
should be based on good, sound or ethical grounds, or for just and
valid reasons. It is not enough that a party casts some tenuous
allegations of partiality at the judge. No less than imperative is
that it is the judge's sacred duty to administer justice without fear
or favor. (New Code of Judicial Conduct for the Philippine Judiciary,
Annotated)
DUTY TO SIT
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It is imperative that judges ensure that they would not be
unnecessarily disqualified from a case. (Id.)
Note: The duty to sit is imposed because permitting judges to
disqualify themselves for frivolous reasons or for no reason at all
would contravene public policy by unduly delaying proceedings,
increasing the workload of other judges, and fostering
impermissible judge-shopping. (Id.)
SECTION 4
This Section warns judges against making any comment that
might reasonably be expected to affect the outcome of the
proceedings before them or "impair the manifest fairness of the
process.” (Id.)
SUB JUDICE RULE
It restricts comments and disclosures pertaining to judicial
proceedings to avoid prejudging the issue, influencing the court,
or obstructing the administration of justice. A violation of the
subjudice rule may render one liable for indirect contempt under
Sec. 3(d), Rule 71 of the Rules of Court. (Romero v. Estrada, G.R. No.
174105, April 2, 2009)
Judges shall not knowingly, while a proceeding is before or could
come before them, make any comment that might reasonably be
expected to affect the outcome of such proceeding or impair the
manifest fairness of the process; nor shall judges make any
comment in public or otherwise that might affect the fair trial of
any person or issue. (Tormis v. Paredes, A.M. No. RTJ-13-2366,
February 4, 2015)
SECTION 5
The phrase “any proceeding” includes, but not limited to instances
where:
1. The judge has actual bias or prejudice concerning a party or
personal knowledge of disputed evidentiary facts
concerning the proceedings;
2. The judge previously served as a lawyer or was a material
witness in the matter in controversy;
3. The judge, or a member of his or her family, has an
economic interest in the outcome of the matter in
controversy;
4. The judge served as executor, administrator, guardian,
trustee or lawyer in the case or matter in controversy, or a
former associate of the judge served as counsel during their
association, or the judge or lawyer was a material witness
therein;
5. The judge's ruling in a lower court is the subject of review;
6. The judge is related by consanguinity or affinity to a party
litigant within the 6th civil degree or to counsel within the
4th civil degree;
7. The judge knows that his or her spouse or child has a
financial interest as heir, legatee, creditor, fiduciary or
otherwise, in the subject matter in controversy or in a party
to the proceeding, or any other interest that could be
substantially affected by the outcome of the proceedings.
Note: The reasons for disqualification of a judge enumerated
under Sec. 5 of Canon 3 are not exclusive. The provision provides
that it is not limited to the grounds therein provided. However,
those enumerated are instances of mandatory prohibition. (New
Code of Judicial Conduct for the Philippine Judiciary, Annotated)
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Judicial Ethics
Strict compliance of the rule is required so as to protect the rights
of the parties and assure an impartial administration of justice, as
well as to prevent erosion of the people's confidence in the
judiciary. (Marfil v. Cuachon, A.M. No. 2360-MJ, August 31, 1981)
SECTION 6
The judge should disclose on the record the basis for his
disqualification. Perhaps prompted by a cultural sense of
delicadeza, some magistrates state only "personal reasons" as the
ground for inhibiting themselves. The parties affected often would
often not question such disqualification, usually for fear of
incurring the judge’s ire. However, such vague reasoning is not
acceptable, as it would effectively place voluntary disqualification
at the whim of the judge. This kind of latitude is not the intended
effect of the rule. (New Code of Judicial Conduct for the Philippine
Judiciary, Annotated)
Note: The decision to continue hearing the case, despite the
existence of reasons for disqualification should be:
1. coupled with a bona fide disclosure to the parties-in-
litigation; and
2. subject to express acceptance by all the parties of the cited
reason as not material or substantial. (Id.)
CANON 4: PROPRIETY
Propriety and the appearance of propriety are essential to the
performance of all the activities of a judge.
Canon 4 stresses the importance of propriety and the appearance
of propriety to the performance of all the activities of a judge.
Respondent judge should bear in mind that judges should avoid
impropriety and the appearance of impropriety in all of their
activities. Furthermore, judges and members of their families are
prohibited from asking for or accepting any gift, bequest, loan, or
favor in relation to anything done or to be done or omitted to be
done by him in connection with the performance of judicial duties.
(Conquilla v. Bernardo, A.M. No. MTJ-09-1737, February 9, 2011)
SECTION 1
Reason: The community holds judges to higher standards of
integrity and ethical conduct than attorneys or other persons not
invested with the public trust. (Office of the Court Administrator v.
Estacion Jr., A.M. No. RTJ-87-104, August 23, 1995)
INSTANCES WHICH ARE NOT ILLEGAL BUT STILL VIOLATE
THE CODE OF JUDICIAL ETHICS
1. A judge who heard cases on a day when he was supposed to
be on official leave (Re: Anonymous Complaint Against Judge
Edmundo T. Acuña A.M. No RTJ-04-1891, July 28, 2005);
2. A judge who heard a motion while on vacation, in his room
dressed in a polo jacket. (Ignacio v. Valenzuela, Adm. Case
No. 2252-CFI. January 18, 1982);
3. Even if there was no clear evidence of sexual congress
between a judge and one of his subordinates, photos
showing the two of them coming out of a hotel together
was enough to give rise to the appearance of impropriety.
(Liwanag v. Lustre A.M. No. MTJ-98-1168, April 21, 1999)
4. A joking remark made by a judge to a litigant suggesting
that the litigant prove he harbored no ill feelings towards
the judge. (Co v Plata A.M. No. MTJ-03-1501, March 14, 2005)
5. A judge, after conducting a marriage ceremony,
commented that the bride and groom should sexually
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Green Notes 2019
satisfy each other so that they will not go astray. (Hadap vs.
Lee, Adm. Matter No. 1665-MJ. June 19, 1982)
SECTION 2
While judges are only human, their acceptance of the judicial
position means that more is expected from them than from
ordinary citizens, as their acts, both public and private, color the
public’s perception of the judiciary as a whole. (Re: Anonymous
Complaint Against Judge Edmundo T. Acuña, supra.)
A judicial officer is subject to scrutiny for both public and private
conduct. Such scrutiny is an unavoidable consequence of
occupying a judicial position. (Cañeda vs. Alaan A.M. No. MTJ-01-
1376, January 23, 2002)
SECTION 3
Judges should refrain from inviting counsel for one side into their
chambers after or prior to sessions in court without disclosing to
the other counsel the reason for such meetings. (Martinez vs.
Gironella G.R. No. L-37635, July 22, 1975)
Constant company with a lawyer tends to breed intimacy and
camaraderie to the point that favors in the future may be asked
from the judge which he may find it hard to resist. If a judge is seen
eating and drinking in public places with a lawyer who has cases
pending in his or her sala, public suspicion may be aroused, thus
tending to erode the trust of litigants in the impartiality of the
judge. (Padilla v. Zantua, A.M. No. MTJ-93-888, October 24, 1994)
A judge was found guilty of impropriety and failure to behave in a
manner that would promote public confidence in the integrity and
impartiality of judiciary. Respect for the office required him to
avoid fraternizing and drinking excessively with lawyers who have
pending cases in his court. (Omaña v. Yulde, A.M. MTJ-01-1345,
August 26, 2002)
On the other hand, a judge should not be too thin-skinned in his
relationship with lawyers. A judge should not hold a lawyer in
contempt for an expression of concern about the impartiality of
the judge, even if the judge may have been insulted. (Felongco v.
Dictado, A.M. No. RTJ-86-50, June 28, 1993)
SECTION 4
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. 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 fairness and integrity. The purpose is to preserve
the people’s faith and confidence in the courts of justice. (New
Code of Judicial Conduct for the Philippine Judiciary, Annotated)
A judge violated the same rule when she did not recuse herself in a
criminal case where the accused was her brother in law, regardless
of the fact that it was only after the case had been submitted for
decision that the accused became her brother-in-law. (Ubarra v.
Mapalad, A.M. No. MTJ-91-622, March 22, 1993)
SECTION 5
The high tribunal held that it was inappropriate for a judge to have
entertained a litigant in his house particularly when the case is still
pending before his sala. (J. King and Sons v. Hontanosas, A.M. RTJ-
03-1802, September 21, 2004)
SECTION 6
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Judicial Ethics
While judges are not expected to live a hermit-like existence or
cease functioning as citizens of the Republic, they should
remember that they do not disrobe themselves of their judicial
office upon leaving their salas. In the exercise of their civil liberties,
they should be circumspect and ever mindful that their continuing
commitment to upholding the judiciary and its values places upon
them certain implied restraints to their freedom. (Sison vs.
Caoibes, Jr. A.M. No. RTJ-03-1771, May 27 2004)
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. (Macias vs. Araula, Adm. Matter No.
1895-CFI, July 20, 1982)
The court reprimanded a judge who used expletives like “putris”
and “putang ina,” even thought they were not directed to any
particular individual. (Re: Anonymous Complaint Against Judge
Edmundo T. Acuña A.M. No RTJ-04-1891, July 28, 2005)
The judge displayed unbecoming behavior by sarcastically
commenting upon a complainant’s ability to read English and
using phrases such as “moronic attitude,” “stupid,” and “putang
inamo” to describe the complainant. (Seludo v. Fineza, A.M. No.
RTJ-04-1864. December 16, 2004)
SECTION 7
This section of the New Code of Judicial Conduct should be read in
conjunction with Section 7 of the Republic Act 6713, which
prohibits certain personal fiduciary and financial conflicts.
“A judge shall refrain from financial and business dealings that
tend to reflect adversely on the court's impartiality, interfere with
the proper performance of judicial activities, or increase
involvement with lawyers or persons likely to come before the
court.” (Catbagan v. Barte, A.M. No. MTJ-02-1452, April 6, 2005)
SECTION 8
The two prohibitions under this section:
1. A judge may not use judicial office to advance private
interests.;
2. A judge may not give the impression that he or she can be
influenced to use the judicial office to advance the private
interests of others. (New Code of Judicial Conduct for the
Philippine Judiciary, Annotated)
SECTION 9
A judge's act of personally furnishing a party copies of orders
issued, without passing them through the court docket, was
considered to be highly irregular, giving rise to the suspicion that
the judge was partial to one of the parties in the case. (Co v.
Calimag, A.M. No. RTJ-99-1493, June 20, 2000)
SECTION 10
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 judge’s primary
functions with respect to his or her jurisdiction.
However, in dealing with the media, the Philippine Judicial
Academy suggests that a judge or court should avoid acrimonious
debate with reporters and the public. (New Code of Judicial Conduct
for the Philippine Judiciary, Annotated)
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SECTION 11
The prohibition is based on the inherent incompatibility of the
rights, duties and functions of the office of an attorney with the
powers, duties and functions of a judge. (Carual v. Brusola, A.M.
No. RTJ-99-1500, October 20, 1999)
While municipal judges can administer oaths or execute
certificates on matters related to their official functions, they
cannot notarize private documents. (Tabao v. Asis, Adm. Mat. No.
RTJ-95-1330, January 30, 1996)
However, it should be noted that judges assigned to municipalities
and circuits may act as notaries public provided that:
1. All notarial fees charged be to the government’s account;
and
2. Certification be made in the notarial documents attesting to
the lack of lawyers or notary in the municipality or circuit.
(Doughlas v. Lopez Jr., A.M. No. MTJ-96-1076, February 9,
2000)
SECTION 12
The rule also 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 a judges-only organization does not. (New Code of Judicial
Conduct for the Philippine Judiciary, Annotated)
SECTION 13
This section should be read in conjunction with Section 7(d) of R.A.
6713 which prohibits public officials from soliciting or accepting
gifts. According to this provision: “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 which may be
affected by the functions of their office.” (Id.)
The act of demanding and receiving money or property from a
litigant violates this provision of the Act. (Legaspi v. Garrete, Adm.
Mat. No. MTJ-92-713, March 27, 1995)
SECTION 14
This section complements the previous section and assures that
what the judge cannot do directly, may not be done indirectly
through the use of employees or staff members. (New Code of
Judicial Conduct for the Philippine Judiciary, Annotated)
SECTION 15
Judges are allowed to accept token gifts, awards, or benefits when
given as a consequence of a special occasion.
GIFTS AND GRANTS ALLOWED FROM FOREIGN COUNTRIES
1. The acceptance and retention by a public official or
employee of a gift of nominal value tendered and
received as a souvenir or mark of courtesy;
2. The acceptance by a public official or employee of a gift
in the nature of a scholarship or fellowship grant or
medical treatment; or
3. The acceptance by a public official or employee of
travel grants or expenses for travel taking place entirely
outside the Philippines (such as allowances,
transportation, food and lodging) of more than nominal
value if such acceptance is appropriate or consistent
Lasallian Commission on Bar Operations
Judicial Ethics
with the interest of the Philippines, and permitted by
the head office, branch or agency to which the judge
belongs. (R.A. No. 6713, Sec. 7 (d))
CANON 5: EQUALITY
Ensuring equality of treatment to all before the courts is essential
to the due performance of the judicial office.
As the guardians of justice, courts must adhere to the principle of
equality. People expect the courts to be unaffected by differences
in social status, degree of education, and even physical abilities.
(New Code of Judicial Conduct for the Philippine Judiciary,
Annotated)
SECTION 1
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. Judges must be able to avoid the infiltration of
preconceptions into their decisions. They should be mindful of the
various international instruments and treaties ratified by the
Philippines, which affirm the equality of all human beings and
establish a norm of non-discrimination without distinction as to
race, sex, language or religion. (Id.)
SECTION 2
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. (Castillo v. Juan, G.R. No. 39516, January 28, 1975)
SECTION 3
As arbiters of the law, judges should be conscientious, studious,
courteous, patient and punctual in the discharge of their judicial
duties, recognizing that time of litigants, witnesses and counsel is
of value. In addressing litigants, witnesses and counsel, judges
should avoid a controversial tone. Judges should be aware that
undue interference, impatience or participation in the
examination of witnesses, especially those who are excited or
nervous about the unusual circumstances of a trial, may tend to
prevent the presentation of a case or the determination of the
truth. (New Code of Judicial Conduct for the Philippine Judiciary,
Annotated)
SECTION 4
Judges should organize their courts to ensure the prompt and
convenient dispatch of business and should not 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. (Canon of Judicial Ethics,
Canon 8)
Judges and clerks of court must therefore take proper action
against the misdeeds of employees. While the traditional value of
pakikisama often fosters harmony and good relationships in the
workplace, it cannot be allowed to frustrate or prejudice the
administration of justice. (Lacurom v. Magbanua, A.M. No. P-02-
1646, January 22, 2003)
SECTION 5
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Judges should conduct proceedings in court with dignity and in a
manner that reflects the importance and seriousness of
proceedings. They should maintain order and proper decorum in
the court. (Code of Judicial Conduct, Canon 3, Rule 3.03)
Judges have the duty to prevent lawyers from abusing witnesses
with unfair treatment. (New Code of Judicial Conduct for the
Philippine Judiciary, Annotated)
CANON 6: COMPETENCE AND DILIGENCE
Competence and diligence are pre-requisites to the due
performance of judicial office.
SECTION 1
“Though a judge has a duty to not sit where disqualified, a judge
has an equally strong duty not to recuse himself when the
circumstances do not require recusal.” [ABA Annotated Model
Code of Judicial Conduct (2004), Commentary, Canon 3 B (1),
citing Laird v. Tatum, (1972)
SECTION 2
This section is often violated due to failure to keep records or
handle funds in compliance with court rules. (New Code of Judicial
Conduct for the Philippine Judiciary, Annotated)
SECTION 3
Judges are regarded as persons learned in the law and it is in part
their masterful grasp of the law that sustains public trust in their
work and in the confidence of the people and the legal profession.
(New Code of Judicial Conduct for the Philippine Judiciary,
Annotated)
To constitute gross ignorance of the law, the subject decision,
order, or actuation of the judge in the performance of his official
duties must not only be contrary to existing law and jurisprudence
but, most importantly, he must be moved by bad faith, fraud,
dishonesty or corruption. (De la Cruz v. Concepcion, A.M. No. RTJ-
93-1062, August 25, 1994)
Every judge is required to observe the law. When the law is
sufficiently basic, a judge owes it to his office to simply apply it;
and anything less than that would be constitutive of gross
ignorance of the law. In short, when the law is so elementary, not
to be aware of it constitutes gross ignorance of the law. (Office of
the Court Administrator v. Hon. Tormis, A.M. No. MTJ-12-1817,
March 12, 2013)
The hearing of the application for bail in capital offenses is
absolutely indispensable before a judge can properly determine
whether the prosecution’s evidence is weak or strong. The
Supreme Court held that not only did Judge Bitas deviate from the
requirement of a hearing where there is an application for bail, he
also granted bail to Miralles without neither conducting a hearing
nor a motion for application for bail. Judge Bitas’ acts are not mere
deficiency in prudence, discretion, and judgment on his part, but a
patent disregard of well-known rules. When an error is so gross
and patent, such error produces an inference of bad faith, making
the judge liable for gross ignorance of the law. (Jorda v. Bitas, A.M.
No. RTJ-14-2376, March 5, 2014)
SECTION 4
Norms of international law become the concern of judges because
they form part of legal standards by which their competence and
Lasallian Commission on Bar Operations
Judicial Ethics
diligence required by the New Code of Judicial Conduct are to be
measured. (New Code of Judicial Conduct for the Philippine
Judiciary, Annotated)
SECTION 5
The essence of the judicial function is expressed in Section 1, Rule
124 of the Revised Rules of Court which provides that “justice shall
be impartially administered without unnecessary delay.” This
principle permeates the whole system of judicature and supports
the legitimacy of the decrees of judicial tribunals. (New Code of
Judicial Conduct for the Philippine Judiciary, Annotated)
Delay does not only constitute a serious violation of the parties
constitutional right to speedy disposition of cases, it also erodes
the faith and confidence of the people in the judiciary, lowers its
standards, and brings it into disrepute. (OCA v. Quilatan, A.M. No.
MTJ-09-1745, September 27, 2010)
A judge is responsible, not only for the dispensation of justice but
also for managing his court efficiently to ensure the prompt
delivery of court services. Since he is the one directly responsible
for the proper discharge of his official functions, he should know
the cases submitted to him for decision or resolution, especially
those pending for more than 90 days. Failure to observe said rule
constitutes a ground for administrative sanction against the
defaulting judge, absent sufficient justification for his non-
compliance therewith. (OCA v. Bustamante, A.M. No. MTJ-12-
1806, April 7, 2014)
REGLEMENTARY PERIOD TO RENDER JUDGMENTS
1. 24 months for the Supreme Court
2. 12 months for all lower collegiate courts, unless reduced by
the Supreme Court;
3. 3 months for all other lower courts. (1987 Constitution, Art.
VIII, Sec. 15, par. 1)
It is not the date of signing the decision but the date of receipt by
the Clerk of Court that must be reckoned from the date of
submission of the case for decision in order to comply with the 90-
day period under Sec. 5 of Judiciary Act. (Moya v. Tensuan, A.M.
No. 2507-CFI, August 10, 1981)
SECTION 6
As an administrative officer of the court, a judge should organize
and supervise the court personnel to ensure the prompt and
efficient dispatch of business and require at all times the
observance of high standard of public service and fidelity. A delay
of three years in the transmission of court records to the appellate
court, where a period of 30 days is required, is inexcusable.
(Pantaleon v. Gudez, A.M. No. RTJ-00-1525. January 25, 2000)
A magistrate must exhibit that hallmark judicial temperament of
utmost sobriety and self-restraint which are indispensable
qualities of every judge. (Rodriguez v. Bonifacio, A.M. No. RTJ-99-
1510, November 6, 2000)
SECTION 7
A judge neglected his duty when he failed to exercise extra care in
ensuring that records of the cases and official documents in his
custody were intact. The Supreme Court reiterated that “judges
must adopt a system of record management and organize their
dockets in order to bolster the prompt and efficient dispatch of
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business. (Beso vs. Daguman, A.M. No. MTJ-99-1211, January 28,
2000)
DISQUALIFICATION OF JUDICIAL
OFFICERS (RULE 137)
COMPULSORY
Ratio: The rule on compulsory disqualification of a judge to hear a
case rests on the salutary principle that no judge should preside in
a case in which he is not wholly free, disinterested, impartial and
independent. 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 its fairness and as to his integrity.
MANDATORY OR COMPULSORY DISQUALIFICATION
1. When the judge, or his wife or child is pecuniarily interested
as heir, legatee, creditor, or otherwise;
2. When the judge is related to either party within the 6th
degree of consanguinity or affinity or to counsel within 4 th
civil degree;
3. When the judge has been executor, guardian,
administrator, trustee, or counsel;
4. When the judge has presided in an inferior court where is
ruling or is decision. (Rules of Court, Rule 137 Sec. 1)
Note: The same rule also provides that the judge may hear and
decide the case despite the presence of a disqualification provided
the interested parties both give their written consent, signed by
them and entered upon the record. It has been decided by the
Supreme Court that oral consent is not valid, even though both
parties have agreed (Lazo v. Judge Tiong, A.M. No. MTJ-98-1173,
December 15, 1998).
In the case of compulsory disqualification, the law conclusively
presumes that a judge cannot objectively or impartially sit in a case
and, for that reason, prohibits him and strikes at his authority to
hear and decide it, in the absence of written consent of all parties
concerned. (Bilbao v. People, G.R. No. 175999, July 1, 2015)
VOLUNTARY
A judge may, in the exercise of sound discretion, disqualify himself
from sitting in a case, for just or valid reasons other than those
mentioned above. (Rules of Court, Rule 137, Sec. 1)
Ratio: A judge must maintain and preserve the trust and faith of
the parties-litigants. He must hold himself above reproach and
suspicion. At the very first sign of lack of faith and trust to his
actions, whether well-grounded or not, the judge has no other
alternative but inhibit himself from the case.
Whether or not to inhibit is left to the sound discretion and
conscience of the trial judge based on his rational and logical
assessment of the circumstances prevailing in the case brought
before him. (Gutang v. Court of Appeals, G.R. No. 124760, July 8,
1998, 292 SCRA 76)
In the spirit of transparency, the Court held that henceforth all the
parties in any action or proceedings should be immediately
notified of any mandatory disqualification or voluntary inhibition
of the Justice who has participated in any action of the court,
stating the reason for the mandatory disqualification or voluntary
Lasallian Commission on Bar Operations
Judicial Ethics
inhibition. The requirement of notice is a measure to ensure that
the disqualification or inhibition has not been resorted to in order
to cause injustice to or to prejudice any party or cause. (Re:
Complaint filed by Lucena B. Rallos against Justices Gabriel T. Ingles,
Pamela Ann Maxino, and Carmelita S. Manahan, IPI No. 12-203-CA-
J/A.M. No. 12-9-08-CA, December 10, 2013)
ADMINISTRATIVE JURISDICTION OF THE
SUPREME COURT OVER JUDGES AND
JUSTICES (ALL LEVELS)
The Supreme Court shall have the administrative supervision over
all courts and the personnel (1987 Constitution, Art. VIII, Sec. 6)
The Supreme Court En Banc shall have the power to discipline
judges of lower courts, or order their dismissal by a vote of
majority of the Members who actually took part in the
deliberations on the issues in the case and voted in thereon. (1987
Constitution, Art. VIII, Sec. 11)
According to the Supreme Court, for it to acquire jurisdiction over
an administrative proceeding, the complaint must be filed during
the incumbency of the respondent public official or employee. This
is because the filing of an administrative case is predicated on the
holding of a position or office in the government service. However,
once jurisdiction has attached, the same is not lost by the mere
fact that the public official or employee was no longer in office
during the pendency of the case.
PROCEDURE FOR DISCIPLINE OF JUDGES (RULE 140)
Section 1, Rule 140 provides three ways by which administrative
proceedings against judges may be instituted:
1. motu proprio by the Supreme Court;
2. upon verified complaint with affidavits of persons having
personal knowledge of the facts alleged therein or by
documents which may substantiate said allegations; or
3. upon an anonymous complaint supported by public records
of indubitable integrity. An unverified complaint against a
judge, where the facts alleged are disputed or are not easily
verifiable from public records, will generally be dismissible
for being unsubstantiated. (Re: Letter-complaint of Atty.
Ariel Samson C. Cayetuna, A.M. OCA IPI No. 08-127-CA-J.
January 11, 2011.)
The complaint shall be in writing and shall state clearly and
concisely the acts and omissions constituting violations of
standards of conduct prescribed for judges.
Note: The complaint shall be served upon the respondent and he
shall be required to comment within ten (10) days from the date of
service. (Rules of Court, Rule 140, Sec. 2)
INVESTIGATION
Upon the filing of the comment of the respondent or upon the
expiration of the period for such filing, the Supreme Court shall
refer the matter to the Office of the Court Administrator (OCA) for
evaluation, report, and recommendation or assign the case for
investigation, report, and recommendation to a retired member of
the Supreme Court, if the respondent is a Justice of the Court of
Appeals and the Sandiganbayan, or to a Justice of the Court of
Appeals, if the respondent is a Judge of a Regional Trial Court or of
a special court of equivalent rank or to a Judge of the Regional Trial
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Court, if the respondent is a Judge of an inferior court. (Rules of
Court, Rule 140, Sec. 3)
HEARING AND TERMINATION
The investigating justice of judge shall set a day for the hearing and
send notice to the parties. If the respondent fails to appear, the
investigation shall proceed ex parte. The investigating justice or
judge shall terminate the proceedings:
1. Within 90 days from the date of its commencement; or
2. Within such extension as the Supreme Court may grant.
(Rules of Court, Rule 140, Sec. 4)
REPORT AND ACTION
Within 30 days from termination, the investigating justice or judge
shall submit to the Supreme Court a report containing his findings
of fact and recommendation, accompanied by the evidence and
pleadings filed by the parties. Such report shall be confidential and
shall be for the exclusive use of the Supreme Court. A copy of the
decision or resolution of the court shall be attached to the record
of the respondent in the OCA. (Rules of Court, Rule 140, Sec. 5)
The Supreme Court shall take action on the report as the facts and
the law may warrant. (Rules of Court, Rule 140, Sec. 6)
QUANTUM OF PROOF
The quantum of proof required is only substantial evidence, or that
amount of relevant evidence which a reasonable mind might
Lasallian Commission on Bar Operations
Judicial Ethics
accept as adequate to support a conclusion. (Office of the Court
Administrator v. Lopez, A.M. No. P-10-2788, January 18, 2011.)
BURDEN OF PROOF IN ADMINISTRATIVE PROCEEDINGS
The burden of proof that respondent committed the acts
complained of rests on the complainant. (Re: Letter-complaint of
Atty. Ariel Samson C. Cayetuna, supra)
AUTOMATIC CONVERSION OF ADMINISTRATIVE CASES TO
DISCIPLINARY PROCEEDINGS
Pursuant to A.M. No. 02-9-02-SC, administrative cases against
justices of the Court of Appeals and the Sandiganbayan, judges of
regular and special courts, and court officials who are lawyers, shall
also be considered a disciplinary action against them, if they are
based on grounds which are likewise grounds for the disciplinary
action of members of the bar for:
1. Violation of the Lawyer's Oath;
2. Violation of the Code of Professional Responsibility;
3. Violation of the Canons of Professional Ethics; or
4. Such other forms of breaches of conduct that have been
traditionally recognized as grounds for the discipline of
lawyers.
The respondent is required to comment on the complaint and
show cause why he should not also be suspended, disbarred or
otherwise disciplinarily sanctioned as a member of the bar.
Judgment in both respects may be incorporated in one decision or
resolution.
EFFECT OF WITHDRAWAL OR DESISTANCE
The actuations of a judge seriously affect the public interest
inasmuch as they involve the administration of justice. It is for this
reason that a motion to withdraw a complaint will not justify the
dismissal of the administrative case against the judge. To
condition administrative actions upon the will of every
complainant, who may, for one reason or another, condone a
detestable act, is to strip the Supreme Court of its supervisory
power to discipline erring members of the judiciary. (Anguluan v.
Taguba, A.M. No. 1402-MJ, September 14, 1979)
Complainant's desistance is not an obstacle to the taking of
disciplinary action against a judge if the record reveals that he had
not performed his duties properly. (Espayos v. Lee, A.M. No. 1574,
April 30, 1979; Quiachon v. Ramos, A.C. No. 9317, 2014)
47
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PRACTICAL EXERCISES

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DEMAND AND AUTHORIZATION LETTERS

FORM: DEMAND LETTER

[DATE]

[Name of debtor]
[Address of debtor]

Sir/Madam:

We write in behalf of our client, ____________, the matter of your non-payment of your obligation.

Records disclose that you have an outstanding obligation with our client in the amount of Php___________ inclusive of interest and surcharges.
Despite repeated demands, you failed and continuously fail to pay the aforesaid amount.

Accordingly, FINAL DEMAND is hereby made upon you to settle the amount of Php___________ within _______ days from receipt of this
letter. Otherwise, we will be constrained to file the necessary legal action against you to protect the interest of our client.

We trust that you will give this matter your prompt and preferential attention to avoid the expense and inconvenience of litigation.

Sincerely yours,

ATTY. __________

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FORM: AUTHORIZATION LETTER

AUTHORIZATION LETTER

[DATE]

[Recipient Name]
[Recipient Address]

To whom it may concern,

I, _______________, hereby authorized the bearer of this letter, _________________, to [process the documents and sign on my behalf as
needed] as described in the scope below. Identity proof details are also provided for verification and authentication purposes.

Authorized Person: [John Smith]

Identity Type: [Passport]
Identity Number: [123456]
Authorized Person’s Signature:
Scope of Authorization: [process documents]
Start Date: [start date]
End Date: [end date]

Thank you very much.

Respectfully yours,

________________

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SIMPLE CONTRACTS: LEASE, SALE OF

REALTY OR PERSONAL PROPERTY

FORM: CONTRACT OF LEASE 1 (p.129, Guevara)

CONTRACT OF LEASE

I (full name of lessor), of legal age, single (or married to ______________) at _______________________, for and in the consideration
of the agreements hereinafter mentioned, do hereby LEASE unto (full name of lessee), of legal age, single (or married to __________), with
residence and post-office address at __________, that certain building, together with the lot on which it stands, situated at _________________,
and more particularly described as follows:

(Description of building and lot)

of which lot I am the registered owner, in accordance with the provisions of the Land Registration Act, my title thereto being
evidenced by Transfer (or Original) Certificate of Title No. _____ of the Registry of Deeds of __________;

That the term of this lease is __________, from and after the execution of this contract of lease, renewable at the will of both parties;

And I, (full name of lessee), for and in consideration of this contract of lease, do hereby bind myself and promise to pay or cause to
be paid unto the said lessor, __________, at the latter’s residence, a monthly rental of __________ PESOS (P__________) during the period of
this lease, payable in advance during the first five days of each and every month;

And it is hereby stipulated: That the lessee shall have no right to sublease the above premises without the written consent of the
lessor; that the water, light, gas, and telephone charges in said premises shall be for the account of the lessee; that all ordinary expenses incurred
or that may arise in the daily use of the toilet facilities and sewers in the premises shall be for account of the lessee; and that any improvements
made by the lessee in the above premises, and existing at the termination of the lease, shall remain as the property of the lessor, without right
to reimbursement to the lessee of the cost or value thereof.

IN WITNESS WHEREOF, the parties hereto have set their hands this ____ day of 2_____, __________, in ___________, Philippines.

___________________ ______________________
(Lessor) (Lessee)
WITNESSES:

__________________ ______________________

ACKNOWLEDGEMENT

FORM: CONTRACT OF LEASE 2 (p.130, Guevara)

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CONTRACT OF LEASE

(full name of lessor), of age, single/ married with residence and post-office address at _______________, hereby leases unto
________________ of age, single/ married with residence and post-office address at __________________, that certain premises
at________________ under the following terms and conditions:

1. That the lease term shall be_______________;

2. That the monthly rental of the leased premises shall be _________ payable in advance within the first five (5) days of the month;
3. That the premises leased have been received by the lessee in good, habitable condition;
4. That all the ordinary repairs within the premises that arise in the daily use of the facilities therein shall be for the sole account and
expense of the lessee, without the right to reimbursement;
5. That the lessee shall use the leased premises exclusively for family dwelling, and shall have no right to use the same for business
purposes;
6. 6 That the lessee is expressly prohibited to sublet the leased premises to anyone without the express consent of the lessor in writing;
7. That all charges for water, light, gas, telephone, used within the premises shall be at the sole account of the lessee;
8. That the lessee shall be responsible for the observance of sanitary and electrical regulations required of imposed by the city or
government authorities regarding the use and habitation of the leased premises;
9. That the lessee shall notify the lessor at least 30 days in advance should the lessee decide to abandon the leased premises;
10. That violation of any of the above terms and conditions will produce ipso facto the rescission of this contract of lease.

IN WITNESS WHEREOF, the parties hereto have set their hands this ____ day of _______________, 2____, in ____________,
Philippines.

___________________ ______________________
(Lessor) (Lessee)
WITNESSES:

__________________ ______________________

ACKNOWLEDGEMENT

FORM: CONTRACT OF SALE OF REALTY12 (p. 64, Guevara)

1 Every document of transfer or alienation of real property filed with the Register of Deeds shall be accompanied with an extra copy of the same which
copy shall be transmitted by said officer to the city or provincial assessor (R.A. No. 456)
2 See RA 3300

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DEED OF SALE
(OF REGISTERED LAND)

KNOW ALL MEN BY THESE PRESENTS:

I, (Full name of vendor),

Filipino, single/married to ___________________, of legal age, with residence and post-office address
at_____________________________________,

for and in consideration of the sum of ________________ PESOS (P_________), Philippine currency, to me in hand paid by

(Full name of vendee),

Filipino, of legal age, with residence and post office address at ____________________,

do hereby SELL, TRANSFER, and CONVER, absolutely and unconditionally, unto the said_______________ his/her heirs and assigns,
that certain parcel (or parcels) of land, together with the building and improvements hereon, situated in (city or municipality, and province), and
more particularly described as follows:

(description)

of which I am the registered owner in fee simple in accordance with the Land Registration Act, my title thereto being evidences by
Transfer (or Original) Certificate of Title No. ________________, issued by the Register of Deeds of _________________.

It is hereby mutually agreed that the vendee shall bear all the expenses for the execution and registration of this deed of sale3.

IN WITNESS WHEREOF, I have hereunto signed this deed of sale, this ____ day of __________, 2____, at the (city or municipality),
Philippines.

______________________
(vendor)

With my consent

______________________
(vendor’s wife)

SIGNED IN THE PRESENCE OF:

__________________ ______________________

ACKNOWLEDGEMENT

FORM: CONTRACT OF SALE OF PERSONAL PROPERTY (p. 155, Guevara)

BILL OF SALE

KNOW ALL MEN BY THESE PRESENTS:

3 Art. 1487, Civil Code

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I, _____________, of legal age, residing at _______________________________, for and in consideration of the sum of
____________PESOS (p__________), Philippine currency, to me paid by ______________, also of legal age and residing at __________________,
receipt whereof is hereby acknowledged, do hereby SELL and CONVEY unto the said _______________________, his heirs and assigns, the
following described personal property;

(description of property)

I further covenant with the said ____________________ that I own, and have the right to sell and transfer the title an ownership of
the above-described property, and I will defend the same against the claims of any and all persons whatsoever.

IN WITNESS WHEREOF, I have hereunto set my hand this _____ day of ______________, 2____, in ___________, Philippines.

______________________
(vendor)

WITNESSES:

__________________ ______________________

ACKNOWLEDGEMENT

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SPECIAL POWER OF ATTORNEY

SPECIAL POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS:

I, _______________, of legal age, and resident of _______________, do hereby name, constitute and appoint _______________, of
legal age, and resident of _______________, to be my true and lawful Attorney-in-Fact and in my name, place and stead, do perform the
following specific act(s):

(Specify the particular act/s to be performed)

Giving and granting unto said attorney-in-fact power and authority to do every act necessary and required in connection with these
presents, and hereby ratifying and confirming all that she may do by virtue of these presents.

IN WITNESS WHEREOF, I have signed this Special Power of Attorney this ____ day of __________, ____, at (venue).

(Sgd.) _______________
Principal

SIGNED IN THE PRESENCE OF:

(Sgd.) _______________
(Sgd.) _______________

Acknowledgment

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VERIFICATION AND CERTIFICATE OF

NON-FORUM SHOPPING

FORM: VERIFICATION AND CERTIFICATION OF NON- FORUM SHOPPING (OF PLEADING) (p. 53, Guevara)

VERIFICATION AND CERTIFICATION

REPUBLIC OF THE PHILIPPINES )

CITY OF __________________ ) S.S.

I, _______________, Filipino, of legal age residing at ____________________, after being sworn to in accordance with law, deposes
and says that:

1. I am the Plaintiff in the above- entitled case;

2. The facts stated in the above complaint are true and correct in the best of my knowledge and authentic records;
3. I have not commenced any action or filed any claim involving the same issues in any court, tribunal, or quasi-judicial agency and, to
the best of my knowledge, no such other action or claim is pending in them; and
4. If I should learn that the same or similar action or claim has been filed or is pending after its filing, I shall report that fact within five
(5) days from notice to the court where the complaint of initiatory pleading has been filed.

(Date and venue)

Signature of Affiant

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NOTICE OF HEARING AND EXPLANATION IN

MOTIONS

FORM: NOTICE OF HEARING4

NOTICE OF HEARING

Name of Counsel
Counsel for Adverse Party
Address: ___________________

Sir / Ma’am:

Please be informed that the undersigned counsel has set the foregoing motion (or petition) for hearing on ______ at 8:30 a.m. for the
consideration of the Honorable Court or soon thereafter as counsel may be heard.

Signature of Counsel

FORM: EXPLANATION5

EXPLANATION

This Certifies that personal service was not resorted to for the reason that due to time, distance and manpower constraints, the same
is not practicable.

4 required for petitions and motions before trial courts, not to the CA and the SC.
5 Requirement if service is not done by personal service. See: Rule 13, sections 11and 13.

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AFFIDAVITS – LOSS, CHANGE OF NAME,

JUDICIAL AFFIDAVITS

FORM: AFFIDAVIT OF LOSS SAMPLE (p 54 , Guevara)

AFFIDAVIT OF LOSS

REPUBLIC OF THE PHILIPPINES )

CITY OF __________________ ) S.S.

I, ___________________, of legal age, single/married, residing at ____________, after being sworn in accordance with law, depose
and say:

1. That I am the true owner of _______________, described as follows to wit:

(Description of property)
2. That the said automobile had been duly registered in my name in the Land Transportation Office in ___________ for the year (or
years) ____________; That the certificate of registration and other pertinent papers of ownership of said automobile were among
those burned and destroyed on ____________ when my house and all my personal belongings were completely destroyed by fire;
3. That said papers are now beyond recovery.

IN WITNESS WHEREOF, I have hereunto affixed my signature this ____ day of __________, 2____, at the (city or municipality),
Philippines.

__________________
Affiant
JURAT

FORM: AFFIDAVIT OF CHANGE OF NAME (p 324 Guevara)

AFFIDAVIT

I, _______________ , Filipino citizen, of legal age, single/married to (Insert Name of Spouse if any), and a resident of _______, after
having been duly sworn in accordance with law, hereby depose and say:

1. That my present name is _______________

2. (state reason for changing name)
3. That I am requesting that my present name be changes to ____________________

IN WITNESS WHEREOF, I have hereunto affixed my signature this ____ day of __________, 2____, at the (city or municipality), Philippines.

__________________
Affiant
JURAT

FORM: JUDICIAL AFFIDAVITS (General)

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AFFIDAVIT

I, (Insert Name of Affiant) , Filipino citizen, of legal age, single/married to (Insert Name of Spouse if any), and a resident of (Insert
Address of Affiant), after having been duly sworn in accordance with law, hereby depose and say:

1. That------
2. -----------
3. -----------

IN WITNESS WHEREOF, I have hereunto affixed my signature this ____ day of __________, 2____, at the (city or municipality), Philippines.

__________________
Affiant

FORM: JUDICIAL AFFIDAVITS SAMPLE

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JUDICIAL AFFIDAVIT OF
PETITIONER ___________________

I, ___________________, of legal age, married, and living at ___________________, petitioner in this case, state under oath as
follows:

PRELIMINARY STATEMENT

The person examining me is Atty. ___________________ with address at ___________________. The examination is being held at
the same address. I am answering his questions fully conscious that I do so under oath and may face criminal liability for false testimony and
perjury.

QUESTION AND ANSWER

This affidavit/testimony of petitioner ___________________ is being offered to prove that the respondent ___________________
contracted marriage twice, ___________________ on ___________________, and later with the petitioner ___________________ on
___________________ while the respondent’s previous marriage with ___________________ was still valid and has not yet legally dissolved.
Petitioner will also prove that prior to her marriage with the respondent she was previously married to ___________________ on
___________________, which marriage was still valid and subsisting at the time she contracted marriage with the respondent. The petitioner’s
testimony is also offered to prove the legal basis for the declaration of nullity of the petitioner’s marriage with the respondent, the same being
bigamous.

1. Q. Please state your name and other personal circumstances for the record.
A. ___________________.

2. Q. Are you the same ___________________, the petitioner in this case?

A. Yes sir.

3. Q.
A.

IN WITNESS WHEREOF, I have hereunto set my hand this _____ day of ___________ 2____, at ___________.

___________________
Affiant

JURAT

SWORN ATTESTATTION

I, ___________________, of legal age, Filipino, with postal address ______________________ after being duly sworn depose and say:

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1. I was the one who conducted the examination of witness ___________________ at my aforementioned office in
___________________;

2. I have faithfully recorded or caused to be recorded the questions I asked and the corresponding answer that the witness gave;

3. I nor any other person then present or assisting her coached the witness regarding her answers;

IN WITNESS WHEREOF, I have hereunto set my hand this ____ day of ____ 2___, at ___________.

ATTY. __________________
Affiant

JURAT

NOTARIAL CERTIFICATES – JURAT AND

ACKNOWLEDGEMENT

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FORM: ACKNOWLEDGEMENT6 – SIMPLE FORM (p 47, Guevara)

ACKNOWLEDGEMENT

REPUBLIC OF THE PHILIPPINES )

CITY OF __________________ ) S.S.

BEFORE ME, this ___ day of ______, 2______ in the City of ___________, personally appeared:

Name Competent Evidence of Identity7 Place and Date of Issue

Known to me to be the same person who executed the foregoing instrument, and acknowledged that the same are their free act and deed.

IN WITNESS WHEREOF, I have hereunto set my hand and affixed my Notarial seal on the date and place above written.

Doc No. ___; NOTARY PUBLIC for______8

Page No. ___; Commission Serial No. ___
Book No. ___; Until December 31, ____
Series of ___. Roll of Attorney____
IBP No.____/Date/Place of Issue
PTR No.____/Date/Place of Issue

6 See: 2004 Rule on Notarial Practice, Rule II, Sec.1. Acknowledgment is a statutory act such that only those instruments that are required by law to be
acknowledged shall be acknowledged; it is also a personal act such that it cannot be acknowledged by a person other than the one who executed it.
(Suarez, 2007)
7 Refers to the identification of an individual based on: a) at least one current identification document issued by an official agency bearing the photograph

and signature of the individual; b) the oath or affirmation of one credible witness not privy to the instrument, document, or transaction who is personally
known to the notary public and who personally knows 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 the notary public documentary identification (Rule II, Section 13, 2004 Rules on
Notarial Practice)
8 Sec 2, Rule VIII 2004 Rules on Notarial Practice for the contents of the concluding part of the notarial certificate

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FORM: ACKNOWLEDGEMENT OF INSTRUMENT CONSISTING OF TWO OR MORE PAGES9 (p 49, Guevara)

ACKNOWLEDGEMENT

REPUBLIC OF THE PHILIPPINES )

CITY OF __________________ ) S.S.

BEFORE ME, this ___ day of ______, 2______ in the City of ___________, personally appeared:

Name Competent Evidence of Identity10 Place and Date of Issue

Known to me to be the same person who executed the foregoing instrument, and acknowledged that the same are their free act and deed.

This instrument, consisting of _____ pages, including the page on which this acknowledgement is written, has been signed on the
left margin of each and every page thereof by _____________ and _______________ and their witnesses, and sealed with my notarial seal.

IN WITNESS WHEREOF, I have hereunto set my hand and affixed my Notarial seal on the date and place above written.

Doc No. ___; NOTARY PUBLIC for______11

Page No. ___; Commission Serial No. ___
Book No. ___; Until December 31, ____
Series of ___. Roll of Attorney____
IBP No.____/Date/Place of Issue
PTR No.____/Date/Place of Issue

9 Applicable to deeds affecting lands (Sec. 127, Act No. 496, as amended)
10 Refers to the identification of an individual based on: a) at least one current identification document issued by an official agency bearing the photograph

and signature of the individual; b) the oath or affirmation of one credible witness not privy to the instrument, document, or transaction who is personally
known to the notary public and who personally knows 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 the notary public documentary identification (Rule II, Section 13, 2004 Rules on
Notarial Practice)
11 Sec 2, Rule VIII 2004 Rules on Notarial Practice for the contents of the concluding part of the notarial certificate

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FORM: JURAT12 (p. 52, Guevara)

JURAT

SUBSCRIBED and sworn to before me, this ___ day of __________, in the City of __________ by ____________ with Passport No.
____________ issued on __________ at __________.

Doc No. ___; NOTARY PUBLIC

Page No. ___; Commission Serial No. ___
Book No. ___; Until December 31, ____
Series of ___. Roll of Attorney____
IBP No.____/Date/Place of Issue
PTR No.____/Date/Place of Issue

12See: Rule II, Sec. 6. It is that part of an affidavit in which the officer certifies that the instrument was sworn to before him. It is not part of the affidavit.
(Suarez, 2007)

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MOTIONS FOR EXTENSION OF TIME, TO

DISMISS, AND TO DECLARE IN DEFAULT

FORM: MOTION FOR EXTENSION OF TIME

Republic of the Philippines

National Capital Judicial Region
REGIONAL TRIAL COURT Branch _____,
________ City

_____________________
Plaintiff,
- versus - CIVIL CASE NO. _________
_______________________,
Defendant.

x-------------------------------------------------------x

MOTION FOR EXTENSION OF TIME

PLAINTIFF, by counsel, respectfully states that:

1. He has been directed to file a Reply to defendant’s Answer by 10 May 2007.
2. The undersigned counsel, however, anticipates his inability to file the Reply on or before the said due date because of the
tremendous pressure of other equally urgent professional work requiring the preparation of pleadings and almost daily trial appearances before
the various courts within and outside Metro Manila. For this reason, the undersigned is constrained to ask for an additional fifteen (15) days from
10 May 2007, or until 25 May 2007, within which to submit plaintiff’s Reply.
3. This motion is not intended for delay but is motivated only by the foregoing reason.

WHEREFORE, plaintiff respectfully prays that he be granted an additional fifteen (15) days from 10 May 2007, or until 25 May 2007,
within which to submit plaintiff’s Reply.

Quezon City; 13 April 2007.

(Sgd.) MITCH MCDEERE

Counsel for Plaintiff
[Address]
PLUS:

1. Request for and Notice of Hearing

2. Proof of Service

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FORM: MOTION DISMISS

Republic of the Philippines

National Capital Judicial Region
REGIONAL TRIAL COURT Branch _____,
________ City

_____________________
Plaintiff,
- versus - CIVIL CASE NO. _________
_______________________, For: ___________
Defendant.

x-------------------------------------------------------x

MOTION TO DISMISS

DEFENDANT, by counsel, respectfully moves to dismiss the Complaint on the ground that the Complaint fails to state a cause of
action as THE OBLIGATION SOUGHT TO BE ENFORCED BY PLAINTIFF IS NOT YET DUE AND DEMANDABLE, as shown by the following:
1. Allegedly, plaintiff has failed to reach the quotas agreed upon under the Marketing Agreement dated 1 January 2006; defendant
now seeks to collect the sum of TWO HUNDRED THOUSAND PESOS (P200,000.00), representing the balance of the proceeds due plaintiff
under the said Marketing Agreement.
2. The contract is for one (1) year and defendant is given that same period to reach the quota specified therein; the period of one (1)
year has not expired. Consequently, plaintiff’s claim is premature as there is yet no breach of the Marketing Agreement until the period expires
and the quota is not attained. For this reason, plaintiff’s Complaint states no cause of action and must be dismissed.

WHEREFORE, defendant respectfully prays that the Complaint be DISMISSED for failure to state a cause of action.
Other just and equitable reliefs are also prayed for.

Quezon City; 13 April 2007.

(Sgd.) MITCH MCDEERE

Counsel for Plaintiff
[Address]

REQUEST FOR & NOTICE OF HEARING

THE BRANCH CLERK OF COURT

Metropolitan Trial Court
Branch 39, Quezon City

Please submit the foregoing Motion to the Court for its consideration and approval immediately upon receipt hereof and kindly
include the same in the court’s calendar for hearing on Friday, 27 April 2007 at 8:30 in the morning.

ATTICUS FINCH
1 MockingBird Street
Timog Avenue, Quezon City

Please take notice that counsel has requested to be heard on Friday, 27 April 2007 at 8:30 in the morning.

(Sgd.) MITCH MCDEERE

Counsel for Plaintiff
[Address]

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FORM: MOTION TO DECLARE DEFENDANT IN DEFAULT

Republic of the Philippines

National Capital Judicial Region
REGIONAL TRIAL COURT Branch _____,
________ City

_____________________
Plaintiff,
- versus - CIVIL CASE NO. _________
_______________________,
Defendant.

x-------------------------------------------------------x

MOTION TO DECLARE DEFENDANT IN DEFAULT

PLAINTIFF, by counsel, respectfully states that:

1. Plaintiff filed this Complaint against defendant on 1 March 2007; summons were served on defendant on 20 March 2007, as
indicated by the Sheriff’s Return of even date, a copy of which is attached as ANNEX A.
2. Defendant’s reglementary period to file Answer ended on 5 April 2007; no motion for extension of such period was filed nor was
any granted motu proprio by this Honorable Court. Despite the lapse of time, defendant has failed to answer the Complaint against her; plaintiff
is entitled to a declaration of default and the right to present evidence ex parte against defendant.

WHEREFORE, plaintiff respectfully prays that defendant be declared in default and that plaintiff be allowed to present evidence ex
parte before the Clerk of Court acting as Commissioner.
Quezon City; 7 April 2007.

(Sgd.) MITCH MCDEERE

Counsel for Plaintiff
[Address]

PLUS:
1. Request for and Notice of Hearing
2. Proof of Service

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