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JUDICIAL ETHICS
Academics Committee
Faculty of Civil Law
University of Santo Tomas
España, Manila 1008
All Rights Reserved by the Academics Committee of the Faculty of Civil Law of
the Pontifical and Royal University of Santo Tomas, the Catholic University of
the Philippines.
2015 Edition
A copy of this material without the corresponding code either proceeds from
an illegal source or is in possession of one who has no authority to dispose the
same.
No.____________
TEAM: BAR-OPS
VANNESSA ANNE VIRAY CHAIRPERSON
HAZEL NAVAREZ VICE-CHAIRPERSON
ERIKA MARIZ PINEDA SECRETARY
CATHERINE SYMACO ASST. SECRETARY
MAXIMILLAN JEAN PEROLA HEAD, PUBLIC RELATIONS OFFICER
PATRICIA LACUESTA ASST. HEAD, PUBLIC RELATIONS OFFICER
RAFAEL LORENZ SANTOS HEAD, FINANCE COMMITTEE
HOWELL ICO ASST. HEAD, FINANCE COMMITTEE
HANNA CLARISS QUIAMBAO HEAD, HOTEL ACCOMMODATIONS COMMITTEE
JULIA MAGARRO ASST. HEAD, HOTEL ACCOMMODATIONS COMMITTEE
JINNY APOSTOL ASST. HEAD, HOTEL ACCOMMODATIONS COMMITTEE
JEFFREY CORONADO HEAD, LOGISTICS COMMITTEE
INEANDRO PEDRO TOLENTINO ASST. HEAD, LOGISTICS COMMITTEE
CARLO ANGELO TING ASST. HEAD, LOGISTICS COMMITTEE
ACADEMIC OFFICIALS
For being our guideposts in understanding the intricate sphere of Legal and
Judicial Ethics.
- Academics Committee 2015
DISCLAIMER
I. LEGAL ETHICS 1
A. Practice of law (Rule 138) 1
1. Concept 1
a) Privilege 4
b) Profession, not business 4
2. Qualifications 4
3. Appearance of non-lawyers 7
a) Law student practice (Rule 138-A) 7
b) Non-lawyers in courts 7
c) Non-lawyers in administrative tribunals 8
d) Proceedings where lawyers are prohibited from appearing 9
4. Sanctions for practice or appearance without authority 9
a) Lawyers without authority 9
b) Persons not lawyers 10
5. Public officials and practice of law 11
a) Prohibition or disqualification of former government attorneys 11
b) Public officials who cannot practice law or with restrictions 12
6. Lawyers authorized to represent the government 14
7. Lawyer’s oath 14
B. Qualities 132
1. Independence 132
2. Integrity 136
3. Impartiality 138
4. Propriety 145
5. Equality 154
6. Competence and diligence 156
E. Powers and Duties of Courts and Judicial Officers (Rule 135) 177
F. Court Records and General Duties of Clerks and Stenographer (Rule 136) 179
H. Costs 185
1. Recovery of costs (Rule 142) 185
a) Prevailing party 185
b) Dismissed appeal or action 185
c) Frivolous appeal 185
d) False allegations 185
e) Non-appearance of witness 185
PRACTICE OF LAW
Essential criteria in determining whether a
LEGAL ETHICS person is engaged in the practice of law [CAHA]
Q: Medado passed the bar exams in 1979 and A: Yes. Misconduct generally means wrongful,
took the Attorney’s Oath at PICC. He was unlawful conduct, motivated by a premeditated,
scheduled to sign in the Roll of Attorneys but he obstinate or intentional purpose. Thus, any
failed to do so on scheduled date, allegedly transgression or deviation from the established
because he had misplaced the Notice to Sign the norm, whether it be work-related or not, amounts to
Roll of Attorneys given by the Office of the Bar misconduct. The preparation of an extrajudicial
Confidant when he went home to his province settlement of the estate constitutes “practice of law”
for a vacation. Several years later, Medado found as defined in the case of Cayetano v. Monsod. Not
the Notice and then realized that what he signed being a lawyer, Evelyn had no authority to prepare
at the PICC was merely an attendance record. In and finalize an extrajudicial settlement of estate.
2012, Medado filed the instant Petition, praying Worse, she even received money from Leticia for
that he be allowed to sign in the Roll of her services. In preparing and finalizing the
Attorneys. extrajudicial settlement of estate and receiving
compensation for the same even when she is not a
a. Should his petition be allowed? lawyer, Evelyn is guilty of simple misconduct
b. Did he engaged in unauthorized practice of punishable under Sec. 52(B)(2) of the Revised
law? Uniform Rules on Administrative Cases in the Civil
Service.
A:
a. Yes. At the outset, not allowing Medado to sign the Leticia is a court employee whose conduct must
Roll of Attorneys would be akin to imposing upon always be beyond reproach from any suspicion that
him the ultimate penalty of disbarment, a penalty may taint the judiciary. Evelyn is expected to exhibit
that is reserved for the most serious ethical the highest sense of honesty an integrity not only in
transgressions of members of the Bar. Medado the performance of her official duties but also in her
demonstrated good faith and good moral character personal and private dealings with other people to
when he finally filed the instant Petition to Sign in preserve the court's good name and standing
the Roll of Attorneys. It was not a third party who (Arienda v. Monilla, Court Stenographer, RTC, A.M.
called the Court’s attention to petitioner’s omission; No. P-11-2980, June 10, 2013, De Castro, J.).
rather, it was Medado himself who acknowledged
his own lapse, albeit after the passage of more than Persons excluded in the term “Practicing
30 years. Lawyer”
b. Yes. Medado may have at first operated under an 1. Government employees and incumbent elective
honest mistake of fact when he thought that what he officials are not allowed to practice;
had signed at the PICC entrance before the oath- 2. Lawyers who by law are not allowed to appear
taking was already the Roll of Attorneys. However, in court;
the moment he realized that what he had signed was 3. Supervising lawyers of students enrolled in law
merely an attendance record, he could no longer student practice in duly accredited legal clinics
It is a lawyer who pleads on behalf of someone else. Any person heretofore duly admitted as a member
He pleads the cause of another before a tribunal or of the bar, or hereafter admitted as such in
judicial court. (Pineda, 2009) accordance with the provisions of the rule, and who
is in good and regular standing, is entitled to
practice law (Sec. 1, Rule 138, RRC).
Practice of law by the clerk of court The Former 5-Strike Rule was lifted by the Supreme
Court en banc in a resolution on September 3, 2013.
GR: The practice of law by a clerk of court is not Thus, to this day, the taking of the bar has no limit.
allowed, except isolated practice.
Q: Ching was born on April 1964 of Filipino
XPNs: mother and Chinese father. He was conditionally
1. Written permission which must be approved by admitted to take the bar examination because of
the Supreme Court and; questions arising to his citizenship. Upon
2. Approved leave of absence with justifiable passing the bar, he was required to take further
reasons. proof of citizenship and was not allowed to take
the oath. Can he elect Philippine citizenship, 14
Q: Atty. Ladaga, a clerk of court, appeared as years after reaching the age of majority
counsel for and in behalf of his cousin in a (required under the 1935 Constitution)?
criminal case for falsification of public
documents before the METC of Quezon City. The A: No. Ching is not qualified to be a lawyer for
appearance of Atty. Ladaga in said case was having elected Philippine citizenship 14 years after
without the previous permission of the Court. reaching the age of majority. Ching offered no
Did Atty. Ladaga violate the Code of Conduct and reason why he delayed the election of Philippine
Ethical Standards for Public Officials and citizenship. The procedure is not a tedious process.
Employees by engaging in private practice? All that is required is to execute an affidavit and file
the same in the nearest registry (In Re: Application
A: Yes. "Private practice" of a profession, which is for Admission to the Philippine Bar of Vicente Ching,
prohibited, does not pertain to an isolated court B.M. 914, October 1, 1999).
appearance; rather, it contemplates a succession of
acts of the same nature habitually or customarily Q: Atty. Melendrez filed a petition to disqualify
holding one's self to the public as a lawyer. It is true Meling from taking the bar exams and to impose
that he filed leave applications corresponding to the disciplinary penalty as a member of the
3. Non-lawyers in administrative tribunal can A: Yes. The law recognizes the right of an individual
represent parties in tribunals such as NLRC, to represent himself in any case to which he is a
DARAB, Cadastral Courts. party. The Rules state that a party may conduct his
litigation personally or with the aid of an attorney,
LAW STUDENT PRACTICE and that his appearance must either be personal or
by a duly authorized member of the Bar. The
Law student practice rule individual litigant may personally do everything in
the course of proceedings from commencement to
A law student who has successfully completed his the termination of the litigation. Cruz as plaintiff, at
third year of the regular four-year prescribed law his own instance, can personally conduct the
curriculum and is enrolled in a recognized law litigation of his case. He would then be acting not as
school's clinical legal education program approved a counsel or lawyer, but as a party exercising his
by the Supreme Court, may appear without right to represent himself.
compensation in any civil, criminal or
administrative case before any trial court, tribunal, The trial court must have been misled by the fact
board or officer, to represent indigent clients that Cruz is a law student and must, therefore, be
accepted by the legal clinic of the law school (Sec. 1, subject to the conditions of the Law Student Practice
Rule 138-A). Rule. It erred in applying Rule 138-A, when the basis
of Cruz's claim is Section 34 of Rule 138. The former
The appearance of the law student authorized by rule provides for conditions when a law student
this rule, shall be under the direct supervision and may appear in courts, while the latter rule allows
control of a member of the Integrated Bar of the the appearance of a non- lawyer as a party
Philippines duly accredited by the law school. Any representing himself (Cruz v. Mijares, et al., G.R. No.
and all pleadings, motions, briefs, memoranda or 154464, September 11, 2008).
other papers to be filed, must be signed by the
supervising attorney for and in behalf of the NON-LAWYERS IN COURT
legal clinic (Sec. 2, Rule 138-A).
Non-lawyers in court
NOTE: The law student shall comply with the
standards of professional conduct governing The following are the instances whereby non-
members of the Bar. Failure of an attorney to lawyers may appear in court:
provide adequate supervision of student practice
may be a ground for disciplinary action (Circular 1. Cases before the MTC: A party to the litigation,
No.19, dated December 19, 1986). may conduct his own case or litigation in
NOTE: Such person shall have all the rights of a NON-LAWYERS IN ADMINISTRATIVE TRIBUNAL
duly authorized member of the Bar to appear in
any case in which said government has an 1. Under the Labor Code, non-lawyers may appear
interest direct or indirect (Sec. 33, Rule 138, before the NLRC or any Labor Arbiter, if:
RRC).
a. They represent themselves; or
Party’s Right to Self-Representation b. They represent their organization or
members thereof (Art 222, PD 442, as
A party’s representation on his own behalf is not amended) (2002 Bar Question);
considered to be a practice of law as "one does not c. If they are duly accredited members of any
practice law by acting for himself, any more than he legal aid office duly recognized by the
practices medicine by rendering first aid to himself” Department of Justice, or the Integrated
(Maderada v. Mediodea, A.M. No. MTJ-02-1459, Bar of the Philippines in cases referred to
October 14, 2003). by the latter.
Therefore, a person can conduct the litigation of the NOTE: He is not, however, entitled
cases personally. He is not engaged in the practice to attorney’s fees under Article 222 of the Labor
of law if he represents himself in cases in which he Code for not being a lawyer (Five J. Taxi v. NLRC,
is a party. By conducting the litigation of his own G.R. No. 111474, August 22, 1994).
cases, he acts not as a counsel or lawyer but as a
party exercising his right to represent himself. 2. Under the Cadastral Act, a non-lawyer can
Certainly, he does not become a counsel or lawyer represent a claimant before the Cadastral Court
by exercising such right (Santos v. Judge Lacurom, (Sec. 9, Act No. 2259).
A.M. No. RTJ-04-1823, August 28, 2006).
Q: Eric, a labor federation president,
Party-Litigant representing himself represented Luisa, a dismissed WXT employee,
before the NLRC. Atty. John represented Luisa's
In civil cases, an individual litigant has the right to two co-complainants. In due course, the NLRC
conduct his litigation personally. reinstated the three complainants with
1. Petition for Injunction; 2. Indirect – One committed away from the court
2. Contempt of court; involving disobedience of or resistance to a
3. Criminal complaint for Estafa against a person lawful writ, process, order, judgment or
who falsely represented himself to be an command of the court, or tending to belittle,
attorney to the damage of a party; degrade, obstruct, interrupt or embarrass the
court; not summary in nature.
Sanctions for persons who are not lawyers
3. Civil – Ii is the failure to do something ordered
They shall be punished with contempt of court, to be done by a court or a judge for the benefit
severe censure and three (3) months imprisonment of the opposing party therein. It is remedial in
because of the highly fraudulent and improper nature.
conduct tending directly to impede, obstruct,
degrade, and make a mockery of the administration 4. Criminal – Conduct directed against the
of justice (Manangan v. CFI, G.R. No. 82760, August authority and dignity of a court or of a judge, as
30, 1990; Lapena, 2009). in unlawfully assailing or discrediting the
authority or dignity of a court or of a judge, or
A person who has been refused admission to the bar in doing a duly forbidden act. Intent is
by order of the Supreme Court but nonetheless necessary.
A: Yes, C and D are liable for indirect contempt. Prohibition or disqualification of former
Indirect contempt is committed away from the government attorneys
court involving disobedience of or resistance to a
lawful order or judgment of the court. SC found C A lawyer shall not, after leaving government service,
not entitled to admission to the practice of law. accept engagement or employment in connection
Although they changed the firm name, C continued with any matter in which he had intervened while in
to practice law and D permitted it. Practice of law said service (Canon 6, Rule 6.03, CPR).
includes counselling or giving of advice or rendering
any kind of service that involves legal knowledge. The evil sought to be avoided by this provision is the
possibility of a lawyer who just retired, resigned or
PUBLIC OFFICIALS AND THE separated from the government of using his
PRACTICE OF LAW influence for his own private benefit (Antiquiera,
1992).
Public Officials
Theories relating to the disqualification of
Includes elective or appointive officials and former government lawyers in representing a
employees, permanent or temporary, whether in client on a matter in which they intervened
the career or non-career service, including military when they were in office
and police personnel, whether or not they receive
compensation, regardless of amount (Sec. 3 (b), R.A. 1. Adverse-Interest Conflict – A former
No. 6713, Code of Conduct and Ethical Standards for government lawyer is enjoined from
Public Officials and Employees). representing a client in private practice in a
matter which is substantially related to another
Prohibited acts or omissions of public officers matter which the former dealt with while
employed by the government, and if the
1. Accepting or having any member of his family interests of the current and former clients are
accept employment in a private enterprise adverse.
which has pending official business with him
during the pendency thereof or within one year 2. Congruent-Interest Representation Conflict –
after termination (Sec. 3[d], RA 3019). The lawyer is prohibited from representing a
2. Own, control, manage or accept employment as private practice client even if the interests of
officer, employee, consultant, counsel, broker, the government (the former employer) and the
agent, trustee or nominee in any private new client are entirely parallel (PCGG v. SB, et.al,
enterprise regulated, supervised or licensed by G.R. No. 151809-12, April 12, 2005).
their office unless expressly allowed by law
(Sec. 7[b], RA 6713). NOTE: The restriction against a public official from
3. A lawyer shall not, after leaving a government using his public position as a vehicle to promote or
service, accept engagement or employment in advance his private interests extends beyond his
connection with any matter in which he had tenure on certain matters in which intervened as a
intervened while in said service (Rule 6.03, public official (Agpalo, 2004).
CPR).
4. A lawyer should not accept employment as an PUBLIC OFFICIALS WHO CANNOT PRACTICE
advocate in any matter upon the merits which LAW OR WITH RESTRICTIONS
he has previously acted in a judicial capacity
(Canon 36, CPE). General Rule: The appointment or election of an
attorney to a government office disqualifies him
NOTE: These prohibitions shall continue to apply from engaging in the private practice of law.
for a period of 1 year after resignation, or separation
from public office. The 1-year prohibition shall also Reason: A public office is a public trust, and a public
apply in connection with any matter before the officer or employee is obliged not only to perform
office he used to be with. his duties with the highest degree of responsibility,
integrity, loyalty and efficiency but also with
EXCLUSIVE FIDELITY.
1. Judges and other officials as employees of the 3. Under Sec. 1, R.A. 910, as amended, a retired
Supreme Court (Sec. 35, Rule 148, RRC). justice or judge receiving pension from the
2. Officials and employees of the OSG (Ibid.) government, cannot act as counsel:
3. Government Prosecutors (People v. Villanueva, a. In any civil case in which the Government,
G.R. No. L-19450, May 27, 1965). or any of its subdivision or agencies is the
4. President, Vice-President, members of the adverse party; or
cabinet, their deputies and assistants (Sec. 13, b. In a criminal case wherein an officer or
Art VII, 1987 Constitution). employee of the Government is accused of
5. Members of the Constitutional Commission an offense in relation to his office; nor
(Sec. 2, Art IX-A, 1987 Constitution). c. Collect any fees for his appearance in any
6. Civil Service Officers or employees whose administrative proceedings to maintain an
duties and responsibilities require that their interest adverse to the government,
entire time be at the disposal of the government provincial or municipal, or to any of its
(Ramos v. Rada, A.M. No. 202, July 22, 1975) legally constituted officers (Sec. 1, R.A. 910).
7. Ombudsman and his deputies (Sec. 8 [second
par.], Art. IX, 1987 Constitution). 4. Civil service officers and employees without
8. All governors, city and municipal Mayors (Sec. permit from their respective department heads
90, R.A. No. 7160). (Noriega v. Sison, A.M. No. 2266, October 27,
9. Those prohibited by Special law. 1983).
Restrictions on the practice of law to certain 5. A former government attorney cannot, after
individuals (Relative Prohibition) leaving government service, accept
engagement or employment in connection with
1. No Senator or member of the House of any matter in which he had intervened while in
Representatives may personally “appear” as the said service (Rule 6.03, CPR).
counsel before any court of justice or before the
Electoral Tribunals, or quasi-judicial and other Q: Atty. Sagucio was the former Personnel
administration bodies (Sec. 14, Art. VI, 1987 Manager and Retained Counsel of Taggat
Constitution). Industries Inc. until his appointment as
Assistant Provincial Prosecutor of Tuguegarao.
NOTE: What is prohibited is to “personally Taggat Industries was sequestered by the PCGG
appear” in court and other bodies. The word and thus ceased its operations. As Assistant
“appearance” includes not only arguing a case Provincial Prosecutor, he assigned to conduct
before any such body but also filing a pleading the preliminary investigation over a criminal
on behalf of a client as “by simply filing a formal case filed against Taggat Industries. He
motion, plea, or answer.” recommended the filing of 651 informations for
violation of the Labor Code. He was charged for
2. Under the Local Government Code (Sec. 91, RA violating Rule 15.03 of the Code of Professional
7160), Sanggunian members may practice their Responsibility and for defying the prohibition
professions provided that if they are members against private practice of law while working as
of the Bar, they shall NOT: government prosecutor. Is Atty. Sagucio guilty of
a. Appear as counsel before any court in any engaging in private practice of law while
civil case wherein a local government unit working as an Assistant Provincial Prosecutor?
or any office, agency, or instrumentality of
the government is the adverse party A: Yes. “Private practice of law” contemplates a
b. Appear as counsel in any criminal case succession of acts of the same nature habitually or
wherein an officer or employee of the customarily holding one’s self to the public as a
NOTE: Violations of RA 6713 are not subject to NOTE: In criminal cases, Sol Gen steps in only when
disciplinary action under the Code of Professional the case has already reached the Court of Appeals.
Responsibility unless the violations also constitute While it is with the lower courts, it is the public
infractions of specific provisions of the Code of prosecutor which represents the government.
Professional Responsibility. Certainly, the IBP has
no jurisdiction to investigate violations of RA 6713 Duties of the Solicitor General
– the Code of Conduct and Ethical Standards for
Public Officials and Employees – unless the acts The Solicitor General, in his discretion, may pursue
involved also transgress provisions of the Code of any of the following actions:
Professional Responsibility.
1. Prosecute;
Q: Atty. Eliseo represented Allan in a collection 2. Not to prosecute;
suit against the Philippine Charity Sweepstakes 3. To abandon a prosecution already started; or
Office (PCSO). After his election as sangguniang 4. To take a position adverse to the People of the
bayan member, the court rendered a decision in Philippines in a criminal case or to that of a
PCSO’s favor. Still, Atty. Eliseo appeared for government agency or official, when he believes
Allan in the latter’s appeal, prompting the PCSO that justice will be served by taking a different
to question his right to do so. In response, Atty. stand.
Eliseo claimed that the local government code
authorizes him to practice law as long it does not Duty of the Solicitor General to represent one
conflict with his duties. Is Atty. Eliseo correct? party whereby two government agencies are in
(2011 Bar Question) conflict
A: No. He cannot appear against a government It is incumbent upon the Solicitor General to present
instrumentality in a civil case. to the court what he considers as would legally
uphold the best interest of the government. The
NOTE: While certain local elective officials (like other government agency adversely affected, if it
governors, mayors, provincial board members and still believes in the merits of its case, may appear on
councilors) are expressly subjected to a total or its own behalf through its legal officer or
partial proscription to practice their profession or representative.
engage in any occupation, no such interdiction is
made on punong barangay and the members of the LAWYER’S OATH
Sangguniang Barangay. Expressio unius est exclusio
alterius. Since they are excluded from any I, _____(name)______________, of ____(permanent
prohibition, the presumption is that they are address)_____________, do solemnly swear that I will
allowed to practice their profession. However, he maintain allegiance to the Republic of the
should procure prior permission or authorization Philippines, I will support and defend its
from the head of his Department, as required by the Constitution and obey the laws as well as the legal
Civil Service Regulations (Catu v. Rellosa, A.C. No. orders of the duly constituted authorities therein; I
5738, February 19, 2008). will do no falsehood nor consent to its commission; I
will not wittingly or willingly promote or sue any
“The supremacy of the law” provides that decisions A: Atty. Coronel’s explanation is not tenable. The
should be made by the application of known legal role of the State’s lawyer in nullification of marriage
principles or laws without the intervention of cases is that of protector of the institution of
discretion in their application (Black’s marriage (Art 48, FC). “The task of protecting
Law Dictionary). marriage as an inviolable social institution requires
vigilant and zealous participation and not mere pro
NOTE: A lawyer’s oath to uphold the cause of justice forma compliance” (Malcampo-Sin v. Sin, G.R. No.
is superior to his duty to his client; its primacy is 137590, March 26, 2001). This role could not be left
indisputable (Cobb-Perez v. Lantin, G.R. No. L-22320, to the private counsels who have been engaged to
July 29, 1968). protect the private interest of the parties.
Instances of Gross Immorality and the resulting 1. Stealing a kiss from a client (Advincula v.
consequences Macabata, A.C. No. 7204, March 7, 2007).
2. Live-in relationship involving two unmarried
1. Abandonment of wife and cohabiting with persons.
another woman. DISBARRED (Obusan v. 3. Failure to pay a loan
Obusan, Jr., A.C. No. 1392, April 2, 1984).
2. A lawyer who had carnal knowledge with a GR: A lawyer may not be disciplined for failure
woman through a promise of marriage which he to pay a loan. The proper remedy is the filing of
did not fulfill. DISBARRED (In re: Disbarment of an action for collection of a sum of money in
Armando Puno, A.C. No. 389, February 28, 1967). regular courts (Toledo v. Abalos, A.C. No. 5141,
3. Seduction of a woman who is the niece of a September 29, 1999).
married woman with whom respondent lawyer
had an adulterous relation. DISBARRED XPN: A deliberate failure to pay just debts and
(Royong v. Oblena, A.C. No. 376, April 30, 1963). the issuance of worthless checks (Lao v. Medel,
4. Lawyer arranging marriage of his son to a A.C. No. 5916, July 1, 2003).
woman with whom the lawyer had illicit
relations. DISBARRED (Mortel v. Aspiras, A.M.
No. 145, December 28, 1956).
A: No. In a case involving the same facts, the Q: Catherine and Atty. Rongcal maintained an
Supreme Court held that having incurred just debts, illicit affair. Catherine filed a case for
a lawyer has the moral duty and legal responsibility disbarment against Atty. Rongcal based on gross
to settle them when they become due. “Verily immoral conduct alleging that he
lawyers must at all times faithfully perform their misrepresented himself to be single when he
duties to society, to the bar, to the court and to their was in fact married, and due to the false
clients. As part of their duties, they must promptly pretenses she succumbed to his sexual
pay their financial obligations” (Wilson Cham v. Atty. advances. Will her petition prosper?
Eva Pata-Moya, 556 SCRA 1).
A: Yes. Good moral character is a continuing
NOTE: Just debts include unpaid rentals, electric condition in a privilege of law practice. The mere
bills, claims adjudicated by a court of law, and fact of sexual relation between two unmarried
claims the existence and justness which are adults is not sufficient to warrant administrative
admitted by the debtor (Cham v. Paita-Moya, A.C. sanction for such illicit behavior, it is with respect to
No.7494, June 27, 2008). betrayal of the marital vow of fidelity. Atty. Rongcal
is guilty of immorality in violation of Rule 1.01 that
Morality v.Immoral Conduct a lawyer should not engage in unlawful, dishonest,
immoral or deceitful conduct. But his remorse over
MORALITY IMMORAL CONDUCT his indiscretion and the fact of ending the illicit
Morality as Immoral conduct has relationship mitigates the liability. Hence a penalty
understood in law is a been defined as that of imposing a fine will suffice with a warning that
human standard conduct which is willful, the same will be dealt with more severely (Vitug v.
based on natural flagrant, or shameless Rongcal, A.C. No. 6313, September 7, 2006).
moral law which is and which shows a moral
embodied in indifference to the Q: Patricia and Simeon were teen sweethearts. It
man’s conscience opinion of the good and was after their child was born that Simeon first
and which guides him respectable members of promised he would marry her after he passes
to do good and avoid the community (Arciga v. the bar examinations. Their relationship
evil. Maniwang, A.M. No. 1608, continued and Simeon allegedly made more
August 14, 1981). than twenty or thirty promises of marriage.
Patricia learned that Simeon married another
Q: An administrative complaint for disbarment woman. Meanwhile, Simeon successfully passed
against Atty. Iris was filed for allegedly carrying the 1970 bar examinations after four attempts.
an immoral relationship with Carlos, husband of But before he could take his oath, Patricia filed a
complainant Leslie. Atty. Iris contended that her petition to disqualify Simeon to take the
relationship with Carlos is licit because they Lawyer’s Oath on the ground of gross
were married. And when she discovered Carlos’ immoral conduct. Does the act of Simeon in
true civil status, she cut off all her ties with him. engaging in premarital relations with Patricia
Is Atty. Iris guilty of committing gross immoral and making promises to marry her constitute
conduct warranting her disbarment? gross immoral conduct?
BARRATRY AMBULANCE CHASING Q: Atty. Melissa witnessed the car accident that
An offense of frequently An act of chasing victims resulted in injury to Manny, a friend of hers.
exciting and stirring up of accidents for the While visiting him at the hospital, she advised
quarrels and suits, purpose of talking to the him about what action he needed to take
either at law or said victims (or regarding the accident. Is Atty. Melissa subject
otherwise; lawyer’s act relatives) and offering to disciplinary action if she eventually handles
of fomenting suits his legal services for the the case for him? (2011 Bar Question)
among individuals and filing of a case against
offering his legal the person(s) who A: No. It is unprofessional for a lawyer to volunteer
services to one of them. caused the accident(s). advice to bring a lawsuit, except in rare cases where
Barratry is not a crime It has spawned a ties of blood, relationship or trust make it his duty
under the Philippine number of recognized to do so (Canon 28, CPE). In the case at hand, since
laws. However, it is evils such as [FSMD]: Atty. Melissa is a friend of the injured person, she
proscribed by the rules may not be admonished for extending some legal
of legal ethics. 1. Fomenting of advice to a friend in need.
litigation with
resulting burdens
This duty carries with it the obligation to be well A: No, he cannot be sanctioned administratively. A
informed of the existing laws, and to keep abreast lawyer may refuse a case which he believes to be
with legal developments, recent enactment and unmeritorious, because it is “his duty to counsel or
jurisprudence. It is imperative that they be maintain such actions or proceedings only as
conversant with the basic legal principles. Unless appear to him to be just and such defenses only as
they faithfully comply with such duty, they may not he believes to be honestly debatable under the law
be able to discharge competently and diligently (Sec. 20(c), Rule 138). The Canons of Code of
their obligations as members of the Bar. Worse, they Professional Responsibility are applicable to
may become susceptible to committing mistakes government lawyers in the performance of their
(Dulalia Jr. v. Cruz, A.C. No. 6854, April 25, 2007, official tasks (Canon 6, CPR).
citing Santiago v. Rafanan, A.C. No. 6252, October 5,
2004). Rule 6.01, Canon 6
The primary duty of a lawyer engaged in PUBLIC
The latest circular of the Supreme Court provides PROSECUTION is not to convict but to see to it that
for the mandatory attendance of all lawyers in the justice is done. The suppression of facts or the
so-called “Mandatory Continuing Legal Education concealment of witnesses capable of establishing
Program” of the IBP. For law practitioners, they the innocence of the accused is highly
have to comply with the 36 hours of mandatory reprehensible and is cause for disciplinary
legal education as a pre-condition to the non- action.
revocation of license to practice law (Antiquiera,
1992). Q: From the viewpoint of legal ethics, why
should it be mandatory that the public
prosecutor be present at the trial of a criminal
case despite the presence of a private
prosecutor? (2001 Bar Question)
UNIVERSITY OF SANTO TOMAS
2015 GOLDEN NOTES
28
DUTIES AND RESPONSIBILITIES OF A LAWYER
A: The public prosecutor must be present at the trial Rule 6.01 v. Rule 6.02
of the criminal case despite the presence of a private
prosecutor in order to see to it that the interest of Unlike Rule 6.01, 6.02 is not limited to public
the State is well-guarded and protected, should the prosecutors, or public lawyers engaged principally
private prosecutor be found lacking in competence in criminal prosecution cases. The restriction
in prosecuting the case. Moreover, the primary duty applies particularly to lawyers in government
of a public prosecutor is not to convict but to see to service, who are allowed by law to engage in private
it that justice is done (Rule 6.01, CPR). A private law practice, and those who, though prohibited
prosecutor would be naturally interested only in the from engaging in the practice of law, have friends,
conviction of the accused. former associates and relatives who are in the active
practice of law (CPR Annotated, PhilJA).
Instance where a private prosecutor may
appear in behalf of the State even without the Rule 6.03, Canon 6
presence or supervision of a public prosecutor A lawyer shall not, after leaving government
All criminal actions either commenced by service, accept engagement or employment in
complaint or by information shall be prosecuted connection with any matter in which he had
under the direction and control of a public intervened while in said service (1992, 1993,
prosecutor. In case of heavy work schedule of the 2001 Bar Questions)
public prosecutor or in the event of lack of public
prosecutors, the private prosecutor may be The restriction provided under the rule covers
authorized in writing by the Chief of the Prosecution engagement or employment which means that he
Office or the Regional State Prosecutor to prosecute cannot accept any work or employment from
the case subject to the approval of the court. Once so anyone that will involve or relate to the matter in
authorized to prosecute the criminal action, the which he intervened as a public official, except on
private prosecutor shall continue to prosecute the behalf of the body or authority which he served
case up to end of the trial even in the absence of a during his public employment (CPR Annotated,
public prosecutor, unless the authority is revoked or PhilJA).
otherwise withdrawn (Sec. 5, Rule 110, RRC as
amended by A.M. No. 02-2-07-SC effective May 1, NOTE: Sec. 7(b) of R.A. 6713 prohibits former public
2002). official or employee for a period of 1 year after
retirement or separation from office to practice his
Rule 6.02, Canon 6 profession in connection with any matter before the
A lawyer in the government service shall not use office he used to be with.
his public position to promote or advance his
private interests, nor allow the latter to interfere Q: Former Solicitor General Estelito Mendoza
with his public duties. filed a petition with the CFI praying for the
assistance and supervision of the court in the
Restriction on lawyers who are also public GenBank’s liquidation. Mendoza gave advice on
officials and employees during their the procedure to liquidate the GenBank.
incumbency [PERU] Subsequently, President Aquino established the
PCGG to recover the alleged ill-gotten wealth of
They must NOT: former President Marcos, his families and
1. Engage in the Private practice of their cronies. The PCGG filed with the Sandiganbayan
profession unless authorized by the a complaint for reversion, reconveyance,
Constitution or law, provided that such practice restitution, accounting and damages against
will not conflict or tend to conflict with their Tan, et al. and issued several writs of
official functions; sequestration on properties they allegedly
2. Own, control, manage or accept Employment as acquired. Tan, et al. were represented by former
officer, employee, consultant, counsel, broker, SolGen Mendoza, who has then resumed his
agent, trustee or nominee in any private private practice of law. The PCGG filed motions
enterprise regulated, supervised or licensed by to disqualify Mendoza as counsel for Tan, et al.
their office unless expressly allowed by law; The motions alleged that Mendoza, as then
3. Recommend any person to any position in a SolGen and counsel to Central Bank, “actively
private enterprise which has a regular or intervened” in the liquidation of GenBank,
pending official transaction with their office; which was subsequently acquired by Tan, et al.
and Is Rule 6.03 of the CPR applicable to Mendoza?
4. Use or divulge confidential or classified
information officially known to them by reason
of their office and not available to the public.
UNIVERSITY OF SANTO TOMAS
29 FACULTY OF CIVIL LAW
LEGAL ETHICS
A: No. The advice given by Mendoza on the DUTIES AND RESPONSIBILITIES OF A
procedure to liquidate the GenBank is not the LAWYER TO THE LEGAL PROFESSION
“matter” contemplated by Rule 6.03 of the CPR.
INTEGRATED BAR OF THE PHILIPPINES
ABA Formal Opinion No. 342 is clear in stressing
that the “drafting, enforcing or interpreting
CANON 7
government or agency procedures, regulations or
A lawyer shall at all times uphold the integrity
laws, or briefing abstract principles of law” are acts
and dignity of the legal profession and
which do not fall within the scope of the
support the activities of the integrated bar
term “matter” and cannot disqualify.
However, this concern does not cast shadow in the Integrated Bar of the Philippines
case at bar. The act of Mendoza in informing the
Central Bank on the procedure on how to liquidate It is an official national body composed of all
the GenBank is a different matter from the subject persons whose names now appear or may hereafter
matter of the civil case which is about the be included in the Roll of Attorneys of the Supreme
sequestration of the shares of Tan et al. in Allied Court (Sec. 1, Rule 139-A, RRC).
Bank. Consequently, the danger that confidential
official information might be divulged is still nil, if Statutory Basis
not inexistent. To be sure, there are no inconsistent
sides to be bothered about in this case. For there is R.A. 6397. The Supreme Court may adopt rules of
no question that in lawyering for Tan et al., Mendoza court to effect the Integration of the Philippine Bar
is indirectly defending the validity of the action of under such conditions as it shall see fit in order to
the Central Bank in liquidating GenBank and selling raise the standards of the legal profession, improve
it later to Allied Bank. Their interests coincide the administration of justice and enable the bar to
instead of colliding (PCGG v. Sandiganbayan, G.R. discharge its public responsibility more effectively.
Nos. 151809-12, April 12, 2005).
NOTE: Integrated Bar is a state-organized bar, to
Adverse-interest Conflict v. Congruent-interest which every lawyer must belong. As distinguished
Conflict from bar associations organized by lawyers
themselves, where membership is voluntary; It is a
ADVERSE-INTEREST CONGRUENT-INTEREST national organization of lawyers created on 16
CONFLICTS REPRESENTATION January 1973 under Rule 139-A, Rules of Court, and
CONFLICTS constituted on 4 May 1973 into a body corporate by
Adverse-interest In congruent-interest PD No. 181.
conflicts exist where representation conflict,
the matter in which the the disqualification does Integration of the Bar
former government not really involve a
lawyer represents a conflict at all, because it The Integration of the Philippine Bar means the
client in private prohibits the lawyer from official unification of the entire lawyer population,
practice is representing a private and this requires membership and financial support
substantially related to practice client even if the of every attorney as condition sine qua non to the
the matter that the interests of the former practice of law and the retention of his name in the
lawyer dealt with government client and the Roll of Attorneys of the Supreme Court (Pineda,
while employed by the new client are entirely 1999).
government and the parallel.
interests of the Fundamental purposes of the IBP
government and the
interests of the current 1. To elevate the standards of the legal profession;
and former are 2. Improve the administration of justice; and
adverse. 3. Enable the Bar to discharge its public
responsibility more effectively (Sec. 2, Rule 139-
NOTE: “Congruent-interest representation A, RRC).
conflict,” unlike the “adverse-interest conflict,” is
unique to former government lawyers. NOTE: The Philippines is divided into 9 Regions of
the Integrated Bar, with a Chapter organized in
every province. Each Chapter shall have its own
local government as provided for by uniform rules
to be prescribed by the Board of Governors and
The concealment of an attorney in his application to The rationale behind the rule goes beyond the
take the bar exams of the fact that he had been personal responsibility to be upright and honest. It
charged with or indicted for an alleged crime, is further extends to the lawyer’s responsibility to
ground for revocation of his license to practice law. uphold the integrity and dignity of the profession,
(In re: Victorino Lanuevo, A.M. No. 1162, August 29, by not blindly issuing certifications in support of
1975) applications for admission to the bar of persons
known to him or her to have questionable character,
Honest mistake as excuse in making false inadequate education or other relevant attributes
statement not consistent with any or all of the requirements
for admission (CPR Annotated, PhilJA).
An honest mistake in making false statement may be
a valid excuse but the burden of proof lies on the one Rule 7.03, Canon 7
who alleges it. A lawyer shall not engage in a conduct that
adversely reflects on his fitness to practice law,
On the other hand, to be liable for suppressing a fact nor shall he, whether in public or private life,
or information in the application, the suppression behave in a scandalous manner to the discredit
must be: of the legal profession (2004 Bar Question)
1. Deliberately or knowingly made; and Q: Atty. Perenia got married in 2005. Then he
2. The fact or information suppressed must be met another woman, Helen; they fell in love and
material (CPR Annotated, PhilJA). started living together. Atty. Perenia would even
bring her along social functions and introduce
False statements in the application for her as his second wife. Is such act unethical?
admission to the Bar
A: Yes, it violates Rule 7.03 of CPR. The fact that he
1. If the false statement or suppression of material shamelessly flaunts his mistress constitutes an act
fact is discovered before the candidate could which embarrasses and discredits the law
take the bar examinations, he will be denied profession since it is his duty and obligation to
permission to take the examinations. uphold the dignity and integrity of the profession.
2. If the false statement or suppression of material The actuation of Atty. Perenia is contrary to good
fact was discovered after the candidate had morals.
passed the examinations but before having
been taken his oath, he will not be allowed to While it has been held in disbarment cases that the
take his oath as a lawyer. mere fact of sexual relations between two
3. If the discovery was made after the candidate unmarried adults is not sufficient to warrant
had taken his oath as a lawyer, his name will be administrative sanction for such illicit behavior, it is
stricken from the Roll of Attorneys. not so with respect to betrayals of the marital vow of
fidelity. Even if not all forms of extra-marital
Effect concealment of a crime which does not relations are punishable under penal law, sexual
involve moral turpitude relations outside marriage is considered disgraceful
and immoral as it manifests deliberate disregard of
Concealment will be taken against him. It is the fact the sanctity of marriage and the marital vows
of concealment and not the commission of the crime protected by the Constitution and affirmed by our
itself that makes him morally unfit to become a laws (Vitug v. Roncal, A.C. No. 6313, September 7,
lawyer. When he made concealment he perpetrated 2006).
perjury. (In re: Victorino Lanuevo, A.M. No. 1162,
August 29, 1975) Q: Atty. Kuripot was one of Town Bank’s valued
clients. In recognition of his loyalty to the bank,
he was issued a gold credit card with a credit
limit of P250,000.00. After two months, Atty.
Kuripot exceeded his credit limit, and refused to
pay the monthly charges as they fell due. Aside
A: No, because Canon 39 of the Canons of Q: Sanchez alleged that the complaint against
Professional Ethics provides that “a lawyer may him and the supporting affidavits were
interview any witness or prospective witness from subscribed and sworn to before Tupas, the Clerk
the opposing side in any civil or criminal action of Court, who is not a member of the IBP and
without the consent of opposing counsel or party.” therefore engaged in unauthorized practice of
This is because a witness is supposed to be a neutral law. Is Tupas as Clerk of Court authorized to
person whose role is to tell the truth when called administer oath?
upon to testify.
A: The term "clerk of courts" in Section 41 of the
Q: Will your answer be the same if it was the Administrative Code as amended is used as a
plaintiff who has interviewed by Atty. Manuel general term. The intention of the law is to authorize
without the consent of plaintiff's counsel? all clerks of court regardless of whether they are
Explain. (2009 Bar Question) clerks of the MTCs, to administer oaths on matter
involving official business. As Clerk of Court of
A: My answer will not be the same. Canon 9 of the MCTC, Tupas has the authority to administer oath of
Canons of Professional Ethics provides that “a affidavits of parties and witnesses which are to be
lawyer should not in any way communicate upon a filed in court (Sanchez v. Tupas, A.M. OCA IPI No. 03-
subject of controversy with a party represented by 1687-P, March 1, 2004).
counsel, much less should he undertake to negotiate
or compromise the matter with him, but should deal Q: The Supreme Court suspended indefinitely
only with his counsel.” If he communicates with the Atty. Fernandez from the practice of law for
adverse party directly, he will be encroaching into gross immorality. He asked the MCTC Judge of
the employment of the adverse party's lawyer. his town if he can be appointed counsel de officio
for Tony, a childhood friend who is accused of
theft. The judge refused because Atty.
Fernandez' name appears in the SC's list of
suspended lawyers. Atty. Fernandez then
inquired if he can appear as a friend for Tony to
defend him. xxx Supposing Tony is a defendant
in a civil case for collection of sum of money
before the same court, can Atty. Fernandez
appear for him to conduct his litigation? (2006
Bar Question)
A: Yes, because he delegates handling of a case to a NOTE: The estate or the heir cannot be made a
person suspended from the practice of law. Under member of the partnership with the surviving
Rule 9.01 of CPR – A lawyer shall not delegate to any partners. The legal fees in this case, no longer
unqualified person the performance of any task represent compensation for past.
which by law may only be performed by a member
of the bar in good standing. 3. Where a lawyer or law firm includes a non-
lawyer employees in a retirement plan, even if
Q: Atty. Monica Santos-Cruz registered the firm the plan is based in whole or in part, on a profit
name "Santos-Cruz Law Office" with the DTI as a sharing agreement (Rule 9.02, fourth par., Canon
single proprietorship. In her stationery, she 9, CPR).
printed the names of her husband and a friend
who are both non-lawyers as her senior NOTE: This is not a division of legal fees but a
partners in light of their investments in the firm. pension representing deferred wages for the
She allowed her husband to give out calling employees’ past services.
cards bearing his name as senior partner of the
firm and to appear in courts to move for This exception is an implicit recognition of the
postponements, Did Atty. Santos-Cruz violate incontestable fact that lawyers need to, and in
the CPR? (2010 Bar Question) fact, depend on non-lawyers for the
administrative support functions necessary to
A: Yes, she violated Rule 9.01, Canon 9 of the CPR. allow lawyers to discharge their legal functions
By allowing her husband to appear in courts to more efficiently (CPR Annotated, PhilJA).
move for the postponements of the cases of the firm,
she delegated her duty to appear which a member
UNIVERSITY OF SANTO TOMAS
2015 GOLDEN NOTES
40
DUTIES AND RESPONSIBILITIES OF A LAWYER
Q: Engr. Rufino alleged that he referred a case ground for disciplinary action (Antiquiera, CPR).
for partition of the estate of the late Benjamin
Yap to Atty. Pefianco. It was agreed in writing Requirements of candor
that Rufino would receive ten percent of the
attorney’s fees to be received by Atty. Pefianco. 1. A lawyer shall not suppress material and vital
However, when the fees were already paid, facts which bear on the merit or lack of merit of
Pefianco refused to pay, stating in a letter that complaint or petition.
the spouses will be the one to shoulder his 2. A lawyer shall volunteer to the court any
commission. Despite demand, Pefianco still development of the case which has rendered
refused, hence Rufino filed a disbarment case the issue raised moot and academic.
against Pefianco. In his defense, he averred that 3. Disclosure to the court of any decision adverse
he accepted the case of the spouses on a to his position of which opposing counsel is
contingency basis, and advance all the expenses. apparently ignorant and which court should
Should Atty. Pefianco be disciplined? consider in deciding a case.
4. He shall not represent himself as a lawyer for a
A: Yes, it is clear that Atty. Pefianco violated Rule client, appear in court and present pleadings in
9.02, Canon 9. By stipulating that Rufino will be the latter’s behalf only to claim later that he was
entitled to a commission from his attorney’s fee, not authorized to do so.
Atty. Pefianco entered to an agreement to divide the
fee with person a person not licensed to practice Q: Atty. Florido demanded that the custody of
law. their children be surrendered to him by
showing his spouse Hueysuwan-Florido a
Q: You had just taken your oath as lawyer. The photocopy of an alleged Resolution issued by the
secretary to the president of a big university CA which supposedly granted his motion for
offered to get you as the official notary public of temporary child custody. His spouse refused to
the school. She explained that a lot of students surrender the custody. Hence, Atty. Florido filed
lose their identification cards and are required a verified petition for the issuance of a writ of
to secure an affidavit of loss before they can be habeas corpus asserting his right to custody of
issued a new one. She claimed that this would be the children on the basis of the alleged CA’s
very lucrative for you, as more than 30 students resolution. Hueysuwan obtained a certification
lose their identification cards every month. from the CA stating that no such resolution had
However, the secretary wants you to give her been issued. Hence, complainant filed the
one-half of your earning therefrom. Will you instant complaint. May Atty. Florido be held
agree to the arrangement? Explain. (2005 Bar administratively liable for his reliance on and
Question) attempt to enforce a spurious Resolution of the
CA?
A: No, I will not agree. Rule 9.02 of the Code of
Professional Responsibility provides that “a lawyer A: Yes. Atty. Florido’s actions erode the public
shall not divide or stipulate to divide a fee for legal perception of the legal profession. Candor and
service with persons not licensed to practice law”. fairness are demanded of every lawyer. The burden
The secretary is not licensed to practice law and is cast on the judiciary would be intolerable if it could
not entitled to a share of the fees for notarizing not take at face value what is asserted by counsel.
affidavits, which is a legal service. The time that will have to be devoted just to the task
of verification of allegations submitted could easily
DUTIES AND RESPONSIBILITIES OF A be imagined (Hueysuwan- Florido v. Atty. Florido,
LAWYER TO THE COURTS A.C. No. 5624, January 20, 2004).
1. Lawyers falsely stating in a deed of sale that A: Yes. Atty. Doronilla violated Canon 10 and Rule
property is free from all liens and 10.01 of the CPR. Not only that, he also violated the
encumbrances when it is not so (Sevilla v. lawyer’s oath to do no falsehood, nor consent to the
Zoleta, A.C. No. 31, March 28, 1955). doing of any in court, of which Canon 10 and Rule
2. Lawyers making it appear that a person, long 10.01 are but restatements. His act infringed on
dead, executed a deed of sale, in his favor every lawyer’s duty to “never seek to mislead the
(Monterey v. Arayata, Per. Rec. Nos 3527, 3408, judge or any officer by an artifice or false statement
August 23, 1935). of fact or law” (Maligaya v. Doronilla, A.C. No. 6198,
3. Lawyer, encashing a check payable to a September 15, 2006).
deceased cousin by signing the latter’s name on
the check (In re: Samaniego, A.C. No. 74, Rule 10.02, Canon 10
November 20, 1959). A lawyer shall not knowingly misquote or
4. Lawyer falsifying a power of attorney and used misrepresent the contents of the paper, the
it in collecting the money due to the principal language or the argument of opposing
and appropriating the money for his own counsel, or the text of a decision or authority,
benefit (In re: Rusina, A.C. No. 270, May 29, or knowingly cite as law a provision already
1959). rendered inoperative by repeal or
5. Lawyer alleging in one pleading that his clients amendment, or assert as a fact that which has
were merely lessees of the property involved, not been proved.
and alleged in a later pleading that the same
clients were the owners of the same property If not faithfully and exactly quoted, the decisions
where there are false allegations in the and rulings of the court may lose their proper and
pleadings (Chavez v. Viola, G.R. No. 2152, April correct meaning, to the detriment of other courts,
19, 1991). lawyers and the public who may thereby be misled.
6. Lawyer uttering falsehood in a Motion to
Dismiss (Martin v. Moreno, A.C. No. 1432, May Rule 10.03, Canon 10, CPR
21, 1984). A lawyer shall observe the rules of procedure
7. Lawyer denying having received the notice to and shall not misuse them to defeat the ends
file brief which is belied by the return card of justice.
(Ragasajo v. IAC, G.R. No. L-69129, August 31,
1987).
Filing multiple actions constitutes an abuse of the
8. Lawyer presenting falsified documents in court
Court’s processes. Those who filed multiple or
which he knows to be false (Berenguer v.
When a counsel deliberately: A: Yes. The fact that a person is a lawyer does not
deprive him of the right, as enjoyed by every citizen,
1. Files an unsigned pleading in violation of the to comment on and criticize the actuations of a
rules; judge but it is the cardinal condition of all criticisms
2. Alleges scandalous matters therein; that it shall be bona fide, and shall not spill over the
3. Fails to promptly report to the court a change of walls of decency and propriety (Zaldivar v. Gonzales,
his address (Sec. 3, Rule 7, RRC). G.R. Nos. 79690-707, February 1, 1989).
NOTE: A lawyer should not abuse his right of NOTE: What a lawyer can ordinarily say against a
recourse to the courts for the purpose of arguing a concluded litigation and the manner the judge
cause that had been repeatedly rebuffed. Neither handed down the decision therein may not
should he use his knowledge of law as an instrument generally be said to a pending action. The court, in a
to harass a party nor to misuse judicial processes, as pending litigation, must be shielded from
the same constitutes serious transgression of the embarrassment and influence in performing the
Code of Professional Responsibility. For while he important duty of deciding it. On the other hand,
owes fidelity to the cause of his client, it should not once litigation is concluded, the judge who decided
be at the expense of truth and the administration of on it is subject to the same criticism as any other
justice (Garcia v. Francisco, A.C. No. 3923, March 30, public official because then his ruling becomes
1993). public property and is thrown open to public
consumption.
Rule 10.04, Canon 10
A lawyer shall, when filing a pleading, furnish Q: Attorney Paguia, asserts that the inhibition of
the opposing party with a copy thereof, the members of the Supreme Court from hearing
together with all the documents annexed the petition is called for under the Code of
thereto. Unless a motion is ex parte, he should Judicial Conduct prohibiting justices or judges
set it for hearing, with sufficient notice to the from participating in any partisan political
other party. activity. According to him, the justices have
violated the said rule by attending the 'EDSA 2
RESPECT FOR COURTS AND JUDICIAL OFFICERS Rally' and by authorizing the assumption of
Vice- President Macapagal-Arroyo to the
Presidency. The subsequent decision of the
CANON 11
Court in Estrada v. Arroyo (G.R. Nos. 146710-15,
A lawyer shall observe and maintain the
March 2, 2001 and G.R. Nos. 146710-15, April 3,
respect due to the courts and to judicial
2001) is a patent mockery of justice and due
officers and should insist on similar conduct
process. He went on to state that — the act of the
by other
public officer, if lawful, is the act of the public
Disrespect toward the court would necessarily office. But the act of the public officer, if
undermine the confidence of the people in the unlawful, is not the act of the public office.
honesty and integrity of the members of the court, Consequently, the act of the justices, if lawful, is
and consequently to lower or degrade the the act of the Supreme Court. But the act of the
administration of justice by the court. justices, if unlawful, is not the act of the Supreme
Court. It is submitted that the decision in
All lawyers are expected to recognize the authority Estrada v. Arroyo being patently unlawful in
of the Supreme Court and obey its lawful processes view of the Code of Judicial Conduct, is not the
and orders. Despite errors which one may impute act of the Supreme Court but is merely the wrong
on the orders of the Court, these must be respected, of those individual Justices who falsely spoke
especially by the bar or the lawyers who are and acted in the name of the Supreme Court
themselves officers of the courts (Yap-Paras v. Atty. (Urbano v. Chavez, G.R. No. 87977, March 19,
A: It is misbehavior committed in the presence of or The duty to observe and maintain respect is not a
so near the court or judge so as to obstruct or one-way duty from a lawyer to a judge. A judge
interrupt the proceedings before the same, should also be courteous to counsel, especially
including disrespect toward the court (Pineda, those who are young and inexperienced and to all
2009). those appearing or concerned in the administration
Evidently, Atty. Villar Jr. has fallen short of the Rule 12.02, Canon 12
competence and diligence required of every A lawyer shall not file multiple actions arising
member of theBar. It is indeed dismaying to note from the same cause. (1991, 1997, 1998, 2002
Atty. Villar Jr.’s patent violation of his duty as a Bar Questions)
lawyer. He committed a serious transgression when
he failed to exert his utmost learning and ability and
The mere filing of several cases based on the same
to give entire devotion to his client's cause. His
incident does not necessarily constitute forum
client had relied on him to file the formal offer of
shopping. The question is whether the several
exhibits among other things. But he failed him.
actions filed involve the same transactions,
Resulting as it did in the dismissal of the case, his
essential facts and circumstances. If they involve
failure constitutes inexcusable default (Jardin v.
essentially different facts, circumstances and causes
Atty. Villar, Jr., A.C. No. 5474, August 28, 2003).
of action, there is no forum shopping (Paredes v.
Sandiganbayan, G.R. No. 108251, January 31, 1996).
Q: Judgment was rendered against Eternal
Gardens ordering it to reconvey the cemetery to
The essence of forum shopping is the filing of
the rightful owners. Despite the final decision of
multiple suits involving the same parties for the
the SC, Eternal Gardens was able to prevent the
same cause of action, either simultaneously or
execution for 17 years, rendering the judgment
successively, for the purpose of obtaining a
ineffectual. They filed several petitions and
favorable judgment (Foronda v. Atty. Guerrero, A.C.
motions for reconsideration with the trial court
No. 5469, August 10, 2004).
and the CA despite the fact that it would never
prosper as the trial court’s decision had long
NOTE: If same evidence supports both actions,
become final before the said petitions were
there is also forum shopping.
filed. Did the lawyers violate Canon 12 of the
CPR?
Q: The trial court declared Paxton Development
Corporation (PDC) the lawful owner of the
A: While lawyers owe their entire devotion to the
subject lots. CA affirmed. Top Rate, as the losing
interest of the client and zeal in the defense of their
party, sought to have the said resolution set
client’s right, they are also officers of the court, bound
aside and thereafter filed with the Supreme
to exert every effort to assist in the speedy and
Court a motion for extension of time to file a
efficient administration of justice. They should not
The function of a witness is to tell the facts as he It is reprehensible for a lawyer to wrongfully use the
recalls them in answer to questions. The function of name of the law office for the purpose of “giving
an advocate is that of a partisan. It is difficult to more weight and credit to the pleading.” Motions
distinguish between the zeal of an advocate and the and pleadings filed in courts are acted upon in
fairness and impartiality of a disinterested witness. accordance with their merits or lack of it, and not on
the reputation of the law firm or the lawyer filing
Matters to which a lawyer CANNOT testify on the same (Rodica v. Atty. Lazaro, et al. A.C. No. 9259,
[TARCC] August 23, 2012).
Rationale for establishing legal aid services Q: Is there an instance when a lawyer may accept
losing case? (1996, 2001, 2002, 2005 Bar
Legal aid is not a matter of charity. It is a means for Questions)
the correction of social imbalances that may and
often do lead to injustice, for which reason it is a a. In criminal case?
public responsibility of the Bar. The spirit of public b. In civil case?
service should, therefore, underlie all legal aid
offices. The same should be so administered as to A:
give maximum possible assistance to the indigent a. A lawyer may accept a “losing” criminal case
and deserving members of the community in all since an accused is presumed to be innocent
cases, matters and situations in which legal aid may until his guilt is proven beyond reasonable
be necessary to forestall an injustice (Public Service, doubt. Furthermore, CPR provides that a lawyer
Sec. 1, Art. 1 of the IBP Guidelines on Legal Aid). shall not decline to represent a person because
of his opinion regarding the guilt of said person.
Q: Are there instances where a lawyer has the Otherwise innocent persons might be denied
duty to decline employment? (1993 Bar proper defense (CPR, Rule 14.01).
Question) b. A lawyer may also accept a losing civil case,
provided that, in so doing, he must not engage
A: A lawyer should decline no matter how attractive in dilatory tactics and must advise his client
the fee offered may be if its acceptance will involve: about the prospects and advantage of settling
[RACCAA] the case through a compromise to the extent of
representing indigents, defenseless and the
1. A violation of any of the Rules of the legal oppressed.
profession;
2. Advocacy in any manner in which he had SERVICES REGARDLESS OF PERSON’S STATUS
intervened while in the government service;
3. Nullification of a Contract which he prepared; Rule 14.01, Canon 14
4. Employment with a Collection agency which A lawyer shall not decline to represent a
solicits business to collect claims; person solely on account of the latter’s race,
5. Employment, the nature of which might easily sex, creed or status of life, or because of his
be used as a means of Advertising his own opinion regarding the guilt of said
professional services of his skill; or person.
6. Any matter in which he knows or has reason to
believe that he or his partner will be an Q: Atty. DD’s services were engaged by Mr. BB as
essential witness for the prospective client. defense counsel in a lawsuit. In the course of the
proceedings, Atty. DD discovered that Mr. BB
Reasons why a lawyer may not accept a “losing was an agnostic and a homosexual. By reason
case” thereof, Atty. DD filed a motion to withdraw as
counsel without Mr. BB’s express consent. Is
1. The attorney’s signature in every pleading Atty. DD’s motion legally tenable? Reason
constitutes a certificate by him that there is briefly. (2004 Bar Question)
good cause to support it and that it is not
interposed for delay, and willful violation of A: No. Atty. DD’s motion is not legally tenable. He
such rule shall subject him to disciplinary has no valid cause to terminate his services. His
action; client, Mr. BB, being an agnostic and homosexual,
2. It is the attorney’s duty to “counsel or maintain should not be deprived of his counsel’s
such actions or proceedings only as appears to representation solely for that reason.
him to be just and only such defenses as he
believes to be honestly debatable under the
law”;
3. A lawyer is not to encourage either the
Q: Assailed in a certiorari proceeding is an order While he faced the daunting task of defending an
of respondent Judge Climaco denying a motion accused that had jumped bail, this unfortunate
filed by petitioner Ledesma to be allowed to development is not a justification to excuse him
withdraw as counsel de officio. One of the from giving his heart and soul to the latter's defense.
grounds for such a motion was his allegation The exercise of their duties as counsel de officio
that with his appointment as Election Registrar meant rendering full meaning and reality to the
by the COMELEC, he was not in a position to constitutional precepts protecting the rights of the
devote full time to the defense of the two accused (People v. Ferrer, G.R. No. 148821, July 18,
accused. The denial by respondent Judge of such 2003).
a plea, notwithstanding the conformity of the
defendants, was due to “its principal effect of Q: May a lawyer decline a request for free legal
delaying the case." Is the denial of Judge Climaco aid to an indigent accused made by a chapter of
correct? the IBP? Explain. (2002 Bar Question)
A: Yes. The reluctance of Ledesma to comply with A: No. Rule 14.02 of the CPR provides that “a lawyer
his responsibilities as counsel de officio is not an shall not decline, except for serious and sufficient
adequate ground for the motion of withdrawal. cause, an appointment as counsel de officio or as
Membership in the bar is a privilege burdened with amicus curiae or a request from the IBP or any of
a condition. For some lawyers especially the its chapter for rendition of free legal aid.” He
neophytes in the profession being appointed as a may, decline such appointment only for
lawyer is an irksome chore. Law is a profession “serious and sufficient cause”.
dedicated to the ideal of service and not a mere trade.
Thus is made manifest the indispensable role of a Q: Will your answer be different if the legal aid
member of the Bar in the defense of an accused. Such is requested in a civil case? (2002 Bar Question)
a consideration could have sufficed for Ledesma not
being allowed to withdraw as counsel de officio. For A: The answer will not be exactly the same, because
he did betray by his moves his lack of enthusiasm in a civil case, the lawyer can also decline if he
for the task entrusted to him, to put matters mildly. believes the action or defense to be unmeritorious.
He did point though to his responsibility as an He is ethically bound to maintain only actions and
election registrar. Assuming his good faith, no such proceedings which appear to him to be just and only
excuse could be availed now. There is not likely at such defenses which he believes to be honestly
present, and in the immediate future, an exorbitant debatable under the law.
demand on his time (Ledesma v. Climaco, G.R. No. L-
23815, June 28, 1974).
Q: Atty. Mariano Dajoyag, Jr. is Ernesto Ramos’ A lawyer owes absolute fidelity to the cause of his
counsel. He failed to perfect their appeal before client. He owes his client full devotion to his interest,
the SC. He filed the petition for certiorari within warm zeal in the maintenance and defense of his
the 20-day period of extension that he sought in rights.
his 2nd motion for extension. He learned that
the period of extension granted in his 1st motion It demands of an attorney an undivided allegiance, a
for extension was inextendible only after the conspicuous and high degree of good faith,
expiration of the 2 periods of extension that he disinterestedness, candor, fairness, loyalty, fidelity
prayed for. A complaint for negligence and and absolute integrity in all his dealings and
malpractice was filed against him, to which he transactions with his clients and an utter
pleaded good faith and excusable neglect of renunciation of every personal advantage
duty. Is Atty. Dajoyag Jr. guilty of neglect of duty? conflicting in any way, directly or indirectly, with
the interest of his client (Oparel Sr. v. Abaria, A.C. No.
A: Yes. Motions for extension are not granted as a 959, July 30, 1971).
matter of right but in the sound discretion of the
court, and lawyers should never presume that their If they find that their client’s cause is defenseless,
motions for extension or postponement will be then it is their bounden duty to advise the latter to
granted or that they will be granted the length of acquiesce and submit rather than to traverse the
time they prayed for. incontrovertible (Rollon v. Atty. Naraval, A.C. No.
6424, March 4, 2005).
Further, regardless of the agreement Atty. Dajoyag,
Jr. had with Ramos with respect to the payment of his CONFIDENTIALITY RULE
fees, Atty. Dajoyag, Jr. owed it to Ramos to do his
utmost to ensure that every remedy allowed by law is Confidentiality
availed of. Rule 14.04 of the Code of Professional
Responsibility enjoins every lawyer to devote his It means the relation between lawyer and client or
full attention, diligence, skills, and competence to guardian and ward, or between spouses, with
every case that he accepts. Pressure and large regard to the trust that is placed in the one by the
volume of legal work do not excuse Atty. Dajoyag, Jr. other (Black’s Law Dictionary 7th Edition 1990,
for filing the petition for certiorari out of time. 2004).
Nevertheless, Atty. Dajoyag Jr. exerted efforts to A lawyer shall preserve the confidences and secrets
protect the rights and interests of Ernesto Ramos, of his client even after the attorney-client relation is
including trying to secure a reconsideration of the terminated (Canon 21, CPR).
denial of the petition. Thus, he is guilty of simple
neglect of duty (Ramos v. Dajoyag, Jr., A.C. No. 5174, It is one of the duties of a lawyer, as provided for in
February 28, 2002). the Rules of Court, to maintain inviolate the
confidence, and at every peril to himself, to preserve
NOTE: The fact that his services are rendered the secrets of his client (Sec. 20(e), Rule 138, RRC).
without remuneration should not occasion a
diminution in his zeal (Ledesma v. Climaco, G.R. No. PRIVILEGED COMMUNICATIONS
L-23815, June 28, 1974).
Privileged communication
NOTE: The party who avers that the communication Instances when communication is not privileged
is privileged has the burden of proof to establish the
existence of the privilege unless from the face of the A communication made by a client to a lawyer is not
document itself, it clearly appears that it is privileged in the following instances:
privileged. The mere allegation that the matter is
privileged is not sufficient (People v. Sleeper, G.R. No. 1. After pleading has been filed because such
22783, December 3, 1924; Lapena Jr., 2009). becomes part of public records.
2. When communication was intended by the
Client identity client to be sent to a third person through his
counsel.
Client identity is privileged where a strong 3. When the communication sought by client is
probability exists that revealing the client’s name intended to aid future crime or perpetration
would implicate that client in the very activity for of fraud.
which he sought the lawyer’s advice (Regala v. 4. When communication between attorney and
A lawyer who represented those who were victims 1. To decline the case because to do so will
of a pyramid scam against a corporation and then constitute representing conflicting interests.
later on enters his appearance as counsel for the It is unethical for a lawyer to represent a
officers of such corporation for the criminal cases client in a case against another client in the
involving the same pyramid scam is guilty of same case.
misconduct. The lawyer's highest and most 2. To accept to file the case against Huey
unquestioned duty is to protect the client at all Company, after full disclosure to both
hazards and costs even to himself. The protection retained clients and upon their express and
given to the client is perpetual and does not cease written consent. The written consent may
with the termination of the litigation, nor is it free him from the charge of representing
affected by the client's ceasing to employ the conflicting interests, because written consent
attorney and retaining another, or by any other amounts to a release by the clients of the
change of relation between them. It even survives lawyer’s obligation not to represent
the death of the client (Samson v. Atty. Era, A.C. No. conflicting interests.
6664, July 16, 2013).
Q: If you were Atty. Anama, which option would
Instances when lawyers cannot represent you take? Explain.
conflicting interest even if the consent of both
clients were secured A: If I were Atty. Anama, I will choose the first option
and inhibit myself in the case as both entities are my
Where the conflict is: clients. The conflict of interests between the
contending clients may reach such a point that,
1. Between the attorney’s interest and that of notwithstanding their consent to the common
a client; or representation, the lawyer may be suspected of
2. Between a private client’s interests and disloyalty by one client. His continuing to act in a
that of the government or any of its double capacity strikes deeply in the foundation of
instrumentalities. the attorney-client relationship.
Effects of representing adverse interests [DJ- Q: Hocorma Foundation filed a complaint for
FAC] disbarment against respondent lawyer.
Respondent used to work as corporate
1. Disqualification as counsel of new client on secretary, counsel, chief executive officer, and
petition of former client; trustee of the foundation from 1983 to 1985. He
2. Where such is unknown to, and becomes also served as its counsel in several criminal and
prejudicial to the interests of the new client, a civil cases. Complainant alleged that respondent
A lawyer must be scrupulously careful in handling Canon 16: A lawyer shall hold in
money entrusted to him in his professional capacity, trust all moneys and properties of
because of the high degree of fidelity and good faith his client that may come into his
expected on his part (Medina v. Bautista, A.C. No. possession.
190, September 26, 1964).
And Canon 17 of the same Code, which provides as
Lawyer’s inexcusable act of withholding the follows:
property of client and imposing unwarranted fees in
exchange for release of documents deserve the Canon 17: A lawyer owes fidelity to
imposition of disciplinary action (Miranda v. Carpio, the cause of his client and he shall
A.C. No. 6281, September 26, 2011). be mindful of the trust and
confidence reposed in him.
Q: X sought assistance to the President of the IBP
to enable him to talk to Atty. U who had allegedly The Supreme Court further held that the lawyer
been avoiding him for more than a year. Atty. U concerned has engaged in deceitful, dishonest,
failed to turn–over to his client the amount given unlawful and grossly immoral acts, which might
to him by X as settlement for a civil case. Is Atty. lessen the trust and confidence reposed by the
U guilty for violating Canon 16 of the Code of public in the fidelity, honesty, and integrity of the
Professional Responsibility? legal profession. Consequently, the Court disbarred
him.
A: Yes. The Code of Professional Responsibility
mandates every lawyer to hold in trust all money Fiduciary duty
and properties of his client that may come into his
possession. A lawyer’s failure to return upon The principle that an attorney derives no undue
demand the funds or property held by him on behalf advantage that may operate to the prejudice or
of his client gives rise to the presumption that he has cause an occasion for loss of a client refers to
appropriated the same for his own use to the fiduciary duty. The relationship between the lawyer
prejudice of, and in violation of the trust reposed in and the client is one of mutual trust and confidence
him by, his client. The relation between attorney of the highest degree.
and client is highly fiduciary in nature. Being such, it
requires utmost good faith, loyalty, fidelity and Instances when civil liability arises
disinterestedness on the part of the attorney. Its
fiduciary nature is intended for the protection of the 1. Client is prejudiced by lawyer's negligence or
client (Espiritu v. Ulep, A.C. No. 5808, May 4, 2005). misconduct;
2. Breach of fiduciary obligation;
Q: C engaged the services of attorney D 3. Civil liability to third persons;
concerning various mortgage contracts entered 4. Libelous words in pleadings;
into by her husband from whom she is separated 5. violation of communication privilege;
fearful that her real estate properties will be 6. Liability for costs of suit (Treble Costs) – when
foreclosed and of impending suits for sums of lawyer is made liable for insisting on client's
money against her. Attorney D advised C to give patently unmeritorious case or interposing
Recover property from lawyer, together with its GR: Losing client and not the lawyer is liable for
fruits, subject to client’s returning to his lawyer the costs of suit in favor of prevailing party, the lawyer
purchase price thereof and the legal interests not being a party-litigant.
thereon.
XPN: Where the lawyer insisted on client’s patently
Exemption from liability unmeritorious case or interposed an appeal to delay
litigation or thwart prompt satisfaction of
A lawyer is exempted from liability for slander, libel prevailing party’s just and valid claim, the court may
or for words otherwise defamatory, published in the adjudge lawyer to pay treble costs of suit.
course of judicial proceedings, provided the
statements are connected with, relevant, pertinent COMMINGLING OF FUNDS
and material to the cause in hand or subject of
inquiry. Rule 16.02, Canon 16
A lawyer shall keep the funds of each client
NOTE: Test of relevancy – The matter to which the separate and apart from his own and those of
privilege does not extend must be palpably wanting others kept by him.
in relation to the subject of controversy, that no
reasonable man can doubt its relevancy or Failure of the lawyer to account all the funds and
propriety. property of his client which may come into his
possession would amount to misappropriation
Criminal liability of lawyers which may subject him to disbarment on the ground
of grave misconduct or a criminal prosecution for
A lawyer may be held criminally liable if he commits estafa under Art. 315, par. 1(b) of the RPC.
any of the following:
Q: BPI filed two complaints for replevin and
1. Causes prejudice to the client thru malicious damages against Esphar Medical Center Inc. and
breach of professional duty or thru inexcusable its President Cesar Espiritu. Espiritu engaged
negligence or ignorance; the services of Atty. Juan Cabredo IV. While these
2. Reveals client’s secrets learned in lawyer’s cases were pending in court, the latter advised
professional capacity thru malicious breach of Esphar to remit money and update payments to
professional duty or inexcusable negligence or the bank through the trial court. Accordingly,
ignorance; Esphar's representative delivered a total of
3. A lawyer who has undertaken the defense of a P51,161.00 to Atty. Cabredo's office. However,
client or has received confidential information the management of Esphar found out that he did
from said client in a case may be criminally liable not deliver said money to the court or to the
for undertaking defense of opposing party in bank. Did Atty. Caredo commit a breach of trust?
same cause without consent of first client (Art.
209, RPC); A: Yes. His act amounted to deceit in violation of his
4. A lawyer who shall knowingly introduce in oath. The relationship between a lawyer and a client
evidence in any judicial proceeding or to the is highly fiduciary; it requires a high degree of
damage of another or who, with intent to cause fidelity and good faith. Hence, in dealing with trust
such damage, shall use any false document may property, a lawyer should be very scrupulous.
be held criminally liable therefor (Art. 172, RPC); Money or other trust property of the client coming
and into the possession of the lawyer should be reported
5. A lawyer who is appropriates his client’s funds by the latter and account any circumstances, and
may be held liable for estafa. should not be commingled with his own or be used
by him (Espiritu v. Cabredo IV, A.C. No. 5831, January
NOTE: When a lawyer collects or receives money 13, 2003).
from his client for a particular purpose, he should
promptly account to the client how the money
was spent. His failure either to render an
accounting or to return the money (if the
intended purpose of the money does not
materialize) constitutes a blatant disregard of
Rule 16.01 of the CPR (Belleza v. Malaca, A.C. No.
An attorney may not appear for a person until he is USE OF FAIR AND HONEST MEANS
in fact employed by, or retained for such person. An
attorney willfully appearing in court for a person Rule 19.01, Canon 9
without being employed, unless by leave of court, A lawyer shall employ only fair and honest
may be punished for contempt as an officer of the means to attain the lawful objectives of his
court, who has misbehaved in his official client and shall not present, participate in
transactions (Sec. 26, Rule 138). presenting or threaten to present, participate
in presenting or threaten to present
Effects of unauthorized appearance unfounded criminal charges to obtain an
improper advantage in any case or
1. The party represented is not bound by proceeding (1997 Bar Question)
attorney’s appearance in the case neither by the
judgment rendered therein; Rule 19.01 of the CPR obligates a lawyer, in
2. Court does not acquire jurisdiction over the defending his client, to employ only such means as
person of the party represented; are consistent with truth and honor. He should not
3. The adverse party who has been forced to prosecute patently frivolous and meritless appeals
UNIVERSITY OF SANTO TOMAS
75 FACULTY OF CIVIL LAW
LEGAL ETHICS
or institute clearly groundless actions. The act of a If your were Atty. Bravo, what would you do in
lawyer in preventing the execution of the judgment light of your client's disclosure that he perjured
against his clients shows that he actually committed himself when he testified? (2013 Bar Question)
what the above rule expressly prohibits (Que v.
Revilla, A.C. No. 7054, December 4, 2009). A: I shall promptly call upon Carlos Negar, my client,
to rectify his perjured testimony by recanting the
Under this rule, a lawyer should not file or threaten same before the court. Should he refuse or fail to do
to file any unfounded or baseless criminal case or so I shall then terminate my relationship with him
cases against the adversaries of his client designed (Canon, 19, Rule 19.02) stating that with his having
to secure a leverage to compel the adversaries to committed perjury he persuaded an illegal conduct
yield or withdraw their own cases against the in connection with the case (Ibid., Canon 22, Rule
lawyer’s client. 22.01).
2. As to subject matter - the client is in control. 2. Special appearance – When a defendant appears
in court solely for the purpose of objecting to
NOTE: Cause of action, claim or demand, and the jurisdiction of the court over his person.
subject of litigation are within client’s control.
Proceedings to enforce the remedy are within the NOTE: By virtue of Sec. 20, Rule 14 of the 1997
exclusive control of the attorney. Rules of Civil Procedure, there is no more
distinction between general appearance and special
Authority of counsel to compromise appearance, in the sense that a defendant may file a
motion to dismiss not only on the ground of lack of
GR: The attorney has no authority to jurisdiction over his person but also on some other
compromise his client’s case. This is so because the grounds without waiving the jurisdiction of the
client, even if represented by counsel, retains court over his person.
exclusive control over the subject matter of the
litigation. The client can, of course, authorize his Entry of appearance v. Appearance of counsel
lawyer to compromise his case, and the settlement
made by the lawyer will bind his client. Entry of appearance is the written manifestation
submitted by the counsel of record to inform the
XPNs: court that he will act as the counsel of a party made
1. When the lawyer is confronted with an before the date of the hearing while appearance is
emergency where prompt and urgent action is the verbal manifestation of the counsel in order for
necessary to protect the interest of his client the court to recognize his presence during the
and there is no opportunity for consultation hearing of the case (Sec. 21, Rule 138, Rules of Court).
with the latter.
2. Settlement of Monetary Obligation to client is ATTORNEY’S FEES
full payment in cash. (1990, 1991, 1992, 1994, 1995, 1997, 1998,
2005, 2006, 2007 Bar Questions)
NOTE: Compromise is a contract whereby the
parties, by making reciprocal concessions, avoid CANON 20
litigation or put an end to one already commenced A lawyer shall charge only fair and
(Art. 2028, NCC). reasonable fees
1. Time spent and the services rendered or required Q: Concept Placement retained the services of
– A lawyer is justified in fixing higher fees when Atty. Funk. Under their retainer contract, Atty.
the case is so complicated and requires more Funk is to render various legal services except
time and effort in fixing it. litigation, quasi-judicial and administrative
proceedings and similar actions for which there
2. Importance of subject matter – The more will be separate billings. Thereafter, Atty. Funk
important the subject matter or the bigger the represented Concept Placement in the case filed
value of the interest of the property in litigation, against it for illegal dismissal. While the labor
the higher is the attorney’s fees. case was still pending, Concept Placement
terminated the services of Atty. Funk.
3. Novelty and difficulty of questions involved – Nevertheless, Atty. Funk continued handling the
When the questions in a case are novel and case. Atty. Funk then advised Concept Placement
difficult, greater effort, deeper study and of the POEA’s favorable decision and requested
research are bound to burn the lawyer’s time the payment of his attorney’s fees. Concept
and stamina considering that there are no local Placement refused. Is Atty. Funk entitled to
precedents to rely upon. attorney’s fees for assisting Concept Placement
as counsel in the labor case even if the services
4. Skill demanded of a lawyer – The totality of the of Atty. Funk were already terminated?
lawyer’s experience provides him skill and
competence admired in lawyers. A: Yes. The expiration of the retainer contract
between the parties during the pendency of the
Different types of fee arrangements labor case does not extinguish the respondent’s
right for attorney’s fees. The Court found that while
1. Retainer’s fee where the lawyer is paid for the petitioner and the respondent did not execute a
services for an agreed amount for the case. written agreement on the fees in the labor case
2. The lawyer agrees to be paid per court aside from the Retainer Agreement, the petitioner
appearance. did categorically and unequivocally admit in its
3. Contingent fee where the lawyer is paid for his Compulsory Counterclaim that it has engaged the
services depending on the success of the case. services of the respondent as its counsel for a fee of
This applies usually in civil suits for money or P60, 000, etc. (Concept Placement Resources Inc. v.
property where the lawyer’s fee is taken from Atty. Funk, G.R. No. 137680, February 6, 2004).
the award granted by the court.
4. Attorney de officio. The attorney is appointed by Retainer
the court to defend the indigent litigant in a
criminal case. The client is not bound to pay the 1. This is the act of the client by which he employs
attorney for his services although he may be paid a lawyer to manage for him a cause to which he
a nominal fee taken from a public fund is a party, or otherwise to advise him as counsel;
appropriated for the purpose. 2. It also refers to a fee which the client pays his
5. Legal aid. The attorney renders legal services for attorney whom he retains (Pineda, 2009).
those who could not afford to engage the services
of paid counsel. Retaining fee
6. Quantum meruit basis. If there is no specific
contract between the lawyer and the client, the A retaining fee is a preliminary fee given to an
lawyer is paid on quantum meruit basis, that is, attorney or counsel to insure and secure his future
what the lawyer deserves for his services. services, and induce him to act for the client.
(Pineda, 2009).
NOTE: When the claim for entitlement to attorney's
fees is contingent, but no written agreement has Kinds of Retainer Agreements on Attorney’s
been executed bearing the supposed contingent Fees
fees, the only way to determine the same is to apply
the principle of quantum meruit. The recovery of 1. General retainer or retaining fee – It is the fee paid
attorney's fees on the basis of quantum meruit is a to a lawyer to secure his future services as
device that prevents an unscrupulous client from general counsel for any ordinary legal problem
running away with the fruits of the legal services of that may arise in the ordinary business of the
counsel without paying for it and it also avoids client and referred to him for legal action. The
2. Special retainer – It is a fee for a specific or Instances when counsel cannot recover the full
particular case or service rendered by the lawyer amount despite written contract for
for a client (Pineda, 2009). attorneys’ fees (2006 Bar Question)
Q: Atty. Francisco’s retainer agreement with 1. When the services called for were not performed
RXU said that his attorney's fees in its case as when the lawyer withdrew before the case
against CRP “shall be 15% of the amounts was finished, he will be allowed only reasonable
collected.” Atty. Francisco asked the trial court fees
to issue a temporary restraining order against 2. When there is a justified dismissal of the
CRP but this was denied, prompting him to file a attorney, the contract will be nullified and
petition for certiorari with the Court of Appeals payment will be on the basis of quantum meruit
to question the order of denial. At this point, only. A contrary stipulation will be invalid
RXU terminated Atty. Francisco’s services. When 3. When the stipulated attorney’s fees are
the parties later settled their dispute amicably, unconscionable, when it is disproportionate as
CRP paid RXU P100 million. Because of this, Atty. compared to the value of services rendered and
Francisco came around and claimed a 15% is revolting to human conscience;
share in the amount. What should be his 4. When the stipulated attorney’s fees are in excess
attorney’s fees? (2011 Bar Question) of what is expressly provided by law;
5. When the lawyer is guilty of fraud or bad faith
A: A reasonable amount that the court shall fix upon toward his client in the matter of his
proof of quantum meruit which means “as much as employment;
he deserves”. 6. When the counsel’s services are worthless
because of his negligence;
Instances when the measure of quantum meruit 7. When contract is contrary to law, morals or
may be resorted to (2007 Bar Question) public policy; and
8. Serving adverse interest unless the lawyer
1. There is no express contract for payment of proves that it was with the consent of both
attorney’s fees agreed upon between the lawyer parties.
and the client;
2. Although there is a formal contract for attorney’s Rationale behind the rule that the court may
fees, the stipulated fees are found unconscionable reduce unconscionable attorney’s fees
or unreasonable by the court;
3. The contract for attorney’s fees is void due to 1. Indubitably intertwined with the lawyer’s duty to
purely formal matters or defects of execution; charge only reasonable fees is the power of the
4. The counsel, for justifiable cause, was not able to court to reduce the amount of attorney’s fees if
finish the case to its conclusion; the same is excessive and unconscionable (Roxas
5. Lawyer and client disregard the contract for v. De Zuzuarregui, Jr., G.R. No. 152072, January 31,
attorney’s fees; and 2006);
6. The client dismissed his counsel before the 2. A lawyer is primarily an officer of the court hence
termination of the case. fees should be subject to judicial control;
3. Sound public policy demands that courts
Q: A client refuses to pay Atty. A his contracted disregard stipulations for attorney’s fees when
attorney's fees on the ground that counsel did they appear to be a source of speculative profit at
not wish to intervene in the process of effecting the expense of the debtor or mortgagor (Borcena
a fair settlement of the case. Decide. (2001 Bar v. IAC, et. al., G.R. No. 70099, January 7, 1987).
Question)
NOTE: A trial judge may not order the reduction of
A: Rule 1.04 of the Code of Professional the attorney’s fees on the ground that the attorney
Responsibility provides that "a lawyer shall is “below average standard of a lawyer.” The
encourage his clients to avoid, end or settle a opinion of the judge as to the capacity of a lawyer is
controversy if it will admit of a fair settlement". If a not a basis of the right to a lawyer’s fees (Fernandez
lawyer should refuse to intervene in a settlement v. Hon. Bello, G.R. No. L-14277, April 30, 1960).
proceeding, his entitlement to his attorney's fees
may be affected. However, if he has already
rendered some valuable services to the client, he
Retaining lien v. Charging lien Q: Upon being replaced by Justice C, Atty. B, the
former counsel of the parents of the victims of
RETAINING CHARGING the OZONE Disco tragedy, was directed to
LIEN LIEN forward all the documents in his possession to
As to Nature Passive lien. It Active lien. It Justice C. Atty. B refused, demanding full
cannot be can be compensation pursuant to their written
actively enforced by contract. Sensing that a favorable judgment was
enforced. It is a execution. It is forthcoming, Atty. B filed a motion in court
general lien. a special lien. relative to his attorney’s fees, furnishing his
UNIVERSITY OF SANTO TOMAS
2015 GOLDEN NOTES
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DUTIES AND RESPONSIBILITIES OF A LAWYER
former clients with copies thereof. Is Atty. B GR: Fees shall be received from the client only.
legally and ethically correct in refusing to turn
over the documents and in filing the motion? XPN: A lawyer may receive compensation from a
Explain. (1996 Bar Question) person other than his client when the latter has full
knowledge and approval thereof (Sec. 20 (e), Rule
A: Yes. He is entitled to a retaining lien which gives 138).
him the right to retain the funds, documents and
papers of his client which have lawfully come to his Q: Atty. X, lawyer of a labor union of rank and file
possession until his lawful fees and disbursement employees succeeded in the negotiation of a
have been paid (Sec. 37, Rule 138, RRC; Rule 16.03, collective bargaining agreement for the rank
CPR). He is also legally and ethically correct in filing and file employees by virtue of which salary
a motion in court relative to his fees. He is entitled increase was received by the rank and file
to a charging lien upon all judgments for the paying employees. At the same time the employer
of money, and executions issued in pursuance of granted salary increase to supervisory
such judgments, which he has secured in a litigation employees who were not members of the union.
of his client, from and after the time when the Atty. X now seeks to collect from the non-
records of the court rendering such judgment or supervisory employees’ attorney’s fees for this
issuing such execution. increase in salaries. Is he entitled to such fees?
FEES AND CONTROVERSIES WITH CLIENTS A: No. Atty. X is not entitled to collect attorney’s fees
from the non-union supervisory employees. A
Rule 20.02, Canon 20 lawyer who rendered services to a party, who did
A lawyer shall, in cases of referral, with the not employ him nor authorize his employment,
consent of the client, be entitled to a division of cannot recover compensation even if his services
fees in proportion to the work performed and have redounded to the benefit of such party.
responsibility assumed. Otherwise, anyone might impose obligations upon
another without the latter’s knowledge or consent,
This is not in the nature of a broker’s commission. and even against his protest as what happened in
the present case. In labor cases such as this one,
Lawyer-referral system where the company grants the same salary increase
to non-union supervisory employees similar to the
Under this system, if another counsel is referred to rank and file employees who were the clients of the
the client, and the latter agrees to take him as lawyer, it is not because of the special efforts of the
collaborating counsel, and there is no express latter’s lawyer that the non-union supervisory
agreement on the payment of attorney’s fees, the employees benefited but because of the company’s
said counsel will receive attorney’s fees in policy of non-discrimination. The lawyer is not
proportion to the work performed and entitled to claim attorney’s fees from the
responsibility assumed. The lawyers and the client supervisors for the benefits they received. (Orosco v.
may agree upon the proportion but in case of Hernaez, G.R. No. L-541&9, December 2, 1901).
disagreement, the court may fix the proportional
division of fees (Lapena, 2009). Rule 20.04, Canon 20
A lawyer shall avoid controversies with clients
Rule 20.03, Canon 20 concerning his compensation and shall resort
A lawyer shall not, without the full knowledge to judicial action only to prevent imposition,
and consent of the client, accept any fee, injustice or fraud. (1998 Bar Question)
reward, costs, commission, interest, rebate or
forwarding allowance or other compensation GR: A lawyer should avoid the filing of any case
whatsoever related to his professional against a client for the enforcement of attorney’s
employment from anyone other than the fees.
client. (1997, 2003 Bar Questions)
NOTE: The legal profession is not a money-making
It is intended to secure the fidelity of the lawyer to trade but a form of public service. Lawyers should
his client’s cause and to prevent a situation in which avoid giving the impression that they are mercenary
the receipt by him of a rebate or commission from (Perez v. Scottish Union and National Insurance Co.,
another with the client’s business may interfere C.A. No. 8977, March 22, 1946). It might even turn
with the full discharge of his duty to his client. out to be unproductive for him for potential clients
(Report of the IBP Committee) are likely to avoid a lawyer with a reputation of
suing his clients.
Ways on how lawyers claim attorney's fees 1. Counsel de parte – He is entitled to the reasonable
attorney’s fees agreed upon, or in the absence
1. In the same case – It may be asserted either in the thereof, on quantum meruit basis.
very action in which the services of a lawyer had
been rendered or in a separate action. 2. Counsel de officio – The counsel may not demand
from the accused attorney’s fees even if he wins
2. In a separate civil action – A petition for the case. He may, however, collect from the
attorney's fees may be filed before the judgment government funds, if available based on the
in favor of the client is satisfied or the proceeds amount fixed by the court.
thereof delivered to the client.
3. Amicus Curiae – not entitled to attorney’s fees.
While a claim for attorney’s fees may be filed before
the judgment is rendered, the determination as to CONCEPTS OF ATTORNEY’S FEES
the propriety of the fees or as to the amount thereof
will have to be held in abeyance until the main case Two concepts of attorney’s fees
from which the lawyer’s claim for attorney’s fees
may arise has become final. Otherwise, the 1. Ordinary attorney's fee – The reasonable
determination to be made by the courts will be compensation paid to a lawyer by his client for
premature. Of course, a petition for attorney’s fees the legal services he has rendered to the latter
may be filed before the judgment in favor of the (Pineda, 2009).
client is satisfied or the proceeds thereof delivered
to the client. (Rosario, Jr. vs. De Guzman et. al., G.R. NOTE: The basis for this compensation is the fact
No. 191247, July 10, 2013) of his employment by and his agreement with the
client.
Instances when an independent civil action to
recover attorney’s fees is necessary 2. Extraordinary attorney's fee – An indemnity for
damages ordered by the court to be paid by the
1. Main action is dismissed or nothing is awarded; losing party in litigation.
2. Court has decided that it has no jurisdiction over
the action or has already lost it; NOTE: The basis for this is any of the cases
3. Person liable for attorney’s fees is not a party to provided for by law where such award can be
the main action; made, such as those authorized in Article 2208 of
4. Court reserved to the lawyer the right to file a the Civil Code, and is payable to the client, NOT to
separate civil suit for recovery of attorney’s fees; the lawyer unless they have agreed that the
5. Services for which the lawyer seeks payment are award shall pertain to the lawyer as additional
not connected with the subject litigation; and compensation or as part thereof.
6. Judgment debtor has fully paid all of the
judgment proceeds to the judgment creditor and
the lawyer has not taken any legal step to have
NOTE: The only instance where the waiver of Q: Bun Siong Yao is a majority stockholder of
the client alone is insufficient is when the Solar Farms & Livelihood Corporation and Solar
person to be examined with reference to any Textile Finishing Corporation. Atty. Leonardo
privileged communication is the attorney’s Aurelio is also a stockholder and the retained
secretary, stenographer or clerk, in respect to counsel of both the corporation and Bun Siong
which, the consent of the attorney is likewise Yao. The latter purchased several parcels of land
necessary. using his personal funds but were registered in
the name of the corporations upon the advice of
2. When required by law; Atty. Aurelio. After a disagreement between
3. When necessary to collect his fees or to defend Atty. Aurelio and
himself, his employees or associates by judicial Bun Siong Yao’s wife, the former demanded
action. the return of his investment in the corporations
but when Yao refused to pay, he filed 8 charges
NOTE: Payment of retainer fee is not essential for estafa and falsification of commercial
before an attorney can be required to safeguard a documents against Yao and his wife and the
prospective client’s secret acquired by the attorney other officers of the corporation. Yao alleged
during the course of the consultation with the that the series of suits is a form of harassment
prospective client, even if the attorney did not and constitutes an abuse of the confidential
accept the employment. information which Atty. Aurelio obtained by
virtue of his employment as counsel. Atty.
Instances when a lawyer may testify as a witness Aurelio however said that he only handled
in a case which he is handling for a client isolated labor cases for the said corporations.
Did Atty. Aurelio abuse the confidential
1. On formal matters, such as the mailing, information he obtained by virtue of his
authentication or custody of an instrument and employment as counsel?
the like;
2. Acting as an expert on his free;
3. Acting as an arbitrator;
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DUTIES AND RESPONSIBILITIES OF A LAWYER
A: Yes. The long-established rule is that an attorney DISCLOSURE, WHEN ALLOWED
is not permitted to disclose communications made
to him in his professional character by a client, Rule 21.04, Canon 21
unless the latter consents. Atty. Aurelio took A lawyer may disclose the affairs of a client of
advantage of his being a lawyer in order to get back the firm to partners or associates thereof
at Yao. In doing so, he has inevitably utilized unless prohibited by the client.
information he has obtained from his dealings with
Yao and Yao's companies for his own end. Professional employment of a law firm is equivalent
to retainer of members thereof. In a law firm,
Lawyers cannot be allowed to exploit their partners or associates usually consult one another
profession for the purpose of exacting vengeance or involving their cases and some work as a team.
as a tool for instigating hostility against any person Consequently, it cannot be avoided that some
most especially against a client or former client (Bun information about the case received from the client
Siong Yao v. Aurelio, A.C. No. 7023, March 30, 2006). may be disclosed to the partners or associates.
Acts punished under Art. 209 of the Revised Q: In need of legal services, Niko secured an
Penal Code (betrayal of trust by attorney) appointment to meet with W Atty. Henry of
Henry & Meyer Law Offices. During the meeting,
1. By causing damage to his client, either 1) by any Niko divulged highly private information to
malicious breach of professional duty, 2) by Atty. Henry, believing that the lawyer would
inexcusable negligence or ignorance keep the confidentiality of the information.
2. By revealing any of the secrets of his clients Subsequently, Niko was shocked when he
learned by him in his professional capacity. learned that Atty. Henry had shared the
3. By undertaking the defense of the opposing party confidential information with his law partner,
in the same case, without the consent of his first Atty. Meyer, and their common friend, private
client, after having undertaken the defense of practitioner Atty. Canonigo. When confronted,
said first client or after having received Atty. Henry replied that Niko never signed any
confidential information from said client. confidentiality agreement, and that he shared
the information with the two lawyers to secure
Rule 21.03, Canon 21 affirmance of his legal opinion on
A lawyer shall not, without the written consent Niko’s problem. Did Atty. Henry violate any rule
of his client, give information from his files to of ethics? Explain fully. (2008 Bar Question)
an outside agency seeking such information
for auditing, statistical, bookkeeping, A: Atty. Henry violated Canon No. 21 of the CPR by
accounting, data processing, or any other sharing information obtained from his client Niko
similar purposes. with Atty. Canonigo. Canon No. 20 provides that “a
lawyer shall preserve the confidences or secrets of
Q: Certain government officers, armed with his client even after the attorney-client relationship
search warrant duly issued, seized among other is terminated.” The fact that Atty. Canonigo is a
things, a filing cabinet belonging to Atty. X. In friend from whom he intended to secure legal
seeking the return of the cabinet, Atty. X claimed opinion on Niko’s problem, does not justify such
that the cabinet contained documents and disclosure. He cannot obtain a collaborating counsel
articles belonging to his clients but the without the consent of the client (Rule 18.01, CPR).
government refused to return the cabinet. Atty.
X petitioned the court which issued the warrant, On the other hand, Atty. Henry did not violate Canon
praying that the agents be prohibited from 21 in sharing information with his partner Atty.
opening the cabinet. Should Atty. X’s petition be Meyer. Rule 21.04 of the CPR specifically provides
given due course? that “a lawyer may disclose the affairs of a client of
the firm to partners or associates thereof
A: Yes. The lower court cannot order the opening of unless prohibited by the client.” Atty. Henry was not
said cabinet. To do so is in violation of his rights as prohibited from disclosing the affairs of Niko with
an attorney. It would be tantamount to compelling the members of his law firm. The employment of a
him to disclose his client’s secrets (Lapena, 2009). member of a firm is generally considered as
employment of the firm itself (Hilado v. David, G.R.
NOTE: Confidential information obtains even No. L-961, September 21, 1949).
against government agencies and instrumentalities
(Funa, 2009).
1. Compel the attorney to deal fairly and honestly Q: Atty. Hyde, a bachelor, practices law in the
with his clients; Philippines. On long weekends, he dates
2. Remove from the profession a person whose beautiful actresses in Hong Kong. Kristine, a
misconduct has proved him unfit to be neighbor in the Philippines, filed with the
entrusted with the duties and responsibilities Supreme Court an administrative complaint
belonging to the office of an attorney; against the lawyer because of sex videos
3. Punish the lawyer; uploaded through the internet showing Atty.
4. Set an example or a warning for the other Hyde's sordid dalliance with the actresses in
members of the bar; Hong Kong. In his answer, Atty. Hyde (a.)
5. Safeguard the administration of justice from questions the legal personality and interest of
incompetent and dishonest lawyers; Kristine to institute the complaint and (b.)
6. Protect the public. insists that he is a bachelor and the sex videos
relate to his private life which is outside public
Q: Atty. Gutierrez phoned Yuhico and asked for NOTE: Lending money by a justice of Supreme
a cash loan claiming that he needed money to Court is not a ground for disbarment and helping a
pay for the medical expenses of his mother who person apply for sale application on a lot is not an
was seriously ill, and promised to pay the loan offense and not also a ground for disbarment (Olazo
very soon. Consequently, he asked Yuhico again v. Justice Tinga (Ret.), A.M. No. 10-5-7-SC, December
for a loan to pay for his wife’s 7, 2010).
hospitalization and again promised to pay
“within a short time” but failed to do so. Later, Lawyer’s misconduct committed prior and after
he again attempted to borrow money for his admission to the bar and its effects
daughter’s licensure examination in the US
Medical Board and assured Yuhico that he will 1. Prior to admission to the bar - acts of misconduct
pay his debts on or before a certain date but prior to admission include those that indicate
Yuhico refused to lend him the money, instead, that at the time the lawyer took his oath, he did
he demanded payment of his debts. Atty. not possess the required qualifications for
Gutierrez failed to pay which led to the filing of membership in the bar. Consequently, the
NOTE: The confidentiality of the proceedings is a A: There was no mention that the executive
privilege which may be waived by the lawyer in clemency was absolute and unconditional and
whom and for the protection of whose personal and restored Sesbreño to his full civil and political
professional reputation it is vested, as by presenting rights. The executive clemency merely “commuted
the testimony in a disbarment case or using it as to an indeterminate prison term of 7 years and 6
impeaching evidence in a civil suit (Villalon v. IAC, months to 10 years imprisonment”, the penalty
G.R. No. L-73751, September 24, 1986). imposed on Sesbreño. Commutation is a mere
reduction of penalty and it only partially
Offices authorized to investigate disbarment extinguished criminal liability. The penalty for
proceedings Sesbreño’s crime was never wiped out. For
unauthorized practice of law, Sesbreño is disbarred.
1. Supreme Court (Sec. 13, Rule 139-B, RRC) (Garcia v. Atty. Sesbreño, A.C. No. 7973 and A.C. No.
2. IBP through its Commission on Bar Discipline or 10457, February 3, 2015)
authorized investigator (Sec. 2, Rule 139-B, RRC)
3. Office of the Solicitor General (Sec. 13, Rule 139- Q: After passing the Philippine Bar in 1986,
B, RRC) Richards practiced law until 1996 when he
migrated to Australia where he subsequently
Purposes of disbarment became an Australian citizen in 2000. As he kept
himself abreast of the legal developments,
Disbarment is not meant as a punishment to deprive petitioner learned about the citizenship
an attorney of a means of livelihood but rather retention and re-acquisition act of 2003 (RA
intended to: 9225), pursuant to which he reacquired his
Philippine citizenship in 2006. He took his oath
1. To protect the public of allegiance as a Filipino citizen at the
2. To protect and preserve the legal profession Philippine embassy in Canberra, Australia.
3. To compel the lawyer to comply with his duties Jaded by the laid back life in the outback, he
Q: Atty. Fortun is the counsel for Ampatuan, Jr., Judgment of suspension of a Filipino lawyer in a
the principal accused in the murder cases in the foreign court
Maguindanao Massacare that happened in
2009. Atty. Quinsayas, et al. filed a disbarment The judgment of suspension against a Filipino
complaint against Atty. Fortun on the ground lawyer in a foreign jurisdiction does not
that he used and abused the different legal automatically result in his suspension or
remedies available and allowed under the rules; disbarment in the Philippines as the acts giving rise
and muddled the issues and diverted the to his suspension are not grounds for disbarment
attention away from the main subject matter of and suspension in this jurisdiction. Judgment of
the cases. Atty. Fortun alleged that Atty. suspension against a Filipino lawyer may transmute
Quinsayas, et al. actively disseminated the into a similar judgment of suspension in the
details to the media of the disbarment complaint Philippines only if the basis of the foreign court's
against him in violation of Rule 139-B of the action includes any of the grounds for disbarment or
Rules of Court on the confidential nature of suspension in this jurisdiction. Such judgment
disbarment proceedings Is Atty. Fortun correct? merely constitutes prima facie evidence of unethical
acts as lawyer (Velez v. De Vera, A.C. No. 6697, July
A: No. As a general rule, disbarment proceedings are 25, 2006).
confidential in nature until their final resolution and
the final decision of this Court. In this case, however, Q: Atty. Perez was admitted as a member of the
the filing of a disbarment complaint against Atty. New York Bar. While in Manhattan, he was
Fortun is a matter of public concern considering convicted of estafa and was disbarred. Does his
that it arose from the Maguindanao Massacre case. disbarment in New York a ground for his
The interest of the public is not on Atty. Fortun but automatic disbarment in the Philippines? (2006
primarily on his involvement and participation as Bar Question)
defense counsel in the Maguindanao Massacre case.
The Maguindanao Massacre is a very high-profile A: Yes. If the Filipino lawyer is disbarred from the
case. It is understandable that any matter related to practice of law by a competent court in a foreign
the Maguindanao Massacre is considered a matter jurisdiction where he has been admitted as an
of public interest and that the personalities attorney, such disbarment can be a ground for
involved, including Atty. Fortun, are considered as disbarment in the Philippines provided that the
public figure. Thus, media has the right to report the cause for disbarment is included in Section 27, Rule
filing of the disbarment case as legitimate news. It 138 of RRC. In this case, conviction of estafa
would have been different if the disbarment case constitutes conviction of a crime involving moral
against petitioner was about a private matter as the turpitude which is a ground for disbarment here in
media would then be bound to respect the the Philippines.
Notify Respondent
INVESTIGATION
(TERMINATE WITHIN 3 MONTHS)
PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTORNEYS BY THE IBP (Rule 139-B, RRC)
IBP Motu Proprio (Committee on Bar VERIFIED COMPLAINT TO THE IBP BY ANY
Discipline through National Grievance PERSON
Investigator) Complaint must be:
1. In writing;
2. State facts complained of; and
3. Supported by affidavits / documents
Prior to actual reinstatement, the lawyer will be 1. Recognition of moral rehabilitation and mental
required to take anew the lawyer’s oath and sign fitness to practice law;
once again the roll of attorneys after paying the 2. Lawyer shall be subject to same law, rules and
requisite fees (Funa, 2009). regulations as those applicable to any other
lawyer; and
Requirements for judicial clemency for 3. Lawyer must comply with the conditions
disbarred lawyers and judges imposed on his readmission.
1. There must be proof of remorse and reformation. EFFECT OF EXECUTIVE PARDON GRANTED BY
2. Sufficient time must have elapsed from the THE PRESIDENT
imposition of the penalty to ensure a period of
reform. If during the pendency of disbarment proceeding the
3. The age of the person asking for clemency must respondent was granted executive pardon, the
show that he still has productive years ahead of dismissal of the case on that sole basis will depend
him that can be put to good use by giving him a on whether the executive pardon is absolute or
chance to redeem himself. conditional.
4. There must be a showing of promise (such as 1. Absolute or unconditional pardon - the
intellectual aptitude, learning or legal acumen or disbarment case will be dismissed.
contribution to the legal scholarship and the 2. Conditional pardon - the disbarment case will
development of the legal system), as well as not be dismissed on the basis thereof.
potential for public service.
5. There must be other relevant factors and NOTE: To be reinstated, there is still a need for the
circumstances that may justify clemency. filing of an appropriate petition with the Supreme
Court (In re: Rovero, A.M. No. 126, December 29,
SUPREME COURT’S GUIDELINES IN 1980).
REINSTATEMENT
Q: X filed proceedings for disbarment against his
1. The applicant’s character and standing pr lawyer, Atty. C, following the latter’s conviction
ior to the disbarment; for estafa for misappropriating funds belonging
2. The nature and character of the charge for to his client (X). While the proceedings for
which he was disbarred; disbarment was pending, the President granted
3. His conduct subsequent to the disbarment, and absolute pardon in favor of Atty. C. Atty. C, then,
the time that has elapsed between the moved for the dismissal of the disbarment case.
disbarment and the application for Should the motion be granted?
reinstatement (Prudential Bank v. Benjamin
Grecia, A.C. No. 2756, December 18, 1990); A: An absolute pardon by the President is one that
4. His efficient government service (In re: operates to wipe out the conviction as well as the
Adriatico, G.R. No. L-2532, November 17, 1910); offense itself. The grant thereof to a lawyer is a bar
5. Applicant’s appreciation of the significance to a proceeding for disbarment against him, if such
of his dereliction and his assurance that he now proceeding is based solely on the fact of such
possesses the requisite probity and integrity; conviction (In re: Parcasio, A.C. No. 100, February. 18,
and 1976).
6. Favorable endorsement of the IBP and pleas of
his loved ones (Yap Tan v. Sabandal, B.M. No. But where the proceeding to disbar is founded on
144, February 24, 1989). the professional misconduct involved in the
transaction which culminated in his conviction, the
NOTE: Whether or not the applicant shall be effect of the pardon is only to relieve him of the
reinstated rests on the discretion of the court penal consequences of his act and does not operate
(Prudential Bank v. Benjamin Grecia, A.C. No. 2756, as a bar to the disbarment proceeding, inasmuch as
December 18, 1990). the criminal acts may nevertheless constitute proof
that the attorney does not possess good moral
The court may require applicant for reinstatement character (In re: Lontok, 43 Phil. 293, April 7, 1922).
to enroll in and pass the required fourth year review
classes in a recognized law school (Cui v. Cui, In Re: NOTE: In the light of recent court pronouncements
Resian, A.C. No. 270, March 20, 1974). that a lawyer may be disciplined even for non-
professional misconduct, one may argue that a
Members of the IBP, unless exempted under Rule 7, NOTE: Members failing to comply will receive a
shall complete every 3 years at least 36 hours of Non-Compliance Notice stating the specific
continuing legal education activities. The 36 hours deficiency and will be given 60 days from date of
shall be divided as follows: notification to file a response.
Other parties exempted: Q: Can a lawyer who lacks the number of units
required by the MCLE Board continue to practice
1. Those who are not in law practice, private or the profession? (2014 Bar Question)
public;
2. Those who have retired from law practice with A: Yes. A lawyer, not being exempted from MCLE,
the approval of the IBP Board of Governors. who fails to comply with the required legal
education activities shall receive a Non-Compliance
Request for exemption under special Notice and shall be required to explain the
circumstance deficiency or otherwise show compliance with the
requirements. A member who fails to satisfactory
If there is a good cause for exemption from or comply therewith shall be listed as a delinquent
modification of requirement, member may file a member by the IBP, wherein he shall be included in
verified request setting forth good cause for the inactive status (Rule 12 and Rule 13, B.M. 850).
exemption (such as physical disability, illness, post-
graduate study abroad, proven expertise in law, etc.) He may still practice the profession but his all
from compliance with or modification of any of the pleadings submitted to court may be expunged from
requirements, including an extension of time for the records since it is required that practicing
compliance, in accordance with procedure to be members of the Bar to indicate in all pleadings filed
established by the Committee on MCLE. before the courts or quasi-judicial bodies, the
number and date of issue of their MCLE Certificate
NOTE: Applications for exemption from or of Compliance or Certificate of Exemption, as may
modification of the MCLE requirement shall be be applicable (Bar Matter No. 1922, June 3, 2008).
under oath and supported by documents.
BAR MATTER NO. 2012
Q: Atty. Mike started teaching Agrarian Reform RULE ON MANDATORY LEGAL AID SERVICE
and Taxation in June 2001 at the Arts and
Sciences Department of the Far Eastern The mandatory Legal Aid Service mandates every
University. In 2005, he moved to San Sebastian practicing lawyer to render a minimum of 60 hours
Institute of Law where he taught Political Law. Is of free legal aid services to indigent litigants yearly.
Atty. Mike exempt from complying with the
MCLE for the 4th compliance period in April Purpose
2013? (2011 Bar Question)
The rule seeks to enhance the duty of lawyers to the
A: No, since he has yet to complete the required society as agents of social change and to the courts
teaching experience to be exempt. as officers thereof by helping improve access to
It includes actions, disputes, and controversies that 1. The case or cases where the legal aid service was
are criminal, civil and administrative in nature in rendered, the party or parties in the said case(s),
whatever stage wherein indigent and pauper the docket number of the said case(s) and the
litigants need legal representation (Sec. 4[c], B. date(s) the service was rendered
M.2012). 2. The number of hours actually spent
3. The number of hours actually spent attending
REQUIREMENTS FOR MANDATORY mediation, conciliation or any other mode of ADR
LEGAL AID SERVICE on a particular case
4. A motion (except a motion for extension of time
Under the Rule, a practicing lawyer, among others, to file a pleading or for postponement of hearing
shall coordinate with the Clerk of Court or the Legal or conference) or pleading filed on a particular
Aid Chairperson of one’s Integrated Bar of the case shall be considered as one (1) hour of
Philippines (IBP) Chapter for cases where the service (Sec 5[b], B.M. 2012).
1. All notarial fees charged be for the account of 1. A statement containing the petitioner's
the Government and turned over to the personal qualifications, including the
municipal treasurer petitioner's date of birth, residence, telephone
2. Certification be made in the notarized number, professional tax receipt, roll of
documents attesting to the lack of any lawyer or attorney's number and IBP membership
notary public in such municipality or circuit. number;
2. Certification of good moral character of the
Their authority to notarize is limited to their sala. petitioner by at least 2 executive officers of the
Hence, they cannot notarize documents filed in local chapter of the Integrated Bar of the
another town because it will be considered as Philippines where he is applying for
practice of law. commission;
3. Proof of payment for the filing of the petition as
Q: Vicente Batic charged Judge Victorio Galapon required by the Rules on Notarial Practice; and
Jr. with engaging in unauthorized notarial 4. Three passport-size color photographs with
practice for having notarized a Deed of Absolute light background taken within 30 days of the
Sale between Antonio Caamic and Lualhati application. The photograph should not be
Ellert. Under the deed of sale, Lualhati Ellert, retouched. The petitioner shall sign his name at
was described as single. At the time of Galapon’s the bottom part of the photographs (Sec. 2,Rule
notarization of the Deed of Sale, there was a III, A.M. No. 02-8-13-SC).
A: Yes. Under Section 1(a) of Act 2103, a notary Officers allowed to administer oaths (Republic
public taking the acknowledgment in a document or Act No. 9406):
instrument is mandated to certify that the person
acknowledging the instrument or document is 1. President;
known to him and that he is the same person who 2. Vice-President;
executed it and acknowledged that the same is his 3. Members and Secretaries of both Houses of the
free act and deed. To "acknowledge before" means Congress;
to avow; to own as genuine, to assert, to admit; and 4. Members of the Judiciary;
"before" means in front or preceeding in space or 5. Secretaries of Departments;
ahead of. A party acknowledging must appear 6. Provincial governors and lieutenant-governors;
before the notary public. A notary public should not 7. City mayors;
notarize a document unless the persons who signed 8. Municipal mayors;
the same are the very same persons who executed 9. Bureau directors;
and personally appeared before the said notary 10. Regional directors;
public to attest to the contents and truth of what are 11. Clerk of courts;
stated therein. The presence of the parties to the 12. Registrars of deeds;
deed making the acknowledgment will enable the 13. Other civilian officers in the public service of
notary public to verify the genuineness of the the government of the Philippines whose
signature of the affiant. A notary public is enjoined appointments are vested in the President and
from notarizing a fictitious or spurious document. are subject to confirmation by the Commission
The function of a notary public is, among others, to on Appointments;
guard against any illegal deed (Cabanilla v. Cristal- 14. All other constitutional officers;
Tenorio, A.C. No. 6139, November 11, 2003). 15. PAO lawyers in connection with the
performance of duty; and
Q: “Before me personally appeared this 30th of 16. Ombudsman (Sec. 15(8), RA 6770)
August 2010 Milagros A. Ramirez, who proved 17. Notaries public (Sec. 41, Chapter I, Book I,
her identity to me through witnesses: 1. Rosauro E.O.292)
S. Balana, Passport UU123456; 1-5-
2010/Baguio City; and 2. Elvira N. Buela, Duty to administer oaths
Passport VV200345; 1-17-2009/Manila. “Both
witnesses, of legal ages, under oath declare that: Officers authorized to administer oaths, with the
Milagros A. Ramirez is personally known to exception of notaries public, municipal judges and
them; she is the same seller in the foregoing clerks of court, are not obliged to administer oaths
deed of sale; she does not have any current or execute certificates save in matters of official
identification document nor can she obtain one business or in relation to their functions as such;
within a reasonable time; and they are not privy and with the exception of notaries public, the officer
to or are interested in the deed he signed.” What performing the service in those matters shall charge
is the status of such a notarial no fee, unless specifically authorized by law (Section
acknowledgement? (2011 Bar Question) 42, Chapter I, Book I, E.O. No. 292).
A: Valid, since it is a manner of establishing the NOTE: P.A.O. Lawyers now have the authority to
identity of the person executing the document. administer oaths, provided it is in connection with
the performance of their duties.
NOTE: If the notary public admitted that he has NOTE: Improper instrument/document is a blank
personal knowledge of a false statement contained or incomplete instrument or an instrument or
in the instrument to be notarized yet proceeded to document without appropriate notarial
affix his or her notarial seal on it, the court must not certification (Sec. 6, Rule V, A.M. No. 02-8-13-SC).
hesitate to discipline the notary public accordingly
as the circumstances of the case may dictate. NOTARIAL REGISTER
Otherwise, the integrity and sanctity of the
notarization process may be undermined and public A notary public shall keep, maintain, protect and
confidence on notarial documents diminished provide for lawful inspection as provided in these
(Ibid.). Rules, a chronological official notarial register of
notarial acts consisting of a permanently bound
DISQUALIFICATION OF A NOTARY PUBLIC TO book with numbered pages.
PERFORM A NOTARIAL ACT
The register shall be kept in books to be furnished
A notary public is disqualified to perform notarial by the Solicitor General to any notary public upon
act when he: request and upon payment of the cost thereof. The
register shall be duly paged, and on the first page,
1. Is a party to the instrument or document that is the Solicitor General shall certify the number of
Notary public is personally accountable for all The notarial register may be examined by a law
entries in his notarial register. They cannot be enforcement officer in the course of an official
relieved of responsibility for the violation of the investigation or by virtue of a court order (Sec. 4(b),
aforesaid sections by passing the buck to their Rule VI, A. M. No. 02-8-13-SC).
secretaries. (Lingan v. Atty. Calibaquib, A.C. No. 5377,
June 15, 2006) LOSS, DESTRUCTION and DAMAGE
OF NOTARIAL REGISTER
Effect of failure to submit Report
1. In case the notarial register is stolen, lost,
Notary’s negligence in failing to submit his notarial destroyed, damaged, or otherwise rendered
report will not affect the admissibility as evidence of unusable or illegible as a record of notarial acts,
an instrument he notarized (Tirol, 2010). Parties the notary public shall, within ten (10) days
who appear before a notary public to have their after informing the appropriate law
documents notarized should not be expected to enforcement agency in the case of theft or
follow up on the submission of the notarial vandalism, notify the Executive Judge by any
reports. They should not be made to suffer the means providing a proper receipt or
consequences of the negligence of the Notary Public acknowledgment, including registered mail and
in following the procedures prescribed by the also provide a copy or number of any pertinent
Notarial Law. (Destreza v. Atty. Riñoza-Plazo, G.R. No. police report.
176863, October 30, 2009) 2. Upon revocation or expiration of a notarial
commission, or death of the notary public, the
Signing or affixing a thumbmark in the notarial notarial register and notarial records shall
register immediately be delivered to the office of the
Executive Judge (Sec. 5, Rule VI, A. M. No. 02-8-
At the time of notarization, the notary's notarial 13-SC).
register shall be signed or a thumb or other mark
affixed by each: The notary public may refuse the request of
inspection for register of deeds
1. Principal;
2. Credible witness swearing or affirming to the If the notary public has a reasonable ground to
identity of a principal; and believe that a person has a criminal intent or
3. Witness to a signature by thumb or other mark, wrongful motive in requesting information from the
or to a signing by the notary public on behalf of notarial register, the notary shall deny access to any
a person physically unable to sign (Sec. 3, Rule entry or entries therein (Sec. 4(c), Rule VI, A.M. No.
VI, A.M. No. 02-8-13-SC). 02-8-13-SC).
1. The inspection is made in the notary’s A notary public may perform notarial acts in any
presence; place within the territorial jurisdiction of the
2. During regular business hours; commissioning court. Outside the place of his
3. The person's identity is personally known to commission, a notary public is bereft of power to
the notary public or proven through competent perform any notarial act.
evidence of identity as defined in these Rules;
4. The person affixes a signature and thumb or Under the Notarial Law, the jurisdiction of a notary
other mark or other recognized identifier, in public is co-extensive with the province for which
the notarial register in a separate, dated entry; he was commissioned; and for the notary public in
The regular place of work or business refers to a 1. Fails to keep a notarial register;
stationary office in the city or province wherein the 2. Fails to make the proper entry or entries in his
notary public renders legal and notarial services notarial register concerning his notarial acts;
(Sec. 11, Rule II, 2004 Rules on Notarial Practice). 3. Fails to send the copy of the entries to the
Executive Judge within the first ten (10) days of
Jurisdiction of Notary Public the month following;
4. Fails to affix to acknowledgments the date of
GR: A notary public shall not perform a notarial act expiration of his commission;
outside his jurisdiction and his regular place of 5. Fails to submit his notarial register, when filled,
work or business. to the Executive Judge;
6. Fails to make his report, within a reasonable
XPNs: A notarial act may be performed at the time, to the Executive Judge concerning the
request of the parties in the following sites, other performance of his duties, as may be required by
than his regular place of work or business, located the judge;
within his territorial jurisdiction: 7. Fails to require the presence of a principal at the
time of the notarial act;
1. Public offices, convention halls, and similar
places where oaths of office may be NOTE: "Principal" refers to a person appearing
administered; before the notary public whose act is the subject
2. Public function areas in hotels and similar of notarization.
places for the signing of instruments or
documents requiring notarization; 8. Fails to identify a principal on the basis of
3. Hospitals and other medical institutions personal knowledge or competent evidence;
where a party to an instrument or document 9. Executes a false or incomplete certificate under
is confined for treatment Section 5, Rule IV;
4. Any place where a party to an instrument or 10. Knowingly performs or fails to perform any
document requiring notarization is under other act prohibited or mandated by these
detention (Sec. 2, Rule IV, A.M. No. 02-8-13-SC). Rules; and
5. Such other places as may be dictated because 11. Commits any other dereliction or act which in
of emergency. the judgment of the Executive Judge constitutes
good cause for revocation of commission or
NOTE: It is improper for a notary public to notarize imposition of administrative sanction (Sec. 1,
documents in sidewalk since it is now required that Rule XI, 2004 Rules on Notarial Practice).
a notary public should maintain a regular place of
work or business within the city or province where NOTE: Functions of notary public – violations:
he is commissioned. The SC evidently wants to suspension as notary not for the practice of law
eradicate the practice of “fly by night” notaries public (Villarin v. Sabate, A.C. No. 3224, February 9, 2000).
who notarized documents in “improvised” offices.
COMPETENT EVIDENCE OF IDENTITY
REVOCATION OF COMMISSION
Competent evidence of identity refers to the
Who may revoke the notarial commission identification of an individual based on the
following:
1. The Executive Judge of the RTC who issued the
commission on any ground on which an 1. At least one current identification document
application for commission may be denied (Sec. issued by an official agency bearing the
1, Rule XI, A.M. No. 02-8-13-SC); or photograph and signature of the individual such
2. By the Supreme Court itself in the exercise of its as but not limited to:
general supervisory powers over lawyer.
NOTE: Most of the provisions of the Code of A: When a lawyer discovers that some fraud or
Professional Ethics are incorporated in the Code of deception has been practiced, upon the court or
Professional Responsibility. Only those topics not party, he should endeavor to rectify it; at first by
considered incorporated are included to prevent advising his client, and should endeavor to rectify it
redundancy. and if his client refuses to forego the advantage thus
unjustly gained, he should promptly inform the
Duty of the bar in the selection of judges injured person or his counsel, so that they may take
appropriate steps. (Canon 41, CPE). Furthermore, if
It is the duty of the bar to endeavor to prevent the client failed or refuses to rectify the same, he
political considerations from outweighing judicial shall terminate the relationship with such client in
fitness in the selection of judges. It should strive to accordance with the Rules of Court (Canon 19.02,
have elevated thereto only those willing to forego CPR).
other employments whether of a business, political
or other character, which may embarrass their free
and fair consideration of questions before them for
decision (Canon 2, CPE).
A: The twin beacons of LIBERTY and PROSPERITY THE NEW CODE OF JUDICIAL CONDUCT
constitute the core judicial philosophy of Chief FOR THE PHILIPPINE JUDICIARY
Justice Panganiban. He “advances the view that (BANGALORE DRAFT)
liberty must include the freedoms that prosperity (A.M. NO. 03-05-01)
allows. In the same manner, prosperity must
include liberty, especially the liberty to strive for the The New Code of Judicial Conduct (NCJC) for the
‘good life’ according to a person’s conception”. He Philippine Judiciary which took effect on June 1,
further said that the judiciary can contribute to the 2004 supersedes the Canons of Judicial Ethics and
advancement of liberty and prosperity by adopting the Code of Judicial Conduct. Provided, however, that
two standards of judicial review: “that in litigations in case of deficiency or absence of specific
involving civil liberties, the scales should weigh provisions in this New Code, the Canons of Judicial
heavily against the government and in favor of the Ethics and Code of Judicial Conduct shall be
people. However, in conflicts affecting prosperity, applicable in a suppletory character (2007, 2009
development and the economy, deference must be Bar Questions).
accorded to the political branches of the
government.” This was adopted from the universal declaration of
standards for ethical conduct embodied in the
In the case of Lumanlaw v. Peralta, G.R. No. 164953, Bangalore Draft as revised at the Round Table
February 13, 2006, a decision penned by the Chief Conference of Chief Justices at the Hague.
Justice himself, the Court ordered the release of a
detainee who had been imprisoned at the Manila It is founded upon a universal recognition that a
City Jail for almost two years but had not yet been competent, independent and impartial judiciary is
arraigned. essential if the courts are to fulfill their role in
upholding constitutionalism and the rule of law;
In the case of Republic, et al. v. Judge Gingoyon and that public confidence in the judicial system and in
Philippine International Air Terminals Co., Inc., G.R. the moral authority and integrity of the judiciary is
No. 166429, February 1, 2006, the Court upheld of utmost importance in a modern democratic
PIATCO’s right to be paid Php300 billion before the society; and that it is essential that judges,
Government can take over the Ninoy Aquino individually and collectively, respect and honor
International Airport Passenger Terminal III judicial office as a public trust and strive to enhance
facilities. and maintain confidence in the judicial system.
CANON 1
A JUDGE SHOULD UPHOLD THE INTEGRITY Rule 1.03, Canon 1
AND INDEPENDENCE OF THE JUDICIARY. A judge should be vigilant against any
attempt to subvert the independence of the
judiciary and resist any pressure from
Rule 1.01, Canon 1 whatever source.
A judge should be the embodiment of
competence, integrity and independence.
CANON 2
A JUDGE SHOULD AVOID IMPROPRIETY AND
Q: A complaint was filed against Judge Grageda THE APPEARANCE OF IMPROPRIETY IN ALL
for the delay in the resolution of motions ACTIVITES.
relative to Civil Case No. 54-2001, entitled Pio
Angelia v. Arnold Oghayan. Plaintiff Angelia
averred that the case was filed way back on Rule 2.01, Canon 2
August 8, 2001. After numerous postponements, A judge should so behave at all times as to
pre-trial was finally set on December 6, 2007. On promote public confidence in the integrity
December 20, 2007, counsel for complainant and impartiality of the judiciary.
received an order dated December 6, 2007
dismissing the case for failure to prosecute. On
December 28, 2007, Angelia filed a motion for Q: Judge Canoy was charged with several counts
reconsideration reasoning out that the failure to of gross ignorance of the law and/or procedures,
prosecute could not be attributed to him. On July grave abuse of authority, and appearance of
28, 2008, he filed his Urgent Motion for the Early impropriety (CJC, Canon 2) for granting bail to
Resolution of said December 2007 Motion for Melgazo, the accused in a criminal case, without
UNIVERSITY OF SANTO TOMAS
127 FACULTY OF CIVIL LAW
JUDICIAL ETHICS
any application or petition for the grant of bail authorities and employees, requesting
filed before his court or any court. He verbally information on complainant’s piggery and
ordered the branch clerk of court to accept the poultry business and advising them of the
cash deposit as bail, to earmark an official alleged violations by the complainant of the
receipt for the cash deposit, and to date it the National Building Code and certain
following day. He did not require Melgazo to sign environmental laws. An administrative
a written undertaking containing the conditions complaint was filed against the judge for
of the bail under Sec. 2, Rule 114 to be complied violation of the New Code of Judicial Conduct on
with by Melgazo. Thus, Judge Canoy ordered the the ground that by using the letter head
police escorts to release Melgazo without any indicating his position as the Presiding Judge he
written order of release. Should respondent was trying to use the prestige of his judicial
Judge Canoy be held administratively liable for office for his own personal interest. Is the judge
violating Supreme Court rules, directives and liable?
circulars under Sec. 9, Rule 140, RRC (as
amended by A.M. No. 01-8-10-SC)? A: Yes. While the use of the title is an official
designation as well as an honor that an incumbent
A: Yes. Granting of bail without any application or has earned, a line still has to be drawn based on the
petition to grant bail is a clear deviation from the circumstances of the use of the appellation. While
procedure laid down in Sec. 17 of Rule 114. As the title can be used for social and other
regards the insistence of Judge Canoy that such may identification purposes, it cannot be used with the
be considered as “constructive bail,” there is no such intent to use the prestige of his judicial office to
species of bail under the Rules. Despite the noblest gainfully advance his personal, family or other
of reasons, the Rules of Court may not be ignored at pecuniary interests. Nor can the prestige of a
will and at random to the prejudice of the rights of judicial office be used or lent to advance the private
another. Rules of procedure are intended to ensure interests of others, or to convey or permit others to
the orderly administration of justice and the convey the impression that they are in a special
protection of substantive rights in judicial and position to influence the judge. To do any of these is
extrajudicial proceedings. In this case, the reason of to cross into the prohibited field of impropriety
Judge Canoy is hardly persuasive enough to (Belen v. Belen, A.M. No. RTJ-08-2139, August 9,
disregard the Rules (Pantilo III v. Canoy, A.M. No. 2010).
RTJ-11-2262, February 9, 2011)
Rule 2.04, Canon 2
Rule 2.02, Canon 2 A judge should refrain from influencing in
A judge should not seek publicity for any manner the outcome of litigation or
personal vainglory. dispute pending before another court or
administrative agency.
A: Yes. When a law or a rule is basic, judges owe it Rule 3.05, Canon 3
to their office to simply apply the law. Anything less A judge shall dispose of the court’s business
is gross ignorance of the law. Judges should exhibit promptly and decide cases within the
more than just a cursory acquaintance with the required periods.
statutes and procedural rules, and should be
diligent in keeping abreast with developments in
law and jurisprudence. Article VIII, Section 15(1) of the 1987Constitution
mandates lower court judges to decide a case within
It was, therefore, incumbent upon respondent judge the reglementary period of 90 days. The Code of
to forward the records of the case to the Office of the Judicial Conduct under Rule 3.05 of Canon 3
Provincial Prosecutor for preliminary investigation, likewise enunciates that judges should administer
instead of conducting the preliminary investigation justice without delay and directs every judge to
himself, upon amendment of the law stripping the dispose of the court’s business promptly within the
power of first level court judges to conduct period prescribed by law. Rules prescribing the time
preliminary investigation (Conquilla v. Bernando, within which certain acts must be done are
A.M. No.MTJ-09-1737, February 9, 2011). indispensable to prevent needless delays in the
orderly and speedy disposition of cases. Thus, the
90-day period is mandatory (Re: Cases Submitted for
Rule 3.02, Canon 3
Decision Before Hon. Teresito A. Andoy, A.M. No. 09-
In every case, a judge shall endeavor
9-163-MTC, May 6, 2010).
diligently to ascertain the facts and the
applicable law unswayed by partisan
Prompt disposition of cases is attained basically
interests, public opinion or fear of criticism.
through the efficiency and dedication to duty of
judges. If judges do not possess those traits, delay in
A judge is expected to decide cases only on the basis the disposition of cases is inevitable to the prejudice
of the applicable law on the matter, not on any other of the litigants. Accordingly, judges should be
extraneous factors, such as public opinion, personal imbued with a high sense of duty and responsibility
convictions and partisan interests (Lapena, 2009). in the discharge of their obligation to administer
justice promptly. (Garado v. Gutierrez-Torres, A.M.
Rule 3.03, Canon 3 No. MTJ-11-1778, June 5, 2013)
A judge shall maintain order and proper
decorum in the court. Justice delayed is often justice denied, and delay in
the disposition of the cases erodes the faith and
confidence of the people in the judiciary, lowers its
standard and brings it into disrepute.
Rule 3.04, Canon 3
A judge should be patient, attentive, and NOTE: The Court has repeatedly emphasized the
courteous to lawyers, especially the need for judges to resolve their cases with dispatch.
inexperienced, to litigants, witnesses, and Delay does not only constitute a serious violation of
others appearing before the court. the parties’ constitutional right to speedy
disposition of cases, it also erodes the faith and
A judge should avoid unconsciously falling confidence of the people in the judiciary, lowers its
into the attitude of mind that the litigants standards, and brings it into disrepute (Office of the
are made for the courts, instead of the Court Administrator v. Quilatan, A.M. No. MTJ-09-
courts for the litigants. 1745, September 27, 2010)
Q: How would you characterize the relationship Q: A complaint against Judge Villanueva was
between the judge and a lawyer? Explain. (1996 filed due to "gross inefficiency, deliberate
Bar Question) violation of Supreme Court guidelines, giving
undue consideration to a party-litigant, grave
A: The Code of Professional Responsibility requires abuse of authority, and ignorance of the law," ,
lawyers to observe and maintain respect for judicial delaying the issuance of the writ of execution,
officers (Canon 11, CPR). On the other hand, the and setting it for hearing three weeks from the
Code of Judicial Conduct requires judges to be date of filing thereof. Respondent Judge
If, based on such disclosure the parties and A judge should regulate his extra-judicial activities
lawyers independently of the judge’s so as to minimize the risk of conflict with his judicial
participation, all agree in writing that the duties.
reason for the inhibition is immaterial or
insubstantial, the judge may then ADVOCATIONAL, CIVIL AND CHARITABLE
participate in the proceeding. ACTIVITIES
1. An officer
2. Director
3. Manager
NOTE: The treatment of independence as a single A: Yes. A judge must decide a case based on its
Canon is the primary difference between the new merits. For this reason, a judge is expected to be
Canon 1 and the Canon 1 of the 1989 Code. fearless in the pursuit to render justice, to be
unafraid to displease any person, interest or power,
Section 1, Canon 1, NCJC and to be equipped with a moral fiber strong enough
Judges shall exercise the judicial function to resist temptation lurking in her office. Here, it is
independently on the basis of their assessment improper for a judge to have decided a case based
of the facts and in accordance with a only on a directive from a government official and
conscientious understanding of the law, free of not on the judge’s own ascertainment of facts and
any extraneous influence, inducement, applicable law (Ramirez v. Corpuz-Macandog, A.M.
pressure, threat or interference, direct or No. R-351-RTJ, September 26, 1986).
indirect, from any quarter or for any reason.
Q: Mayor C was shot by B, the bodyguard of
Mayor D, inside the court room of Judge Dabalos.
Judges should inspire public confidence in the Consequently, an information with no bail
judiciary which can be attained only if judges are recommendation was filed against B and D. The
perceived by the public to be fair, honest, murder case was then scheduled for raffle but
competent, principled, dignified and honorable. before the scheduled date, the son of Mayor C
Accordingly, the first duty of judges is to conduct together with their counsel, Atty. Libarios, and
There can be no sure guarantee of judicial NOTE: Under the 1989 Code, the values of
independence than the character of those appointed INTEGRITY and INDEPENDENCE were grouped
to the Bench. together, but the New Code of Judicial Conduct
separated them to emphasize the need to maintain
Judges must remain conscious of their character and a life of PERSONAL and PROFESSIONAL INTEGRITY
reputation as judges and should avoid anything in order to properly carry out their judicial
which will not dignify their public positions and functions.
demean the institution to which they belong, in
whatever atmosphere or environment they may Presumption regarding judges
happen to be.
Judges are presumed honest and men of integrity,
INTEGRITY unless proven otherwise.
A judge should act with integrity and behave with The maintenance of the court’s integrity is not the
integrity at all times so as to promote public sole duty of the judge. It is also the duty of court
confidence in the integrity of the judiciary. personnel to see to it that its integrity is
unblemished.
Integrity is required not only in the discharge of
judicial duties but also to the personal NOTE: A judge’s personal behavior, both in the
demeanor of judges performance of his duties and in his daily life, must
be free from any appearance of impropriety as to be
Integrity is essential not only to the proper beyond reproach.
discharge of the judicial office but also to the
personal demeanor of judges. The integrity of the Q: Judge Ferdinand Marcos of RTC Cebu is
judiciary rests not only upon the fact that it is able married to Rotilla with whom he begot 2
to administer justice but also upon the perception children. However, during a Fun Run sponsored
and confidence of the community that people who by Philippine Judges Association (PJA), Judge
run the system have done justice. Justice must not Marcos appeared with a woman other than his
be merely done but must also be seen to be done. wife whom he even introduced to Justice Davide
(Panaligan v. Judge Ibay, A.M. No. TJ-06-1972, June as his living partner. Should the judge be
21, 2006) disciplined?
A judge must take care not only to remain true to the Q: Justice Mariano Del Castillo was charged with
high ideals of competence and integrity his robe plagiarism, twisting of cited materials, and
represents, but also that he wears one in the first gross neglect in connection with the decision he
place (Chan v. Majaducan A.M. No. RTJ-02-1697, wrote for the court in G.R. No. 162230, entitled
October 15, 2003). Vinuya v. Romulo. Petitioners, members of the
Malaya Lolas Organization, seek
Q: After being diagnosed with stress dermatitis, reconsideration of the decision of the Court
Judge Rosalind, without seeking permission dated October 12, 2010 that dismissed the said
from the Supreme Court, refused to wear her complaint. Petitioners claim that the Court has
robe during court proceedings. When her by its decision legalized or approved of the
attention was called, she explained that commission of plagiarism in the Philippines.
whenever she wears her robe she is reminded of Should the respondent justice be held guilty for
her heavy caseload, thus making her tense. This, plagiarism?
in turn, triggers the outbreak of skin rashes. Is
Judge Rosalind justified in not wearing her A: No. A judge writing to resolve a dispute, whether
judicial robe? Explain. (2009 Bar Question) trial or appellate, is exempted from a charge of
plagiarism even if ideas, words or phrases from a
A: Judge Rosalind is not justified. In Chan v. law review article, novel thoughts published in a
Majaducon, the Supreme Court emphasized that the legal periodical or language from a party’s brief are
wearing of robes of judges as required by Admin. used without giving attribution. Thus, judges are
Circular No. 25, dated June 9, 1989, serves the dual free to use whatever sources they deem
purpose of heightening public consciousness on the appropriate to resolve the matter before them,
solemnity of judicial proceedings and in impressing without fear of reprisal. This exemption applies to
upon the judge the exacting obligations of his office. judicial writings intended to decide cases for two
The robe is part of the judge’s appearance and is as reasons: the judge is not writing a literary work
important as a gavel. The Supreme Court added and, more importantly, the purpose of the writing
while circumstances, such as medical condition is to resolve a dispute. As a result, judges
claimed by the respondent judge, may exempt one adjudicating cases are not subject to a claim of legal
from complying with AC No. 25, the judge must first plagiarism.
secure the Court’s permission for such exemption.
Sec. 3, Canon 2, NCJC
Sec. 2, Canon 2, NCJC Judges should take or initiate appropriate
The behavior and conduct of judges must disciplinary measures against lawyers or
reaffirm the people’s faith in the integrity of court personnel for unprofessional conduct
the Judiciary. of which the judge may have become aware.
Judge’s duty with respect to court employees Q: A complaint against Judge Melo was filed for
violating the NCJC and for gross ignorance of the
A judge should constantly keep a watchful eye on law. It was alleged that he solemnized marriages
the conduct of his employees. His constant scrutiny without the required marriage license. He
of the behavior of his employees would deter any instead notarized affidavits of cohabitation and
abuse on the part of the latter in the exercise of their issued them to the contracting parties. He
duties (Buenaventura v. Benedicto, A.C. No. 137-5, notarized these affidavits on the day of the
March 27, 1971). parties’ marriage. It was argued that affidavits of
cohabitation are not connected with a judge’s
A judge cannot dismiss court personnel. The power official functions and duties as solemnizing
to dismiss a court employee is vested in the officer. Will the complaint prosper?
Supreme Court (Dailay-Papa v. Almora, A.M. Nos.
543-MC and 1525-MJ, December 19, 1981). A: Yes. Judge Melo notarized affidavits of
cohabitation, which were documents not connected
NOTE: Judges should not be lenient in the with the exercise of his official functions and duties
administrative supervision of employees. As an as solemnizing officer. He also notarized affidavits
administrator, the judge must ensure that all court of cohabitation without certifying that lawyers or
personnel perform efficiently and promptly in the notaries public were lacking in his court’s territorial
administration of justice (Ramirez v. Corpuz- jurisdiction, thus he violated Circular No. 1–90.
Macandog, A.M. No. R-351-RTJ, September 26, 1986). Further, Judge Melo violated NCJC provisions on
integrity since it is well-settled that if the law
All court personnel, from the lowliest employees to involved is basic, ignorance constitutes “lack of
the clerks of court, are involved in the dispensation integrity.” Violating basic legal principles and
of justice like judges and justices, and parties procedure nine times is gross ignorance of the law
seeking redress from the courts for grievances look (Tupal vs. Judge Rojo, A.M. No. MTJ–14–1842,
upon them also as part of the judiciary. In February 24, 2014).
performing their duties and responsibilities, court
personnel serve as sentinels of justice, that any act IMPARTIALITY
of impropriety they commit immeasurably affects
the honor and dignity of the judiciary and the CANON 3
people's confidence in the judiciary. They are, IMPARTIALITY IS ESSENTIAL TO THE
therefore, expected to act and behave in a manner PROPER DISCHARGE OF THE JUDICIAL
that should uphold the honor and dignity of the OFFICE. IT APPLIES NOT ONLY TO THE
judiciary, if only to maintain the people’s confidence DECISION ITSELF BUT ALSO TO THE PROCESS
in the judiciary (Guerrero v.Ong, A.M. No. P-09-2676, BY WHICH THE DECISION IS MADE.
December 16, 2009).
Q: While Judge Tuparin was in his chambers Principle of cold neutrality of an impartial judge
dictating an order to a stenographer, two
lawyers who were in the courtroom waiting for A judge should not only render just, correct, and
the start of the session almost came to blows as impartial decision but should do so in a manner free
a result of a heated argument. Tuparin came out from suspicion as to his fairness, impartiality and
of his chambers and after identifying the integrity. This is an indispensable requisite of due
lawyers involved in the commotion promptly process (Rallos v. Gako, A.M. No.RTJ-98-1484, March
declared them in contempt of court. Was the 17, 2000).
action of Judge Tuparin proper?
While a judge should possess proficiency in law in
A: No. The act committed by the two lawyers was order that he can competently construe and enforce
indirect contempt violative of the rule punishing the law, it is more important that he should act and
“any improper conduct tending directly or behave in such a manner that the parties before him
indirectly, to impede, obstruct, or degrade the should have confidence in his impartiality. Thus, it
administration of justice”, since the judge was then is not enough that he decides cases without bias and
engaged in dictating an order before the morning favoritism. Nor is it sufficient that he in fact rids
session was called. The act of the two lawyers himself of prepossessions. His actuations should
It is the duty of all judges not only to be impartial A: No. Judge Dicdican cannot be charged with bias
but also to appear impartial. A judge must exercise and partiality, merely on the basis of his decision
prudence and restraint and should reserve personal not to grant a motion for a preliminary hearing.
views and predilections to himself so as not to stir Allegations and perceptions of bias from the mere
up suspicions of bias and unfairness. tenor and language of a judge are insufficient to
show pre-judgment. Moreover, as long as opinions
Degree of proof required to prove bias on the formed in the course of judicial proceedings are
part of the judge based on the evidence presented and the conduct
observed by the judge, such opinion – even if later
The complainant must prove the same by clear and found to be erroneous on appeal or made with grave
convincing evidence since allegations of bias are abuse of discretion on certiorari –will not
quite serious. Mere allegations are not sufficient to necessarily prove personal bias or prejudice on the
constitute a violation of the rule. Bias and prejudice part of the judge. To allow inhibition for such reason
cannot be presumed and mere suspicion of would open floodgates to abuse. Here, the denial of
partiality is not enough. the motion to hear affirmative defenses is based on
the Rules of Court which provides that preliminary
Q: A filed an action for specific performance with hearing of defenses is discretionary, hence, the
the RTC of Quezon City, presided by Judge judge cannot be charged with partiality on the basis
Santiago, against X Corporation asking for the of such decision (Gochan v. Gochan,G.R. No. 143089,
delivery of the title of 1 subdivision lot in February 27, 2003).
Batangas which lot was given to him in payment
for his services as geodetic surveyor. Meanwhile Sec. 2, Canon 3, NCJC
X Corporation filed with MTC of Batangas an Judges shall ensure that his or her conduct,
action for an unlawful detainer against certain both in and out of court, maintains and
lot buyers on motion of A. Judge Santiago issued enhances the confidence of the public, the
TRO against X Corporation and the Judge of MTC legal profession and litigants in the
and enjoining the latter from proceeding with impartiality of the judge and of the
the case. X Corporation now filed a motion to Judiciary.
inhibit the judge on the ground that he
arbitrarily issued such TRO, but without
presenting evidence showing partiality on the Rationale
part of the judge. Should the judge be inhibited?
No judge should handle a case in which he might be
A: No. For a judge to be inhibited, allegations of perceived, rightly or wrongly, to be susceptible to
partiality and pre-judgment must be proven by clear bias and impartiality. His judgment must not be
and convincing evidence. Here, mere allegation that tainted by even the slightest suspicion of improbity
the judge arbitrarily issued the TRO without or preconceived interest. The rule is aimed at
presenting evidence showing bias on his part is not preserving at all times the faith and confidence in
sufficient. While Judge Santiago acted in excess of courts of justice by any party to the litigation
his jurisdiction when he issued the TRO for such (Urbanes, Jr. v. C.A., G.R. No. 117964, March 28, 2001).
should only be enforceable within his territorial
jurisdiction, such error may not necessarily warrant There is undue interference where the judge’s
inhibition, at most it is correctible by certiorari participation in the conduct of the trial tends to
(Dimo Realty &Development, Inc. v. Dimaculangan, build or to bolster a case of one of the parties (Ty v.
G.R. No. 130991, March 11, 2004). Banco Filipino Savings and Mortgage Bank, CA and
Hon. Tac-an G.R. Nos. 149797-98, February 13, 2004).
UNIVERSITY OF SANTO TOMAS
139 FACULTY OF CIVIL LAW
JUDICIAL ETHICS
Q: Banco Filipino filed a complaint for Sec. 3, Canon 3, NCJC
reconveyance of property against Ty and Tala Judges shall, so far as is reasonable, so
Realty Services Corp., which complaint was conduct themselves as to minimize the
dismissed on the ground of lack of jurisdiction. occasions on which it will be necessary for
However, on motion for reconsideration filed by them to be disqualified from hearing or
Banco Filipino, the case was reinstated and the deciding cases.
judge even relieved Banco Filipino from its
obligation to prove service of its motion for
Meaning of “duty to sit”
reconsideration and presumed actual receipt of
the same by the other party. Thereafter, the
It means that a judge must ensure that he will not
judge directed the respondents to present
be unnecessarily disqualified from a case.
certain documents within a certain period of
time despite failure of Banco Filipino to tender
A judge cannot inhibit himself as he pleases. A
the costs for such production and inspection.
decision to inhibit must be based on good, sound or
Tala then filed a motion for inhibition but the
ethical grounds, or for just and valid reasons. It is
same was denied by the judge. Did the judge
not enough that a party cast some tenuous
commit any improper conduct?
allegations of partiality at the judge.
A: Yes. The rule is that a judge may not be legally
Rule of necessity
prohibited from sitting in litigation, but when
circumstances appear that will induce doubt as to
It states that a judge is not disqualified to sit in a case
his honest actuations and probity in favor of either
where there is no other judge available to hear and
party, or incite such state of mind, he should
decide the case. Furthermore, when all judges will
conduct a careful self-examination. He should
be disqualified as a result, it will not be permitted to
exercise his discretion in a way that the people's
destroy the only tribunal with the power in the
faith in the courts of justice is not impaired. The
premises. The doctrine operates on the principle
better course for the judge under such
that a basic judge is better than no judge at all. It is
circumstances is to disqualify himself. That way, he
the duty of the disqualified judge to hear and decide
avoids being misunderstood; his reputation for
the case regardless of objections or disagreements
probity and objectivity is preserved. What is more
(Parayno vs. Meneses, G.R. No. 112684, April 26,
important is that the ideal of impartial
1994).
administration of justice is lived up to. Here, the
judge, by assuming actual receipt by the
respondents of proof of service of the motion for Sec. 4, Canon 3, NCJC
reconsideration, absolving Banco Filipino from Judges shall not knowingly, while a
paying the expenses of production of documents, proceeding is before or could come before
and suggesting to Banco Filipino what evidence to them, make any comment that might
present to prove its case, transgressed the reasonably be expected to affect the outcome
boundaries of impartiality. Thus, the judge should of such proceeding or impair the manifest
inhibit himself (Ty v. Banco Filipino Savings and fairness of the process.
Mortgage Bank, et. al., G.R. Nos. 149797-98, February
13, 2004). Nor shall judges make any comment in
public or otherwise that might affect the
A trial judge can ask questions from witnesses. In fair trial of any person or issue.
every examination of a witness, the court shall take
active part in examining him to determine his
credibility as well as the truth of his testimony and Reason for the rule
to elicit the answers that it needs for resolving the
issues (Sec. 7, Judicial Affidavit Rule). This section warns judges against making any
comment that might reasonably be expected to
NOTE: In disposing of a criminal case, a judge affect the outcome of the proceedings before them;
should avoid appearing like an advocate for either or those that the judge may later decide but not yet
party. It is also improper for the judge to push before him; or "impair the manifest fairness of the
actively for amicable settlement against the wishes process.”
of the complainant. A judge’s unwelcome
persistence makes the judge vulnerable to A judge’s language, both written and spoken, must
suspicions of favoritism (Montemayor v. Bermejo, be guarded and measured, lest the best of intentions
Jr.,A.M. No.MTJ-04-1535, March 12, 2004). be misconstrued (Fecundo v. Berjamen,G.R. No.
88105, December 18, 1989).
The judge’s ruling in a lower court is the subject of A: Yes. The Rules of Court prevents judges from
review (Sec. 5(e), Canon 3, NCJC); trying cases where they acted as counsel “without”
the consent of the parties. This prevents not only a
An associate justice of the Court of Appeals refused conflict of interest but also the appearance of
to inhibit himself from reviewing the decision in a impropriety on the part of the judge. Here, the judge
case which he had partially heard as a trial judge should not have taken part in the proceeding as his
prior to his promotion, on the ground that the impartiality will naturally be questioned
decision was not written by him. The Supreme considering that he previously handled the case as
Court upheld his refusal, but nevertheless prosecutor. He should administer justice
commented that he "should have been more impartially & without delay. The prohibition does
prudent and circumspect and declined to take on not only cover hearings but all judicial acts (e.g.
the case owing to his earlier involvement in the orders, resolutions) some of which, Judge Rojas did
case”. The Court has held that a judge should not make (Re: Inhibition of Judge Eddie R. Rojas, A.M. No.
handle a case in which he might be perceived, 98-6-185-RTC, October 30, 1998).
rightly or wrongly, to be susceptible to bias and
prejudice (Sandoval v. CA, G.R. No. 106657, August 1, Q: Judge Mijares was charged with grave
1996). misconduct for taking cognizance and deciding
a special proceeding for correction of entry in
The judge is related by consanguinity or affinity to the record of her grandson, notwithstanding
a party litigant within the 6th civil degree or to such relationship. It was also alleged that the
counsel within the 4th civil degree (Sec. 5(f), Canon judge dispensed with the publication
3, NCJC); requirement in said proceeding. In her answer,
Judge Mijares contended that the prohibition
NOTE: A preliminary injunction issued by a judge in provided for under the Code did not apply to
favor of his sister before inhibiting himself was special proceedings which are not controversial
found reprehensible (Hurtado v. Judajena, G.R. No. L- in nature and that she does not have any
40603, July 13, 1978). pecuniary interest in the case. Is the contention
correct?
No judge should preside in a case in which he is not
wholly free, disinterested, impartial and A: No. A judge who is related to a party within the
independent (Garcia v. De La Pena. A.M.No.MTJ-92- 6th degree of consanguinity is mandated to inhibit
637, February 9, 1994). himself from hearing the case “notwithstanding lack
of pecuniary interest in the case”. This is so because
The judge knows that his or her spouse or child lack of such interest does not mean that she can
has a financial interest as heir, legatee, creditor, already be free from bias and partiality in resolving
fiduciary or otherwise, in the subject matter in the case by reason of her close blood relationship as
controversy or in a party to the proceeding, or any evident from the fact that here, she waived the
other interest that could be substantially affected publication requirement in order to save the
by the outcome of the proceedings (Sec. (g), Canon petitioner from the payment of publication fee.
3, NCJC). Thus, the judge’s taking cognizance of the petition
was improper (Villaluzv.Mijares, A.M. No. RTJ -98-
This rule is intended to ensure judges’ impartiality 1402 288, April 3, 1998).
by preventing situations in which a judge must
consider familial interests in the conflicts before Degree of compliance required by the rule
him or her. If the public is aware of a family under Canon 3, Section 5 of NCJC
member’s financial interest, the public may
question the judge’s impartiality. Strict compliance of the rule is required so as to
protect the rights of the parties and assure an
Q: When Atty. Rojas was appointed as a judge, he impartial administration of justice, as well as to
inherited a criminal case in which he acted as prevent erosion of the people's confidence in the
prosecutor. He explained that his delay in judiciary (Marfil v. Cuachon, A.M. No. 2360-MJ,
inhibiting himself from presiding on that case August 31, 1981).The grounds for disqualification of
was because it was only after the belated a judge enumerated under Sec. 5 of Canon 3 are not
transcription of the stenographic notes that he exclusive. The provision provides that it is not
remembered that he handled that case. He also limited to the grounds therein provided.
said that the counsels did not object and he
1. General consideration – whether the people’s faith A: Yes, because Florante breached the rule on
in the judicial system will be impaired mandatory disqualification. Sec. 5, Canon 3 provides
that: “Judges shall disqualify themselves from
2. Special consideration –He must reflect on the participating in any proceedings in which they are
probability that the losing party will nurture at the unable to decide the matter impartially or in which
back of his mind that he tilted the scale of justice it may appear to a reasonable observer that they are
unable to decide the matter impartially. Such
Disqualification v. Inhibition proceedings include, but are not limited to instances
where: “xx 6. The judge is related by consanguinity or
DISQUALIFICATION INHIBITION affinity to a party litigant within the 6th civil degree
There are specific The rule only provides or to counsel within the fourth civil degree.” This is
grounds enumerated broad basis for considered as a MANDATORY INHIBITION. Strict
under the rules of inhibition. compliance with the rules on disqualification is
court for required.
disqualification.
Voluntary inhibition of a judge
The judge has no The rule leaves the
discretion; mandatory matter to the judge’s The judge may in his discretion inhibit himself, for
sound discretion just and valid reasons other than the grounds for
mandatory disqualification. The rule on voluntary
Prohibition provided by the Code A: Yes. The judge violated the rule on impropriety
under Sec 1, Canon 4, NCJC for even if he did not
It prohibits not only actual impropriety but even the intend to use his position as a judge to influence the
mere appearance of impropriety. outcome of his brother’s election protest, it cannot
be denied that his presence in the courtroom during
Appearance of impropriety the hearing of his brother’s case would immediately
give cause for the community to suspect that his
Impropriety occurs when the conduct of a judge being a colleague in the judiciary would influence
creates in reasonable minds a perception that the the judge trying the case to favor his brother (Vidal
judge’s ability to carry out judicial responsibilities v. Judge Dojillo Jr., A.M. No. MTJ-05-1591, July 14,
with integrity, impartiality and competence is 2005).
impaired.
NOTE: The judge’s act in riding in defendant’s car
NOTE: Acts done by a judge which are not illegal deserves the stern probation of the Court. By such
may still constitute a violation of this rule. act, he openly exposed himself and the office he
holds to suspicion, thus impairing the trust and faith
Q: After the prosecution cross-examined Sheila, of the people in the administration of justice. A
a witness for the accused, Judge Pedro asked her judge’s official conduct should be free from the
ten additional questions that were so intense, appearance of impropriety and his personal
they made her cry. One question forced Sheila to conduct and behavior should be beyond reproach
admit that her mother was living with another (Spouses Cabreana v. Avelino A.M. No. 1733 CFI,
man, a fact that weighed against the accused. September 30, 1981).
This prompted the latter’s counsel to move to
move to expunge the judge’s questions for Q: Judge Duque of the RTC was charged with
building on the prosecution’s case. Judge Pedro Impropriety, Corruption and Gross Misconduct.
denied the motion, insisting that bolstering a Reyes alleged that she was a party-in-
party’s case is incidental to the court’s desire to
UNIVERSITY OF SANTO TOMAS
145 FACULTY OF CIVIL LAW
JUDICIAL ETHICS
intervention in Land Registration filed by the representation of the law and of justice, he is
Philippine Savings Bank against the spouses naturally expected to be the epitome of integrity
Choi. In a Decision, Judge Duque granted the and should be beyond reproach. Judge Duque’s
motion for the issuance of a writ of possession in conduct indubitably bore the marks of impropriety
favor of the bank. Complainant Reyes filed an and immorality. He failed to live up to the high moral
“Urgent Petition for Lifting and Setting Aside of standards of the judiciary and even transgressed the
Writ of Possession and Quashal of Notice to ordinary norms of decency of society. Had Judge
Vacate” claiming that she bought the subject Duque not retired, his misconduct would have
property from the spouses Choi and that she was merited his dismissal from the service (Reyes v.
in actual possession of the property with full Duque, A.M. No. RTJ-08-2136, September 21, 2010).
knowledge of the bank. At the hearing, Atty.
Ubana, the lawyer of Reyes, introduced her to Sec. 2, Canon 4, NCJC
Judge Duque who allegedly gave Reyes 30 days As a subject of constant public scrutiny,
to settle matters with the bank. She was unable judges must accept personal restrictions
to re-negotiate with the bank. Reyes then that might be viewed as burdensome by the
allegedly received a phone call from Judge ordinary citizen and should do so freely and
Duque and he instructed Reyes to go “to his willingly. In particular, judges shall conduct
house and bring some money in order that he themselves in a way that is consistent with
can deny the pending motion to break open.” the dignity of the judicial office.
When she already had the money, she went to
his house. The son of Judge Duque opened the
gate. At his house, Judge Duque demanded Membership in the judiciary circumscribes one’s
money from her. personal conduct and imposes upon him certain
restrictions, the faithful observance of which, is the
Another incident happened, whereby Reyes price one has to pay for holding such a distinguished
went to the house of Judge Duque for the position. Accordingly, a magistrate of the law must
payment of a sum of money. Judge Duque comport himself in a manner that his conduct must
allegedly scolded her for not bringing the whole be free of a whiff of impropriety, not only with
amount. Judge Duque then locked the main door respect to the performance of his official duties, but
of his house and asked Reyes to step into his also to his behavior outside his sala and as a private
office. Judge Duque held the waist of Reyes, individual. His conduct must be able to withstand
embraced and kissed her. Reyes tried to struggle the most searching public scrutiny, for the ethical
and free herself. Judge Duque raised her skirt, principles and sense of propriety of a judge are
opened her blouse and sucked her breasts. He essential to the preservation of the people’s faith in
touched her private parts and attempted to have the judicial system lest public confidence in the
sexual intercourse with Reyes. Reyes shouted judiciary would be eroded by the incompetent,
for help but the TV was too loud. As a desperate irresponsible and negligent conduct of judges
move, Reyes appealed to Judge Duque saying: (Bayaca v. Judge Ramos, A.M. No. MTJ-07-1676,
“kung gusto mo, huwag dito. Sa hotel, sasama ako January 29, 2009).
sayo”. Judge Duque suddenly stopped his sexual
advances and ordered Reyes to fix her hair. Is NOTE: Judges, in the exercise of their civil liberties,
the respondent judge guilty of impropriety and should be circumspect and ever mindful of their
gross misconduct? continuing commitment to uphold the judiciary and
its value. This places upon them certain implied
A: Yes. Judges should avoid impropriety and the restraints to their freedom. A judge was
appearance of impropriety in all of their activities. admonished for the appearance of engaging in
Judges should conduct themselves in a way that is partisan politics when he participated in a political
consistent with the dignity of the judicial office. rally sponsored by one party, even though he only
Judges, like any other citizen, are entitled to explained the mechanics of block voting to the
freedom of expression, belief, association and audience (Macias v. Arula, A.M. No. 1895-CFI, July 20,
assembly, but in exercising such rights, they should 1982).
always conduct themselves in such a manner as to
preserve the dignity of the judicial office and the Dignified conduct
impartiality and independence of the judiciary.
It is best described as conduct befitting men and
The conduct of Judge Duque fell short of the exacting women possessed of temperance and respect for
standards for members of the judiciary. He failed to the law and for others.
behave in a manner that would promote confidence
in the judiciary. Considering that a judge is a visible
The reason is that judges are required to always Q: An administrative complaint was filed against
exhibit cold neutrality of an impartial judge. respondent Judge Amila because he used
derogatory and irreverent language towards the
NOTE: It was inappropriate for a judge to have complainant. The former in effect maliciously
entertained a litigant in his house particularly when besmirched the character of complainant by
the case is still pending before his sala (J. King and calling her as “only a live-in partner of Belot” and
Sons. v. Hontanosas, Adm. Matter No. RTJ-03-1802, presenting her as an opportunist and a mistress
September 21, 2004). in an illegitimate relationship. The judge also
called her a prostitute. Likewise, the judge
accused the complainant that the complaint was
UNIVERSITY OF SANTO TOMAS
149 FACULTY OF CIVIL LAW
JUDICIAL ETHICS
motivated by insatiable greed. Will the case would lead the public, and in particular the
prosper? judge’s adversary, to suspect that the judge
would use the choice of venue as a means to
A: Yes. The court holds that Judge Amila should exert influence in favor of himself (Javier v. De
have been more circumspect in his language. It is Guzman, A.M. No. RTJ-89-380, December 19,
reprehensible for a judge to humiliate a lawyer, 1990).
litigant or witness. The act betrays lack of patience,
prudence and restraint. Thus, a judge must at all 2. Judge’s act of giving impression that he can be
times be temperate in his language. He must choose influenced to use the judicial office to advance
his words, written or spoken, with utmost care and the private interests of others.
sufficient control. The wise and just man is
esteemed for his discernment. Pleasing speech NOTE: Another common violation of this rule is
increases his persuasiveness (Benancillo v. Judge using judicial power to exact personal
Amila, A.M. No. RTJ-08-2149, March 9, 2011). vengeance.
A: Yes. Records of cases are necessarily This section allows the judge to participate in legal
confidential, and to preserve their integrity and academia and public discourse on legal matters with
confidentiality, access thereto ought to be limited the proviso that there shall be no interference in the
only to the judge, the parties or their counsel and the performance of the judge’s primary functions with
appropriate court personnel in charge of the respect to his or her jurisdiction. In dealing with the
custody of said records. Here, since Mrs. Lilagam is media, however, the Philippine Judicial Academy
not a court employee specifically in charge of the suggests that a judge or court should avoid
custody of said records, the judge’s act of allowing acrimonious debate with reporters and the public,
her to have access thereto is improper as such for a knee jerk reaction from the court or judge may
would convey the impression that she is the one only provoke negative follow-up reports and
who can influence the judge’s official function articles.
(Gordon v. Lilagam, A.M. No. RTJ-00-1564, July 26,
2001). This section’s tolerance of judicially-related
activities is limited by Sec. 12, Article VIII of the
Violation of the rule which constitutes criminal Constitution, which prohibits judges from being
offense “designated to any agency performing quasi-judicial
or administrative functions”.
The following, under Sec. 3[k] of R.A. 3019, and
under Art. 229 and 230 of the RPC, are violations of Judge cannot be a member of Provincial
the rule which also constitute criminal offense: Committee on Justice
1. Divulging valuable information of a confidential Such membership would violate the constitutional
character, acquired by his office or by him on provision on the discharge by members of the
account of his official position to unauthorized judiciary of administrative functions in quasi-
persons, or releasing such information in judicial or administrative agencies. This does not
advance of its authorized release date (R.A. mean, however, that judges should adopt an
3019, Sec. 3[k]). attitude of monastic insensibility or unbecoming
2. Revelation of secrets by an officer –Any public indifference to the Provincial/City Committee on
officer who shall reveal any secret known to Justice. As incumbent judges, they form part of the
him by reason of his official capacity, or shall structure of government. Even as non-members,
wrongfully deliver papers or copies of papers of judges should render assistance to said committees
which he may have charge and which should to help promote the laudable purposes for which
not be published, shall suffer imprisonment they exist, but only when such assistance may be
(Art.229, RPC). reasonably incidental to the fulfillment of their
3. Public officer revealing secrets of private judicial duties (In Re: Designation of Judge Rodolfo U.
individual –Any public officer to whom the Manzano, A.M. No. 88-7-1861-RTC, October 5, 1988).
The Supreme Court shall have the administrative It is a constitutional process of removing public
supervision over all courts and the personnel servants from office as an assurance against abusive
(Section 6, Art. VIII, 1987 Constitution). officials in the country (Impeachment Primer,
Official Gazette, 2012).
The Court en banc has the power to discipline all
judges of lower courts including justices of the Court Object of impeachment
of Appeals (Section 11, Art. VIII, 1987 Constitution).
The object of impeachment is solely to determine
Disbarment of judges and justices whether the official is worthy of the trust conferred
upon him/her. It is not a determination of criminal
Judges and justices, being lawyers, may also be guilt or innocence as in criminal case (Ibid.).
disbarred, if found guilty of certain crimes and/or
other causes for disbarment under the Rules of The nature of impeachment proceedings against SC
Court. justices is “sui generis” or “a class of its own.”
3. Anonymous complaint supported by public A: Yes. It is already settled that when a judge grants
records of indubitable integrity filed with the bail to a person charged with a capital offense, or an
Supreme Court. offense punishable by reclusion perpetua or life
imprisonment without conducting the required bail
Form and content of the complaint hearing, he is considered guilty of ignorance or
incompetence the gravity of which cannot be
The complaint shall be in writing and shall state excused by a claim of good faith or excusable
clearly and concisely the acts and omissions negligence. When a judge displays an utter
constituting violations of standards of conduct unfamiliarity with the law and the rules, he erodes
prescribed for judges by law, the Rules of Court, or the confidence of the public in the courts. A judge
the Code of Judicial Conduct. owes the public and the court the duty to be
proficient in the law and is expected to keep abreast
GROUNDS of laws and the prevailing jurisprudence. Ignorance
of the law by a judge can easily be the mainspring of
Grounds for discipline of judges injustice (Grageda v. Judge Tresvalles, A.M. MTJ No.
04-1526, February 2, 2004).
1. Serious Misconduct – implies malice or wrongful
intent, not mere error of judgment. Judicial acts Q: Respondent judge failed to cause the raffle of
complained of: an injunction case and failed to follow the
procedural requirements in issuing a TRO and a
a. must be corrupt or inspired by an intention to writ of preliminary injunction as he issued them
violate the law; or without prior notice to the defendant and
b. were in persistent disregard for well-known without a hearing. Is he liable for gross
legal rules. ignorance of the law?
For serious misconduct to exist, the judicial act 1. Undue delay in rendering a decision or order, or
complained of should be corrupt or inspired by an in transmitting the records of a case
intention to violate the law or a persistent disregard 2. Frequently and unjustified absences without
of well-known legal rules leave or habitual tardiness
3. Unauthorized practice of law
1. Bribery, direct or indirect 4. Violation of Supreme Court rules, directives,
2. Dishonesty and violations of the Anti-Graft and and circulars
Corrupt Practices Law (R.A. 3019) 5. Receiving additional or double compensation
3. Gross misconduct constituting violations of the unless specifically authorized by law
Code of Judicial Conduct 6. Untruthful statements in the certificate of
4. Knowingly rendering an unjust judgment or service
order as determined by a competent court in an 7. Simple misconduct
appropriate proceeding
5. Conviction of a crime involving moral turpitude Light charges
6. Willful failure to pay a just debt
7. Borrowing money or property from lawyers 1. Vulgar and unbecoming conduct
and litigants in a case pending before the court 2. Gambling in public
8. Immorality 3. Fraternizing with lawyers and litigants with
9. Gross ignorance of the law or procedure pending case/cases in his court
10. Partisan political activities 4. Undue delay in the submission of monthly
11. Alcoholism and/or vicious habits reports
NOTE: While reference to a debt necessarily implies Q: Justice Tolentino as ponete, directed the
a transaction that is private and outside of official issuance of a writ of preliminary injunction
transactions, the rules do not thereby intrude into regarding the case of Ramon who was vying for
public officials’ private lives; they simply look at a directorship in Bayan Corp. Ramon filed a
their actions from the prism of public service and Motion for Inhibition of respondent Justice
consider these acts unbecoming of a public official. Tolentino because, by his claim, the issuance of
(Grio Lending Services v. Sermonia, A.M. No. P-03- the writ was against the law. More than a year
1757, December 10, 2003) later, the complainant filed a letter-complaint,
alleging that almost three years have passed
Q: Judge L is assigned in turtle province. His since he filed for a Motion for Inhibition but it
brother ran for governor in rabbit province. was still not acted upon. Respondent claimed
During the election period this year, judge L that in view of complainant’s filing of the
took a leave of absence to help his brother to petition for certiorari before this Court, she
conceptualize the campaign strategy. He even deemed it appropriate to defer any action on the
contributed a modest amount to the campaign motion in deference to the authority of this
kitty and hosted lunches and dinners. Did Judge Court to resolve the issues raised before it. Is
L incur administrative and/or criminal liability? she guilty of delay in the resolution of the Motion
Explain. (2010 Bar Question) for Inhibition?
A: Judge L incurred administrative liability. Rule A: Yes. Under section 7 of Rule 65 of the Rules of
5.18 of the Code of Judicial conduct provides that a Court provides that a petition for certiorari shall not
Judge is entitled to entertain personal views on interrupt the course of the principal case unless a
political questions, but to avoid suspicions of temporary restraining order or a writ of
political partisanship, a judge shall not make preliminary injunction has been issued against the
Q: Judge Baluma availed himself of optional NOTE: The acceptance by the President of the
retirement. He requested for the early release of resignation does not necessarily render the case
his retirement pay and other benefits. The moot or deprive the SC of the authority to
Officer-In-Charge of the RTC found out that there investigate the charges. The court retains its
were 23 cases submitted for jurisdiction either to pronounce the respondent
decision/resolution which were left undecided officially innocent of the charges or declare him
by Judge Baluma. The 23 cases were already guilty thereof. A contrary rule will be fraught with
beyond the reglementary period for deciding injustice and pregnant with dreadful and dangerous
them at the time of Judge Baluma's retirement. implications (Pesole v. Rodriguez A.M. No. 755-MTJ,
Judge Baluma also failed to comply with the January 31, 1978).
directive of the Deputy Court Administrator to
explain why he failed to act on the said cases. Q: May the heirs of a judge, who was found guilty
Can Judge Baluma be held administratively of gross neglect of duty and dismissed from the
liable? service with disqualification from holding
public office for an offense committed before he
A: Yes. The Court has consistently impressed upon was appointed judge, be entitled to gratuity
judges the need to decide cases promptly and benefits?
expeditiously under the time-honored precept that
“justice delayed is justice denied”. Every judge A: Yes. Upon the demise of a judge, any
should decide cases with dispatch and should be administrative complaint filed by the OCA against
careful, punctual, and observant in the performance him or her has to be considered closed and
of his functions for delay in the disposition of cases terminated. Therefore, there is no valid reason why
erodes the faith and confidence of our people in the the heirs of the deceased should not be entitled to
judiciary, lowers its standards and brings it into gratuity benefits for the period he rendered service
disrepute. Failure to decide a case within the as MTCC judge up to the finality of the CSC
reglementary period is not excusable and Resolution which imposed the penalty of "dismissal
constitutes gross inefficiency warranting the from service with all the accessory penalties
imposition of administrative sanctions on the including disqualification from holding
defaulting judge. The Supreme Court has allowed public office and forfeiture of benefits”.
reasonable extensions of time needed to decide
cases, but such extensions must first be requested The penalty of disqualification from holding public
from the Court. A judge cannot by himself choose to office and forfeiture of benefits may not be applied
prolong the period for deciding cases beyond that retroactively. However, the judge should be
authorized by law (Re: Cases Submitted for Decision considered terminated from service in the judiciary
before Hon. Teofilo D. Baluma, Former Judge, Branch as his appointment as MTCC judge is deemed
1, RTC, A.M. No. RTJ-13-2355, September 2, 2013, De conditional upon his exoneration of the CSC
Castro, J.). administrative charges against him (Re: Application
for retirement/gratuity benefits under R.A. 910 as
Confidentiality of proceedings amended by R.A. 5095 and P.D. 1438 filed by Mrs.
Butacan, surviving spouse of the late Hon. Jimmy
Proceedings against judges of regular and special Butacan, former judge of MTC, Tuguegarao City, who
courts and justices of the Court of Appeals and the died on July 28, 2005, A.M. No. 12535-Ret, April 22,
Sandiganbayan shall be private and confidential, but 2008).
a copy of the decision or resolution of the Court shall
be attached to the record of the respondent in the Quantum of evidence required
Office of the Court Administrator (Sec 12, Rule 140,
RRC). The ground for removal of a judicial officer should
be established beyond reasonable doubt. Such is the
4. Maliciously delaying the administration of Sanctions for a judge found guilty of a serious
justice. charge
NOTE: The act must be committed maliciously or Any of the following sanctions may be imposed:
with deliberate intent to prejudice a party in a case.
1. Dismissal from the service, forfeiture of all or
IMPEACHMENT part of the benefits as the Court may determine,
(ETHICAL ASPECTS) and disqualification from reinstatement or
appointment to any public office, including
Constitutional provisions on the accountability government-owned or controlled corporations.
of public officers Provided, however, that the forfeiture of
benefits shall in no case include accrued leave
Public officers and employees must at all times be credits;
accountable to the people, serve them with utmost 2. Suspension from office without salary and
responsibility, integrity, loyalty, and efficiency, act other benefits for more than three (3) but not
with patriotism and justice, and lead modest lives exceeding six (6) months; or
(Sec. 1, Article XI, 1987 Constitution). 3. A fine of more than P20,000.00 but not
exceeding P40,000.00.
Nature of public office
Sanctions for a judge found guilty of a less
A public office is a public trust. It is not to be serious charge
understood as a position of honor, prestige and
power but a position of rendering service to the 1. Suspension from office without salary and
public. other benefits for not less than one (1) nor more
than three (3) months; or
Principle of accountability 2. A fine of more than P10,000.00 but not
exceeding P20,000.00.
It sets down the mandate that all government
officials and employees, whether they be the highest Sanctions for a judge found guilty of a light
in the land or the lowliest public servants, shall at all charge
times be answerable for their misconduct to the
people from whom the government derives its Any of the following sanctions shall be imposed:
powers.
1. A fine of not less than P1,000.00 but not
Purpose of impeachment in relation the exceeding P10,000.00; and/or
accountability of public officers 2. Censure;
3. Reprimand; or
Its purpose is to protect the people from official 4. Admonition with warning
delinquencies or malfeasances. It is therefore
primarily intended for the protection of the State, REINSTATEMENT OF A JUDGE
not for the punishment of the offender. PREVIOUSLY DISCIPLINED
NOTE: Before the Court approved this resolution, administrative and disbarment cases against members of the
bar who were likewise members of the court were treated separately. However, pursuant to the new rule, an
administrative case against a judge of a regular court based on grounds which are also grounds for the
disciplinary action against members of the Bar shall be automatically considered as disciplinary proceedings
against such judge as a member of the Bar.
Since membership in the bar is an integral qualification for membership in the bench, the moral fitness of a judge
also reflects his moral fitness as a lawyer. A judge who disobeys the basic rules of judicial conduct also violates
his oath as a lawyer (Samson v. Judge Caballero, A.M. No. RTJ-08-2138, August 5, 2009).
1. The judge, or his wife, or child is pecuniarily Neither is the mere filing of an administrative case
interested as heir, legatee, or creditor against a judge a ground for disqualifying him from
2. The judge is related to either party of the case hearing the case, ‘for if on every occasion the party
within the sixth degree of consanguinity or apparently aggrieved would be allowed to either
affinity, or to the counsel within the fourth stop the proceedings in order to await the final
degree (computed according to the rule of civil decision on the desired disqualification, or demand
law) the immediate inhibition of the judge on the basis
3. The judge has been an executor, administrator, alone of his being so charged, many cases would
guardian, trustee or counsel have to be kept pending or perhaps there would not
4. The judge has presided in any inferior court be enough judges to handle all the cases pending in
when his ruling or decision is the subject of all the court (Wenceslao Cruz Jr. v. Judge Joven, A.M.
review No. MTJ-00-1270, January 23, 2001).
Justices and judges must ever realize that they have Records of a court of justice are NOT always
no constituency, serve no majority or minority but public
serve only the public interest as they see it in
accordance with their oath of office, guided only by GR: The records of every court of justice shall be
the Constitution and their own conscience and considered public records and shall be available for
honor (Galman v. Sandiganbayan, G.R. No. 72670, the inspection of any interested person, at all proper
September 12, 1986). business hours, under the supervision of the clerk
having custody of such records.
A judge must not be moved by a desire to cater to
public opinion to the detriment of the XPN: Unless the court shall, in any special case, have
administration of justice. The previous Code of forbidden their publicity, in the interest of morality
Judicial Conduct specifically warned the judges or decency.
against seeking publicity for personal vainglory.
Vainglory, in its ordinary meaning, refers to an Instances in which Superior Court processes are
individual’s excessive or ostentatious pride enforceable in any part of the Philippines
especially in one’s own achievements. Even when
no longer explicitly stated in the New Code of 1. A case is pending to bring in a defendant
Judicial Conduct, judges are still proscribed from 2. For the arrest of an accused person
engaging in self-promotion and indulging their 3. Execution of any order or judgment of the court
vanity and pride by Canons 1 (on Integrity) and 2
(on Propriety) of the New Code (Gerlie M. Uy and Ma. Enforceability of the processes in inferior courts
Consolacion T. Bascug v. Judge Erwin B. Javellana,
A.M. No. MTJ-07- 1666, September 5, 2012). GR: Within the province where the municipality or
city lies.
Courts always open; justice to be promptly and
impartially administered. XPN: Outside its boundaries, provided the
enforcement is made with the approval of judge of
GR: Courts of justice shall always be open for: first instance of said province.
1. filing of any pleading, motion or other papers; Cases where the judge of the first instance of a
2. the trial of cases; particular province can approve the service of
3. hearing of motions; and process of inferior courts outside the
4. the issuance of orders or rendition of judgments boundaries of province in which they are
comprised
XPN: Legal holidays
1. When an order for the delivery of personal
NOTE: Upon the request of the local government property lying outside the province is to be
unit concerned, the Executive Judges of the MeTCs complied with;
or the MTCCs of the cities and municipalities 2. When an attachment of real or personal
comprising Metro Manila and of the cities of Baguio, property lying outside the province is to be
Bacolod, Cagayan de Oro, Cebu, Davao and Iloilo made;
may assign all judges to hold night court sessions 3. When the action is against two or more
daily from Monday to Friday and on official holidays defendants residing in different provinces; and
and special days, from four-thirty o’clock in the 4. When the place where the case has been
afternoon to eleven o’clock in the evening, on brought is that specified in a contract in writing
rotation basis, and in pairs of two (Sec. 15, A.M. No. between the parties, or is the place of the
03-8-02-SC). execution of such contract as appears
therefrom
Exclusion of the public from the proceedings
Q: Judge Rosabella M. Tormis is accused of The clerk shall keep an execution book in which he
mismanagement of the court and case records. or his deputy shall record at length in chronological
The report revealed that Branch 4 failed to each execution, and the officer’s return thereon, by
maintain a docket book or any similar system of virtue of which real property has been sold.
record-keeping and monitoring and to keep a
General Docket Book pursuant to Section 8, Rule Certified copies
136 of the Rules of Court. Judge Tormis claimed
that she faithfully conducted semestral physical The clerk shall prepare, for any person demanding
inventories of case records except during the the same, a copy certified under the seal of the court
period which comprised her three suspensions of any paper, record, order, judgment, or entry in his
as she was then denied access to her courtroom office, proper to be certified, for the fees prescribed
and case records. On the other hand, the Clerk of by these rules.
a. The title of the case including the names of all Although the presiding judge and his or her staff
the parties; share the duty of taking a continuing and regular
b. The nature of the case, whether civil or criminal, inventory of cases, the responsibility primarily
and if the latter, the offense charged; resides in the presiding judge. The continuity and
c. The date of issuing preliminary and regularity of the inventory are designed to invest
intermediate processes including orders of the judge and the court staff with the actual
arrest and subpoenas, and the date and nature knowledge of the movements, number, and ages of
of the return thereon; the cases in the docket of their court, knowledge
d. The date of the appearance or default of the essential to the efficient management of caseload.
defendant; The judge should not forget that he or she is duty-
e. The date of presenting the plea, answer, or bound to perform efficiently, fairly, and with
motion to quash, and the nature of the same; reasonable promptness all his or her judicial duties,
f. The minutes of the trial, including the date including the delivery of reserved decisions. Thus,
thereof and of all adjournments; the judge must devise an efficient recording and
g. The names and addresses of all witnesses; filing system for his or her court that enables him or
h. The date and nature of the judgment, and, in a her to quickly monitor cases and to manage the
civil case, the relief granted; speedy and timely disposition of the cases (Ibid.).
i. An itemized statement of the costs;
j. The date of any execution issued, and the date Stenographer
and contents of the return thereon; and
k. The date of any notice of appeal filed, and the It shall be the duty of the stenographer who has
name of the party filing the same. attended a session of a court either in the morning
or in the afternoon, to deliver to the clerk of court,
A municipal (or city) judge may keep two dockets, immediately at the close of such morning or
one for civil and one for criminal cases. He shall also afternoon session, all the notes he has taken, to be
keep all the pleadings and other papers and exhibits attached to the record of the case; and it shall
in cases pending in his court, and shall certify copies likewise be the duty of the clerk to demand that the
of his docket entries and other records proper to be stenographer comply with said duty. The clerk of
A: No, docket and other required fees must be paid If the value of the subject matter cannot be
in full (A.M. No. 00-2-01-SC) estimated – P 5,000.
PERSONS AUTHORIZED TO COLLECT LEGAL If the fees are not paid, the court may refuse to
FEES proceed with the action until they are paid and may
dismiss the action or proceedings.
Except as otherwise provided, these officers and
persons, together with their assistants and deputies, Basis of the amount of fee in filing permissive OR
may demand, receive, and take the several fees COMPULSORY counter-claim, CROSS-CLAIM,
hereinafter mentioned and allowed for any business money claim against an estate not based on
by them respectively done by virtue of their several judgment, third-party, fourth-party, etc.
offices, and no more: complaint, complaint-in-intervention in the RTC
1. Clerks of the Supreme Court, Court of Appeals, TOTAL SUM CLAIMED, inclusive of interests,
Sandiganbayan and Court of Tax Appeals penalties, surcharges, damages of whatever kind,
2. Clerks of Regional Trial Courts and attorney’s fees, litigation expenses and costs
FRIVOLOUS APPEAL
Funa, D.B. (2009) Legal and Judicial Ethics. Central Book Supply.
Ethical Consideration 8-1, 1978, Model Code of Professional Responsibility, American Bar
Association
Websites:
www.lawphil.net
www.chanrobles.com
www.sc.gov.ph