LEGAL AND JUDICIAL ETHICS

TABLE OF CONTENTS

A. LEGAL ETHICS

1. Practice of Law …………………………………………………………………………………………………………………….… 1

2. Duties and Responsibilities of a Lawyer

a. Society ………………………………………………………………………………………………………………….. 8
b. The Legal Profession …………………………………………………………………………………………….. 12
c. The Courts ……………………………………………………………………………………………………………… 16

d. The Clients ……………………………………………………………………………………………………………… 22

3. Suspension, Disbarment and Discipline of Lawyers ………………………………………………………………… 42

4. Readmission to the Bar ………………………………………………………………………………………………………….. 47

5. Mandatory Continuing Legal Education …………………………………………………………………………………. 49

6. Notarial Practice ……………..…………………………………………………………………………….……………………. 51

B. JUDICIAL ETHICS

1. Sources ……………………………………………………………………………..………………………………………………… 55
2. Qualities ……………………………………………………………………………..………………………………………………. 55
3. Discipline of Members of the Judiciary ……………………………………………………………………………….. 60
 SYLLABI FOR 2011 BAR EXAMINATIONS
LEGAL AND JUDICIAL ETHICS

A. LEGAL ETHICS
1. Practice of Law

a. Concept
(1) Privilege
(2) Profession, Not Business

b. Qualifications
c. Appearance of Non-Lawyers
(1) Law Student Practice
(2) Non-Lawyers in Courts
(3) Non-Lawyers in Administrative Tribunals
(4) Proceedings Where Lawyers Prohibited from Appearing

d. Sanctions for Practice or Appearance Without Authority

(1) Lawyers Without Authority
(2) Persons Not Lawyers

e. Public Officials And Practice of Law

(1) Prohibition or Disqualification of Former Government Attorneys
f. Lawyers Authorized to Represent the Government
g. Lawyer’s Oath

2. Duties and Responsibilities of a Lawyer

a. Society
(1) Respect for Law and Legal Processes
(2) Efficient and Convenient Legal Services
(3) True, Honest Fair, Dignified and Objective Information on Legal Services
(4) Participation in the Improvement and Reforms in Legal System
(5) Participation in Legal Education Program

b. The Legal Profession

(1) Integrated Bar of the Philippines
(a) Membership and Dues
(2) Upholding the Dignity and Integrity of the Profession
(3) Courtesy, Fairness and Candor Towards Professional Colleagues
(4) No Assistance in Unauthorized Practice of Law
-1-
c. The Courts
(1) Candor, Fairness and Good Faith Towards the Courts
(2) Respect for Courts and Judicial Officers
(3) Assistance in the Speedy and Efficient Administration of Justice
(4) Reliance on Merits of Case, Not From Improper Influence Upon the Courts

d. The Clients
(1) Availability of Service Without Discrimination
(a) Services Regardless of Person’s Status
(b) Services as Counsel De Officio
(c) Valid Grounds for Refusal

(2) Candor, Fairness and Loyalty to Clients

(a) Confidentiality Rule
(b) Privileged Communications
(c) Conflict of Interest
(d) Candid and Honest Advice to Clients

(3) Client’s Moneys and Properties

(a) Fiduciary Relationship
(b) Co-Mingling of Funds
(c) Delivery of Funds
(d) Borrowing or Lending

(4) Fidelity to Client’s Cause

(5) Competence and Diligence
(a) Negligence
(b) Collaborating Counsel
(c) Duty to Apprise Client

(6) Representation with Seal Within Legal Bounds

(7) Attorney’s Fees
(a) Acceptance Fees
(b) Contingency Fee Arrangements
(c) Attorney’s Liens
(d) Fees and Controversies with Clients
(e) Concepts of Attorney’s Fees
(i) Ordinary Concept
(ii) Extra-Ordinary Concept

(8) Preservation of Client’s Confidences

(a) When Allowed
(9) Withdrawal of Services
 3. Suspension, Disbarment and Discipline of Lawyers

a. Nature and Characteristics of Disciplinary Actions Against Lawyers

(1) Sui Generis
(2) Prescription

b. Grounds
c. Proceedings
d. Discipline of Filipino Lawyers Practice in Foreign Jurisdictions

4. Readmission to the Bar

a. Lawyers Who Have Been Suspended

b. Lawyers Who Have Been Disbarred
c. Lawyers Who Have Been Repatriated

5. Mandatory Continuing Legal Education

a. Purpose
b. Requirements
c. Compliance
d. Exemptions
e. Sanctions

6. Notarial Practice

a. Qualifications of Notary Public

b. Term of Office of Notary Public
c. Powers and Limitations
d. Notarial Register
e. Jurisdiction of Notary Public and Place of Notarization
f. Revocation of Commission
g. Competent Evidence of Identity
h. Sanctions

B. JUDICIAL ETHICS
1. Sources
a. New Code of Judicial Conduct for the Philippine Judiciary (Bangalore Draft)
b. Code of Judicial Conduct

2. Qualities
a. Independence
 b. Integrity
c. Impartiality
d. Propriety
e. Equality
f. Competence and Diligence

3. Discipline of Members of the Judiciary

a. Members of the Supreme Court
(1) Impeachment
b. Lower Court Judges and Justices
c. Grounds
d. Impeachment
e. Sanctions Imposed by the Supreme Court On Erring Members of the Judiciary

IMPORTANT NOTE: This bar coverage description is not intended and should
not be used by law schools as a syllabus or course outline in the covered subjects.
It has been drawn up for the limited purpose of ensuring that candidates reviewing
for the bar examinations are guided on what basic and minimum amounts of laws,
doctrines, and principles they need to know and be able to use correctly before they
can be licensed to practice law. More is required for excellent and distinguished
work as members of the Bar.
 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

A. LEGAL ETHICS
(1) Privilege
1. Practice of Law
Privilege to Practice
a. Concept A more accurate characterization is that
the practice of the law is, to a great extent, a
Generally, to engage in the practice is to do any
privilege and, to some degree, a right, which
of those acts which are characteristic of the legal
accounts for the facts that those words have been
profession. (2009 Pineda, 22)
interchangeably use to qualify the term.
Strictly speaking, the word practice of law
The practice of law is not a natural,
implies the customary or habitual holding of
property of constitutional right but a mere
oneself to the public as a lawyer and demanding
privilege. It is not a right granted to any one who
compensation for his legal services (People vs.
demands it but a privilege to be extended or
Villanueva, 14 SCRA 111)
withheld in exercise of a sound judicial direction.
To engage in the practice of law is to do
It is a privilege accorded only to those who
any of those acts which are characteristic of the
measure up to certain rigid standards of mental
legal profession. It embraces any activity in or out
and moral fitness.
the court, which requires the application of the
law, legal principle, practice or procedure ad calls The practice of law is a profession, a form
for legal knowledge training and experience. It is of public trust the performance of which is
not limited the conduct of case in court. It includes entrusted only to those who are qualified and who
legal advice. possess good moral character.
The appearance before any quasi-judicial, The attorney continued enjoyment of the
administrative or legislative, which calls for the privilege conferred depends upon his remaining a
interpretation and application of laws and fit and safe person to exercise it and his complying
presentation of evidence to establish certain facts, with the rule and ethics of the profession.
constitute practice of law.
But while the practice law is privilege, a
The fact that the service is rendered before lawyer cannot be prevented from practicing law
a quasi-judicial or administrative agency and not except for valid reasons, the practice of law not
before the court is immaterial to the question as to being a matter of state’s grace or favor.
whether the service constitute practice of law
because the character of the service, and not the Under Rule 138 of the Rules of Court, The
place where it is performed is the decisive factor privilege to practice law is reserved to Filipino
determine of that question. citizens who have passed the required bar
examinations.
The practice of law consists in no small part
of work performed outside of court. It embraces Two exceptions:
the giving legal advice on a large variety of
subjects, conveyancing and the preparation and 1. first exception refers to those who come within
examination of legal instrument covering an and avail the benefits of the provision to the effect
extensive field of business and trust relations and that citizens of the United State who, before July 4,
other affairs. (Agpalo, 33,36,37) 1946, were duly licensed members of the
Philippine bar, in active practice in the courts of
the Philippines and in, good and regular standing
as such may, upon satisfactory proof of these facts

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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

before the Supreme Courts, be allowed to continue Law advocacy is not capital that yields
such practice after taking the oath office. profits.

2. second exception includes those who are To summarize, the primary characteristics
comprehended kin and take advantage of the which distinguish the legal profession from
provision whish states that “applicants for business are:
admission who, being Filipino citizens, are enrolled
attorneys in good standing in the Supreme Court of 1. a duty of public service of which emolument is a
the United States or in any circuit court of appeals by-product, and in which one may attain the
or district court therein, or in the highest court of highest eminence without making much money;
any State or Territory of the United State, and who
2. a relation as officer of the court to the
can show by satisfactory certificates that they have
administration of justice involving thorough
practiced before July 4, 1946 and that they have
sincerity, integrity and reliability;
never been suspended of disbarred, may in the
discretion of the Court, be admitted without 3. a relation to client in the highest degree
examination. fiduciary; and
(2) Profession, Not Business 4. a relation to colleagues at the bar characterized
by candor, fairness, and unwillingness to resort to
Nature Of Legal Profession. – The legal
current business methods of advertising and
profession is a form of public service or public trust
encroachment on their practice, or dealing directly
intimately related to the administration of justice,
with their clients. (Agpalo, 12-14)
in the practice of which pecuniary rewards are
considered as merely incidental. It must signify for
its followers a mental and moral setting apart from
the multitude – it is a priesthood of justice.

The practice of law is a profession and not b. Qualifications

a business as it is an essential part in the
administration of justice, a profession in pursuit of Rule 138, Section 1. Who may practice law. -
which pecuniary reward is considered as merely Any person heretofore duly admitted as a
incidental; it is a pursuit of learned art in the member of the bar, or hereafter admitted as such
interest of public service. (2009Pineda, 42) in accordance with the provisions of this rule, and
who is in good and regular standing, is entitled to
Legal profession is a profession and not practice law.
trade, and that the basic ideal of the profession is
to render public service and secure justice for Rule 138 Sec. 2. Requirements for all
those who seek its aid. It is not a business, using applicants for admission to the bar. - Every
bargain counter methods to reap large profits for applicant for admission as a member of the bar
those who conduct it. From the professional must be a citizen of the Philippines, at least
standpoint, it is expressive of three ideals – twenty-one years of age, of good moral character,
organization, learning and public service. The and a resident of the Philippines; and must
gaining of the livelihood is not a professional but a produce before the Supreme Court satisfactory
secondary consideration. The professional spirit – evidence of good moral character, and that no
the spirit of public service – constantly curbs the charges against him, involving moral turpitude,
urge of that instinct. (Agpalo,12) have been filed or are pending in any court in the
Philippines.
“The profession is a branch of the
administration of justice and not a mere money- Any person who has been duly licensed as a
making trade” Canon 12 member of the bar in accordance with the

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statutory requirements and who is in good and f. posses the required educational qualification
regular standing is entitled to practice law.
g. pass the bar examinations (Agpalo, 53)
Two basic requirements that must be complied
with: Rule 138, Sec. 3. Requirements for lawyers
who are citizens of the United States of America. -
1. Firstly, he must have been admitted to the bar- Citizens of the United States of America who,
this requirement involves various phases consisting before July 4, 1946, were duly licensed members
of: of the Philippine Bar, in active practice in the
courts of the Philippines and in good and regular
a. furnishing satisfactory proof of educational, standing as such may, upon satisfactory proof of
moral and other qualifications; those facts before the Supreme Court, be allowed
to continue such practice after taking the
b. passing the bar examinations;
following oath of office.
c. taking the lawyer’s oath before the Supreme
Rule 138, Sec. 4. Requirements for applicants
Court; and
from other jurisdictions. - Applicants for
d. signing the roll of attorneys and receiving admission who, being Filipino citizens, are
from the clerk of court of the Supreme Court enrolled attorneys in good standing in the
a certificate of the license to practice. Supreme Court of the United States or in any
circuit court of appeals or district court therein, or
2. Secondly, after his admission to the bar, a lawyer in the highest court of any State or Territory of
must remain in good and regular standing, which is the United States, and who can show by
continuing requirement for the practice of law. satisfactory certificates that they have practiced
This means that: at least five years in any of said courts, that such
practice began before July 4, 1946, and that they
a. he must remain a member of the Integrated have never been suspended or disbarred, may, in
Bar of the Philippines; the discretion of the Court, be admitted without
examination.
b. regularly pay all IBP membership dues and
other lawful assessments as well as the Q: Are persons who pass the Shari’a Bar members
annual privilege tax; of the Philippine Bar?
c. faithfully observe the rules and ethics for the A: No. Persons who pass the Shari’a Bar are not
legal profession; and full-fledged members of the Philippine Bar, hence
may only practice before the Shari’a courts. They
d. be continually subject to judicial disciplinary
are also not entitled to use the title “attorney” as
control.
such is reserved to those who, having obtained the
To enumerate, every applicant for admission to the necessary degree in the study of law and
practice of law must be: successfully taken the Bar Examinations, have been
admitted to the Integrated Bar of the Philippines
a. a citizen of the Philippines and remain members thereof in good standing.

b. a resident thereof

c. at least 21 twenty-one years of age c. Appearance of Non-Lawyers

d. a person of good moral character (1) Law Student Practice

e. show that no charges against him involving Rule 138-A, SECTION 1. Conditions for
moral turpitude, are filed or ending in court Student Practice. - A law student who has
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successfully completed 3rd year of the regular Non-Lawyers Who Are Authorized To Appear In
four-year prescribed law curriculum and is Court. –
enrolled in a recognized law school's clinical legal
education program approved by the Supreme General Rule: A party litigant needs the
Court, may appear without compensation in any assistance of counsel in all proceedings,
civil, criminal or administrative case before any administrative, civil or criminal.
trial court, tribunal, board or officer, to represent
The general rule is that only those who are
indigent clients accepted by the legal clinic of the
licensed to practice law can appear and handle
law school.
cases in court. There are however exceptions to
SEC. 2. Appearance. - The appearance of wit:
the law student authorized by this rule, shall be
1. In cases before the Municipal Trial Courts, a
under the direct supervision and control of a
party may conduct his own case or litigation in
member of the Integrated Bar of the Philippines
person, with the aid of an agent or friend
duly accredited by the law school. Any and all
appointed by him for that purpose.
pleadings, motions, briefs, memoranda or other
papers to be filed, must be signed by the The attorney-client privilege does not
supervising attorney for and in behalf of the legal extend to such agent or friend because not
clinic. being an attorney his appearance in courts is in
the character of an agent.
(2) Non-Lawyers in Courts
But the agent or friend not hold himself
Rule 138, Sec. 34. By whom litigation
out as habitually engaged in the occupation of
conducted. - In the court of a justice of the peace
appearing for or defending party litigants since
a party may conduct his litigation in person, with
that calling constitutes practice of law reserved
the aid of an agent or friend appointed by him for
for members of the bar. (Agpalo, 41-43)
that purpose, or with the aid of an attorney. In
any other court, a party may conduct his litigation 2. Before any other court, a party may conduct his
personally or by aid of an attorney, and his litigation personally. But, if he gets someone to
appearance must be either personal or by a duly aid him, that someone must be an authorized
authorized member of the bar. member of the bar. (2009Pineda, 29)
“In propia persona” is appearance in court by a The rule, however, is different if the law
non-lawyer for himself without the assistance of a student appears before an inferior court,
member of the Bar. This is sometimes referred to where the issues and procedure are relatively
as “pro se” practice. While pro se practice is simple. In inferior courts, a law student may
allowed, it is not advisable to do so. Court appear in his personal capacity without the
proceedings are full of technical pitfalls that may supervision of a lawyer. Thus, a law student
entrap a person unschooled in substantive and may appear before an inferior court as an
procedural law. agent of friend of a party without the
supervision of a member of the bar.’
The rule that appearance by counsel is not
(2009Pineda, 30)
obligatory applies only in civil and administrative
cases. The rule does not apply in criminal cases 3. Regional Trial Court and Appellate Court – A
involving grave and less grave offenses, where an party may either conduct his litigation
accused must be represented by counsel de parte personally or by attorney unless the party is a
or counsel de officio and in which his right is not juridical person in which case it may appear
waivable. only by attorney.

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4. In a criminal case before a municipal trial court (a) they represent themselves, or
in a locality where a duly licensed member of
the Bar is not available, the judge may appoint (b) they represent their organization or
a non-lawyer who is a resident in the province, members thereof with written
of good repute for probity and ability to aid the authorization of latter, or
accused in his defense. If there are available
(c) they are duly accredited members of any
members of the bar, the judge cannot appoint
legal aid office duly recognized by the
a non-lawyer as defense counsel for the
Department of Justice, or the Integrated
accused.
Bar of the Philippines in cases referred to
5. A senior law student who is enrolled in a by the latter. (2009Pineda, 32)
recognized law school’s clinical education
2. Under the Cadastral Act, a non-lawyer can
program approved by the Supreme Court may
represent a claimant before the Cadastral Court
appear before any court without
compensation, to represent indigent clients 3. Any person appointed to appear for the
accepted by the Legal Clinic of the law school. Government of the Philippines in accordance with
The student shall be under the direct law.
supervision and control of an IBP member duly
accredited by the law school. 4. A non-lawyer may represent a party before
the Department of Agrarian Reform Adjudication
6. A layman is permitted by the Supreme Court to Board.
appear for another only in the municipal or
metropolitan trail court. (4) Proceedings Where Lawyers Prohibited
from Appearing
The Supreme Court, in the exercise of its
judicial power, can validly authorize a layman 1. Barangay Conciliation Proceedings
to represent a litigant in court.
LGC, SEC. 415. Appearance of Parties in
Three limitations should be observed in order Person. - In all katarungang pambarangay
that the appearance of a layman on behalf of proceedings, the parties must appear in person
another as authorized by law may be reconciled without the assistance of counsel or
with the rule that the admission to practice is a representative, except for minors and
judicial function and that the practice of law is a incompetents who may be assisted by their next-
lawful activity for members of the bar only: of-kin who are not lawyers.

1. Firstly, a layman should confine his work to non-

adversary contentions.
d. Sanctions for Practice or Appearance
2. Secondly, the services hould not be habitually Without Authority
rendered, habitually being one of the characteristic
of the practice of law. (1) Lawyers Without Authority

3. Finally, a layman should not charge or collect Sec. 35. Certain attorneys not to practice. - No
attorney’s fees. (Agpalo, 44) judge or other official or employee of the superior
courts or of the Office of the Solicitor General,
(3) Non-Lawyers in Administrative shall engage in private practice as a member of
Tribunals the bar or give professional advice to clients.

1. Under the Labor Code, non-lawyers may Judiciary Under RA 910, Sec. 1, as amended, a
appear before the National Labor Relations retired justice or judge receiving a pension from
Commission or any Labor Arbiter, if: the government, cannot act as counsel in any civil
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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

case in which the Government, or any of its agency, or instrumentality of the government is the
subdivision or agencies in the adverse party or in adverse party;
criminal case wherein an officer or employee of
the Government is accused of an offense in b. appear as counsel in any criminal case wherein
relation to his office. an officer or employee of the national or local
government is accused of an offense committed in
Any other person, including a disbarred relation to his office;
attorney until his re-admission or a suspended
lawyer during his suspension, is prohibited from c. collect any fee for their appearance in
engaging the practice of law; and nay such person administrative proceedings involving the local
who practices law or who assumes to be an government unit of which he is an official; and
attorney is liable for contempt of court, punishable
d. use property and personnel of the Government
by fine or imprisonment or both in the discretion of
except when the Sanggunian member concerned is
the court.(Agpalo,51)
defending the interest of the government.
No senator or member of the House of
(2) Persons Not Lawyers
Representatives may personally appear as counsel
before any courts of justice or before the Electoral Liability for Unauthorized Practice
Tribunals, or quasi-judicial and other
administration bodies xxx (Art. VI, Sec. 14, 1987 The unauthorized practice of law by
Constitution). assuming to be an attorney and acting as such
without authority constitutes indirect contempt
A lawyer-member of the legislature is only which is punishable by fine or imprisonment or
prohibited from appearing as counsel before any both. (2009Pineda, 32)
court of justice, electoral tribunals or quasi-judicial
and administrative bodies. The word “appearance” If the unauthorized practice on the part of a
includes not only arguing a case before any such person who assumes to be an attorney causes
body but also filing a pleading in behalf of a client damage to the party, the former may likewise be
as “by simply filing a formal motion, plea or liable estafa. Thus, a person who falsely
answer”. (Ramos vs. Manalac, 89 PHIL. 270) represented himself to be duly license member of
the bar and rendered service in court on behalf of
Neither can he allow his name to appear in a litigant for a fee defrauded that litigants and is
such pleading by itself or as part of firm name guilty of estafa even if he were successful in
under the signature of another qualified lawyer managing the litigation.
because the signature of an agent amounts to
signing of a non-qualified senator or congressman, The legal remedies to suppress the
the office of an attorney being originally an agency, unauthorized practice of law include petitions for
and because he will, by such act, be appearing in injunction, declaratory relief, contempt of court,
court or quasi-judicial or administrative body in petition for disqualification, and complaints for
violation of the constitutional restriction. “He disbarment or administrative compliant against the
cannot do indirectly what the Constitution erring lawyer or government official. A criminal
prohibits directly.” (In re: David 93 PHIL. 461) compliant for estafa may also be filed against a
person who falsely represented to be an attorney
Under the Local Government Code (R.A. to the damage of a party.(Agpalo, 51- 52)
7180, Sec. 90), 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 unit,
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e. Public Officials And Practice of Law Rule 138, Sec. 33. Standing in court of persons
authorized to appear for Government. - Any
PUBLIC OFFICIALS WHO CANNOT PRACTICE official or other person appointed or designated
LAW IN THE PHILIPPINES in accordance with law to appear for the
Government of the Philippines shall have all the
The following public officials are prohibited to
rights of a duly authorized member of the bar to
engage in the private practice of law:
appear in any case in which said government has
1. Judges and other officials or employees of an interest direct or indirect.
the superior court;

2. Officials and employees of the Office of the

g. Lawyer’s Oath
Solicitor General;
Administration of oath
3. Government prosecutors;
An applicant who has passed the required
4. President, Vice President, Members of the
bar examination as or who has been otherwise
Cabinet, their deputies and assistants;
found to be entitled to be admitted to the bar shall
5. Members of Constitutional Commission; take and subscribed the oath of office as a lawyer.
The oath is a prerequisite to the admission to
6. Members of the Judicial Bar Council; practice law and may only be taken before the
Supreme Court by a person authorized by the high
7. Ombudsman and his deputies; tribunal to engage in the practice of law.
8. All governors, city and municipal mayors; Attorney’s Oath which every lawyer in this
country has to take before he is allowed to practice
9. Those who by special law are prohibited
law. The full text reads –
from engaging in the practice of their legal
profession. (2009Pineda, 33-34) “I, ___________________of ______(place
of birth)___________do solemnly swear that I will
(1) Prohibition or Disqualification of Former
maintain allegiance to the Republic of the
Government Attorneys
Philippines; I will support its Constitution and obey
Restrictions Against Government Lawyers Who the laws as well as the legal orders of the duly
Left The Service. – A government lawyer may leave constituted authorities therein; I will do no
the government service in various ways: falsehood nor consent to the doing of any in court;
retirement, resignation, expiration of the term of I will not wittingly nor willingly promote or sue any
office, dismissal or abandonment. Whichever way groundless, false or unlawful suit, or give aid nor
he leaves the service, he is prohibited by the Rule consent to the same; I will delay no man for money
from accepting engagement or employment in or malice, and will conduct myself as a lawyer
connection with any matter in which he had according to the best of my knowledge and
intervened while in said service. Thus, a discretion, with all good fidelity as well to the court
Congressman lawyer who authored a bill creating as to my clients; and I impose upon myself this
an Office which became a law, cannot accept a voluntary obligation without any mental
position of employment in that Office. reservation or purpose of evasion. So help me
(2009Pineda, 109-110) God.”

The Lawyer’s Oath, to which all lawyers

have subscribe in solemn agreement to dedicate
f. Lawyers Authorized to Represent the themselves to the pursuit of justice, is not a mere
Government ceremony or formality for practicing law to be

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forgotten afterwards, nor is it mere words, drift entrusted the administration of law and the
and hollow, but a sacred trust that lawyers must dispensing of justice.
uphold and keep inviolable at all times.
(2009Pineda, 44) (1) Respect for Law and Legal Processes

The court may deny the applicant’s CANON 1 - A LAWYER SHALL UPHOLD THE
petition to take the lawyer’s oath for grave CONSTITUTION, OBEY THE LAWS OF THE LAND
misconduct, such as calling himself “attorney” and AND PROMOTE RESPECT FOR LAW OF AND LEGAL
appearing as counsel for clients in courts even PROCESSES.
before being admitted to the bar. The court may
Lawyers must not only uphold and obey
also defer the applicant’s taking the oath if there is
the Constitution and the laws but also Legal orders
a pending complaint against him, which, if found to
or processes of courts.
be true, will disqualify him from becoming a
lawyer, or if has been involved in a fraternity Rule 1.01 - A lawyer shall not engage in
hazing which caused the death of a neophyte. unlawful, dishonest, immoral or deceitful
conduct.
The applicant swears to maintain
allegiance to the Republic of the Philippines, The lawyer’s duty to obey the laws and
support its Constitution and obey the laws as well promote respect for law and legal processes,
as the legal orders of the duly constituted negatively put, demands that he shall not engage
authorities therein; to do no falsehood nor to in unlawful, dishonest, immoral or deceitful
consent to the doing of any in court; not to conduct. An unlawful conduct is an act or omission
wittingly or willingly promote or sue any which is against the law. A dishonest act is an act of
groundless, false or unlawful suit not to give nor to lying or cheating. An immoral or deceitful conduct
consent to the same; to delay no man for money or is one that involves moral turpitude.(Agpalo,70)
malice and to conduct himself as a lawyer
according to the best of his knowledge and The nature of the office of an attorney at
discretion, with all good fidelity as well as to the law requires that she shall be a person of good
courts as to his clients; and to impose upon himself moral character. This qualification is not only a
that voluntary obligation without any mental condition precedent to an admission to the
reservation or purpose of evasion. practice of law; its continued possession is also
essential for remaining in the practice of law.
The significance of the oath is that it not (People vs. Tuanda, Adm. Case No. 3360 (Jan. 30,
only impresses upon the attorney his 1990)
responsibilities but it also stamps him as an officer
of the court with rights, powers and duties as Rule 138, Section 27, ROC. The commission
important as those of the judge themselves. The of unlawful acts, specially crimes involving moral
oath of a lawyer is a condensed code of legal turpitude, acts of dishonesty in violation of the
ethics. It is a source of his obligations and its attorney’s oath, grossly immoral conduct and
violations is a ground for his suspension, deceit are grounds for suspension or disbarment of
disbarment or other disciplinary action.(Agpalo,64- lawyers.
65)
Morality as understood in law:
2. Duties and Responsibilities of a Lawyer
This is a human standard based on the
a. Society natural moral law which is embodied in man’s
conscience and which guides him to do good and
For a lawyer is the servant of the laws and avoid evil.
belongs to a profession to which society has

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Moral turpitude: everything which is done To stir up litigation is a crime known as

contrary to justice, honesty, modesty or good maintenance at common law. Among the
morals. unprofessional acts which come within the
prohibition:
Examples of Crimes involving moral
turpitude: 1. estafa 2. bribery 3. murder 4. (a) volunteering advice to bring lawsuit, except in
seduction 5. abduction 6. smuggling 7. falsification rare cases where ties of blood, relationship or
of public document trust make it his duty to do so;

Immoral conduct has been defined as “that (b) hunting up defects in titles;
conduct which is willful, flagrant or shameless and
which shows a moral indifference to the opinion of (c) employing agents or runners for like purposes;
the good and respectable members of the
(d) paying reward, to those who bring or influence
community (Arciga v. Maniwang, 106 SCRA 591).
the brining of such cases to his office;
What constitutes grossly immoral
(e) remunerating policemen, court or prison
conduct/act? – one that is so corrupt and false as
officials, or others who may succeed, under the
to constitute a criminal act so unprincipled or
guise of giving disinterested friendly advice to
disgraceful as to be reprehensible to a high degree.
seek professional services
(Figueroa v. Barranca, 275 SCRA 445, July 31, 1997)
(f) searching for unknown heirs and soliciting their
Rule 1.02 - A lawyer shall not counsel or abet
employment of him;
activities aimed at defiance of the law or at
lessening confidence in the legal system. (g) initiating a meeting of the members of club and
inducing them to organize and contest
He must not subvert the law by counseling
legislation under his guidance;
or assisting in activities which are in defiance of the
law. He should not promote an organization known (h) purchasing notes to collect them by litigation at
to be violating the law nor assist it in a scheme a profit;
which he knows is dishonest. Nor should he allow
his services to be engaged by an organization (i) furnishing credit reports in expectation of
whose member are violating the law, to defend possible employment; and
them when they get caught.(Agpalo,69)
(j) agreeing with a purchases of future interests to
He should not promote an organization invest therein in consideration of his
known to be violating the law nor assist it in a services.(Agpalo,72)
scheme which he knows is dishonest. He should
not allow his services to be engaged by an Rule 1.04 - A lawyer shall encourage his clients
organization whose members are violating the law, to avoid, end or settle a controversy if it will
to defend them when they get caught. admit of a fair settlement.

He is prohibited from counseling or The useful function of a lawyer is not only

abetting activities aimed at defiance of the law or to conduct litigation but to avoid it where possible,
at lessening confidence in the legal by advising settlements or withholding suit.
system.(Agpalo,71) (Agpalo,73)

Rule 1.03 - A lawyer shall not, for any corrupt (2) Efficient and Convenient Legal Services
motive or interest, encourage any suit or
CANON 2 - A LAWYER SHALL MAKE HIS LEGAL
proceeding or delay any man's cause.
SERVICES AVAILABLE IN AN EFFICIENT AND
CONVENIENT MANNER COMPATIBLE WITH THE

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INDEPENDENCE, INTEGRITY AND EFFECTIVENESS Rule 2.04 - A lawyer shall not charge rates lower
OF THE PROFESSION. than those customarily prescribed unless the
circumstances so warrant.
This canon requires that legal services
should not only be efficient but should also be
made available and accessible to those who need
them in a manner compatible with the ethics of the (3) True, Honest Fair, Dignified and
profession. And a lawyer who is qualified to Objective Information on Legal Services
provide efficient legal services should make
CANON 3 - A LAWYER IN MAKING KNOWN HIS
available such services to those who are in need
LEGAL SERVICES SHALL USE ONLY TRUE, HONEST,
thereof.
FAIR, DIGNIFIED AND OBJECTIVE INFORMATION
The necessity of representation by counsel OR STATEMENT OF FACTS.
and the right to counsel in all judicial proceedings
A Lawyer May Make Known His Legal
and, at times, in administrative proceedings have
Services. – It is not unethical for a lawyer to make
given rise to the correlative duty on the part of the
known his legal services. However, he must do so
legal profession, namely, to make legal services
only by using true, honest, fair, dignified and
available in an efficient and convenient manner to
objective information or statement of facts. He
those who need such services.(Agpalo,74)
must not resort to false and misleading
Attitude In Practice, Efficiency. – Whenever information. And even if the information is true,
a lawyer decides to handle a case or to extend his the manner of making it known must not be
legal services for a fee or even for free, he must undignified and demeaning to the legal profession.
see to it that he must do so with efficiency and (2009Pineda, 85)
convenience with the end in view of maintaining
the independence, integrity and effectiveness of
the legal profession at all times. (2009Pineda, 75) Rule 3.01 - A lawyer shall not use or permit the
use of any false, fraudulent, misleading,
Rule 2.01 - A lawyer shall not reject, except for
deceptive, undignified, self-laudatory or unfair
valid reasons, the cause of the defenseless or the
statement or claim regarding his qualifications or
oppressed.
legal services.
The rule stems from one of the obligations
Rule 3.02 - In the choice of a firm name, no
incident to the status and privileges of a lawyer,
false, misleading or assumed name shall be used.
which is to represent the poor and the oppressed
The continued use of the name of a deceased
in the prosecution of their claims or the defense of
partner is permissible provided that the firm
their rights.(Agpalo,75)
indicates in all its communications that said
Rule 2.02 - In such cases, even if the lawyer partner is deceased.
does not accept a case, he shall not refuse to
Rule 3.03 - Where a partner accepts public
render legal advice to the person concerned if
office, he shall withdrawal from the firm and his
only to the extent necessary to safeguard the
name shall be dropped from the firm name unless
latter's rights.
the law allows him to practice law currently.
Rule 2.03 - A lawyer shall not do or permit to be
Rule 3.04 - A lawyer shall not pay or give
done any act designed primarily to solicit legal
anything of value to representatives of the mass
business.
media in anticipation of, or in return for, publicity
to attract legal business.

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(4) Participation in the Improvement and 1. First, he owes it to himself to continue

Reforms in Legal System improving his knowledge of the law;

CANON 4 - A LAWYER SHALL PARTICIPATE IN THE 2. Second, he owes it to his profession to take
DEVELOPMENT OF THE LEGAL SYSTEM BY an active interest in the maintenance of
INITIATING OR SUPPORTING EFFORTS IN LAW high standards of legal obligation; and
REFORM AND IN THE IMPROVEMENT OF THE
ADMINISTRATION OF JUSTICE. 3. Third, he owes it to the lay public to make
the law a part of its social consciousness.
Improvement Of The Legal System. – It is every
lawyer’s duty to improve the legal system in the Continuing legal education is required of
country. Through collective efforts, lawyers can members of the IBP to ensure that throughout
contribute to the enhancement of the system by their career, they keep abreast with law and
presenting position papers or resolutions for the jurisprudence, maintain the ethics of the
introduction of pertinent bills in Congress; profession and enhance the standards of the
petitions with the Supreme Court for the practice of law. Members of the IBP shall complete
amendment of the Rules of Court or introduction every three (3) years at least thirty-six (36) hours of
of New Rules; petitions with the IBP and other continuing legal education activities, with
forums which have any relevant influence to the appropriate penalties for failure to do so, in
system. Lawyer’s associations may devise and accordance with the Rules on Mandatory
maintain programs of continuing legal education Continuing Legal Education.(Agpalo,77-78)
throughout the country; create law centers and
Lawyers Must Update Themselves With The Law
law libraries for legal research. (2009Pineda, 93)
and Must Participate In The Dissemination Thereof
-Lawyers must keep themselves abreast of legal
developments. To do this, the lawyer must walk
(5) Participation in Legal Education Program with dynamic movements of the law and
jurisprudence. He must acquaint himself at least
CANON 5 - A LAWYER SHALL KEEP ABREAST OF with the newly promulgated laws, the recent
LEGAL DEVELOPMENTS, PARTICIPATE IN decisions of the Supreme Court and of the
CONTINUING LEGAL EDUCATION PROGRAMS, significant decisions of the Court of Appeals. There
SUPPORT EFFORTS TO ACHIEVE HIGH STANDARDS are other executive orders, administrative
IN LAW SCHOOLS AS WELL AS IN THE PRACTICAL circulars, regulations and other rules promulgated
TRAINING OF LAW STUDENTS AND ASSIST IN by other competent authorities engaged in the
DISSEMINATING THE LAW AND JURISPRUDENCE. administration of justice. The lawyer’s life is one of
continuous and laborious study, otherwise, his skill
A lawyer must broaden out and continue
and knowledge of the law and related disciplines
to grow in knowledge and competence in order to
will lag behind and become obscure due to
be able to make the law socially responsive.
obsoleteness. (2009Pineda, 95)
It is the bounden duty of counsel in the
Lawyers Must Take Active Part, And Not
active practice to keep abreast of decisions of the
Just Be Passive Onlookers Or Listeners In The
Supreme Court and changes in the law. For service
Pursuit For Continuing Legal Education Programs. –
in the judiciary and being in the active practice of
Lawyers must support and encourage efforts for
law require continuous study and research on the
the achievement of high standards in law schools,
law from beginning to end.
in the practical training of law students such as
After admission to practice, a lawyer incurs those involved in the clinical education program of
a three-fold obligation: law schools approved by the Supreme Court

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Mandatory Continuing Legal Education. – 1. Freedom of association. – “To compel a

To keep the lawyers, specially practicing lawyers, lawyer to be a member of an integrated bar is not
abreast with the law and jurisprudence, continuing violative of his constitutional freedom to
legal education should be made mandatory by the associate,”
Supreme Court. (2009Pineda, 97-98)
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
b. The Legal Profession passed the bar examinations.(Agpalo, 122)
(1) Integrated Bar of the Philippines Bar integration does not compel the lawyer
to associate with anyone. He is free to attend or
Integration of the bar
not attend the meetings of his integrated bar
The integration of the Philippine Bar means chapter or vote or refuse to vote in its elections as
the official unification of the entire lawyer he chooses. The compulsion to which he is
population. This requires membership and financial subjected is the payment of annual dues.
support of every attorney as condition sine qua
Assuming that bar integration does compel
non to the practice of law and the retention of his
a lawyer to be a member of the Integrated Bar,
name in the Roll of Attorneys of the Supreme
such compulsion is justified as n exercise of the
Court.
police power of the State.
Bar integration signifies the setting up by
2. Regulatory fee. – “For the Court to
government authority of a national organization of
prescribe dues to be paid by the members does not
the legal profession based on the recognition of
mean that the Court levies a tax.”
the lawyer as an officer of the court. Designed to
improve the position of the bar as an A membership fee in the Integrated Bar is
instrumentality of justice and the rule of law, an exaction for regulation, while the purpose of a
integration fosters, cohesion among lawyers and tax is revenue. If the Court has inherent power to
ensures, through their own organized action and regulate the bar, it follows that as an incident to
participation, the promotion of the objectives of regulation, it may impose a membership fee for
the legal profession pursuant to the principle of that purpose.(Agpalo, 123)
maximum bar autonomy with minimum
supervision and regulation by the Supreme 3. Freedom of speech, - “A lawyer is free, as
Court.(Agpalo, 121) he has always been, to voice his views on any
subject in any manner he wishes, even though such
Power to Integrate the Bar views be opposed to positions taken by the unified
bar.”
The Constitution vests upon the Supreme
Court the power to integrate the Philippine Bar. For the Integrated Bar to use a member’s
Such power is an inherent part of the Court’s dues to promote measures to which said member
constitutional authority over the bar. On January is opposed, would not nullify or adversely affect his
16, 1973, the Supreme Court ordained the freedom of speech.
integration of the Philippine bar, which is officially
known as The Integrated Bar of the Philippines. 4. Fair to all lawyers. – “Bar integration is not
unfair to lawyers already practicing because
Constitutionality of Integration although the requirement to pay annual dues is a
new regulation, it will give the member of the bar a
Q: Is the integration of the bar constitutional?
new system which they hitherto have not had and
A: Yes. It is constitutional for the following reasons: through which, by proper work, they will receive

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benefits they have not hereto enjoyed, and Every member of the Integrated Bar shall
discharge their public responsibilities in a more pay annual dues in such amount as fixed by the
effective manner than they have been able to do in Board of Governors and approved by the Supreme
the past.(Agpalo, 124) Court, on or before the last day (June 30) of the
immediately preceding fiscal year. A member who
Purposes and Objectives of the Integrated Bar fails to pay his dues on or before that date shall be
considered dues-delinquent and if the delinquency
Generally the objectives of the Integrated
continues until the following December 31, the
Bar are to elevate the standards of the legal
Board of Governors shall by resolution forthwith
profession, improve the administration of justice
suspend all his membership privileges other than
and enable the bar to discharge its public
the practice of law.
responsibility more effectively. Specifically, it seeks
to assist in the administration of justice; foster and It may recommend to the Supreme Court
maintain on the part of its members high ideals of the suspension of the delinquent member from the
integrity, learning, professional competence, public practice of law if the delinquency continues until
service and conduct; safeguard the professional December 31 or his removal from the Roll of
interests of its members; cultivate among its Attorneys if the delinquency continues further until
members a spirit of cordiality and brotherhood; the following June 29.
encourage and foster legal education; and promote
a continuing program of legal research in Q: May a member of the IBP voluntarily terminate
substantive and adjective law, and make reports his membership therein?
and recommendations thereon. (Agpalo,125)
A: YES, by filing a verified notice to that effect with
In In re: Edillon, 84 SCRA 554 (1978), the SC the Secretary of IBP who shall immediately bring
held that the Integration of the Philippine Bar the matter to the attention of the SC. Forthwith, he
means the unification of the entire lawyer shall cease to be a member and his name shall be
population. This requires (1) membership and (2) stricken from the Roll of Attorneys.
financial support of every attorney as condition
sine qua non to the practice of law and the Q: What is the effect of failure to pay annual
retention of his name in the Roll of Attorneys of membership to the IBP?
the Supreme Court.
A: The failure of any attorney to pay his annual
In In re: Integration of the Philippines, 49 membership dues for six months shall warrant
SCRA 22 (1973), SC ruled that while Republic Act suspension of his membership in the IBP and
No. 6397 provides that the “Supreme Court” may default of such payment for one year shall be
adopt rules of courts to effect the integration of ground for the removal of his name from the Roll
the Philippine bar, said law neither confers a new of Attorneys.
power nor restricts the Court’s inherent power but
Q: May a lawyer be disciplined either by the IBP or
is mere legislative declaration of the integration of
the Court for failing to pay her obligation to
the bar will promote public interest or will “raise
complainant?
the standard of the legal profession, improve the
administration of justice and enable the bar to A: NO. A lawyer may not be disciplined either by
discharge its public responsibility more effectively. the IBP or the Court for failing to pay her
obligation, a matter in her professional or private
(a) Membership and Dues
capacity. (Toledo vs. Abalos)
Membership dues and effect of nonpayment
Q: Is wanton disregard of the lawful orders of the
thereof.
IBP Commission on Bar Discipline a ground for
suspension of a lawyer from the practice of law?

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A: YES. A lawyer was suspended from the practice incumbent judges, prosecutors or legal
of law for one month due to her wanton disregard practitioners. They belong to the legal profession –
of the lawful orders of the IBP Commission on Bar a profession exclusive to those privileged to
Discipline. (Toledo vs. Abalos) practice law. To maintain the dignity of the legal
profession, lawyers must conduct themselves
honorably, fairly and candidly toward each other.
Respect generates respect.(2009Pineda,125)
(2) Upholding the Dignity and Integrity of
the Profession Rule 7.01 - A lawyer shall be answerable for
knowingly making a false statement or
CANON 7 - A LAWYER SHALL AT ALL TIMES
suppressing a material fact in connection with his
UPHOLD THE INTEGRITY AND DIGNITY OF THE
application for admission to the bar.
LEGAL PROFESSION AND SUPPORT THE ACTIVITIES
OF THE INTEGRATED BAR. Rule 7.02 - A lawyer shall not support the
application for admission to the bar of any person
The maintenance by the bar of a high
known by him to be unqualified in respect to
standard of legal proficiency as well as honesty and
character, education, or other relevant attribute.
fair dealing is a prerequisite to making the bar an
effective instrument in the proper administration Rule 7.03 - A lawyer shall not engage in conduct
of justice. To enable bar to be an effective that adversely reflects on his fitness to practice
instrument in the proper administration of justice law, nor shall he whether in public or private life,
it is necessary that every lawyer should strive at all behave in a scandalous manner to the discredit of
times to uphold the honor and maintain the dignity the legal profession.
of the legal profession and to improve not only the
law but the administration of justice as well. The best way a lawyer can uphold the
(Agpalo,90) integrity and dignity of the legal profession is not
to engage in any conduct or do any act that
The Integrated Bar seeks: adversely reflects on his fitness to practice law, nor
to behave, in his public or private life, in a
1. to assist in the administration of justice;
scandalous manner to the discredit of the legal
2. foster and maintain on the part of its members profession.
high ideals of integrity, learning, professional
Among those acts which adversely reflect
competence, public service and conduct;
on the lawyer’s fitness to practice law which justify
3. safeguard the professional interests of its suspension from practice or disbarment include:
members; cultivate among its members a spirit
1. gross immorality;
of cordiality and brotherhood;
A grossly immoral act is one that is so
4. provide a forum for the discussion of law,
corrupt and false as to constitute a criminal act or
jurisprudence, law reform, pleading, practice
so unprincipled or disgraceful as to be
and procedure and the relations of the bar
reprehensible to a high degree. (Agpalo, 93)
thereto; encourage and foster legal education;
and The question as to whether an act is so
unprincipled or so disgraceful as to be
5. promote a continuing program of legal
reprehensible to a high degree presents a more
research in substantive and adjective law, and
difficult problem for the answer may, to some
make reports and recommendations thereon.
extent, depend upon the prejudice, caprice and
Courtesy To Fellow Lawyers, Necessary. – bias of the court and the general concept of
Lawyers are officers of the court whether they are morality prevailing at the time.

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2. conviction of a crime involving moral turpitude; disparage another, make comparisons or publicize
and his talent as a means to feather his law practice.

“Moral turpitude” means anything which is He may properly accept employment to

done contrary to justice, honesty, modesty or good handle a matter which has been previously
morals, or to any act of vileness, baseness or handled by another lawyer, provided that the
depravity in the private and social duties that a other lawyer has been given notice by the client
man owes his fellowmen or to society, contrary to that his services have been terminated. His entry of
the accepted rule of right and duty between man appearance in the case without notice to the first
and man. All crimes of which fraud or deceit is an lawyer amounts to an improper encroachment
element or those which are inherently contrary to upon the professional employment of the original
rules of right conduct, honesty or morality in a counsel.(Agpalo, 101)
civilized community, involve moral turpitude.

3. fraudulent transactions.
(4) No Assistance in Unauthorized Practice
The following acts of misconduct: falsely of Law
stating in a deed of sale that the property is free
from liens or encumbrances; knowingly taking part CANON 9 - A LAWYER SHALL NOT, DIRECTLY OR
in a false and simulated transaction. INDIRECTLY, ASSIST IN THE UNAUTHORIZED
PRACTICE OF LAW.

Public policy requires that the practice of

(3) Courtesy, Fairness and Candor Towards law be limited to those individuals found duly
Professional Colleagues qualified in education and character. The purpose
is to protect the public, the court, the client and
CANON 8 - A LAWYER SHALL CONDUCT HIMSELF the bar from the incompetence or dishonesty of
WITH COURTESY, FAIRNESS AND CANDOR those unlicensed to practice law and not subject to
TOWARDS HIS PROFESSIONAL COLLEAGUES, AND the disciplinary control of the court. And the law
SHALL AVOID HARASSING TACTICS AGAINST makes it misbehavior on his part, subject to
OPPOSING COUNSEL. disciplinary action, to aid a layman in the
unauthorized practice of law.
A great part of man’s comfort, as well as of
his success at the bar, depends upon his relations A lawyer may not establish a law office
with his professional brethren. with one who has not been licensed to practice law
by the Supreme Court. He should not allow his
Rule 8.01 - A lawyer shall not, in his
name to be displayed on the letterheads or
professional dealings, use language which is
advertising materials of a corporation which solicits
abusive, offensive or otherwise improper.
business and advertises that its services include the
Rule 8.02 - A lawyer shall not, directly or preparation, examination and filing of articles of
indirectly, encroach upon the professional incorporation and by-laws and acting on proposals
employment of another lawyer, however, it is the for the issuance of stock in exchange for property
right of any lawyer, without fear or favor, to give or other assets, such services being practice of
proper advice and assistance to those seeking laws.
relief against unfaithful or neglectful counsel.
The lawyer’s duty not to assist, directly or
A lawyer should not steal the other indirectly, in the unauthorized practice of law
lawyer’s client nor induce the latter to retain him prohibits him from allowing an intermediary to
by a promise of better service, good result or intervene in the performance of his professional
reduced fees for his services. Neither should be obligations.(Agpalo, 103-104)

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Assistance To Unauthorized Practice Of money shall be paid over a reasonable period of

Law, Prohibited. A lawyer shall not assist anyone time to his estate or to persons specified in the
who is not a member of the Bar to practice law in agreement;
this country. Thus, he must not take as partner or
associate in his law firm a person who is not a (2) where a lawyer undertakes to complete
lawyer, a lawyer who has been disbarred, a lawyer unfinished legal business of a deceased lawyer; and
who has been suspended from the practice of law,
(3) where a lawyer or law firm includes non-lawyer
or a foreign lawyer although knowledgeable in the
employees in a retirement plan, even if the plan is
law, unless licensed by the Supreme Court. The
based in whole or in part on a profit sharing
lawyer who assists in an unauthorized practice of
arrangement.
law whether directly or indirectly is subject to
disciplinary action. (2009Pineda,134-135) The first two exceptions to the rule, strictly
speaking, represent compensation for legal
Rule 9.01 - A lawyer shall not delegate to any
services rendered by the deceased lawyer during
unqualified person the performance of any task
his lifetime, which is paid to his estate or heirs.
which by law may only be performed by a
member of the bar in good standing. The third exception to the rule does not
involve, strictly speaking, a division of legal fees
He should not delegated to a layman any
with non-lawyer employees. The retirement
work which involves the application of law, such as
benefits in the form of pension represent
the computation and determination of the period
additional deferred wages or compensation for
within which to appeal an adverse judgment, the
past services of the employees.
examination of witnesses or the presentation of
evidence, because these involve the practice of law A lawyer who agrees with a non-lawyer to
which may be undertaken only be a lawyer. divide attorney’s fees paid by clients supplied or
solicited by the non-lawyer is guilty of malpractice,
Rule 9.02 - A lawyer shall not divide or stipulate
the same being a form of solicitation of cases.
to divide a fee for legal services with persons not
(Agpalo, 106-107)
licensed to practice law, except:
c. The Courts
(a) Where there is a pre-existing agreement
with a partner or associate that, upon the latter's A lawyer is, first and foremost, an officer of
death, money shall be paid over a reasonable the court. His duties to the court are more
period of time to his estate or to persons specified significant than those which he owes to his clients.
in the agreement; or His first duty is not to his client but to the
administration of justice; to that end, his client’s
(b) Where a lawyer undertakes to complete
success is wholly subordinate; and his conduct
unfinished legal business of a deceased lawyer; or
ought to and must always be scrupulously
(c) Where a lawyer or law firm includes non- observant of the law and ethics of the profession.
lawyer employees in a retirement plan even if the
Should there be a conflict between his duty
plan is based in whole or in part, on a profit
to his client and that to the court, he should
sharing agreement.
resolve the conflict against the former and in favor
A lawyer shall not divide fees with non-lawyers of the latter, his primary responsibility being to
uphold the cause of justice.(Agpalo, 133)
There are three (3) exceptions to the rule:
(1) Candor, Fairness and Good Faith
(1) where there is a pre-existing agreement with a Towards the Courts
partner or associate that, upon the latter’s death,

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CANON 10 - A LAWYER OWES CANDOR, A lawyer should always bear in mind that
FAIRNESS AND GOOD FAITH TO THE COURT. he is an officer in the temple of justice whose high
vocation is to correctly inform the court upon the
Candidness, especially towards the courts, law and the facts of the case and to aid it in doing
is essential for the expeditious administration of justice and arriving at correct conclusions.(Agpalo,
justice. Candor in all dealings is the very essence of 138)
honorable membership in the legal profession.
Specific Instances of Lack of Candor. – It is
Therefore, candor, especially towards the not candid nor fair for the lawyer to knowingly
courts, is essential for the expeditious misquote the contents of a paper, the testimony of
administration of justice. Courts are entitled to a witness, the language or the argument of
expect only complete candor and honesty from the opposing counsel, or the language of the decision
lawyers appearing and pleading before them. A or a textbook; or with knowledge of its invalidity,
lawyer’s conduct before the court should be to cite as authority a decision that has been
characterized by truthfulness, frankness, candor overruled or a statute that has been repealed, or in
and fairness. It requires that a lawyer act with the argument to assert as a fact that which has not
highest standards of truthfulness, fair play and been proved. (2009Pineda,126)
nobility in the conduct of litigation and in his
relations with his client, the opposing party and his Rule 10.03 - A lawyer shall observe the rules
counsel, and the court before which he pleads his of procedure and shall not misuse them to defeat
client’s cause. For the principles of legal ethics the ends of justice.
demand good faith of the highest order in the
practice of law. (Agpalo, 135) As an officer of the court, a lawyer should
not misuse the rules of procedure to defeat the
Rule 10.01 - A lawyer shall not do any ends of justice or unduly delay or impede the
falsehood, nor consent to the doing of any in execution of final judgment, otherwise he may be
Court; nor shall he mislead, or allow the Court to subjected to disciplinary sanctions.
be misled by any artifice.
A deliberate misreading or
A lawyer should not conceal the truth from misinterpretation of the law by a lawyer also falls
the court, nor mislead the court in any manner, no under the injunction and puts him in public
matter how demanding his duties to his clients distrust.
may be. His duties to his client should yield to his
duty to deal candidly with the court. A lawyer
should neither endeavor by dishonest means to
(2) Respect for Courts and Judicial Officers
mislead the court or the adverse party nor make
false allegations in a pleading.(Agpalo, 137) CANON 11 - A LAWYER SHALL OBSERVE AND
MAINTAIN THE RESPECT DUE TO THE COURTS
Rule 10.02 - A lawyer shall not knowingly
AND TO JUDICIAL OFFICERS AND SHOULD INSIST
misquote or misrepresent the contents of a paper,
ON SIMILAR CONDUCT BY OTHERS.
the language or the argument of opposing
counsel, or the text of a decision or authority, or Second only to the duty of maintaining
knowingly cite as law a provision already allegiance to the Republic of the Philippines and to
rendered inoperative by repeal or amendment, or support the Constitution and obey the laws of the
assert as a fact that which has not been proved. land is the duty of all attorneys to observe and
maintain the respect due to the courts of justice
In citing this Court’s decisions and rulings,
and judicial officers.(Zaldivar vs. Gonzales,
it is the bounden duty of courts, judges and
166SCRA316)
lawyers to reproduce or copy the same word for
word and punctuation mark by punctuation mark.

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A lawyer owes the court the duty to Rule 11.02 - A lawyer shall punctually appear at
observe and maintain a respectful attitude not for court hearings.
the sake of the temporary incumbent of the
judicial office but for the maintenance of its “A lawyer shall appear in court properly
supreme importance. attired”, which should be a Barong Tagalog or a
coat and tie, either of which is the recognized
A lawyer violates Canon 11 when he formal attire in the country. Respect to the court
threatens the judge with the filing of an must begin with the lawyer’s outward physical
administrative charge if his motion is not granted. appearance in court.
A lawyer who openly defied the TRO issued by the
Court is guilty of disrespect to the court. (Villaflor A lawyer should show respect due the
vs. Sarita, 308 SCRA 129) court and judicial officer by appearing during the
trial of a case punctually and in proper attire.
The duty to observe and maintain the
respect due the courts devolves not only upon Rule 11.03 - A lawyer shall abstain from
lawyers but also upon those who will choose to scandalous, offensive or menacing language or
enter the profession. behavior before the Courts.

Lawyers are particularly called upon to His arguments, written or oral, should be
obey court orders and processes. They should gracious to both the court and opposing counsel
stand foremost in complying with the court’s and be of such words as may be properly
directives or instructions. Court orders, however, addressed by one gentleman to another.(Romero
erroneous they may be, must be respected vs. Valle, 147SCRA 197)
especially by lawyers who are themselves officers
In championing the cause of his client, a
of the court.
lawyer should not resort to insulting or disparaging
The reason is that judges who issue the language amounting to disrespect toward the
orders of rulings should not only be respected but court. (Sanggalang vs. IAC, 177SCRA87)
respect and consideration should likewise be
Pleading Containing Derogatory, Offensive
extended to the judicial branch of the government.
Or Malicious Statements Submitted To The Court
Obedience to lawful orders of the court is
Or Judge In Which The Proceedings Are Pending,
underscored by the fact that a willful disregard
Constitutes Direct Contempt.(2009Pineda161)
thereof may subject the lawyer not only to
punishment for contempt but to disciplinary Rule 11.04 - A lawyer shall not attribute to a
sanction as an officer of the court as well. Judge motives not supported by the record or
have no materiality to the case.
A lawyer who gives a clearly unsatisfactory
explanation as to why he failed to comply with a Rule 11.05 - A lawyer shall submit grievances
lawful order or who simply ignores it commits an against a Judge to the proper authorities only.
act within the meaning of the term “willful
disobedience.” (Agpalo, 142-143) A judge should be courteous to lawyer to
merit respect
It is the attorney’s duty as an officer of the
court to defend a judge from unfounded criticism The duty to observe and maintain respect
or groundless personal attack.(People vs. is not a one-way duty from a lawyer to a judge. A
Manangan, 56SCRA817) judge should also be courteous to counsel,
especially those who are young and inexperienced
Rule 11.01 - A lawyer shall appear in court and to all those appearing or concerned in the
properly attired. administration of justice. A lawyer should uphold
the dignity and authority of the court and not
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promote distrust in the administration of justice. Rule 12.01 - A lawyer shall not appear for trial
(Surigao Mineral Reservation Boardvs. Cloribel, unless he has adequately prepared himself on the
31SCRA 1) law and the facts of his case, the evidence he will
adduce and the order of its proferrence. He
The rule does not preclude a lawyer from should also be ready with the original documents
criticizing judicial conduct. The rule allows such for comparison with the copies.
criticism so long as it is supported by the record or
is material to the case. His right to criticizes the Rule 12.01 should be read in relation to
acts of courts and judges in a proper and respectful Rule 18.02, which requires that “A lawyer shall not
way and through legitimate channels is well- handle any legal matter without adequate
recognized. The duty of the bar to support the preparation.” For without adequate preparation,
judge against unjust criticism and clamor does not, the lawyer may not be able to effectively assist the
however, preclude a lawyer from fling court in the speedy and efficient administration of
administrative complaints against erring judges or justice nor can he serve his client with competence
from acting as counsel for clients who have and diligence. The duty of a lawyer to appear on
legitimate grievances against them. Rule 11.05 of the dates of hearing adequately prepared is an
the Code reminds that “A lawyer shall submit obligation which he owes to the court as well as to
grievances against a judge to the proper his client.
authorities only,” which means that they be filed
with the Supreme Court which has administrative Rule 12.02 - A lawyer shall not file multiple
supervision over all courts and the power to actions arising from the same cause.
discipline judges of lower courts.(Agpalo, 149)
A lawyer is prohibited from filing a petition
A lawyer may not file administrative complaint with Court of Appeals or the Regional Trial Court
against a judge, which arises from his judicial acts, where a similar petition has been filed or pending
until the lawyer shall have exhausted judicial with the Supreme Court, and vice versa. By doing
remedies which result in a finding that the judge so, he will make a mockery of the judicial process
has gravely erred. If the lawyer does so without to defeat the ends of justice and open himself to
exhausting such judicial remedies or awaiting the disciplinary action. The restrictions are intended to
result thereof, he may be administrative held to prevent forum shopping.(Millare vs. Montero,
account therefore.(People vs. Carillo, 77Phil.527) 246SCRA1)

The new Rules of Court require that a

certification against forum shopping be made on
(3) Assistance in the Speedy and Efficient initiatory pleading. The rule against forum
Administration of Justice shopping and the requirement that a certification
to that effect be complied with in the filing of
CANON 12 - A LAWYER SHALL EXERT EVERY complaints, petitions, or other initiatory pleadings
EFFORT AND CONSIDER IT HIS DUTY TO ASSIST IN in all courts and agencies applies to quasi-judicial
THE SPEEDY AND EFFICIENT ADMINISTRATION OF bodies, such as the NLRC or Labor Arbiter.(Agpalo,
JUSTICE. 154)
Generally, a lawyer may be able to help the Forum shopping works havoc to the rule
court in the due and orderly administration of on orderly procedure. It obstructs the
justice by doing no act that obstructs, perverts or administration of justice, impedes the speedy and
impedes the administration of justice and by orderly disposition of cases, unduly burdens the
faithfully complying with all his duties to the court courts and embarrasses the adverse party. A
and to his client. (Agpalo, 151) lawyer who resorts to forum shopping puts in
doubt his fitness to practice law and subjects him

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to disciplinary action by the courts.(Ramos vs. the purpose of delay violates his oath and
Petenciano, 74SCRA345) obstructs the administration of justice. The aim of
a lawsuit is to render justice to the parties
It is the duty of the lawyer to resists the according to law and free from the “law’s delay.”
whims and caprices of his client and to temper his Procedural rules are precisely designed to
client’s propensity to litigate. A lawyer must view accomplice such purpose. As an officer of the court
the court as a sanctuary for those who seek justice whose primary function is to assist the court
and redress legal wrong. He must not subvert the administers impartial justice, a lawyer should use
very ends of justice nor encourage a litigant to do those rules for the purpose and not for its
so. frustration.(manila Pest Control vs.
WCC,25SCRA700)
Rule 12.03 - A lawyer shall not, after obtaining
extensions of time to file pleadings, memoranda The Highest Sign Of Respect To The Courts
or briefs, let the period lapse without submitting Is The Lawyer’s Obedience To Court Orders And
the same or offering an explanation for his failure Processes. – However erroneous they may be,
to do so. court orders must be respected by lawyers who are
themselves officers of the court. A lawyer’s
A lawyer shall file his pleadings within the period.
unexplained failure to appear at the scheduled
Some lawyers fail to file the same within hearing constitutes disrespect to the court and is
the original or extended period. Such negligence guilty of contumacious behavior. Lawyers should
constitutes a breach of duty not only to the court stand foremost in complying with court orders
but also to the client and many lawyers have been obediently and respectfully.(Pineda,158)
disciplined for such infraction.
It has been held that a lawyer who
Rule 12.04 - A lawyer shall not unduly delay a interposes an appeal manifestly for the purpose of
case, impede the execution of a judgment or delay does so with full awareness of his
misuse Court processes. responsibility as an officer of the court and of the
risk of being disciplined therefore. A lawyer should
It is essential to an effective and efficient not, solely on his own judgment, let the decision
administration of justice that once a judgment has become final by letting the period to appeal lapse,
become final the winning party be not, through without informing his client of the adverse decision
subterfuge, and misuse of legal process, deprived and of his candid advice in taking appellate review
of that verdict. A lawyer should not file several thereof, well within the period to appeal, so that
actions or petitions arising from the same cause or the client may decide whether to pursue appellate
seeking substantially identical reliefs as those that review.(Uypangco vs. Equitable Bank,27SCRA1272)
had already been finally disposed of.(Likim Tho vs.
Sanchez, 82Phil.776) It is the duty of a lawyer to inform the
court, within thirty days, of the death of his client
The reason is that a lawyer not only owes in a pending case and if the claim is not
to his client the duty of fidelity but, more extinguished by such death, of the name of the
important, he owes the duty of good faith and deceased’s representatives, so that substitution of
honorable dealing to the judicial tribunal before parties can be effected. Similarly, it is his duty to
which he practices his profession. Inherent in that inform the court of any change of his address. The
duty is the obligation to assist the court in the lawyer’s duty to give the court such notice is part
speedy disposition of cases. of his obligation to assist in the early termination
of the case. Such failure will not prevent any notice
A lawyer who prostitutes judicial processes sent to the lawyer at his address of record to be
to secure for his client what is not justly and validly effective and binding upon the client or the client’s
due him or who appeals a decision manifestly for

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heirs, as the case may be.(Iligan City vs. the public in the impartial administration of justice,
Fortunado,288SCRA190) and should be avoided.

Rule 12.05 - A lawyer shall refrain from talking In prosecuting or depending cases, the
to his witness during a break or recess in the trial, lawyer must be guided by the principles of justice.
while the witness is still under examination. He must rely on the merits of his cases and should
avoid using influence and connections to win his
The duty of the lawyer to assist in the cases. His cases must be won because they are
speedy and efficient administration of justice meritorious and not because of connections, clout,
includes the duty to refrain “from talking to his dominance or influence. To do so, the lawyer
witness during a break or recess in the trial, while breaks the basic principle of justice which is highly
the witness is still under examination”. The condemnable.(Pineda206)
purpose of the rule is to avoid any suspicion that
he is coaching the witness what to say during the Rule 13.01 - A lawyer shall not extend
resumption of the examination.(Agapalo,165) extraordinary attention or hospitality to, nor seek
opportunity for cultivating familiarity with Judges.
Rule 12.06 - A lawyer shall not knowingly assist
a witness to misrepresent himself or to Rule 13.02 - A lawyer shall not make public
impersonate another. statements in the media regarding a pending case
tending to arouse public opinion for or against a
Rule 12.07 - A lawyer shall not abuse, browbeat party.
or harass a witness nor needlessly inconvenience
him. For newspaper publications by a lawyer
concerning a pending litigation may interfere with
Rule 12.08 - A lawyer shall avoid testifying in a fair trial in court and otherwise prejudice the
behalf of his client, except: impartial administration of justice. It has been held
that a newspaper publication tending to impede,
(a) on formal matters, such as the mailing,
obstruct, embarrass or influence the courts in
authentication or custody of an instrument, and
administering justice in a pending case constitutes
the like; or
criminal contempt, but the rule is otherwise after
(b) on substantial matters, in cases where his the litigation is ended.(Cruz vs. Salva,32SCRA106,
testimony is essential to the ends of justice, in In re Abistado,557Phil.668)
which event he must, during his testimony,
Like any other right, the right of a lawyer to
entrust the trial of the case to another counsel.
comment on or criticize the decision of a judge or
his actuation is not unlimited. “It is the cardinal
condition of all such criticism that it shall be bona
(4) Reliance on Merits of Case, Not From fide, and shall not spell over the walls of decency
Improper Influence Upon the Courts and propriety. A wide chasm exists between fair
criticism, on the one hand, and abuse and slander
CANON 13 - A LAWYER SHALL RELY UPON THE of courts and judges on the other.
MERITS OF HIS CAUSE AND REFRAIN FROM ANY
IMPROPRIETY WHICH TENDS TO INFLUENCE, OR As a citizen and officer of the
GIVES THE APPEARANCE OF INFLUENCING THE court, a lawyer is expected not only to exercise the
COURT. right but also to consider it his duty to expose the
shortcomings and indiscretions of courts and
Improper acts of a lawyer which give the judges.(In re Almacen,31SCRA562)
appearance of influencing the court to decide a
case in a particular way lessen the confidence of Rule 13.03 - A lawyer shall not brook or invite
interference by another branch or agency of the

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government in the normal course of judicial (a) Services Regardless of Person’s

proceedings. Status

The reason is that a lawyer who brooks or Rule 14.01 - A lawyer shall not decline to
invites interference by another branch or agency of represent a person solely on account of the
government in the normal course of judicial latter's race, sex. creed or status of life, or
proceedings endangers the independence of the because of his own opinion regarding the guilt of
judiciary. said person.

d. The Clients Lawyer Not Bound To Accept All Cases. – A

lawyer is not bound to accept every case that is
(1) Availability of Service Without referred to him by a prospective client. Thus, if he
Discrimination is already loaded with cases, he should not accept
any more cases which he could no longer handle
CANON 14 - A LAWYER SHALL NOT REFUSE HIS
SERVICES TO THE NEEDY. Restrictions. – However, the lawyer cannot
decline to represent a person for the SOLE reason
The primary task of a lawyer, as an
of the latter’s (1) race, (2) sex, (3) creed, (4) status
advocate, is to represent a party litigant in court,
in life, or (5) because of the lawyer’s opinion that
either as counsel for plaintiff or for defendant, or
said person is guilty of the charge. The
as public prosecutor or as defense counsel.
administration of justice does not discriminate
As a general rule, a private practitioner is against any one on grounds of nationality, religion,
not obligated to act as counsel for any person who sex, or status of life.
may wish to become his client. He has the right to
A lawyer cannot refuse to undertake the
decline employment.
defense of an accused person simply because he
Exception: Canon 14 and its implementing believes that said person is guilty. For if the lawyer
Rules of the Code of Professional Responsibility does so, he assumes the character of a
provide the exception to the general rule and judge.(Pineda,216-217)
emphasize the lawyer’s public responsibility of
Regardless of his personal feelings, a
rendering legal services to the needy and the
lawyer should not decline representation because
oppressed who are unable to pay attorney’s fees.
a client or cause is unpopular or community
There are two reasons for the rule: reaction is adverse.

1. The poor and the needy are the persons who, Rule 14.01 makes it his duty not to decline
when in trouble, need most the services of a to represent the accused regardless of his opinion
lawyer but hesitate to secure such services as to his guilt. Apart from that, the law presumes
because they cannot afford to pay counsel’s fees or him innocent, and he is entitled to acquittal unless
fear they will be refused for their inability to his guilt is proved beyond reasonable doubt by
compensate the lawyer. procedure recognized by law.(Agpalo,191)

2. Moreover, one of the objectives of the IBP is to Rule 14.01 Is Applicable Only In Criminal
make legal services fully available for those who Cases. – In criminal cases, a lawyer cannot decline
need them and fulfillment of this objective requires to represent an accused or respondent because of
that a lawyer should not lightly decline his opinion that the said person is guilty of the
employment from poor and the charge or charges filed against him,
needy.(Agpalo,190)

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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

It is not for the lawyer to adjudge the guilt As counsel de oficio, the lawyer is duty
of his own client who under the law is presumed bound to exert his best efforts and professional
innocent until proven otherwise ability in behalf of the person assigned to his care.
Corollary to this duty, the presiding judge must
Rule14.01 however is not applicable in civil give the counsel de oficio ample opportunity to
cases because of obvious reasons.(2009Pineda,218 examine not only the records of the case but also
to confer with the accused lengthily so that he can
(b) Services as Counsel De Officio
properly, intelligently and fully represent and
Rule 14.02 - A lawyer shall not decline, except defend the interest of the accused.(Pineda,221)
for serious and sufficient cause, an appointment
In a criminal action, the court may appoint
as counsel de officio or as amicus curiae, or a
a counsel de oficio in any of the following
request from the Integrated Bar of the Philippines
instances:
or any of its chapters for rendition of free legal
aid. 1. Before arraignment, the court shall
inform the accused of his right to counsel and ask
Rule 138, Sec. 31. Attorneys for destitute
him if he desires to have one. Unless the accused is
litigants. - A court may assign an attorney to
allowed to defend himself in person, or has
render professional aid free of charge to any party
employed counsel of his choice, the court must
in a case, if upon investigation it appears that the
assign a counsel de oficio to defend him.
party is destitute and unable to employ an
attorney, and that the services of counsel are 2. It shall be the duty of the clerk of
necessary to secure the ends of justice and to the trial court, upon filing a notice of appeal, to
protect the rights of the party. It shall be the duty ascertain from the appellant, if confined in prison,
of the attorney so assigned to render the required whether he desires the Regional Trial Court, Court
service, unless he is excused therefrom by the of Appeals or the Supreme Court to appoint a
court for sufficient cause shown. counsel de oficio to defend him and to transmit
with the record on a form to be prepared by the
The relation of attorney and client may be
clerk of court of the appellate court, a certification
created not only by the voluntary agreement
of compliance with this duty and the response of
between them but also by the appointment of an
the appellant to his inquiry.
attorney as counsel de oficio for a poor or indigent
litigant, and the attorney so appointed has a high a 3. If it appears from the record of the
duty to the indigent as to his paying client. case as transmitted that:
A court may assign a lawyer to render (a) that the accused is confined in prison,
professional aid, free of charge, to any party in a (b) is without counsel de parte on appeal,
case if upon investigation it appears that the party or
is destitute and unable to employ a lawyer and that (c) has signed the notice of appeal himself,
the services of counsel are necessary to secure the the clerk of the Court of Appeals shall
ends of justice and to protect the rights of the designate a counsel de oficio.
party.
An appellant who is not confined in prison
A counsel de oficio is expected to render
may, upon request, be assigned a counsel de oficio
effective service and to exert his best efforts on
within ten (10) days from receipt of the notice to
behalf of an indigent accused. As a lawyer sworn to
the file brief and he establishes his right
uphold justice and the law, he has the bounden
thereto.(Agpalo,191-192)
duty to exert utmost efforts to defend his client
and protect his rights, no matter how guilty or evil The reason of Rule 14.02 is that one of the
he appears to be.(Agpalo,229) burdens of the privilege to practice law which an

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attorney voluntarily assumed when he took his Candor, Fairness And Loyalty, Required Of
oath as a lawyer is to render, when so required by Lawyers. – Canon 15 deals with the lawyer’s duties
the court, free legal services to an indigent litigant. to his clients. In all his dealings and transactions
with them, he must be candid, fair and loyal.
The purpose of the legal profession is to Failure to observe the candor, fairness and loyalty
render public service and secure justice for those required of him, renders the lawyer unfit to remain
who seek its aid. The fact that a lawyer merely in the legal profession.Pineda,231)
volunteered his legal services or that he was a
mere counsel de oficio neither diminishes nor (a) Confidentiality Rule
alters the degree of professional responsibility
owed to his client. The mere relation of attorney and client
does not raise a presumption of confidentiality.
Rule 138, Sec. 32. Compensation for The client must intend the communication to be
attorneys de oficio. - Subject to availability of confidential. The essence of the veil of secrecy
funds as may be provided by law the court may, in which surrounds communication between attorney
its discretion, order an attorney employed as and client is that the communication is intended by
counsel de oficio to be compensated in such sum the client not for the information of a third person
as the court may fix in accordance with section 24 but for the purpose of seeking legal advice from his
of this rule. Whenever such compensation is attorney as to his rights or obligations.(Agpalo,261)
allowed, it shall not be less than thirty pesos
(P30.00) in any case, nor more than the following However, the SC in the case of Hilado vs.
amounts: (1) Fifty pesos (P50.00) in light felonies; David, 84Phil.569, held that the communications
(2) One hundred pesos (P100.00) in less grave between lawyer and client are a complex matter; it
felonies; (3) Two hundred pesos (P200.00) in grave is difficult to determine what is intended to be
felonies other than capital offenses; (4) Five secret and confidential and what is not. It will be
hundred pesos (P500.00) in capital offenses. sufficient, the SC said, that once a lawyer-client
relationship is established, any communication
(c) Valid Grounds for Refusal between them should be covered by the mantle of
privileged communication.
Rule 14.03 - A lawyer may not refuse to accept
representation of an indigent client unless: A confidential communication refers to
information transmitted by voluntary act of
(a) he is not in a position to carry out the disclosure between attorney and client in
work effectively or competently; confidence and by means which, so far as the client
is aware, discloses the information to no third
(b) he labors under a conflict of interest
person other than one reasonably necessary for
between him and the prospective client or
the transmission of the information or the
between a present client and the prospective
accomplishment of the purpose for which it was
client.
given.(Agpalo,-262)
Rule 14.04 - A lawyer who accepts the cause of
The attorney-client privilege is not
a person unable to pay his professional fees shall
destroyed by the fact that a third person may have
observe the same standard of conduct governing
overheard a communication intended to be
his relations with paying clients.
confidential nor by the circumstance that other
(2) Candor, Fairness and Loyalty to Clients attorneys represented the client. But as to a third
person who may have overheard a confidential
CANON 15 - A LAWYER SHALL OBSERVE CANDOR, communication, the privilege does not as a rule
FAIRNESS AND LOYALTY IN ALL HIS DEALINGS apply.
AND TRANSACTIONS WITH HIS CLIENTS.

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There is no particular mode by which a 2. the communication was made by the client to
confidential communication shall be made by a the lawyer in the course of lawyer’s professional
client to his attorney. The privilege is not confined employment; and
to verbal or written communications made by the
client to his attorney but extends as well to 3. the communication must be intended to be
information communicated by the client to the confidential.
attorney by other means, such as actions, signs, or
transmitted by any form of agency, such as
through a messenger, an interpreter, etc.(Agpalo, No Presumption Of Confidentiality. – The
262) mere relation of attorney and client does not raise
a presumption of confidentiality. The client must
(b) Privileged Communications
intend the communication to be confidential.
Rule 15.02.- A lawyer shall be bound by the rule (Pineda,237)
on privilege communication in respect of matters
Privileged matters
disclosed to him by a prospective client.
A privileged document may include:
Rule 138-A, SEC. 3. Privileged
communications. - The Rules safeguarding 1. A report of a physician, an accountant, an
privileged communications between attorney and engineer, whose services have been secured by a
client shall apply to similar communications made client as part of his communication to his attorney
to or received by the law student, acting for the or by the attorney to assist him render effective
legal clinic. legal assistance to his client.
Privileged Communication Safeguards The 2. Records concerning an accident in which a party
Revelation Of Confidences And Secrets. – As a is involved, which are by custom of such party
safeguard against the disclosure of the clients’ turned over to his attorney, are privileged.
confidences and secrets, the Rules of Court
mandates that “an attorney cannot, without the 3. Communications made by an insured for the
consent of his client, be examined as to any purpose of providing information on which a
communication made by the client to him or his lawyer for the insured’s insurer could meet a claim
advice given thereon in the course of professional of the injured party against the insured are likewise
employment; nor can an attorney’s secretary, privileged.
stenographer, or clerk be examined, without the
consent of the client and his employer, concerning 4. A consultation which has to do with the
any fact the knowledge of which has been acquired preparation of a client to take the witness stand is
in such capacity”(2009Pineda 235-236) covered by the privilege.

Requisites Of The Privileged Matters disclosed by a prospective client to

Communication. – a lawyer are protected by the rule on privileged
communication even if the prospective client does
In order that the rule on privileged not thereafter retain the lawyer or the latter
communication may be avail of, it is necessary declines the employment. The reason for the rule
that: is to make the prospective client free to discuss
whatever he wishes with the lawyer without fear
1. there exists an attorney and client relationship that what he tells the lawyer will not be divulged
or a kind of consultancy relationship with a nor used against him, and for the lawyer to be
prospective client. That is, legal advice is what is equally free to obtain information from the
sought; prospective client.(Agpalo, 281)

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Instances When Communication Is Not may be. It applies although the attorney’s
Privileged. – intentions and motives were honest and he acted
in good faith.(Agpalo,283)
1. When communication is made to a person
who is not a lawyer even if such person committed It is the duty of a lawyer to disclose and
himself to render legal services. explain to a prospective client all circumstances of
his relations to the parties and any interest in or
2. When communication is made to a lawyer connection with the controversy, which in his
for some other purpose other than on account of honest judgment might influence the client in the
the lawyers-client relationship. When the advice selection of counsel.
sought from the attorney is not legal but involves
accounting service or business The rule is a rigid one designed not alone
assistance.(Pineda,239) to prevent the dishonest practitioner from
fraudulent conduct but as well to preclude the
(c) Conflict of Interest honest practitioner from putting himself in a
position where he may be required to choose
Rule 15.01. - A lawyer, in conferring with a
between conflicting duties, and to protect him
prospective client, shall ascertain as soon as
from unfounded suspicion of professional
practicable whether the matter would involve a
misconduct. A lawyer who accepts employment
conflict with another client or his own interest,
from his client’s adversary in a case involving
and if so, shall forthwith inform the prospective
related subject matter is guilt of representing
client.
conflicting interests. (Agpalo,286)
Rule 15.03. - A lawyer shall not represent
It is thus improper for a lawyer to appear
conflicting interests except by written consent of
as counsel for one party against the adverse party
all concerned given after a full disclosure of the
who is his client in another totally unrelated action.
facts.
A lawyer is forbidden form representing a
Conflicting Interests, Concept. – There is subsequent client against a former client only
conflicting interests if there is an inconsistency in when the subject matter of the present
the interest of two or more opposing parties. controversy is related, directly or indirectly, to the
subject matter of the previous litigation in which
The test to determine the existence of he appeared for the former client. Conversely, he
Conflict of Interest: Whether or not in behalf of one may properly act as counsel for a new client, with
client, it is the lawyer’s duty to fight for an issue or full disclosure to the latter, against a former client
claim but it is his duty to opposed it for the other in a matter wholly unrelated to that of the previous
client. In brief, if he argues for one client, this employment, there being in that instance no
argument will be opposed by him when he argues conflict of interests.(Agpalo,288-289)
for the other client.(Pineda,246)
Rule applicable to law firm
A lawyer who represents one party in a
case and at the same time represents the opposing Where a lawyer is disqualified or
party, or who represents a party and at the same forbidden from appearing as counsel in a case
time handles the legal problems of the opposing because of conflict of interests, the law firm of
party, whether the cases are related or not, which he is a member as well as any member,
violates the rule against representation of associate or assistant therein is similarly
conflicting interests. The proscription against disqualified or prohibited from so acting.(Hilado vs.
representation of conflicting interests arises with David, 84Phil.569)
respect to the same subject matter and is
Limitations on general rule.
applicable however slight such adverse interest

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The rule against representation of The representation by a lawyer of

conflicting interests is subject to certain conflicting interests, in the absence of written
limitations: consent of all parties concerned given after a full
disclosure of the facts, constitutes professional
1. where no conflict of interests exists; misconduct which subjects the lawyer to
disciplinary action.
2. where the client knowingly consent to the dual
representation; or (d) Candid and Honest Advice to Clients
3. where no true attorney client relationship is Rule 15.05. - A lawyer when advising his client,
attendant, the prohibition does not apply. shall give a candid and honest opinion on the
merits and probable results of the client's case,
Where no conflict of interests exists
neither overstating nor understating the
A lawyer may properly represent a prospects of the case.
subsequent client against a former client in a
Rule 15.05 is an instance of candor. The
matter which is not, in any way, related to the
lawyer must give a candid and honest opinion on
previous controversy in which he appeared for the
the merit or lack of merit of his client’s case.
former client.
Rule 15.05 is an instance of fairness and
A lawyer may properly represent an
loyalty. The lawyer must immediately inform his
administrator of the estate of a deceased wife and
prospective client of the involvement of another
subsequently the administrator of that of the
client or his own interest in the case which will
deceased husband, both administrators having
result in representing conflict of interests. He is not
similar duties and asserting no interest adverse to
allowed to represent conflicting interests except by
that of the heirs of the spouses.
written consent of all concerned after a full
Where clients knowingly consent disclosure of the facts. (Pineda,231)

The general rule that a lawyer may be

allowed to represent conflicting interests, where
(3) Client’s Moneys and Properties
the parties consent to the representation, may
apply only when one client is a former client, and CANON 16 - A LAWYER SHALL HOLD IN TRUST ALL
not where both clients are current clients in the MONEYS AND PROPERTIES OF HIS CLIENT THAT
case, where each asserts an interest adverse to MAY COME INTO HIS PROFESSION.
that of the other. In this time, even if they give
their written consent, the lawyer cannot with Lawyers Is Trustee Of Client’s Moneys And
undivided fidelity serve two masters with opposing Properties. – The moneys collected by an attorney
interests at the same time.(Agpalo,295) for his client belong to the client. Consequently,
the lawyer is under obligation to hold in trust all
Where no true attorney-client relationship exists moneys and properties of his client that may come
into his possession. The moneys collected by a
The rule forbidding a lawyer from
lawyer in pursuance of a judgment in favor of his
representing an interest adverse to that of a
client are held in trust for the client.(Pineda,272)
former client assumes, as a general proposition,
that a true attorney-client relationship previously Rule 16.01 - A lawyer shall account for all
existed. Consequently, the absence of such money or property collected or received for or
relationship either with the attorney or with the from the client.
law firm of which he is a member makes the
prohibition inapplicable.(Hiladovs.David,84Phil.569 (a) Fiduciary Relationship

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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

The well-established rule that the relation Rule 138, Sec. 25. Unlawful retention of client's
of attorney and client is highly fiduciary and strictly funds; contempt. - When an attorney unjustly
confidential requiring utmost good faith, loyalty, retains in his hands money of his client after it has
fidelity and disinterestedness on the part of the been demanded, he may be punished for
attorney is designed to remove all such temptation contempt as an officer of the Court who has
and to prevent everything of that kind from being misbehaved in his official transactions; but
done for the protection of the client. proceedings under this section shall not be a bar
to a criminal prosecution.
A fiduciary relationship exists as a matter
of law between attorney and client, which requires The failure of an attorney to return the
all dealings growing out of such relationship to be client’s money upon demand gives rises to the
subject to the closest judicial scrutiny. presumption that he has misappropriated it for his
own use to the prejudice of and in violation of the
As a rule, a lawyer is not barred from trust reposed in him by the client. It is a gross
dealing with his client but the business transaction violation of general morality as well as of
must be characterized with utmost honesty and professional ethics; it impairs the public confidence
good faith. This rule is founded on public policy for, in the legal profession and deserves punishment.
by virtue of his office, an attorney is in an easy
position to take advantage of the credulity and Rule 16.03 of the Code, however, allows
ignorance of his client. Thus, no presumption of the lawyer to “apply so much thereof as may be
innocence or improbability of wrongdoing is necessary to satisfy his lawful fees and
considered in his favor.(Agpalo,236-237) disbursements, giving notice promptly thereafter
to his client.” This provision assumes that the client
(b) Co-Mingling of Funds agrees with the lawyer as to the amount of
attorney’s fees and as to the application of the
Rule 16.02 - A lawyer shall keep the funds of
client’s fund to pay his lawful fees and
each client separate and apart from his own and
disbursement, in which case he may deduct what is
those of others kept by him.
due him and remit the balance to his client, with
A lawyer shall not commingle client’s funds full disclosure on every detail. Without the client’s
consent, the lawyer has no authority to apply the
He should not commingle a client’s money client’s money for his fees, but he should instead
with that of other clients and with his private return the money to his client, without prejudice to
funds, nor use the client’s money for his personal his filing a case to recover his unsatisfied fees.
purposes without the client’s consent. He should
report promptly the money of his client that has The provision grants the lawyer a lien over
come to his possession. He should maintain a the client’s funds in his possession as well as on all
reputation for honesty and fidelity to private trust. judgments and executions he has secured for his
client, to satisfy his lawful fees and
(c) Delivery of Funds disbursements.(Agpalo, 245-246)

Rule 16.03 - A lawyer shall deliver the funds and (d) Borrowing or Lending
property of his client when due or upon demand.
However, he shall have a lien over the funds and Rule 16.04 - A lawyer shall not borrow money
may apply so much thereof as may be necessary from his client unless the client's interest are fully
to satisfy his lawful fees and disbursements, protected by the nature of the case or by
giving notice promptly thereafter to his client. He independent advice. Neither shall a lawyer lend
shall also have a lien to the same extent on all money to a client except, when in the interest of
judgments and executions he has secured for his justice, he has to advance necessary expenses in a
client as provided for in the Rules of Court. legal matter he is handling for the client.

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A lawyer shall not borrow from, nor lend money to, Once he agrees to take up the cause of the
client client, the lawyer owes fidelity to such cause and
must always be mindful of the trust and confidence
The rule consists of two parts: reposed in him.
1. The first part prohibits a lawyer from borrowing Public interest requires that an attorney
money from his client; exert his best efforts and ability in the prosecution
or defense of his client’s cause. A lawyer who
It is intended to prevent the lawyer from
performs that duty with diligence and candor not
taking advantage of his influence over the client.
only protects interest of his client; he also serves
While the lawyer may borrow money from his
the ends of justice, does honor to the bar and
client where the client’s interests are fully
helps maintain the respect of the community to
protected by the nature of the case he is handling
the legal profession.(Cantiller vs.
for the client or by independent advice from
Potenciano,180SCRA246)
another lawyer, he should not abuse the client’s
confidence by delaying payment.

2. The second part of the rule, prohibits a lawyer (5) Competence and Diligence
from lending money to the client, except when, in
the interest of justice, he has to advance necessary CANON 18 - A LAWYER SHALL SERVE HIS CLIENT
expenses in a legal matter he is handling; WITH COMPETENCE AND DILIGENCE.

It is intended to assure the lawyer’s independent Diligence Defined. – Diligence is “the

professional judgment, for if the lawyer acquires a attention and care required of a person in a given
financial interest in the outcome of the case the situation and is the opposite of negligence.”
free exercise of his judgment may be adversely
affected. If the lawyer lends money to the client in Competence And Diligence Highly
connection with the client’s case, the lawyer in Demanded Of Lawyers. – A lawyer should strive for
effect acquires an interest in the subject matter of proficiency in his practice and should only accept
the case or an additional stake in its outcome, employment in matters in which he is or can
either of which may lead the lawyer to consider his become competent after reasonable preparation.
own recovery rather than that of his client or to He attains and maintains his competence by
accept a settlement which might take care of his keeping abreast of current legal literature,
interest in the verdict to the sacrifice of that of the participating in legal education program,
client in violation of his duty of undivided fidelity to concentrating in particular areas of the law, and
the client’s cause.(Agpalo, 240-241) availing himself of these means.(Pineda,288)

(4) Fidelity to Client’s Cause A lawyer who accepts professional

employment from a client agrees that he “shall
CANON 17 - A LAWYER OWES FIDELITY TO THE serve his client with competence and diligence.”
CAUSE OF HIS CLIENT AND HE SHALL BE MINDFUL
OF THE TRUST AND CONFIDENCE REPOSED IN By accepting a retainer, he impliedly
HIM. represents that:

Fidelity To The Cause of Client. – Fidelity to (a) he possesses the requisite degree of learning,
the cause of client is the essence of the legal skill and ability which is necessary to the
profession. Without this fidelity, the profession will practice of his profession and which others
not survive, for in the long run, no one will engage similarly situated possess;
any lawyer anymore.(Pineda,283)

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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

(b) he will exert his best judgment in the him to discharge his obligations diligently.(Suarez
prosecution or defense of the litigation vs. CA, 220SCRA274)
entrusted to him;
In the absence of evidence to the contrary,
(c) he will exercise reasonable and ordinary case however, a lawyer is presumed to be prompt and
and diligence in the use of his skill and in the diligent in the performance of his obligations and
application of his knowledge to his client’s to have employed his best efforts, learning and
cause; and ability in the protection of his client’s interests and
in the discharge of his duties as an officer of the
(d) he will take such step as will adequately court.(People vs. Mantawar,80Phil.817)
safeguard his client’s interest.(Agpalo)
The legal profession is a jealous mistress
Rule 18.02 - A lawyer shall not handle any legal which requires of a lawyer that degree of vigilance
matter without adequate preparation. and attention expected of a good father of a
family. What amounts to carelessness or
The key to the problem of how best a
negligence in the lawyer’s discharge of his duty to
lawyer can safeguard his client’s right and interest
the client is incapable of exact formulation. That
is thorough study and preparation. The full
question depends upon the circumstances of the
protection of the client’s interests requires no less
case. There is want of the required diligence where
than a mastery of the applicable law and the facts
the lawyer failed, without sufficient justification, to
involved in a case, regardless of the nature of the
bring an action immediately, file the answer to the
assignment. To be able to put up a good fight in
complaint within the reglementary period, notify
the court room, hard work and intensive study and
his client of the date of hearing, and attend the
preparation are the only guarantees of coming out
scheduled pre-trial conference or hearing.
unscathed.
(Agpalo,223)
Inadequate preparation spawns adverse
The failure of a lawyer to exercise the
effect that go far beyond the personal interest of
diligence required of him to safeguard the client’s
the client. Any attempted presentation of a case
interests or his abandonment of the client’ cause
without adequate preparation distracts the
may render him administratively liable therefore,
administration of justice and discredits the bar.
which may be a reprimand, warning, suspension
(Agpalo, 211)
from the practice of law, and even disbarment
(a) Negligence depending upon the surrounding circumstances
and the prejudice caused the client. The lawyer
Rule 18.03 - A lawyer shall not neglect a legal may also be held civilly liable in favor of his
matter entrusted to him, and his negligence in client.(Agpalo,234)
connection therewith shall render him liable.
(b) Collaborating Counsel
The lawyer must constantly keep in mind
that his actions or omissions or nonfeasance would Rules 18.01 - A lawyer shall not undertake a
be binding upon his client. legal service which he knows or should know that
he is not qualified to render. However, he may
By agreeing to be his client’s counsel, a render such service if, with the consent of his
lawyer represents that he will exercise ordinary client, he can obtain as collaborating counsel a
diligence or that reasonable degree of care and lawyer who is competent on the matter.
skill having reference to the character of the
business he undertakes to do, to protect his client’s Collaborating Counsel. – A collaborating
interests and take all steps or do all acts necessary counsel is one who is subsequently engaged to
therefore, and his client may reasonably expect assist a lawyer already handling a particular case
for a client. When a case is complicated, it is not
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unusual for the handling lawyer to suggest to the Rule 19.01 - A lawyer shall employ only fair and
client to allow him to take another lawyer to assist honest means to attain the lawful objectives of
or collaborate with him in the case. his client and shall not present, participate in
presenting or threaten to present unfounded
The handling lawyer cannot just take criminal charges to obtain an improper advantage
another counsel without the consent of the client. in any case or proceeding.
The new lawyer on the other hand cannot just
enter his appearance as collaborating counsel Rule 19.02 - A lawyer who has received
without the conformity of the first counsel. information that his client has, in the course of
Coordination is therefore necessary to avoid any the representation, perpetrated a fraud upon a
misunderstanding. (Pineda,291) person or tribunal, shall promptly call upon the
client to rectify the same, and failing which he
(c) Duty to Apprise Client shall terminate the relationship with such client in
accordance with the Rules of Court.
Rule 18.04 - A lawyer shall keep the client
informed of the status of his case and shall Rule 19.03 - A lawyer shall not allow his client
respond within a reasonable time to the client's to dictate the procedure in handling the case.
request for information.
(7) Attorney’s Fees
A lawyer shall give candid advice on merits of case
CANON 20 - A LAWYER SHALL CHARGE ONLY FAIR
His client, ordinarily a layman to the AND REASONABLE FEES.
intricacies and vagaries of the law, is entitled to
and his bound to give candid and honest opinion Rule 138, Sec. 24. Compensation of
on the merit or lack of merit of his client’s case, attorneys; agreement as to fees. - An attorney
neither overstating nor understating the prospect shall be entitled to have and recover from his
of the case. It is likewise incumbent upon him to client no more than a reasonable compensation
give his client an honest opinion on the probable for his services, with a view to the importance of
results of the case, with the end in view of the subject matter of the controversy, the extent
promoting respect for the law and the legal of the services rendered, and the professional
processes.(Agpalo,200) standing of the attorney. No court shall be bound
by the opinion of attorneys as expert witnesses as
If a lawyer finds that his client’s to the proper compensation, but may disregard
contemplated civil suit is totally devoid of merit or such testimony and base its conclusion on its own
that the pending action against him is wholly professional knowledge. A written contract for
defenseless, he should so inform his client and services shall control the amount to be paid
dissuade him, in the first instance, from filing the therefor unless found by the court to be
case or advice him, in the second instance, to unconscionable or unreasonable.
compromise or submit rather than traverse th
incontrovertible. If on the other hand he finds that Essential Requisites for the accrual of lawyer’s right
his client’s cause is fairly meritorious and ripe for to attorney’s fees:
judicial adjudication, he should refrain from
making bold and confident assurances of success. The right of a lawyer to a reasonable
compensation for his services requires:
(6) Representation with Seal Within Legal
Bounds 1. the existence of an attorney-client relationship;
and
CANON 19 - A LAWYER SHALL REPRESENT HIS
CLIENT WITH ZEAL WITHIN THE BOUNDS OF THE 2. the rendition by the lawyer of services to the
LAW. client.

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There should be a professional contract, Generally speaking, the amount of

express or implied, between a lawyer and his client attorney’s fees due is that stipulated in the written
and the lawyer should have rendered services retainer agreement which is conclusive as to the
pursuant thereto before he may be entitled to amount of the lawyer’s compensation. Unless both
counsel fees. the attorney and the client expressly or impliedly
set aside the contract and submit the question of
A written agreement is not necessary to reasonableness of the amount of fees for the court
establish a client’s obligations to pay attorney’s to resolve on quantum meruit basis, neither the
fees. client who wishes a reduction of the fee nor the
lawyer who desires an increase thereof may
The client’s obligation to pay attorney’s
disregard the amount fixed in the contract. The
fees arises from the inanimate contract of facis ut
duty of the court in such a case is to give effect to
des (I do and you give) which is based on the
the terms of the agreement.(Jayme vs.Bualan)
principle that no one shall unjustly enrich himself
at the expense of another. Suits to collect fees should be avoided, and
only where the circumstances imperatively require
Quantum meruit
should a lawyer resort to lawsuit to enforce
Quantum meruit means as much as the payment of his fees. He may take judicial action to
lawyer deserves or such amount which his services protect his right to fees either in the main action
merit. Recovery of attorney’s fees on the basis of where his services were rendered or in an
quantum meruit is authorized: independent civil suit against his client. (Palanca
vs. Pecsion,94Phil.419)
(1) when there is no express contract for
payment of attorney’s fees; Rule 20.01 - A lawyer shall be guided by the
following factors in determining his fees:
(2) when although there is a formal
contract for attorney’s fees, the fees stipulated are (a) the time spent and the extent of the service
found unconscionable or unreasonable by the rendered or required;
court;
(b) the novelty and difficulty of the questions
(3) when the contract for attorney’s fees is involved;
void due to purely formal defects of execution;
(c) The importance of the subject matter;
(4) when the lawyer, for justifiable cause,
(d) The skill demanded;
was not able to finish the case to its conclusion;
(e) The probability of losing other employment
(5) when the lawyer and the client
as a result of acceptance of the proffered case;
disregard the contract for attorney’s fees; and
(f) The customary charges for similar services
(6) when the client dismissed his counsel
and the schedule of fees of the IBP chapter to
before the termination of the case of the latter
which he belongs;
withdrew therefrom for valid reasons.
(g) The amount involved in the controversy and
Only the client who engaged the services
the benefits resulting to the client from the
of counsel either personally or through an
service;
authorized agent is liable for the attorney’s
fees.(Agapalo, 369-370) (h) The contingency or certainty of
compensation;
Amount fixed in valid contract

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(i) The character of the employment, whether The acceptance fee is exclusive of filing
occasional or established; and fees and other incidental expenses and usually 10
% of the claim amount .
(j) The professional standing of the lawyer.
The act of receiving money as acceptance
The determination of the amount of fee for legal services in handling complainant’s
attorney’s fees based on the factors prescribed in case and subsequently failing to render such
Rule 20.01 of the Code of Professional services is a clear violation of Canon 18 of the Code
Responsibility involves questions of fact. This of Professional Responsibility which provides that a
requires that there be evidence to prove the lawyer shall serve his client with competence and
amount of fees, taking into account the facts diligence. (REYES, vs.. VITAN, A.C. No. 5835. April
determinative thereof.(Agpalo,399) 15, 2005)
Award of attorney’s fees discretionary (b) Contingency Fee Arrangements
It is well settled that the award of A contract for a contingent fee is an
attorney’s fees in favor of the prevailing party in a agreement in writing in which the fee, usually a
case is essentially discretionary with the trial court. fixed percentage of what may be recovered in the
(Lopez vs.Gonzaga, 10SCRA167) action, is made to depend upon the success in the
effort to enforce or defend a supposed right. In a
(a) Acceptance Fees
contingent fee contract, the lawyer gets paid for his
An amount agreed upon by the services only if he wins the case of the client unless
prospective client and the lawyer, as a condition the client prevents the successful prosecution or
for the latter to handle the case of the former. defense of the action, in which case the lawyer will
be entitled to recover on a quantum meruit basis
Written contract shall control the or to the full amount as fixed in a valid written
amount to be paid for legal services (Sec. 24, Rule agreement if the client acted in bad faith.
138, Revised Rules of Court). Generally a contract
of professional services may either be oral or in A contingent fee arrangement is a contract
writing. The fees stipulated may be absolute or between a lawyer and a client in which the
contingent; it may for a fixed percentage of any lawyer’s professional fee, usually a fixed
amounts recovered in the action. The contract may percentage of what may be recovered in the
call for a down payment; it may be a combination action, is made to depend upon the success of the
of these arrangements; (Agpalo Legal ethics, 80 litigation. The payment of contingent fee is not
ed., p 321). made during the pendency of the litigation but
only after judgment has been rendered in the case
The duty of a lawyer to safeguard his handled by the lawyer.
client's interests commences from his retainer until
his effective discharge from the case or the final A lawyer cannot charge his client a
disposition of the entire subject matter of contingent fee or a percentage of the amount
litigation. Acceptance of money from a client recovered as his fees in the absence of an express
establishes an attorney-client relationship and agreement to that effect. Contingent fees depend
gives rise to the duty of fidelity to the client's upon an express contract, without which the
cause. (ECTHA vs. DIONEDA ,ACNo. 5162,March lawyer can only recover on the basis of quantum
20, 2003) meruit.

Money entrusted to a lawyer for a A contingent fee contract neither gives nor
specific purpose, such as for filing fee, but not used purports to give to the lawyer an absolute right,
for failure to file the case must immediately be personal or real, in the subject matter of the
returned to the client on demand. litigation during the pendency thereof, for until

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there shall have been a favorable judgment his papers as against the client until the attorney is
right to contingent fee remains inchoate. fully paid his fees. (Dauz vs. Fontosa 9 SCRA 14)

If under the circumstances of the case, the The refusal of the respondent lawyer to
court finds that the contingent fee is return documents or receipts that had come into
unconscionable, it will disregard the contract and his possession as attorney, whose professional
fix the reasonable compensation for services service had been engaged by complaint to bring
rendered on quantum meruit basis. (Agpalo,388- the action , may not be the proper conduct, but it
392) is held to be not devoid of justification where the
respondent believed he was entitled to retain
(c) Attorney’s Liens them unless his fees agreed upon in writing be paid
first.(Pineda, Ernesto l., Legal Ethics 2009)
Rule 138, Sec. 37. Attorneys' liens. - An
attorney shall have a lien upon the funds, Requisites for validity
documents and papers of his client which have
lawfully come into his possession and may retain In order that a retaining lien will be valid
the same until his lawful fees and disbursements and accorded full protection, there must be
have been paid, and may apply such funds to the present the following requisites:
satisfaction thereof. He shall also have a lien to
the same extent upon all judgments for the (a) attorney-client relationship;
payment of money, and executions issued in
(b) lawful possession by the lawyer of the client’s
pursuance of such judgments, which he has
funds, documents and papers in his professional
secured in a litigation of his client, from and after
capacity; and
the time when he shall have caused a statement
of his claim of such lien to be entered upon the (c) unsatisfied claim for attorney’s fees or
records of the court rendering such judgment, or disbursements.
issuing such execution, and shall have caused
written notice thereof to be delivered to his client The retaining alien does not extend to
and to the adverse party; and he shall have the funds, documents and paper of the client’s
same right and power over such judgments and principal, such as a estate represented by the
executions as his client would have to enforce his lawyer’s client as administrator. Nor does it extend
lien and secure the payment of his just fees and to the subject matter of the action, which the court
disbursements. has adjudged in favor of the client’s adversary. The
attorney’s retaining lien does not attach to
Two kinds of Attorney’s Lien: documents introduced as exhibits in court, they
being subject to the court’s custody over which it
1. Retaining Lien
exercises control.
2. Charging Lien
In order that the exercise of a retaining lien
RETAINING LIEN may be valid, it is not enough that there exists a
client-lawyer relationship, that the claims for
A retaining lien is a general lien for the attorney’s fees are not satisfied and that counsel is
balance of the account due to the attorney from in possession of the subject papers, documents
his client for services rendered in all matters which and funds. It is still required that his possession be
he may have handled for the client, regardless of lawful. Otherwise, the lawyer cannot exercise his
their outcome. A retaining alien is a passive right right to retaining lien.(Pineda, Ernesto l., Legal
and cannot be actively enforced. It amounts to a Ethics 2009)
mere right to retain the funds, documents and
Extinguishment of retaining lien

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The general of retaining lien is dependent (e) a statement of his claim has been duly recorded
upon possession and does not attach to anything in the case with notice thereof served upon the
not in the attorney’s possession. It expires when client and the adverse party.
possession lawfully ends, as when the lawyer
voluntarily parts with the funds, documents and The attorney’s charging lien takes effect
papers of his client or offers them in evidence in and after the time the attorney has caused a notice
court. (Agpalo,427-431) of his lien to be duly entered in the record of the
case. The recordal, to be valid, should be effected
CHARGING LIEN while the court has jurisdiction over the case and
before full satisfaction of the judgment.
A charging lien is an equitable right to have (Agpalo,432-435)
fees and lawful disbursements due a lawyer for his
services in a suit secured to him out of the The attorney’s charging lien, once duly
judgment for the payment of money and recorded, attaches to the judgment for the
executions issued in pursuance thereof in the payment of money and the executions issued in
particular suit. A charging lien is a special lien in a pursuance of such judgment. It also attaches to the
particular case and presupposes that a favorable proceeds of the judgment in favor of the client. It
judgment has been secured for the client in that likewise attaches to the proceeds of a compromise
case. settlement.

It is based on the natural equity that a A charging lien that has been duly recorded
client should not be allowed to appropriate the partakes of the nature of a collateral security or a
whole of a judgment in his favor without paying lien on real or personal property. The lien gives the
the services of his counsel in obtaining or helping lawyer the right to collect, in payment of his
obtain such judgment. A charging lien is a special professional fees and disbursements, a certain
lien. The charging lien is not of a nature which amount from out of the judgment or award
attaches to the property in litigation but is at most rendered in favor of his client. The lien may
a personal claim enforceable by a writ of therefore be enforced by execution against any
execution. It presupposes that the attorney has person who holds the proceeds of the judgment
secured a favorable money judgment for his client. except as against a purchaser in good faith. A
It is limited only to money judgments and not to lawyer’s duly recorded charging lien enjoys
any other kinds of judgment. preference of credit over that of a creditor who
subsequently recorded it.
Requisites for validity of charging lien
Extinguishment of charging lien
A charging lien, to be valid as security for
payment of attorney’s fees and lawful A charging lien which has been recorded
disbursements, requires that the following before the case is finally decided is extinguished
requisites concur: when the client loses the action as the lien may
only be enforced against a judgment awarded in
(a) there must be an attorney-client relationship; favor of the client, the proceeds thereof or
executions thereon.
(b) the attorney has rendered services;
The generally accepted rule is that an
(c) a money judgment favorable to the client has
attorney’s charging lien may be assigned or
been secured in the action;
transferred without the preference thereof being
(d) the attorney has a claim for attorney’s fees or extinguished except when the assignment carries
advances; and with it a breach of the attorney’s duty to preserve
his client’s confidence inviolate. The assignee steps
into the shoes of the lawyer and enjoys all the

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rights which the latter has in the charging property for the
lien.(Agpalo,438-441) belonging to client
client
Q: May a Lawyer Exercise a Charging Lien on the
Land of His Client? 3. Coverage Covers only Covers all
papers, judgments
A: Although he had successfully prosecuted an
documents for the
action to establish the client’s title thereto, he
and property payment of
cannot have a lien on the land. There is no money
in the lawful money and
judgment on which it can rise (MBTC Co, vs. CA,
possession of executions
181 SCRA 375).
the attorney issued in
Retaining and charging liens distinguished by reason of pursuance
his of such
A retaining lien is the right of an attorney professional judgments.
to retain the funds, documents and papers of his employment. (Note; It
client which have lawfully come into his possession cannot
until his lawful fees and disbursements have been attach to
paid and to apply such funds to the satisfaction judgments
thereof. It does not require notice thereof upon for delivery
the client and the adverse party to be effective. of real
estate or
A charging lien is the right which the for
attorney has upon all judgments for the payment annulment
of money and executions issued in pursuance of contract
thereof, secured in favor of the client and takes [Director of
effect only after he shall have caused a statement Lands vs.
of his claim to be entered upon the record of the Aldaba, 88
particular action with written notice thereof to his SCRA 515]).
client and to the adverse party. 4. Effectively As soon as As soon as
Comparative Distinctions between Retaining and the attorney the claim
Charging Liens gets for
possession of attorney’s
Retaining Charging the papers, fees had
Lien Lien documents or been
1. Nature Passive Lien. Active Lien. property. entered
It cannot be It can be into the
actively enforced records of
enforced. It is
by the case
a generalexecution (Rule 138,
lien. (Rule 138, ibid.).
Sec. 37, last 5. Notice Client need Client and
sentence). not be adverse
It is a notified to party must
special lien make it be notified
2. Basis Lawful Securing of effective. to make it
possession of a favorable effective.
papers, money (Rule 138,
documents, judgment ibid.).

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6. Applicability May be Generally, The award that the court may grant to a
exercised it is successful party by way of attorney’s fee is an
before exercisable indemnity for damages sustained by him in
judgment or only when prosecuting or defending, through counsel, his
execution, or the cause in court. It may be decreed in favor of the
irregardless attorney party, not his lawyer, in any of the instances
thereof. had already authorized by law. On the other hand, the
secured a attorney’s fee which a client pays his counsel refers
favourable to the compensation for the latter’s services.
judgment
for his The two concepts of attorney’s fees are
client. similar in other respects. They both require, as a
prerequisite to their grant, the intervention of or
the rendition of professional services by a lawyer.
(d) Fees and Controversies with Clients
General Rule: Fee as damages not recoverable –
Rule 20.04 - A lawyer shall avoid controversies The general rule is that attorney’s fees in
with clients concerning his compensation and the concept of damages are not recoverable. An
shall resort to judicial action only to prevent adverse decision does not ipso facto justify their
imposition, injustice or fraud. award in favor of the winning party.

(e) Concepts of Attorney’s Fees Exceptions to the rule–

There are two concepts of attorney’s fees: The general rule that attorney’s fees in the
concept of damages are not recoverable admits of
(i) Ordinary Concept- The ordinary several exceptions. Attorney’s fees in the concept
concept refers to the reasonable compensation of damages may be awarded in any of the
paid to a lawyer by his client for the legal services following circumstances:
he has rendered to a client.
1. When there is agreement-
The basis of this compensation is the
fact of employment by the client. The court may, however, reduce what has
been fixed in the contract as attorney’s fees
(ii) Extra-Ordinary Concept- The when the amount thereof appears to be
other concept is the amount of damages which the unconscionable or unreasonable.
court may award to be paid by the losing party to
the prevailing party. 2. When exemplary damages are awarded-

In its extraordinary concepts, an When exemplary damages are awarded,

attorney’s fee is an indemnity for damages ordered attorney’s fees may likewise be granted.
by the court to be paid by the losing party to
prevailing party in a litigation. 3. When defendant’s actions or omission
compelled plaintiff to litigate-
The basis of this is any of the cases
authorized by law and is payable not to the lawyer To justify the award of attorney’s fees, the
but to the client – unless they have agreed that the act or omission of the other party must be in
award shall pertain to the lawyer as additional gross bad faith. The party entitled to the award
compensation or as part thereof. is either a plaintiff in his complaint against
defendant or a defendant in his counterclaim
Two concepts of attorney’s fees compared. against plaintiff.

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4. In criminal cases of malicious prosecution- An offended party may be granted

attorney’s fees only in a separate civil action to
To entitle him to recover such fees, he recover all items of damages or in a civil suit to
must not only show that he was acquitted in the enforce the subsidiary civil liability adjudged in
criminal action but must also prove that the the criminal proceedings. In Heirs of Castro vs.
person who charged him knowingly made a false Bustos, GR18966, attorney’s fees may also be
statement of facts to induce the prosecutor to awarded in a criminal action in favor of the
prosecute. offended party who prosecuted the case
through a private prosecutor.
5. When the action is clearly unfounded–
11. When at least double costs are awarded-
To warrant the award of attorney’s fees,
the action or proceeding must be so untenable Double costs are usually awarded in favor
as to amount to gross and evident bad faith. of the winning party where the action or appeal
is frivolous.
The party entitled to the award is the party
against whom a clearly unfounded civil action or Costs of suit do not include attorney’s fees,
proceeding is filed, who may be a plaintiff but the award of double costs may justify the
against a defendant or a defendant as grant of attorney’s fees.
counterclaimant against plaintiff.
12. When the court deems it just and equitable-
6. When defendant acted in gross and evident bad
faith- To justify the award of attorney’s fees
pursuant to this rule, there should be factual,
This is corollary of the general principle legal or equitable justification which should
that every one must, in the performance of his appear on record.
duties, observe honesty and good faith and of
the rule that any one guilty of fraud in the 13. When a special law so authorizes-
discharge of his obligations shall be liable for
damages. The court may grant attorney’s fees as an
element of damages in all cases where a special
7. In actions for support- law expressly authorizes their award.

The person obliged to give support is also

obliged to pay such attorney’s fees as may be
necessary to enable the person entitled thereto (8) Preservation of Client’s Confidences
to enforce his rights.
CANON 21 - A LAWYER SHALL PRESERVE THE
8. In cases of recovery of wages- CONFIDENCE AND SECRETS OF HIS CLIENT EVEN
AFTER THE ATTORNEY-CLIENT RELATION IS
Where an employee was forced to litigate TERMINATED.
and incur expenses to protect his rights and
interests, he is entitled to the award of Reason for the Rule:
attorney’s fees.
The purpose is to encourage a client to
9. In actions for indemnity under workmen’s make full disclosure to his attorney and to place
compensation and employee’s liability laws- unrestricted confidence in him in matters affecting
his rights or obligations. The privilege which is
10. In a separate civil action arising from a crime- founded on grounds of public policy proceeds on
the premise that the benefits derived therefrom
justify the risk that unjust decisions may

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sometimes result from the suppression of relevant Rule 21.04 - A lawyer may disclose the affairs of
evidence. a client of the firm to partners or associates
thereof unless prohibited by the client.
The prohibition against disclosure of
confidential communications is, moreover, Rule 21.05 - A lawyer shall adopt such measures
designed to preserve the confidential and trust as may be required to prevent those whose
relation which exists between attorney and client. services are utilized by him, from disclosing or
It derives its validity from sources higher than using confidences or secrets of the clients.
written laws and principles. Information secured or
acquired by an attorney from his client is sacred to Rule 21.06 - A lawyer shall avoid indiscreet
the employment to which it pertains, and to permit conversation about a client's affairs even with
it to be used in the interest of the attorney and members of his family.
other person or, worse, in the interest of the
Rule 21.07 - A lawyer shall not reveal that he
adverse party, is to strike at the element of
has been consulted about a particular case except
confidence which lies at the bottom of, and affords
to avoid possible conflict of interest.
the essential security in the relation of attorney
and client. A contrary rule will discourage a client (a) When Allowed
from reposing his trust and confidence in an
attorney, which is detrimental to the Rule 21.01 - A lawyer shall not reveal the
administration of justice.(Agpalo, 256) confidences or secrets of his client except;

Rule 21.02 - A lawyer shall not, to the (a) When authorized by the client after
disadvantage of his client, use information acquainting him of the consequences of the
acquired in the course of employment, nor shall disclosure;
he use the same to his own advantage or that of a
third person, unless the client with full knowledge (b) When required by law;
of the circumstances consents thereto.
(c) When necessary to collect his fees or to
Rule 21.03 - A lawyer shall not, without the defend himself, his employees or associates or by
written consent of his client, give information judicial action.
from his files to an outside agency seeking such
information for auditing, statistical, bookkeeping,
accounting, data processing, or any similar (9) Withdrawal of Services
purpose.
CANON 22 - A LAWYER SHALL WITHDRAW HIS
His file cabinet containing his client’s SERVICES ONLY FOR GOOD CAUSE AND UPON
records and documents may not be ordered NOTICE APPROPRIATE IN THE CIRCUMSTANCES.
opened because that would be tantamount to
compelling him to divulge the client’s confidence in A lawyer is not as free, as the client is, to
violation of the law imposing upon him the duty to terminate the lawyer-client relationship. This is
strictly preserve the client’s secret. Neither a because the service he renders to the client is a
lawyer nor, after his death, his heir or legal duty rather than a right. He can withdraw only with
representative may properly disclose the contents the consent of his client, and if no such consent is
of such file cabinet without the client’s permission. given, only for good cause and upon notice given
The purchase of the practice and goodwill of a to the client. What is good cause is left to the
deceased attorney by another lawyer not his discretion of the court. (Hofilena, 175)
partner may likely involve a violation of that rule.
The right of an attorney or counsel to
withdraw from employment, once assumed, arises
only from good cause. Even the desire or consent
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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

of the client is not always sufficient. The lawyers (e) When the client deliberately fails to pay
should not throw up the unfinished task to the the fees for the services or fails to comply with
detriment of his client except for reasons of honor the retainer agreement;
or self-respect. If the client insists upon an unjust
or immoral course in the conduct of his case, or if (f) When the lawyer is elected or appointed
he persists over the attorney’s remonstrance in to public office; and
presenting frivolous defenses, or if he deliberately
(g) Other similar cases.
disregards an agreement or obligation as to fees or
expenses, the lawyer may be warranted in A lawyer may withdraw from the case for a
withdrawing on due notice to the client, allowing good cause without the client’s consent but with
him time to employ another lawyer. So, also, when the approval of the court. A lawyer may retire at
a lawyer discovers that his client has no cause and any time from any action or proceeding with the
the client is determined to continue it; or even if written consent of his client filed in court and copy
the lawyer finds himself incapable of conducting thereof served upon the adverse party. Should the
the case effectively. Sundry other instances may client refuse to give his consent, the lawyer must
arise in which withdrawal is to be justified. Upon file an application with the court. The application
withdrawal from a case after a retainer has been for withdrawal must be based on a good cause
paid, the attorney should refund such part of the enumerated above.
retainer as has not been clearly earned.
Procedure for withdrawal:
The right of an attorney to withdraw or
terminate the relation other than for sufficient A lawyer who desires to retire from an
cause is considerably restricted. Among the action without the written consent of his client
fundamental rules of ethics is the principle that an must file a petition for withdrawal in court. He
attorney who undertakes to conduct an action must serve a copy of his petition upon his client
impliedly stipulates to carry it to its conclusion. He and the adverse party at least three days before
is not at liberty to abandon it without reasonable the date set for hearing, otherwise the court may
cause. A lawyer’s right to withdraw from a case treat the application as a mere scrap of paper. If
before its final adjudication arises only from the the application is filed under circumstances that do
client’s written consent or from the court’s not afford a substitute counsel sufficient time to
approval of his petition to withdraw based on a prepare for trial or that work prejudice to the
good cause. client’s cause, the court may deny his application
and require him to conduct the trial.
Rule 22.01 - A lawyer may withdraw his services
in any of the following case: The lawyer has no right to presume that his
petition for withdrawal will be granted by the
(a) When the client pursues an illegal or court. Until his withdrawal shall have been
immoral course of conduct in connection with the approved, the lawyer remains counsel of record
matter he is handling; who is expected by his client as well as by the court
to do what the interest of his client require.
(b) When the client insists that the lawyer
(Agpalo, 360)
pursue conduct violative of these canons and
rules; Rule 22.02 - A lawyer who withdraws or is
discharged shall, subject to a retainer lien,
(c) When his inability to work with co-counsel
immediately turn over all papers and property to
will not promote the best interest of the client;
which the client is entitled, and shall cooperative
(d) When the mental or physical condition of with his successor in the orderly transfer of the
the lawyer renders it difficult for him to carry out matter, including all information necessary for the
the employment effectively; proper handling of the matter.

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3. Suspension, Disbarment and Discipline of The Court of Appeals and the Regional Trial
Lawyers Courts are also empowered to warn, admonish,
reprimand and suspend an attorney who appears
before them from the practice of law for any of the
a. Nature and Characteristics of Disciplinary
causes mentioned in Section 27, of Rule 18, RRC
Actions Against Lawyers
(Section 16, Rule 139-B, Revised Rules of Court). But, they
Suspension is the temporary withholding of cannot disbar a lawyer.
the lawyer’s privilege to practice his profession for
An RTC Judge cannot summarily suspend a
a certain period, or of an indefinite period of time.
lawyer as punishment for committing an indirect
It is the act of the court in prohibiting an contempt. (Balasabas vs. Aquilisan, 106 SCRA 489).
attorney from practicing law for a definite period.
The inferior courts (MTCs) are not
Indefinite suspension gives the lawyer to key empowered even just to suspend an attorney,
to the restoration of his right by giving him a although, they may cite or hold a lawyer in
chance to purge himself in his own good time of his contempt of court for contemptuous acts.
contempt or misconduct by acknowledging his
Justices and Judges, who are also lawyers,
misconduct, exhibiting appropriate repentance,
if found guilty of certain crimes and/or of the
and demonstrating his willingness and capacity to
causes for disbarment under the Rules of Court
live up to the exacting standards required of every
may be also disbarred.
lawyer (Zaldivar cs. Sandigandbayan, 170 SCRA 1).
Justices of the Supreme Court however
The suspension referred to in Section 27, Rule
may not be disbarred unless and until they shall
138 of the Rules of Court, refers only to suspension
have been first impeached in accordance with the
from the practice of law. It would be improper for
Constitution (Cuenco vs. Fernan, 158 SCRA 29). The
the Court to impose as a penalty for a lawyer’s
same is true with the other impeachable officers
breach of legal ethics and the lawyer’s oath,
who are members of the Bar.
suspension from his employment in the Judge
Advocate General’s Service (Maligaya vs. Doronilla, Jr., Restorative justice, not retributive justice is the
502 SCRA 1).
goal in disciplinary proceedings against lawyers
(Gamilla vs. Mariño, Jr., 399 SCRA 308).
Disbarment- is the act of the Philippine
Supreme Court in withdrawing from an attorney Administrative Liabilities of Lawyers
the privilege to practice law. The name of the
lawyer is stricken out from the Roll of Attorney’s. Membership in the Bar being merely a
And he does not have the right to put in his name privilege, the same may be suspended or removed
even the prefix “Atty.”. N either can he sign from the lawyer for reasons provided in the Rules,
pleadings even if he does not personally appear in law and jurisprudence. The actuations of lawyers
court. are subject to scrutiny at all times. The professional
activities as well as the lawyer’s private lives,
The power to punish for contempt and the insofar as the latter may reflect unfavourably upon
power to disbar are separate and distinct, and that the good name and prestige of the profession and
the exercise of one does not exclude the exercise the courts, may at any time be the subject of
of the other (People vs. Godoy, 243 SCRA 64). inquiry by the proper authorities (People vs. Andan,
CA-G.R No. 3173-R, May 17, 1949). Disbarment
The Supreme Court has the full authority
proceedings may be anchored on acts committed
and power to warm, admonish, reprimand,
in or out of court (Synder’s Case, 76 ALR 666 ;Tobias vs.
suspend and disbar a lawyer (Section 27, Rule 138, Veloso 100 SCRA 177)
RRC).

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A warning in ordinary parlance, has been 5. It is imprescriptible. Unlike ordinary

defined as an ‘act or fact of putting one on his proceedings, it is not subject to the defense
guard against an impending danger, evil of prescription. The ordinary statues of
consequences or penalties,’ an admonition, refers limitations have no application to
to a gentle or friendly reproof, mild rebuke, disbarment proceedings (Carlo vs. Degamo, 20
warning or reminder, counselling, on a fault, error SCRA 1162); However, an unexplained long
or oversight, an expression of authoritative advice delay in the filing of an administrative case
or warning.’ They are not considered as penalties. creates suspicion in the motives of the
complainant. Thus, in Salamanca vs.
A reprimand, on the other hand, is of a Bautista, 8 SCRA 459, the delay, among
more severe nature, and has been defined as a other factors, was favourably considered and
public and formal censure or severe reproof, respondents were exonerated.
administered to a person in fault by his superior
officer or a body to which he belongs. It is more 6. It is conducted confidently being confidential
than just warning or an admonition. in nature until its final determination (Rule
139-B, Section 18, RRC).
When the unethical act committed by a
lawyer is not so serious, the Court my simply warn, 7. It is itself due process of law (In re: Montagne &
admonish or reprimand the attorney with a Dominguez, Phil. 577).
warning that the repetition of similar act in the 8. Whatever has been decided in a disbarment
future will be dealt with severely. case, cannot be a source of right that may be
Censure and reprimand are synonymous. enforce in another action, like action for
reconveyance and damages (Esquivias vs. Court
(1) Sui Generis of Appeals, 272 SCRA 803).

Characteristics of Disbarment Proceedings - 9. In parti delicto rule is not applicable (Morfel

a disbarment proceedings is a class by itself. It is sui vs. Aspiras, 100 Phil. 586;
generis. It has the following characteristics: The penalty in disbarment case cannot be in
1. It is neither civil or a criminal proceedings (In the alternative.
re: Montage and Dominguez, Phil. 577

2. Double jeopardy cannot be availed of in

(2) Prescription
disbarment proceedings against an attorney.
Disbarment does not partake of a criminal b. Grounds
proceeding. Thus a lawyer who was found
guilty of falsification of public documents GROUNDS FOR SUSPENSION FOR DISBARMENT OF
cannot put up the defence of double MEMBERS OF THE BAR
jeopardy in the disbarment proceedings filed
against him which is based on the same facts Specific Grounds under the Rules of Court
as the criminal case (De Jesus-Paras vs. Vailocase,
Adm. Case No. 439, April 12, 1961).
1. Deceit;

3. It can be initiated motu proprio by the 2. Malpractice, or other gross misconduct in

Supreme Court or by the IBP. office;

4. It can be proceed regardless of interest or 3. Grossly Immortal conduct;

lack of interest of the complaints, if the facts
4. Conviction of a crime involving moral
proven so warrant (Go vs. Candoy,21 SCRA
turpitude;
439).

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5. Violation of oath of office; person concerned in the administration of justice

which is prejudicial to the rights of the parties or to
6. Wilful disobedience of any lawful order of a the right determination of a case, a conduct that is
superior court; generally motivated by a premeditated, obstinate
or international purpose (Yumol , Jr vs. Ferrer, Sr., 456
7. Corrupt or wilful appearance as an attorney SCRA 475).
for a party to case without authority to do so
(Section 27, Rule 138, RRC). Instances of Malpractice and Gross Misconduct

The word “conduct” as used in the Rule is not 1. Failure of a lawyer to appeal in allowing the
limited to conduct exhibited in connection with the period of appeal to lapse
performance of the lawyer’s professional duties.
2. Failure of a lawyer to submit his client’s brief
It also includes gross misconduct not within the reglementary period.
connected with his professional duties, which
shows him to be unfit for the office and unworthy 3. Preparation and notarization of immoral
of the privilege which his license and law confer contracts or agreements
upon him (Co vs. Bernardino, 285 SCRA 107)
a. Notarizing a forged document
1.Deceit- assumes so many different hues and
4. Preparation by a notary public of a false
forms that it is not possible to lay down a rule to
affidavit
determine its presence in any given case. Deceit
may consists in a misrepresentation, or in the 5. Solicitation of cases either directly or
positive assertion of a falsehood, or in the creation indirectly through paid agents or brokers
of a false impression by words or acts, or in any
trick or device 6. Abandonment of cases a client’s case

As a general rule, in order to constitute 7. Delay in the filing of a client’s case

deceit, there must be a false representation as to a
matter of fact (People vs. Gatmaitan, 19602-R, May 8. Notary public, who makes it appear in the
29 1958). jurat of a contract that an affiant exhibited to
him his residence certificate when in fact he
An attorney is in an easy position to take did not do so; Notarizing a document
advantage of the cruelty and ignorance of his without the affiant’s presence.
client. Thus, no presumption of innocence or
improbability of wrongdoing is considered in an 9. Acknowledging a special power of attorney
attorney’s favour. (Cruz vs. Jacinto, 328 SCRA 636). in the absence of one of the parties

2. Malpractice- it refers to any malfeasance or 10. Comprising a client’s case without

dereliction of duty committed by a lawyer (Tan Tek authority
Beng vs. David, 126 SCRA 389). Legal malpractice
11. Notarizing documents after the lawyer’s
consists of failure of an attorney to use such skill,
commission as notary public had expired
prudence, and diligence as lawyers of ordinary skill
and capacity commonly possess and exercise in 12. Representing conflicting interests
performance of tasks which they undertake, and
when such failure proximately causes damage it 13. Encroaching upon the business of another
gives rise to an action. (Neel vs. Maganan, lawyer

Gross Misconduct- is any inexcusable, shameful 14. Advertisement of a lawyer’s skill in a

or flagrant unlawful conduct on the part of the newspaper or publication

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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

15. Cooperating in illegal practice of law such 3. GROSSLY IMMORAL CONDUCT – it is difficult to
as the formation of a partnership with a state with precision and to fix an inflexible
layman standard as to what is “grossly immortal conduct”
or to specify the moral delinquency and obliquity
16. Conversion of client’s money to his which render a lawyer unworthy of continuing as a
(lawyer’s) own benefit member of the bar.
17. Gross negligence Immoral conduct has been defined as
“that conduct which is wilful, flagrant, or
18. Notarizing one’s own affidavit
shameless, and which shows a moral indifference
19. Intimidating a client by a display of a to the opinion of the good and respectable
revolver members of the community

20. Failure to pay a fine imposed for failure to Is the sexual Intimacy of a Male Lawyer
file a brief with a Woman Not His Wife or without the Benefit
of Marriage Grossly Immoral Per Se? No. As to
21. Refusal to pay IBP dues whether cohabitation with a woman not the
lawyer’s wife or without marriage is grossly
22. Practicing law despite the lawyer’s immoral as to merit disciplinary action depends
suspension even if he refrained from using upon the circumstances of each case.
the word “attorney”
4. Conviction of a Crime Involving Moral
23. Lack of fidelity, care and devotion to the Turpitude
cause of the client
Moral turpitude has been defined as
24. Attempting to mislead the Supreme Court “everything which is done contrary to justice,
by raising issues long laid to rest by final and modesty, or good morals; an act of baseness,
executory judgment vileness or depravity in the private and social
duties which a man owes his fellowmen, or to
25. Unwarranted obstinacy in evading
society in general, contrary to justice, honesty,
payment of debt
modesty, or good morals” (Soriano vs. Dizon, 480 SCRA
1).
26. Acquiring for himself the lots of his client
which were entrusted to him The mere existence of criminal charges
against the lawyer cannot be a ground for his
27. Offering false testimony
disbarment or suspicion. He is presumed innocent
28. Downloading by Atty. De Guzman of the unless otherwise proven guilty with finality.
Bar Examination questions from Atty. Balgo’s However, after conviction, the presumption no
computer without the knowledge of the longer holds.
latter
5. Violation of Oath of Office
29. Issuance of bouncing checks
The Attorney’s Oath reads –
30. Advising client to sign an ante-dated deed
of sale to avoid capital taxes “I, ____________________, of
______________________ do solemnly swear that
31. Disregarding orders of the IBP-CBD 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 duty
constituted authorities therein; I will do no
falsehood, nor consent to the doing of any in court;
LIAO, JOANNA MARIE ABOGA LEGAL AND JUDICIAL ETHICS 45
 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

I will not wittingly nor willingly promote or sue any being shown, require any attorney who assumes
groundless, false or unlawful suit, or give aid nor the right to appear in a case to produce or prove
consent to the same; I will delay no man for money the authority under which he appears, and to
or malice, and will conduct myself as a lawyer disclose, whenever pertinent to any issue, the
according to the best of my knowledge and name of a person who employed him, and my
discretion, with all good fidelity as well as to the thereupon make such order as justice requires. An
court as to my clients; and I impose upon myself attorney wilfully appearing in court for a person
these voluntary obligations without any mental without being employed, unless by leave of the
reservation or purpose of evasion. So help me court, may be punished for contempt as an officer
God.” of the court who has misbehaved in his official
transactions.” (Rule 18, Section 21, RRC)
The attorney’s oath is not just a mere
formality recited for a few minutes in the glare of c. Proceedings
flashing cameras and before the presence of select
witnesses. Disbarment is instituted:

It is rather a solemn affirmation of the 1. By the Supreme Court, motu proprio; or

lawyer’s lifetime commitment to be a loyal citizen,
2. By the IBP Board of Governors:
a law-abiding person, a defender of truth and
justice, an advocate of the rule of law, an exemplar a. Motu proprio;or
of loyalty and fidelity to the courts and to clients
and a model to emulate both in his professional b. Upon referral by the Supreme Court; or
and private life.
c. Upon referral by a chapter Board of officers
The violation of this Oath is a ground for at the instance of any person.
suspension or disbarment (Rule 138, Section 27,
RRC). The Complaint must:

6. Willful Disobedience of any lawful order of a 1. Be verified;

superior court
2. State clearly and concisely the facts
The resistance or defiance to the order of complained of;
the Court must be willful
3. Be supported by affidavits of persons
Disregarding a TRO issued by the Court of having personal knowledge of facts therein
Appeals is disobedience alleged, or documents which may
substantiate it;
7. CORRUPT OR WILFUL APPEARANCE FOR A
CLIENT WITHOUT BEING EMPLOYED 4. Be filed with six (6) copies furnished the
Secretary of the IBP or any of its chapters.
- It is prohibited for a lawyer to appear for a
person in court without being hired or employed, The following is an outline of the procedure of a
unless, there is leave of court first obtained disbarment proceeding after it is filed with the IBP:

- An attorney is presumed to be properly 1. The case shall be assigned to a National

authorized to represent any cause in which he Grievance Investigator where the Board of
appears, and no written power of attorney is Governors shall appoint one forum among
required to authorize him to appear in court for his IBP members or three (3) when special
client, but the presiding judge may, on motion of circumstances warrant;
either party and on reasonable grounds therefor

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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

2. If the complaint is meritorious, the b. If the decision is for exoneration,

respondent shall be served with a copy or if the sanction is less than suspension
requiring him to answer within 15 days or dismissal, the Board shall issue a
from service ; decision exonerating the respondent or
imposing a lesser sanction. The
3. The respondent shall file an answer resolution exonerating the respondent
containing six (6) copies and shall verify the shall be considered as terminating the
same; after receipt of the answer or lapse case unless upon petition of the
of the period to do so, the Supreme Court complaint or other interested party filed
may, motu proprio or at the instance of the with the Supreme Court within 15 days
IBP Board of Governors, upon from notice of the Board’s decision.
recommendation by the Investigator, (Albano, Ed Vincent Legal and Judicial
suspend an attorney from practice of any of Ethics)
the causes under Rule 138. Sec. 27, during
the pendency of the investigation; d. Discipline of Filipino Lawyers Practice in
Foreign Jurisdictions
4. After the joinder of the issues or failure to
answer, the respondent shall be given full Disbarment or Suspension of a Filipino Lawyer
opportunity to defend himself. But if the in Foreign Country; Effect in the Philippines- a
respondent fails to appear to defend member of the Philippine Bar may also be
himself inspite of notice, the investigator admitted to the practice of the law in a foreign
may proceed ex parte. The investigation country specially in the United States.
shall be terminated within three (3) months
from commencement which period may be If the Filipino lawyer is disbarred or
extended; suspended from the practice of law by a
competent court or disciplinatory agency in a
5. The Investigator shall make a report to the foreign jurisdiction where he has been admitted as
Board of Governors within 30 days from an attorney, and the ground thereof includes any
termination of the investigation which of the acts enumerated in Section 27, Rule 138 of
report shall contain his findings and the Revised Rules of Court, such disbarment or
recommendations together with the suspension is ground for his disbarment or
evidence; suspension in the Philippines.

6. The Board of Governors shall have the The judgment, resolution or order of the
power to review the decision of the foreign court or disciplinatory agency shall be
Investigator. Its decision shall be prima facie evidence of the ground for disbarment
promulgated within a period not exceeding or suspension (Supreme Court Resolution dated 21
30 days from the next meeting of the Board February 1992 amending Section 27, Rule 138, Revised Rules
following the submission of the report of of Court).
the Investigator; 4. Readmission to the Bar
a. If the decision is a finding of guilt a. Lawyers Who Have Been Suspended
of the charges, the IBP Board of
Governors shall issue a resolution setting Lifting of Suspension, Bases – the suspension
forth its findings and recommendations of a lawyer from the practice of law, specifically,
which shall be transmitted to the when the suspension is, indefinite requires strong
Supreme Court for final action together proofs of rehabilitation (Artiaga, Jr. vs. Villanueava, 175
with the record; SCRA 237). The Supreme Court in Laguitan vs. Tinio
(179 SCRA 837) resolved to lift the suspension of Atty.
Tinio upon presentation of satisfactory evidence
LIAO, JOANNA MARIE ABOGA LEGAL AND JUDICIAL ETHICS 47
 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

that he is supporting his illegitimate children and appropriate petition with the Supreme Court (In re:
has given up his immoral course of conduct. Rivero, 101 SCRA 803;

b. Lawyers Who Have Been Disbarred If during the pendency of a disbarment

proceeding, the respondent was granted executive
APPLICATION FOR REINSTATEMENT pardon, the dismissal of the case on that sole basis
will depend on whether the executive pardon is
- In disbarment proceedings, reinstatement
absolute or conditional, the disbarment case will
means the restoration to a disbarred lawyer, the
be dismissed.
privilege to practice law. It is nothing more than
readmission to membership in the Bar. However, if the executive pardon is conditional,
the disbarment case will not be dismissed on the
- The power of the Supreme Court to
basis thereof.
reinstate the privilege to practice of law to a
disbarred lawyer is anchored on its constitutional The fact that a lawyer, convicted of a
prerogative to promulgate rules on the admission falsification, was conditionally pardoned does not
of applicants to the practice of law (Art. VIII. preclude his being disbarred. The pardon relieved
Section 5 [5], 1987 Constitution). him of the penal consequences of his act. He is
being disbarred for professional misconduct (In re:
Criteria of Reinstatement
Avanceña, 20 SCRA 1012).
1. Appreciation of the significance of his
Effects of Reinstatement-
dereliction;
- Reinstatement to the roll of attorneys
2. Assurance to the court that he now possesses
wipes out the restrictions and disabilities resulting
the requisite probity and integrity necessary to
from a previous disbarment (Cui vs. Cui, 11 SCRA 755).
guarantee his worthiness to be restored to the
practice of law; - The Supreme Court, in addition to the
required rehabilitation of the applicant for
3. Time elapse between disbarment and
reinstatement may require special conditions to be
application for reinstatement;
fulfilled by the applicant.
4. Good conduct an honourable dealing
In Quingwa vs. Puno (43 SCRA 55), the Supreme
subsequent to his disbarment;
Court required respondent Puno to (a) formally
5. Active involvement in civic, educational and acknowledge his child, Armando Puno, Jr. who is in
religious organizations; the care of the support of mother, complaint Flora
Quingwa; and (b) to support the said child.
6. Favourable indorsement of IBP as well as local
government officials and citizens of his In re: Russiana (56 SCRA 242), the respondent was
community; and required to enrol in and pass the regular fourth
year review classes in a recognized law school, the
7. Pleas of his mother and wife for the sake and fulfilment of which must be certified by the
fortune of his family (Tan vs. Sandoval, 170 SCRA individual professors of the review classes.
211).
Lifting of Suspension, Bases – the suspension of a
If a Disbarred Lawyer Due to Conviction for a lawyer from the practice of law, specifically, when
Crime Automatically Reinstated to the Practice the suspension is, indefinite requires strong proofs
upon being Pardoned by the President?- to be of rehabilitation (Artiaga, Jr. vs. Villanueava, 175
reinstated, there is still a need for the filing of an SCRA 237). The Supreme Court in Laguitan vs. Tinio
(179 SCRA 837) resolved to lift the suspension of

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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

Atty. Tinio upon presentation of satisfactory Section 2: Minimum Education Requirement

evidence that he is supporting his illegitimate Subject to the Exemptions Listed in Sections 1 and
children and has given up his immoral course of 2, Rule 7 of the Rules. Every member of the IBP
conduct. must complete at least thirty-six (36) credit units of
mandatory continuing legal education (MCLE)
If a Disbarred Lawyer Due to Conviction for a every three (3) years during the compliance period
Crime Automatically Reinstated to the Practice as provided in Rule 2 and these Implementing
upon being Pardoned by the President?- to be Regulations.
reinstated, there is still a need for the filing of an
appropriate petition with the Supreme Court (In re: Section 3: Compliance Period
Rivero, 101 SCRA 803;

If during the pendency of a disbarment proceeding, The initial compliance period shall be from
the respondent was granted executive pardon, the April 15, 2001 up to April 14, 2004. All succeeding
dismissal of the case on that sole basis will depend compliance periods shall begin the day after the
on whether the executive pardon is absolute or end of the preceding compliance period. The initial
conditional, the disbarment case will be dismissed. compliance period for members newly admitted or
readmitted to the IBP shall begin on the first day of
However, if the executive pardon is conditional, the month of admission or readmission and shall
the disbarment case will not be dismissed on the end on the same day as that of all other members.
basis thereof. (Implementing Rules, B.M. 850)

The fact that a lawyer, convicted of a falsification, RULE 11

was conditionally pardoned does not preclude his GENERAL COMPLIANCE PROCEDURES
being disbarred. The pardon relieved him of the
penal consequences of his act. He is being SECTION 1. Compliance card. - Each member shall
disbarred for professional misconduct (In re: secure from the MCLE Committee a Compliance
Avanceña, 20 SCRA 1012). Card before the end of his compliance period. He
shall complete the card by attesting under oath
c. Lawyers Who Have Been Repatriated
that he has complied with the education
requirement or that he is exempt, specifying the
5. Mandatory Continuing Legal Education
nature of the exemption. Such Compliance Card
BAR MATTER NO. 850 [October 02, 2001] must be returned to the Committee not later than
ADOPTING THE REVISED RULES ON THE the day after the end of the member's compliance
CONTINUING LEGAL EDUCATION FOR MEMBERS period.
OF THE INTEGRATED BAR OF THE PHILIPPINES
SEC. 2. Member record keeping requirement. -
a. Purpose Each member shall maintain sufficient record of
compliance or exemption, copy furnished the
Continuing legal education is required of
MCLE Committee. The record required to be
members of the Integrated Bar of the
provided to the members by the provider pursuant
Philippines (IBP) to ensure that throughout their
to Section 3© of Rule 9 should be a sufficient
career, they keep abreast with law and
record of attendance at a participatory activity. A
jurisprudence, maintain the ethics of the
record of non-participatory activity shall also be
profession and enhance the standards of the
maintained by the member, as referred to in
practice of law (Rule 1, B.M. 850).
Section 3 of Rule 5.
b. Requirements
RULE 12
c. Compliance NON-COMPLIANCE PROCEDURES

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SECTION 1. What constitutes non-compliance. - toward meeting the current compliance period
The following shall constitute non-compliance: requirement. (B.M. 850)

(a) Failure to complete the education d. Exemptions

requirement within the compliance
period; Section 5: Exemptions. The following are
(b) Failure to provide attestation of exempted from the MCLE requirement:
compliance or exemption;
(c) Failure to provide satisfactory evidence of a. The Executive
compliance (including evidence of exempt
status) within the prescribed period; 1. The President, Vice-President of the Philippines,
(d) Failure to satisfy the education and the Secretaries and Undersecretaries of the
requirement and furnish evidence of such Executive Departments of the Philippine
compliance within sixty (60) days from Government;
receipt of non-compliance notice;
(e) Failure to pay non-compliance fee within 2. The Chief State Counsel, Chief State Prosecutor,
the prescribed period; and Assistant Secretaries of the Department of
(f) Any other act or omission analogous to Justice;
any of the foregoing or intended to
circumvent or evade compliance with the 3. The Solicitor General and the Assistant Solicitors
MCLE requirements. General;
SEC. 2. Non-compliance notice and 60-day period
4. The Government Corporate Counsel, Deputy and
to attain compliance. - Members failing to comply
Assistant Government Corporate Counsel;
will receive a Non-Compliance Notice stating the
specific deficiency and will be given sixty (60) days
5. Heads of government agencies exercising quasi-
from the date of notification to file a response
judicial functions;
clarifying the deficiency or otherwise showing
compliance with the requirements. Such notice
shall contain the following language near the b. The Legislative
beginning of the notice in capital letters:
Senators and Members of the House of
IF YOU FAIL TO PROVIDE ADEQUATE Representatives;
PROOF OF COMPLIANCE WITH THE MCLE
REQUIREMENT BY (INSERT DATE 60 DAYS FROM c. The Judiciary
DATE OF NOTICE), YOU SHALL BE LISTED AS A
DELINQUENT MEMBER AND SHALL NOT BE The Chief Justice and Associate Justices of the
PERMITTED TO PRACTICE LAW UNTIL SUCH TIME Supreme Court, incumbent and retired members of
AS ADEQUATE PROOF OF COMPLIANCE IS the Judiciary, incumbent members of the Judicial
RECEIVED BY THE MCLE COMMITTEE. and Bar Council, and incumbent court lawyers
covered by the Philippine Judicial Academy
Members given sixty (60) days to respond to a program of continuing judicial education;
Non-Compliance Notice may use this period to
attain the adequate number of credit units for d. The Constitutional Bodies
compliance. Credit units earned during this period
may only be counted toward compliance with the 1.The Chairmen and Members of the Constitutional
prior compliance period requirement Commissions.
unless units in excess of the requirement are
earned, in which case the excess may be counted
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2. The Ombudsman, the Overall Deputy SEC. 2. Listing as delinquent member. - A member
Ombudsman, the Deputy Ombudsmen and the who fails to comply with the requirements after
Special Prosecutor of the Office of the the sixty (60) day period for compliance has
Ombudsman. expired, shall be listed as a delinquent member of
the IBP upon the recommendation of the MCLE
e. Law Schools/Academe Committee. The investigation of a member for
non-compliance shall be conducted by the IBP's
1. Incumbent deans, bar reviewers and professors Commission on Bar Discipline as a fact-finding arm
of law who have had teaching experience for at of the MCLE Committee.
least ten (10) years in accredited law schools;
SEC. 3. Accrual of membership fee. - Membership
2. The Chancellor, Vice-Chancellor and members of fees shall continue to accrue at the active rate
the Corps of Professors and Professorial Lecturers against a member during the period he/she is
of the Philippine Judicial Academy; listed as a delinquent member.

f. Local Government RULE 14

REINSTATEMENT
Governors and mayors; SECTION 1. Process. - The involuntary listing as a
delinquent member shall be terminated when the
g. Non-Practicing Lawyers member provides proof of compliance with the
MCLE requirement, including payment of non-
1. Lawyers who are not in practice, whether private compliance fee. A member may attain the
or public; and necessary credit units to meet the requirement for
the period of non-compliance during the period
2. Those who have retired from law practice with the member is on inactive status. These
the approval of the IBP Board of Governors. credit units may not be counted toward meeting
the current compliance period requirement.
Section 6: Other Exemptions or Modifications Credit units earned during the period of non-
compliance in excess of the number needed to
For good cause (such as physical disability, illness, satisfy the prior compliance period requirement
post-graduate study abroad, proven expertise in may be counted toward meeting the current
law and similar ground) and subject to approval by compliance period requirement.
the Committee, a member may file a verified
request for exemption from compliance, or SEC. 2. Termination of delinquent listing is an
modification of any of the MCLE requirements, administrative process. - The termination of listing
including extension of time for compliance. (Rule 7, as a delinquent member is administrative in nature
B.M. 850) AND it shall be made by the MCLE
Committee.(B.M. 850)
e. Sanctions
6. The Notary Public
RULE 13
CONSEQUENCES OF NON-COMPLIANCE Qualifications under the 2004 Rules on Notarial
Practice:
SECTION 1. Non-compliance fee. - A member who,
for whatever reason, is in non-compliance at the  Must be a citizen of the Philippines;
end of the compliance period shall pay a non-  Must be over twenty-one (21) years of age;
compliance fee.
 Must be a resident in the Philippines for at
least one (1) year and maintains a regular
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 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

place of work or business in the city or other mark on an instrument or

province where the commission is to be document presented for notarization
issued; if:
 Must be a member of the Philippine Bar in (1) The thumb or other mark is affixed
good standing with clearances from the in the presence of the notary
Office of the Bar Confidant of the Supreme public and of two (2) disinterested
Court and the Integrated Bar of the and unaffected witnesses to the
Philippines; and instrument or document;
 Must not have been convicted in the first (2) Both witnesses sign their own
instance of any crime involving moral names in addition to the thumb or
turpitude. (Sec. 1, Rule III). other mark;
What is the territorial jurisdiction and term of a (3) The notary public writes below the
notarial commission? thumb or other mark: “Thumb or
other Mark affixed by (name of
Jurisdiction of Notaries Public under the signatory by mark) in the presence
2004 Rules on Notarial Practice. of (names and addresses of
witnesses) and undersigned notary
A person commissioned as notary public
public”; and
may perform notarial acts in any place within the
territorial jurisdiction of the commissioning court (4) The notary public notarizes the
for a period of two (2) years commencing the first signature by thumb or other mark
day of January of the year in which the through an acknowledgment, jurat,
commissioning is made, unless earlier revoked or or signature witnessing.
the notary public has reigned under these Rules
and the Rules of Court (Sec. 11, Rule III). (c) A notary public is authorized to sign on
behalf of a person who is physically
Powers and Limitations of Notaries Public (Sec. 1, unable to sign or make a mark on an
Rule IV) instrument or document if:

Powers of Notaries Public under the 2004 (1) The notary public is directed by the
Rules on Notarial Practice person unable to sign or make a
mark to sign on his behalf;
(a) A notary public is empowered to
perform the following notarial acts: (2) The signature if the notary public is
affixed in the presence of two
(1) Acknowledgments; disinterested and unaffected
witnesses to the instrument or
(2) Oaths and affirmations;
document;
(3) Jurats;
(3) Both witnesses sign their own
(4) Signature witnessing; names;

(5) Copy certifications; and (4) The notary public writes below his
signature: “Signature affixed by
(6) Any other act authorized by these notary in presence of (names and
Rules. addresses of person and two [2]
(b) A notary public is authorized to certify witnesses)”; and
the affixing of a signature by thumb or

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(5) The notary public notarizes his provide for lawful inspection. (Sec. 1, [a] par. 1,
signature by acknowledgment or Rule VI)
jurat. (Sec. 1, Rule IV).
Where can you obtain a notarial register?
Prohibitions (Sec. 2, Rule IV)
At the Office of the Solicitor General upon
A notary public shall not perform a notarial request and upon payment of the cost thereof. The
act outside his regular place of work or business; register shall be duly paged, and on the first page,
provided, however, that on certain exceptional the Solicitor General shall certify the number of
occasions or situations, a notarial act may be pages of which the book consists. (Sec. 1, Par. 2,
performed at the request of the parties in the Rule VI)
following sites located within his territorial
jurisdiction: How many notarial register can a notary public
keep?
(1) Public offices, convention halls, and
similar places where oaths of office may A notary public shall keep only one active
be administered; notarial register at any given time. (Sec. 1 [b], Rule VI)

(2) Public function areas in hotels and Entries in the Notarial Register (Sec. 2, Rule VI;
similar places for the signing of Sec. 3, Rule VI) What notarial acts are required to
instruments or documents requiring be recorded in the notarial register?
notarization;
For every notarial act, the notary shall
(3) Hospitals and other medical institutions record in the notarial register at the time of
where a party to an instrument or notarization the following:
document is confined for treatment; and
(1) The entry number and page number;
(4) Any place where a party to an
instrument or document requiring (2) The date and time of day of the notarial
notarization is under detention. (Sec 2, act;
Rule IV).
(3) The type of notarial act;
A person shall not perform a notarial act if
(4) The title or description of the
the person involved as signatory to the instrument
instrument, document or proceeding;
or document
(5) The name and address of each principal;
(1) Is not in the notary’s presence personally
at he time of the notarization; and (6) The competent evidence of identity as
defined by these Rules if the signatory is
(2) Is not personally known to the notary
not personally known to the notary;
public or otherwise identified by the
notary public through competent (7) The name and address of each credible
evidence of identity as defined by the witness swearing to or affirming the
Rules. (Secs. 2, Rule IV). person’s identity;
What is a Notarial Register? (8) The fee charged for the notarial act;

It is a permanently bound book with (9) The address where the notarization was
numbered pages containing the chronological performed if not in the notary’s regular
official notarial register of notarial acts which a place of work or business; and
notary public shall keep, maintain, protect and
(10)Any other circumstances the notary
public may deem of significance.
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Ground to revoke notarial commission and (11)Commits any other dereliction or act
administrative sanctions which in the judgment of the
Executive Judge constitutes good
(a) The executive Judge shall revoke a notarial cause for revocation of commission
commission for any ground on which an or imposition of administrative
application for a commission may be sanction.
denied.
(c) Upon verified complaint by an interested,
(b) In addition, the Executive Judge may affected or aggrieved person, the notary
revoke the commission of, or impose public shall be required to file a verified
appropriate administrative sanctions upon, answer to the complaint. If the answer of
any notary public who: the notary public is not satisfactory, the
(1) Fails to keep a natorial register; Executive Judge shall conduct a summary
hearing. Of the allegations of the complaint
(2) Fails to make the proper entry or are not proven, the complaint shall be
entries in his notorial register dismissed. If the charges are duly
concerning his notarial acts; established, the executive Judge shall
impose the appropriate administrative
(3) Fails to send the copy of the entries
sanctions. In either case, the aggrieved
to the Executive Judge within the
party may appeal the decision to the
first ten (10) days of the month
Supreme Court for review. Pending the
following;
appeal, an order imposing disciplinary
(4) Fails to affix to acknowledgments the sanctions shall be immediately executor,
date of expiration of his unless otherwise ordered by the Supreme
commissions; Court.

(5) Fails to submit his notarial register, (d) The Executive Judge may motu proprio
when filled to the Executive Judge; initiate administrative proceedings against
a notary public, subject to the procedures
(6) Fails to make his report, within a prescribed in paragraph (c) above and
reasonable time, to the Executive impose the appropriate administrative
Judge concerning the performance of sanctions on the grounds mentioned in the
his duties, as may be required by the preceding paragraphs (a) and (b). (Sec. 1,
judge; Rule XI)
(7) Fails to require the presence of a Publication of Revocations and
principal at the time of the notarial Administrative Sanctions – The Executive
act; Judge shall immediately order the Clerk of
(8) Fails to identify a principal on the Court to post in a conspicuous place in the
basis of personal knowledge or offices of the Executive Judge and of the
competent evidence; Clerk of Court the names of notaries public
who have been administratively sanctioned
(9) Executes a false or incomplete or whose notarial commissions have been
certificate under Section 5, Rule IV; revoked.
(10)Knowingly performs or fails to
perform any other act prohibited or
mandated by these Rules; and

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B. JUDICIAL ETHICS decline the attempt. In this way, the judge asserts
his individual judicial independence.
The Judiciary, which is acclaimed as the
firmest pillar of our democratic institutions, is INDEPENDENCE
vested by the Constitution with the power to settle
Individual Independence from Judicial
disputes between parties and to determine their
Colleagues- every judge must decide
rights and obligations under the law. For judicial
independently, even in collegial court divisions.
decisions, which form part of the law of the land,
While there may be discussions and exchange of
to be credible instruments in the peaceful and
ideas among judges, at the end of such discussion,
democratic resolution of conflicts, our courts must
the judge must decide on the basis of his own, sole,
be perceived to be and, in fact be, impartial,
judgment.
independent, competent and just. To accomplish
this end, it is imperative that members of the Duty against Meddling with another Court
Judiciary from its highest magistrates to its or Administrative Agency – a judge shall refrain
humblest employees adhere to the strictest code from influencing in any manner the outcome of
of ethics and the highest standards of propriety litigation or dispute pending before another Court
and decorum. Indeed, it is unfortunate that one of (Cannon 2, Rule 2.04). Interference by members of
the countrys second highest courts, the Court of the bench in pending suits with the end in view of
Appeals, should be presently embroiled in scandal influencing the course or the result of litigation
and controversy. It is this Courts bounden duty to does not only subvert the independence of the
determine the culpability or innocence of the judiciary but also undermines the people’s faith in
members of the Judiciary involved in the said its integrity and impartiality.
controversy and to discipline any one whose
conduct has failed to conform to the canons of Individual Independence from Private
judicial ethics, which uphold integrity, Interests and Influence – Relationships with the
independence, impartiality, competence and judge can be used, for selfish interests, to influence
propriety in the performance of official functions. a judgment. The judge must be ever aware that
(Opening statement in AM-08-8-11-CA, RE: LETTER OF such friendly or cordial relations should not be
PRESIDING JUSTICE CONRADO M. VASQUEZ, JR. ON CA-G.R. exploited to influence a decision.
SP NO. 103692 [Antonio Rosete, et al. v. Securities and
Exchange Commission, et al.]; En Banc, Sept. 9, 2008)
Judicial independence from the executive
1. Sources and legislative branches of government – the
judiciary is a branch of government. Judges must
a. New Code of Judicial Conduct for the protect the separation and independence.
Philippine Judiciary (Bangalore Draft)
Individual Independence form Society and
b. Code of Judicial Conduct from Litigants –this section does not speak of
withdrawal from society. Hence, the judge is not
2. Qualities expected to live in isolation away from society.
a. Independence A judge should, however, in pending or
prospective litigation before him be scrupulously
Individual Judicial Independence – judges
careful to avoid such action as may reasonably
must carry out their judicial functions on the basis
tend to weaken the suspicion that his social or
of their own discernment and judgment. Such
business relations or friendships constitute an
discernment and judgment must be free from any
element in determining his judicial course.
undue outside influence. At the first attempt at
extraneous influence, the judge must promptly and
decisively, but in a courteous manner, reject or

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Duty to Uphold Safeguards- the safeguards personnel with a view to the speedy and efficient
are designed to promote judicial independence. administration of justice (Re: Suspension of Clerk of
The judge must zealously such safeguards. Court Joboco, A.M. No. 93-10-1296-RTC, August 12, 1998).

Duty of High Standards in Judicial Conduct Note, however, that judges do not have
– section 8 is a mere affirmance of the adage that the power and authority to preventively suspend a
judges are the visible representation of the law and clerk of court as such power is vested exclusively
of justice. with the Supreme Court (Re: Suspension of Clerk of
Court Joboco, ibid.).
Individual Judicial Independence – judges
must carry out their judicial functions on the basis c. Impartiality
of their own discernment and judgment. Such IMPARTIALITY
discernment and judgment must be free from any
undue outside influence. At the first attempt at Duty to be Impartial – in every litigation, x
extraneous influence, the judge must promptly and x x, the maner and attitude of a trial judge are
decisively, but in a courteous manner, reject or crucial to everyone concerned, the offended party,
decline the attempt. In this way, the judge asserts no less than the accused. It is not for him to
his individual judicial independence. indulge or even to give the appearance of catering
to the times human failing of yielding to first
impressions. He is to refrain from reaching hasty
b. Integrity conclusions or prejudging matters.

CANON 2 INTEGRITY Duty to be free from favour, bias or

prejudice – Lady Justice, the eternal symbol of the
Duty to Disclose to the Appointing judiciary, is always blindfolded. The reason is that
Authority and Judicial and Bar Council – an justice is rendered exclusively on the basis of the
applicant for the judiciary must disclose all his law, the relevant facts, and the jurisprudence. All
previous disciplinary cases. other human factors such as emotions,
relationships, preconceptions are unseen by Lady
Duty to be Above Reproach and Duty to Justice, and are to be excluded totally from the
Appear Above Reproach – the (p)eople’s judge’s consideration.
confidence in the judicial system is founded not
only on the magnitude of legal knowledge and The judge should be careful with his public
diligence of the members of the bench, but also on conduct and his speech and remarks to others,
the highest standard of integrity and moral Hence, the judge must exercise prudence and
uprightness they are expected to possess. restraint and should reserve personnel views and
predilections to himself so as not to stir up
Duty to Public Conduct – the judge must suspicions of bias and unfairness.
not only appear to be a “good judge” but also
appear as a “good son” The judge must portray the “cold-
neutrality of an impartial judge” (People v. CA, 262
Duty to Instill Discipline among Lawyers SCRA 452).
and Court Personnel- a judge has the prerogative
to discipline his staff for negligence and/ or a Duty not to give cause for Disqualification
mistake. However, a judge should not make it a – disqualification is also called inhibition or to
habit of showing fits of temper and resorting to rescue. Where the allegation of partially has not
verbal abuse against erring employees. Thus, he been reasonably established, then there would be
should be mindful of the need to maintain no ground for the judge to inhibit. The test to
professional and harminous relations with his determine the property of the denial of a motion
to inhibit is whether the movant was deprived of a
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fair and impartial trial (Te vs. CA, 346 SCRA 327). A c. Close personal friendship is not a ground for
ruling not to inhibit oneself cannot be overturned inhibition. As long as that friendly relations
in the absence of clear and convincing evidence to with a partylitigant does not influence his
prove the charge (People v. Gako, Jr., 348 SCRA official conduct as a judge in the cases where
334). Where, however, bias and partiality is his close friend was a party (Macariola v.
evident, then the judge must inhibit from the case. Asuncion, 199 Phil. 295). There must be
convincing proof that respondent judge gave
Guidepost for voluntary inhibition of undue privileges in his court to his close
judges – a salutary norm is that he reflects on the friend, or that his close friend benefited from
probability that a losing party might nurture at the his personal relations with respondent judge,
back of his mind the thought that the judge had or that respondent judge used his influence,
unmeritoriously titled the scales of justice against if any, to favour his close friend.
him.
Grounds for Inhibition may be waived by the
Persons who are not parties to the case Parties - in order for a valid waiver to be made,
may not seek the inhibition of a judge the judge must first be transparent and forthright
with the grounds for inhibition. The waiver should
Duty to refrain from Undue Comments on
be made by the parties and their counsels and the
a Case – irresponsible speech or improper conduct
waiver must be in writing. This section would be
of a judge erodes public confidence in the judiciary.
applicable only in event that the ground or grounds
1. Instances of Mandatory Inhibition – where such for inhibition is immaterial or unsubstantial.
instances of mandatory inhibition surfaces, the
d. Propriety
judge must so inhibit. Hence, the judge must
inhibit in the following instances: PROPRIETY
a. Where the judge can be associated with 1. Duty to avoid Improprieties and
either of the parties or their counsel Appearance of Improprieties – a judge occupies a
position in government which gives a tangible
b. Where the judge has the prior personnel
semblance to an important intangible concept, viz.:
knowledge about the facts of the case
justice in society. Thus, appearance of the judge is
c. Where the judge is biased or partial not just shallow concept but an embodiment of
society’s aspiration for justice itself.
d. Where the judge is related to the party-
litigant or the counsel. 2. Personal Restrictions in the Conduct of
Judges – a judge’s official life cannot be simply
2. Instances when judge need not inhibit: detached from his personal life (Vedana v. Valencia,
295 SCRA 1).
a. The fact that an administrative case has been
filed by a party against the judge is not a 3. Duty to Restrict Relations with the Lawyers
ground for inhibition in the absence of - the judge must maintain a respectable distance
factual basis for bias and prejudice. This is between himself and the lawyers that appear
especially true where the administrative before him. Cordial relations should maintained at
cases where filed only to force the judge to a respectable level. Excessive camaraderie can be
inhibit himself from the consideration of the misinterpreted as a ground to unduly influence the
case before him. judge. Conversely, excessive closeness can be
exploited to portray a baseless image of influence
b. The fact that the judge is a next-door over the judge.
neighbour of the complaint was found to be
petty

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4. Restrictions involving the Judge’s Family – not for any other use. Hence, the judge may not
a judge has both the duty of rendering a just use any information for other unofficial purposes.
decision and the duty of doing it in a manner
completely free from suspicion as to its fairness A clarification and distinction was made in the
and as to his integrity. related but the latter case of Hidalgo v. Judge
Reyes (G.R. No. 163155, July 21, 2006)
5. Restriction in the Use of Judge’s Residence
– a judge must keep their distance from lawyers Unlike court orders and decisions,
and avoid involvement with their respective however, pleadings and other documents filed by
practice of law even if such lawyers have no parties to a case need not be matters of public
pending cases before them. Judges and lawyers concern of interests. For they are filed for the
must maintain a discreet relationship. As such, purpose of establishing the basis upon which the
vulgar display of friendship must be avoided. court may issue an order or a judgment affecting
their rights and interests.
6. Exercise of Constitutional rights should not
impinge judicial independence - while judges In thus determining which part or all of the
continue to enjoy their constitutional rights as a records of a case may be accessed to, the purpose
citizens, their exercise of such rights must be for which the parties filed them is to be
mindful of their equally important constitutional considered.
duty to uphold judicial independence. In the event
If the information sought then is not a
that such constitutional rights and constitutional
matter of public concern or interests, denial of
duty clash, the judge must mindful of the judicial
access thereto does not violate a citizen’s
office which he holds and his sworn duty to uphold
constitutional right to information.
judicial independence.
As long as any party, counsel or person has a
7. Duty to financial transparency and duty to
legitimate reason to have a copy of court records
avoid financial conflicts of interests – a judge
and pays court fees, a court may not deny access
should avoid financial improprieties. He must be
to such records (Hidalgo v. Judge Reyes (G.R. No.
always conscious of his and his family’s financial
163155, July 21, 2006)
dealings, when practicable, to avoid being caught
inadvertently in financial entanglements. Where a Rationale for public access to court records
potential conflict would occur, the judge becomes – in Barretto v. Philippine Publishing Co. (30 Phil.
duty-bounds to inhibit from the case. A judge 88) the court held: the right of the public to be
should be conscious about going into a debtor- informed of the proceedings in court is not
creditor relationship with others, as well as mindful founded in the desire or necessity of people to
of his financial investments. know about the doing of other, but in necessity of
knowing whether its servant, the judge, is properly
8. Duty not to use judicial influence – a
performing his duty. x x x
judicial office carries a certain amount of prestige
and influence in society, that prestige ad influence Allowed Judicial Activities – a judge, just
should be used to promote and enhance respect like any other human beings, should not have
for the law and the administration of justice, and other social and professionally-related activities.
not to further the judge’s and his family’s personal The absence of these other activities, other than
interests. his judicial employment, would not be healthy,
mentally and emotionally. Nevertheless, these
9. Duty to Confidentiality – judges comes into
activities must be consistent with the dignity and
possession of various information in the course of
responsibility of the judicial office.
their judicial duties. These information should not
only be used in arriving at a decision of a case, and

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Duty not to Practice Law – the rights, to yield to spasmodic sentiment, to vague and
duties, privileges and functions of the office of an unregulated benevolence.
attorney-at-law are inherently incompatible with
the high official functions, duties, powers, Duty to give due consideration, respect and
discretion and privileges of a judge. courtesy – judicial functions should be carried out
in an orderly manner free from any extraneous
Private practice by a judge, defined- disruptions. Acts of inconsiderateness disrespect
“private practice” is more than an isolated court and discourtesy disrupts judicial proceedings which
appearance , for its consists in frequent or unduly hampers the judge’s task.
customary action, a succession of acts of the same
nature habitually or customarily holding one’s self Duty to ensure equal treatment by court
to the public as a lawyer (Ziga v. Judge Arejola, 451 staff – it is the task of the judge to ensure that
Phil. 449 [2003]). these persons do their part in the proper
administration of justice. Inappropriate conduct of
Duty of Court Staff and Persons under the the court staff towards the party litigants should be
Judge’s Authority against Soliciting or Accepting the accountability of the judge. His failure to
Financial or Material Gains – what a judge cannot properly supervise his staff constitutes negligence
do directly, the judge should not be allowed to do on the part of the judge.
through his staff and others under his authority.
Sections 13 and 14 postulate that those enjoying Duty to ensure lawyers are not biased or
the judge’s trust and confidence should not be prejudiced – the judge may reprimand the counsel
used as “bridges” to the judge himself. for such biased or prejudiced manifestation.

Acceptable Financial or material gains – f. Competence and Diligence

token gifts on reasonable occasions are acceptable.
COMPTENCE AND DILIGENCE
Three factors would be relevant. One, the value of
the gift which obviously should not be excessive. Primacy of judicial duties – judges should
Two, the regularly of the occasion. Thus, it should be attentive of their work ethic.
not be for a frivolous occasion not normally
celebrated. Three, the source of the gift-giver Coverage of Judicial duties – a very
happens to be party-litigant with a pending case important task of the judge is the efficient
before the judge, the value of the gift might be management of his court. A good judge is a good
immaterial as the propriety of the gesture might be manner. Management skills, therefore, is an
constructed or questioned. important skill for the magistrate.

Duty to be Aware of Social Diversities – Duty of professional development – just

understanding of social diversities enlightens a like lawyers, judges must ensure that they are
judge away from social bias and prejudice. With updated with the latest rules and jurisprudence.
enlightenment, a judge is swayed from deciding on
the basis of race, color, sex, religion, national Members of the judiciary are supposed to
origin, caste, disability, age, marital status, sexual exhibit more than just a cursory acquaintance with
orientation, social and economic status and other the statues and procedural rules, more so with
human and social differences. legal principles and rules so elementary and basic
that not to know them, or to act as if one does not
e. Equality know them, constitutes gross ignorance of the law
(Almeron vs. Sardido, 281 SCRA 415 [1997]).
Duty against bias and prejudice – the
judge, even when he is free, is still not wholly free. Duty towards developments in
He is not to innovate at pleasure. He is to draw his international law and human rights – international
inspiration from consecrated principles. He is not law, is an indispensable basis of judicial action. In

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today’s era of international inter-dependence and (1) Impeachment

international trade and relations, knowledge of
international law has become imperative. The Justices of the Supreme Court are
among the declared impeachable officers under
Duty to be efficient, fair and prompt – the Constitution. Thus, they can only be removed
justice delayed, is justice denied. Indeed, nothing is by an impeachment unlike the judges of the lower
more detrimental to the administration of justice courts who can be removed under the Rule 140 of
than an inefficient and unfair judge. the Rules of Court.

Not every judicial error bespeaks ignorance “Sec. 3. (1) The House of Representatives
of the law. If committed in good faith, such errors shall have the exclusive power to initiate all cases
do not warrant administrative sanctions. of impeachment.
Otherwise, judges, in this would apply within
certain tolerable judgments and does not apply “(2) A verified complaint for impeachment
where the issues are so simple and the applicable may be filled by any Member of the House of
legal principle evident and as to be beyond Representatives or by any citizen upon a resolution
permissible margins of error. of endorsement by any Member thereof, which
shall be included in the Order of Business within
For failure, to resolve cases within the ten session days, and referred to the proper
reglementary period, a judge may be held liable for Committee within three session days thereafter.
gross inefficiency and direliction of duty. On
meritorious grounds, judges may ask for additional “(3) A vote at least one-third of all the
time to resolve cases. But such application for Member of the House shall be necessary either to
extension must be filed before the expiration of affirm a favourable resolution with the Articles of
the prescribed period. Impeachment of the Committee, or override its
contrary resolution. The vote of each Member shall
A judge may not raise an excuse the be recorded.
inefficiency of his court personnel. The judge bears
ultimate responsibility for the inefficiency in his “(4) In case the verified complaint or
court. resolution of Impeachment is filed by at least one-
third of all the Members of the House, the same
Duty to maintain order, decorum and shall constitute the Articles of Impeachment, and
respect in court proceedings – all judges should trial by the Senate shall forthwith proceed.
always observe courtesy and civility. Judge must be
temperate, patient and courteous both in conduct “(5) No impeachment proceedings shall be
and language. Judicial decorum requires a initiated against the same official more than once
magistrate to be at all times temperate in his within a period of one year.
language, refraining from inflammatory or
“(6) The Senate shall have the sole power
excessive rhetoric or from resorting “to language
to try and decide all cases of Impeachment.
of vilification”
“(7) Judgment in cases of Impeachment
Judicial decorum also requires that a judge must
shall not extend further than removal from office
look respectable and be properly attired. Hence, a
and disqualification to hold any office under the
judge must not attend to a case in sleeveless shirt
Republic of the Philippines, but the party convicted
and slippers. Reference: Funa, Dennis B., Legal and Judicial
Ethics, 2009 ed.
shall nevertheless be liable and subject to
prosecution, trial, and punishment according to
3. Discipline of Members of the Judiciary law.

a. Members of the Supreme Court

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Members of the Supreme Court must, the charges. The investigating judge’s authority is
under the Article VIII (7) (1) of the may be removed only to investigate, make a report and
from the office only by Impeachment (Article XI [2], recommendation on the case to be submitted to
Constitution. To grant a complaint for disbarment the Supreme Court for final determination (Graciano
of a Member’s incumbency, would in effect to be vs. Sebastian, 231 SCRA 588). Reference: Pineda, Ernesto L.,
Judicial Ethics. 2009 ed. Central Book Supply Inc.
circumvent and hence to run afoul of the
Constitutional mandate that Members of the Court ***
may be removed from office only by Impeachment
for and conviction of certain offenses listed in Some cases involving Justices (CA and SC)
Article XI (2) of the Constitution.
IN RE: UNDATED LETTER OF MR. LOUIS C.
The Ombudsman or his deputies must first BIRAOGO, PETITIONER IN BIRAOGO V. NOGRALES
be removed from office via the constitutional route AND LIMKAICHONG, G.R. No. 179120. (A.M. No.
of impeachment under Section 2 and 3 of Article XI 09-2-19-SC; EN BANC; February 24, 2009) RUBEN
of the 1987 Constitution. Should the tenure of the REYES CASE
Ombudsman be thus terminated by impeachment,
he may then be held to answer in disbarment For leaking a confidential internal document
proceedings – for any wrong or misbehaviour of the En Banc, the committee likewise finds
which may be proven against him in appropriate Justice Reyes administratively liable for GROSS
proceedings. MISCONDUCT for violating his lawyer’s oath and
the Code of Professional Responsibility, for which
b. Lower Court Judges and Justices
he may be disbarred or suspended per Section 27,
The Supreme Court has administrative Rule 138 of the Rules of Court. Canon 1 of the
supervision over all courts and the personnel Code of Professional Responsibility requires a
thereof (Section 6, Art. VIII, 1987 Constitution). The lawyer to uphold the Constitution, obey the laws
Court en banc has the power to discipline all judges of the land and promote respect for law and legal
of lower courts including Justices of the Court of processes. It is likewise provided in Rule 1.01 and
the Appeals. It may even dismiss them by a 1.02 of the said canon that a lawyer shall not
majority vote of the members who actually took engage in unlawful, dishonest, immoral or
part in the deliberations of the issues in the case deceitful conduct and that a lawyer shall not
and voted thereon (Section 11, Art. VIII, 1987 counsel or abet activities aimed at defiance of the
Constitution). law or at lessening confidence in the legal
system. Here, the act of Justice Reyes not only
Judges and magistrates of the lower courts violated the New Code of Judicial Conduct for the
may be subjected to disbarment proceedings. If Philippine Judiciary, the Code of Judicial Conduct
they are found guilty and are suspended from the and the Canons of Judicial Ethics, it also infringed
practice of law or are disbarred as members of the on the internal deliberations of the Court and
bar, they are also suspended or dismissed as impeded and degraded the administration of
judges. The reason for this is that membership in justice. The act is rendered all the more pernicious
the bar is an indispensable qualification for the considering that it was committed by no less than
position of judgeship, thus the suspension of the a justice of the Supreme Court who was supposed
membership or its loss during the judge’s term, to serve as example to the bench and bar.
justifies his automatic suspension or dismissal from
the service (see In Re: Paraguas, 72 SCRA 11; Viojan vs. That Justice Reyes was an impeachable officer
Duran, 4 SCRA 390; Zaldivar vs. Gonzales, 166 SCRA 316). when the investigation started is of no
moment. The rule prohibiting the institution of
An RTC Judge who was designated by the Supreme
disbarment proceedings against an impeachable
Court to investigate the administrative cases
officer who is required by the Constitution to be a
against an MTC judge has no authority to dismiss
member of the bar as a qualification in office
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applies only during his or her tenure and does not RE: LETTER OF PRESIDING JUSTICE CONRADO M.
create immunity from liability for possibly criminal VASQUEZ, JR. ON CA-G.R. SP NO. 103692 [Antonio
acts or for alleged violations of the Code of Judicial Rosete, et al. v. Securities and Exchange
Conduct or other supposed violations.[280] Once the Commission, et al.]; En Banc, Sept. 9, 2008)
said impeachable officer is no longer in office (Meralco-GSIS Case)
because of his removal, resignation, retirement or
permanent disability, the Court may proceed
against him or her and impose the corresponding Findings regarding the conduct of Associate
sanctions for misconduct committed during his Justice Vicente Q. Roxas
tenure, pursuant to the Court’s power of
administrative supervision over members of the xxx the Court finds well-taken the Panels
bar. Provided that the requirements of due finding that Justice Roxas failure to act on the
process are met, the Court may penalize retired other motions of the parties violated Canon 3,
members of the Judiciary for misconduct Rule 3.05 of the 1989 Code of Judicial
committed during their incumbency. Thus, Conduct (which applies in a suppletory manner to
in Cañada v. Suerte, this Court ordered the the New Code of Judicial Conduct for the
disbarment of a retired judge for misconduct Philippine Judiciary) providing that:
committed during his incumbency as a judge.
Rule 3.05. A judge shall dispose of the
However, pernicious as Justice Reyes’s courts business promptly and decide
infractions may have been, the committee finds cases within the required periods.
the imposition of the supreme penalty of
disbarment unwarranted. In the determination of Even Section 5, Canon 6 of the New Code of
the imposable disciplinary sanction against an Judicial Conduct mandates that [j]udges shall
erring lawyer, the Court takes into account the perform all judicial duties, including the delivery
primary purpose of disciplinary proceedings, which of reserved decisions, efficiently, fairly and with
is to protect the administration of justice by reasonable promptness. Thus, it has become well-
requiring that those who exercise this important settled in jurisprudence that even just undue
function shall be competent, honorable, and delay in the resolving pending motions or
reliable men in whom courts and clients may incidents within the reglamentary period fixed by
repose confidence. While the assessment of what law is not excusable and constitutes gross
sanction may be imposed is primarily addressed to inefficiency. With more reason, this Court finds
the Court’s sound discretion, the sanction should suspicious and reprehensible the failure of Justice
neither be arbitrary or despotic, nor motivated by Roxas to act at all on pending motions
personal animosity or prejudice. Rather, it should and incidents in CA-G.R. SP No. 103692.
ever be controlled by the imperative need to
scrupulously guard the purity and independence of Apart from Justice Roxas inexcusable
the bar. Thus, the supreme penalty of disbarment inaction on pending incidents in the Meralco case,
is meted out only in clear cases of misconduct that the Panel of Investigators found that he had been
seriously affect the standing and character of the dishonest and untruthful in relation to the said
lawyer as an officer of the court and member of case.
the bar. Under the circumstances of this case, the Indeed, the fabrications and falsehoods
committee finds the penalty of indefinite that Justice Roxas blithely proferred to the Panel
suspension from the practice of law sufficient and in explanation/justification of his questioned
proper. handling of the Meralco case demonstrated that
he lacks the qualification of integrity and honesty
*** expected of a magistrate and a member of the
appellate court.

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they must also avoid any appearance of

Under Rule 140 of the Rules of Court, impropriety or partiality, which may erode the
dishonesty is considered a serious offense that peoples faith in the judiciary. This standard
may warrant the penalty of dismissal from the applies not only to the decision itself, but also to
service. Under the Rule IV, Section 52 of the the process by which the decision is made. This
Uniform Rules on Administrative Cases in the Civil Court will not hesitate to sanction with the
Service, dishonesty is likewise considered a grave highest penalty magistrates who exhibit manifest
offense and warrants the penalty of dismissal undue interest in their assigned cases.
even for the first offense.
In sum, this Court finds that Justice Roxas
Justice Roxas was thoughtlessly multiple violations of the canons of the Code of
disrespectful to a colleague and a lady at that, Judicial Conduct constitute grave misconduct,
when he unceremoniously discarded, shredded, compounded by dishonesty, undue interest and
and burned the decision that Justice Dimaranan- conduct prejudicial to the best interest of the
Vidal had signed, because he allegedly forgot that service, which warrant his DISMISSAL from the
Justice Dimaranan-Vidal and Justice Sabio, Jr. had service.xxx
already been reorganized out of the Special Ninth
Division as of July 4, 2008, hence, out of the Findings regarding the conduct of Associate
Meralco case. Out of courtesy, he should have Justice Bienvenido L. Reyes.
explained to Justice Dimaranan-Vidal the reason
why he was not promulgating the decision which Xxx It bears repeating here that under Canon 5,
she had signed. Section 3 of the New Code of Judicial Conduct,
judges are mandated to show the appropriate
There is an old adage which says to gain consideration and respect for their colleagues in
respect one must learn to give it. If judges and the Judiciary.
justices are expected to treat litigants, counsels
and subordinates with respect and fairness, with Thus, we adopt the finding of the Panel
more reason, that judges and justices should give on this point and find Justice Reyes guilty of
their fellow magistrates the courtesy and simple misconduct, which is mitigated by the fact
professional regard due to them as their that he repeatedly asked Presiding Justice
colleagues in the Judiciary. Thus, in Canon 5, Vasquez to act on his request to rule on the
Section 3 of the New Code of Judicial Conduct, conflicting interpretation of the IRCA. However,
judges are expected to carry out judicial duties Justice Reyes should be reprimanded for taking
with appropriate consideration for all part in the decision of the subject case without
persons, such as the parties, witnesses, lawyers, awaiting the ruling of the Presiding Justice.
court staff and judicial colleagues, without
differentiation on any irrelevant ground, Findings regarding the conduct of Justice Myrna
immaterial to the proper performance of such Dimaranan-Vidal
duties.
xxx Allowing a fellow justice to induce her to
We reiterate here that as the visible deviate from established procedure constitutes
representation of the law and justice, judges are conduct unbecoming a justice for which Justice
expected to conduct themselves in a manner that Dimaranan-Vidal should be ADMONISHED to be
would enhance respect and confidence of the more circumspect in the performance of her
people in the judicial system. The New Code of judicial duties.
Judicial Conduct for the Philippine Judiciary
mandates that judges must not only maintain Findings regarding the conduct of Presiding
their independence, integrity and impartiality; but Justice Conrado M. Vasquez

LIAO, JOANNA MARIE ABOGA LEGAL AND JUDICIAL ETHICS 63

 FERUELO & LIAO REVIEWER IN LEGAL & JUDICIAL ETHICS FOR THE 2011 BAR

***
xxx Presiding Justice Vasquez, Jr. had References:
been indecisive in dealing with the turmoil arising
from the Meralco case. Xxx Presiding Justice Albano, Ed Vincent S., Legal and Judicial
Vasquez is hereby severely reprimanded for his Ethics with Legal and Judicial Forms, Rex
failure to act promptly and decisively on the Bookstore, 2004
controversy as required of him by the IRCA.
Funa, Dennis B. Legal and Judicial Ethics,
Central Book Supply, 2009 ed.
WHEREFORE, the Court RESOLVES as follows:
Justice Maambong Regalado E. , Primer on
(1) Associate Justice Vicente Q. Roxas is found the Rules of Notarial Practice 2005 Edition by
guilty of multiple violations of the canons of the
Code of Judicial Conduct, grave misconduct, Paño, Ernani Cruz, Ber Reviewer in Legal and
dishonesty, undue interest and conduct Judicial Ethics, Rex Bookstore, Inc. 2005 ed.
prejudicial to the best interest of the service, and
is DISMISSED from the service, with FORFEITURE Pineda, Ernesto L. Legal Ethics, Central Book
of all benefits, except accrued leave credits if Supply, 2009 ed.
any, with prejudice to his re-employment in any
Pineda, Ernesto L. Judicial Ethics, Central
branch or service of the government including
Book Supply, 2009 ed.
government-owned and controlled corporations;

(2) Associate Justice Jose L. Sabio, Jr. is found

guilty of simple misconduct and conduct
unbecoming of a justice of the Court of Appeals
and is SUSPENDED for two (2) months without
pay, with a stern warning that a repetition of the
same or similar acts will warrant a more severe
penalty;

(3) Presiding Justice Conrado M. Vasquez, Jr. is

SEVERELY REPRIMANDED for his failure to act
promptly and decisively in order to avert the
incidents that damaged the image of the Court of
Appeals, with a stern warning that a repetition of
the same or similar acts will warrant a more
severe penalty;

(4) Associate Justice Bienvenido L. Reyes is found

guilty of simple misconduct with mitigating
circumstance and is REPRIMANDED, with a stern
warning that a repetition of the same or similar
acts will warrant a more severe penalty;

(5) Associate Justice Myrna Dimaranan-Vidal is

found guilty of conduct unbecoming a Justice of
the Court of Appeals and is ADMONISHED to be
more circumspect in the discharge of her judicial
duties. xxx

64 LEGAL & JUDICIAL ETHICS LIAO, JOANNA MARIE ABOGA