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”Yet the truth remains true that never have our
people had greater need than today for great
lawyers, and for young men and women
determined to be great lawyers.
"Great lawyers remains true that never have our
people had greater need than today for great
lawyers, and for young men and women
determined to be great lawyers.man can become
a great lawyer: for only a man who understands
the weaknesses of men because he has
conquered them in himself; who has the courage
to pursue his ideals though he knows them to be
unattainable; who tempers his conviction with
respect for those of others because he realizes
he may be mistaken; who deals honorably and
fairly with all, because to do otherwise would
diminish him as well as them - only such a man
would so command respect that he could
persuade and need never resort to force. Only
such a man could became a great lawyer.
Otherwise, “what you are speaks so loudly, I
cannot hear what you say.”
-■ Sen. Jose W. Diokno, in a letter to his eldest
son, Jose Ramon, written on October 23, 1972
while in detention
| OVERVIEW
Q: What is LEGAL ETHICS?
A: It is a branch of moral science which treats of
the duties which an attorney owes to the court,
to the client, to his colleagues in the profession
and to the public as embodied in the Constitution,
Rules of Court, the Code of Professional
Responsibility, Canons of Professional Ethics,
jurisprudence, moral laws and special
laws. (Agpalo, Ruben E., Legal and Judicial
Ethics, 2002)
Q: What is JUDICIAL ETHICS?
A: It is a branch of moral science which treats of
the right and proper conduct and behavior to be
observed by all judges and magistrates in trying
and deciding controversies brought before them
for adjudication which conduct and behavior must
be demonstrative of independence, integrity,
impartiality, equality, propriety, competence, and
diligence. (Agpalo, Ruben E., Legal and Judicial
Ethics, 2002)
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ETHICS
Q: What are the five (5) MAIN SOURCES of
Legal Ethics in the Philippines? (OCRJC)
A:
1) The Lawyer’s Oath;
2) The Code of Professional Responsibility
(“CPR” for brevity);
3) Rule 138, Sec. 20 of the Rules of Court
(“ROC” for brevity);
4) Jurisprudence of the Supreme Court; and,
5) The Canons of Professional Ethics
(mandatory only for members of the
Philippine Bar Association) (Agpalo, Ruben
E., Legal and Judicial Ethics, 2002)
l I. LEGAL ETHICS |
A. PRACTICE OF LAW
Q: What is the PRACTICE OF LAW?
A: It is any activity in or out of court which requires
the application of law, legal procedure,
knowledge, training and experience.
To engage in the practice of law is to give notice
or render any kind of service, which devise or
service requires the use in any degree of legal
knowledge or skill. (Cayetano v. Monsod, G.R.
No. 100113, 1991)
|
Q: What are some FACTORS determinative of
engaging in the practice of law? (HACA)
A:
1) HABITUALITY, which implies customarily
or habitually holding oneself out to the public
as a lawyer (People v. Villanueva, G.R. No.
L-19450, 1965)]
2) ATTORNEY-CLIENT RELATIONSHIP;
3) COMPENSATION, which implies that one
must have presented himself to be in the
active practice of law, available to the
public for compensation, as a source of his
livelihood or in consideration of his said
services; and,
4) APPLICATION of law, legal principle,
practice, or procedure, which calls for legal
knowledge, training and experience.
(Agpalo, Legal and Judicial Ethics, p. 38,
2009, citing Cayetano v. Monsod, Padilla
Dissenting opinion)
Q: Who has the POWER TO CONTROL AND
REGULATE the practice of law?
A: Under Article VIII, Sec. 5 (5) of the
Constitution, the SUPREME COURT has the
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power to promulgate rules concerning the
admission to the practice of law, the Integrated
Bar, and legal assistance to the underprivileged.
Q: Who may practice law?
A: Any person duly admitted as a member of the
bar, or admitted as such in accordance with the
provisions of Rule 138 of the Rules of Court, and
who is in good and regular standing. (Rule 138,
Sea 1, ROC)
Q: Is the practice of law a RIGHT or a
PRIVILEGE?
A: It is a PRIVILEGE granted only to those who
possess the strict intellectual and moral
qualifications required of lawyers who are
irrstrurnerrts~in— the—effective— and— efficient
administration of justice. (In Re: Argosino, 1997)
In effect, the privilege may be made subject to
conditions and may be revoked for good cause.
Q: What is a PRACTICING LAWYER?
A: S/he is a person engaged in the practice of law,
which is not limited to the conduct of cases in
court, but includes legal advice and counseling,
and the preparation of instruments and contracts
by which rights are secured. (Ulep v. Legal Clinic,
AC. No. L-553, 1993)
Q; What are the QUALIFICATIONS FOR
ADMISSION TO THE BAR under Sections 2, 5
and 6 of Rule 138 o f the ROC?
(F21 -Good-Resident-MEBO)
A:
1) Filipino citizen;
2) At least 21 years of age;
3) Of GOOD moral character; and,
4) A RESIDENT of the Philippines.
He must also show that (MEBO):
1) No charges of Moral turpitude are filed or
pending against him;
2) Possesses the required Educational
qualifications (including a 4-year pre-law
degree in an authorized or recognized
university or college).
a) Must have already earned a Bachelor's
Degree in Arts or Sciences (PRE-LAW);
b) LAW course - completed courses in Civil
Law, Commercial Law, Remedial Law,
Criminal Law, Public International Law,
Political Law, Labor and Social
Legislation, Medical Jurisprudence,
Taxation, Legal Ethics
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c) Pass the Bar examinations (Secs. 14 &
17).
d) Other qualifications as may be
■prescribed"by-the-^StipFeme-0Gurt. (In
Re: Cunanan,94 Phil. 534, 1954)
Q: What is GOOD MORAL CHARACTER?
A: It is something more than an absence of bad
character. It means that he must have conducted
himself as a man of upright character
ordinarily would, or should, or does. Such
character expresses itself, neither in negative nor
in following the line of least resistance, but quite
often, in the will to do the unpleasant thing if it is
right, and the resolve not to do the pleasant thing
if it is wrong. (In Re: Al C. Argosino B.M. No. 712,
~1WSrcitmg1S1 -------------------
Q: When does good moral character need to
exist?
A: Good moral character is a continuing
requirement. It is not only a condition precedent
for admission to the legal profession, but it must
also remain intact in order to maintain one's good
standing in that exclusive and honored fraternity.
(Tapucar v. Tapucar, AM . No. 4148, 1998)
Q: What is the PURPOSE of the requirement
of good moral character? (PPCL)
A:
1) To protect the public;
2) To protect the public image of lawyers;
3) To protect prospective clients; and,
4) To protect errant lawyers from themselves.
(Garrido v. Garrido, A.C. No. 6593, 2010)
Q: What is MORAL TURPITUDE?
A: Anything which is done contrary to justice,
honesty, modesty or good morals. (Rule 138,
Sec. 27, ROC) It also means any act of vileness,
baseness or depravity in the private and
social duties that a man owes his fellowmen or
to society, contrary to the accepted rule of right
and duty between man and man. (In re Gutierrez,
A.M. No. L-363, 1962)
Q: What ACTS have been declared by the
Supreme Court as involving moral turpitude?
A:
1) Those that involve fraud or deceit:
a) Violation of BP 22 (People v. Tuanda,
A.C. No. 3360, 1990; Re Conviction of
Imelda B. Fortus, A.M. No. P-04-1808,
2005)]
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b) Falsification of public documents (In re
Vailoces,A. C. No. 439 1982)]
c) Falsification of a court decision (Embido
v. Pe, AC. No. 6732 2013)]
d) Estafa;
e) Embezzlement;
f) Swindling;
g) Smuggling (In re Rovero, A.C. No 126,
1980)]
2) Those that are inherently contrary to rules
of right conduct, honesty, or morality in a
civilized community:
a) Abduction with consent (In re Basa,
1920)]
b) Murder (In re Gutierrez, A.C. No. L-363,
1962);
c) Bigamy (In re Lontok, 1922)]
d) Participation in fatal hazing of a
fraternity neophyte. (In re Al Argosino,
B.M. No. 712,1995)
Q: What is HAZING?
A: An initiation rite or practice as a prerequisite
for admission into membership in a fraternity,
sorority or organization by placing the recruit,
neophyte or applicant in some embarrassing or
humiliating situations such as forcing him to do
menial, silly, foolish and other similar tasks or
activities or otherwise subjecting him to physical
or psychological suffering or injury. (Sec. 1,
R.A. No. 8049 or The Anti-Hazing Law)
The Supreme Court has held that participation
in hazing falls far short of the standard of good
moral character required for admission to the Bar.
(In re Argosino, B.M. No. 712,1995; The
consolidated Lenny Villa cases: Villareal v.
People of the Philippines, People v. Court of
Appeals, Dizon v. People, Villa v. Escalona,
2012)
Q: May a Filipino citizen who graduated from
a foreign law school be admitted to the
Philippine bar examination?
A: YES. Applicant will be admitted upon
submission to the Supreme Court of certifications
showing: (CRC)
1) Completion of all courses leading to the
degree of Bachelor of Laws or its equivalent
degree;
2) Recognition or accreditation of the law
school by the proper authority; and,
3) Completion of all fourth year subjects in the
Bachelor of Laws academic program in a law
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school duly recognized by the Philippine
Government.
A Filipino citizen who completed and obtained his
or her degree in Bachelor of Laws or its
equivalent in a foreign law school must also
present proof of completion of a separate
bachelor’s degree. (Bar Matter No. 1153, March
9, 2010, Re: Letter of Atty. Estelito P. Mendoza
Proposing Reforms in the Bar Examinations
Through Amendments to Rules 138, Sec. 5 & 6
of the Rules of Court)
Q: What is an ATTORNEY AT LAW?
A: He/she is a person who belongs to a class of
persons who are licensed officers of the courts,
empowered to appear prosecute and defend
and upon whom peculiar duties,
responsibilities, and liabilities are developed
by law as a consequence. (Cui v. Cui, G.R. No.
L-18727, 1964)
Q: What is an ATTORNEY IN FACT?
A: He/she is an agent, not necessarily a lawyer,
whose authority to represent another is strictly
limited by the power of attorney appointing
him/her.
Q: What is a COUNSEL OF RECORD?
A: He/she is one who has filed a notice of
appearance and hence is formally mentioned in
court records as the official attorney of the
party. He/she is a person whom the client has
named as his/her agent upon whom service of
papers may be made. (Reynolds v. Reynolds,
Cal. 2d580)
Q: What is a COUNSEL DE OFFICIO?
A: He/she is a lawyer appointed or assigned by
the court from among members of the Bar in good
standing who, by reason of their experience and
ability (availability and willingness), may
adequately defend the accused.
Q: Are all COUNSEL DE OFFICIO considered
LAWYERS?
A: NO. In localities where members of the Bar are
not available, the court may appoint any person,
resident of the province and good repute for
probity and ability, to defend the accused. (Rule
116, Sec. 7, ROC)
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Q: What are the INSTANCES WHEN NON­
LAWYERS MAY BE AUTHORIZED TO
APPEAR In court? (LAMON-C)
A:
1) Under the Labor Code, non-lawyers may
appear before NLRC or any Labor Arbiter, if:
a) They represent themselves, or if
b) They represent their organization or
members thereof (PO 442, Art. 222 as
amended)]
2) Legal Aid Program -d Program , 222 as
amendedrs thereofore NLRC or any Labor
Arbiter, if:in court? (LAMON-C)rson, resident
of the province and good repute for probity
and ability, to defend the accused, ly defend
the accused, to thing if it is wrong, and
special laws, oshe student shall be under the
direct supervision and control of an IBP
member duly accredited by the law school
(Rule 138, Section 34, ROC)]
3) In cases before the MTC, a non-lawyer may
represent himself as a party to the litigation,
in person OR through an agent or friend
appointed by him for that purpose (Agpalo,
Legal and Judicial Ethics, p. 43, 2009; Rule
138, Sec. 34, ROC)]
4) Before any Other court, a non-lawyer may
appear as a party to the litigation or in person;
(id.)
5) Criminal case before the MTC in a locality
where a duly licensed member of the Bar is
Not available, the judge may appoint a non­
lawyer who is:
a) A resident of the province
b) Of good repute for probity and ability to
aid the accused in his defense (Rule 116,
Sec. 7, ROC).
6) A non-lawyer can represent a claimant before
the Cadastral Court (Sec. 9, Act No. 2259).
This is now the Department of Agrarian
Reform Adjudication Board.
Q: Does a person have the right to represent
himself in civil cases?
A: YES. An individual litigant has the right to
conduct his litigation personally in civil cases.
(Rule 138, Sec. 34, ROC)
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ETHICS
Q: Does a person have the right to represent
himself in criminal cases?
A: As a general rule, an accused who is a layman
must always appear by counsel. He cannot
conduct his own defense as his right to counsel
may NOT be waived without violating his right to
due process of law. (People v. Holgado, G.R. No.
L-2809, 1950)
However, in in criminal cases that do not involve
grave and less grave offenses, a person can
represent himself, although this is not advisable.
(Agpalo, Ruben E., Legal and Judicial Ethics,
2002 )
Q: What is LAW STUDENT PRACTICE?
A: A senior law student, who is enrolled in a
recognized law school grave offenses, a person
can represent himself, although this is not
advisable, (ty and ability, to defend the accused,
ly defend the accuseaccepted by the Legal
Clinic of the law school. The student shall be
under the direct supervision and control of an IBP
member duly accredited by the law school. (Rule
138-A, Sec. 1, ROC)
The law student shall comply with the standards
of professional conduct governing members of
the Bar. Failure of an attorney to provide
adequate supervision of student practice may be
a ground for disciplinary action. (Rule 138-A, Sec.
4, ROC)
Note: Rule 138-A, otherwise known as the Law
Student Practice Rule, was amended by the
Supreme Court in 2019 to allow other forms of
law student practice in addition to appearance in
court.
Q: Who may represent Government-Owned
and Controlled Corporations (GOCCs) in
court cases?
A: The Office of the Government Corporate
Counsel represents all GOCCs in court cases.
However, the Office of the Solicitor General may
be authorized by the President or the head of the
office concerned to represent GOCCs instead.
(Gumaru v. Quirino State College, G.R. No.
164196, 2007)
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Q: When may GOCCs engage the services of
a private lawyer? (EWC)
A:
A GOCC may also engage the services of a
private lawyer, provided that the following
indispensable conditions are met:
1) Private counsel can only be hired in
exceptional cases;
2) The GOCC must first secure the written
conformity and acquiescence of the Sol. Gen.
or the OGCC, as the case may be; and,
3) The written concurrence of the COA must
also be secured. (Vargas, etal. v. Ignes, AC.
No. 8096, 2010)
Q: Are there proceedings wherein lawyers are
prohibited from appearing?
A: YES. Lawyers are prohibited from appearing in
the following: (CSKC)
1) Proceedings which involve a conflict of
interest for the lawyer (Mejia v. Reyes, A.C.
No. 378, 1962)\
2) Small claims (The Rule of Procedure for
Small Claims Cases, A.M. 08-8-7-SC),
except when the lawyer himself is the plaintiff
or defendant, but under no circumstances
can he appear as a representative or
attorney-in-fact of the party;
3) In Katarungang Pambarangay proceedings;
and,
4) Lawyers who are members of Congress are
prohibited from appearing before any court of
justice, before the Electoral Tribunals, and
quasi-judicial and other administrative
bodies. (Art. VI, Section 14, 1987 Philippine
Constitution)
Q: Who are the PUBLIC OFFICIALS prohibited
from practicing law? (PRESIDENT-JOGS-
COG)
A:
1) PRESIDENT. Vice-President, members of
the cabinet, their deputies and assistants
(Art. VIII, Section 15, 1987 Philippine
Constitution)]
2) Judges and other officials as employees of
the Supreme Court (Rule 138, Sec. 35,
ROC)]
3) Officials and employees of the Office of the
Solicitor General (OSG) (Id.)]
4) Government prosecutors (People v.
Villanueva, G.R. No. L-19450, 1965)]
5) Those prohibited by Special law (Secs. 7(b)
& 11, R.A. 6713)]
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ETHICS
6) Members of the Constitutional Commission
(Art IX-A, Sec. 2, 1987 Constitution)]
7} Ombudsman and his deputies (Art. IX,
Section 8, 1987 Constitution)] and,
8) All Governors, city and municipal mayors.
(Section 90(a), Local Government Code)
Q: What are the SANCTIONS for a NON­
LAWYER engaged in the unauthorized
practice of law?
A: He/she is liable for criminal prosecution for
illegal practice of law and also indirect contempt
of court.
Q: May a government lawyer engage in private
practice?
A: YES. Government lawyers may engage in the
private practice of their profession, provided there
is a written permission from the Department
head. (Abella v. Cruzabra, A.C. No. 5688, 2009)
Q: May a lawyer who appeared as Punong
Barangay between two parties in a
conciliation proceeding later represent one of
the parties in a subsequent case Involving the
same property?
A: Under RA 7160 (the Local Government Code),
Members of the Sangguniang Pambarangay are
not expressly prohibited from practicing their
profession. However, they must first seek
permission from the Secretary of the Interior and
Local Government before appearing for a party.
(Wilfredo M. Catu v. Atty. Vicente G. Rellosa,
A.C. No. 5738, 2008)
Caveat: The Supreme Court did not rule on the
issue of conflict of interest in this case.
Q: Does the preparation of an extrajudicial
settlement of estate by a court stenographer
for another party constitute practice of law?
A: YES. The practice of law means any activity in
and out of court which requires the application of
law, legal procedure, knowledge, training and
experience. In this case, the stenographer was
held to be guilty of simple misconduct. (Arienda
v. Minilla, A.M. No. 112980, 2013)
Relevant Jurisprudence:
When a lawyer is suspended from the practice of
law, he must desist from performing all functions
requiring the application of legal knowledge within
the period of suspension. This includes desisting
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from holding a position in government requiring
the authority to practice law. Work in government
that requires the use of legal knowledge is
considered practice of law. (Victor C. Lingan v.
Attys. Romeo Calubaquib and Jimmy P. Baiiga,
A.C. No. 5277, 2014)
In any case, an unauthorized appearance of an
attorney may be ratified by the client either
expressly or impliedly. Ratification retroacts to the
date of the lawyer law. sion. This includes
desisting e guilty of simple misc(Sps. Agbuios v.
Gutierrez, G.R. No. 176530, June 16, 2009)
B. PRIVILEGES AND DUTIES AS A LAWYER
Q: What are the PRIVILEGES of a lawyer?
(PSP-AS-IF)
1) To Practice law during good behavior before
any judicial, quasi-judicial, or administrative
tribunal;
2) The first one to sit in judgment on every case,
to Set the judicial machinery in motion;
3) Enjoys the Presumption of regularity in the
discharge of his duty;
4) His statements, if relevant, pertinent or
material to the subject of judicial inquiry are
Absolutely privileged regardless of their
defamatory tenor and of the presence of
malice;
5) Second grade civil service eligibility for any
other government position which does not
prescribe proficiency in law as a qualification;
6) Immune in the performance of his obligation
to his client, from liability to a 3rd person
insofar as he does not materially depart from
his character as a quasi-judicial officer; and,
7) First grade civil service eligibility for any
position in the classified service in the
government the duties of which require the
knowledge of law.
Rule 138, Section 20
Q: What are the SPECIFIC duties of a lawyer
under Rule 138, Section 20 of ROC?
(J’s RED COAT)
1) To counsel or maintain such actions or
proceedings only as appear to him as Just,
and such defenses only as he believes to be
honestly debatable under the laws;
2) To observe and maintain the Respect due to
the courts of justice and judicial officers;
3) Not to Encourage either the commencement
or the continuance of an action or proceeding
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or delay any man’s cause, from any corrupt
motive or interest;
4) In the Defense of a person accused of a
crime, by all fair and honorable means,
regardless of his personal opinion as to the
guilt of the accused, to present every defense
that the law permits to the end that no person
may be deprived of life or liberty, but by due
process of law.;
5) To maintain inviolate the Confidence and at
every peril to himself, to preserve the secrets
in connection with his client and to accept no
compensation in connection with his client’s
business except from him or with his
knowledge and approval;
6) Never to reject for any consideration personal
to himself, the cause of the defenseless or
Oppressed;
7) To maintain Allegiance to the Republic of the
Philippines and to support the Constitution
and to obey the laws of the Philippines; and,
8) To employ, for the purpose of maintaining the
causes confided to him, such means only as
are consistent with Truth and honor, and
never seek to mislead the judge or any
judicial officer by an artifice or false statement
of fact or law.
Lawyer’s Oath
“awyer’s Oathr, and never seek to mislead the j
I will maintain allegiance to the Republic of the
Philippines;
I will support its constitution and obey the laws
as well as the legal orders of the duly constituted
authorities therein;
I will do no falsehood, nor consent to the doing of any
in court;
I will not willingly nor wittingly promote or sue
any groundless, false or unlawful suit,
or give aid nor consent to the same;
I will delay no man for money or malice,
and will conduct myself as a lawyer
according to the best o f my knowledge and discretion,
with all good fidelity as well to the court as to my
clients;
and I impose upon myself this voluntary obligation
without any mental reservation or purpose of evasion.
So help me God.
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CODE OF PROFESSIONAL RESPONSIBILITY
CANON 1: UPHOLDING THE CONSTITUTION
AND OBEYING THE LAW
DUTIES OF A LAWYER TO SOCIETY, IN
GENERAL (MUO)
1) Maintain allegiance to the Republic of the
Philippines;
2) Uphold the Constitution; and,
3) Obey the laws of the land.
SUMMARY OF RULES UNDER CANON 1
1) Not to engage in unlawful, dishonest,
immoral, or deceitful conduct (Rule 1.01,
CPR)\
2) Not to counsel or abet illegal activities (Rule
1.02, CPR)\
3) Not to, for any corrupt motive or interest,
encourage any suit or proceeding or delay
any man’s cause (Rule 1.03, CPR)] and,
4) Encourage clients to avoid, end or settle a
controversy if it will admit of a fair settlement
(Rule 1.04, CPR).
Q: What are the FOUR-FOLD DUTIES'of a
lawyer? (SPCC)
Lawyers have duties to:
1) SOCIETY - to be an exemplar for
righteousness, ready to render legal aid,
foster social reforms, guardian of due
process, aware of special role in the solution
of special problems, and be always ready to
lend assistance in the study and solution of
social problems (Canons 1-6, CPR);
2) LEGAL PROFESSION (fellow lawyers) - to
observe candor, fairness, courtesy and
truthfulness, avoid encroachment on the
business of other lawyers, and uphold the
honor of the profession. (Canons 7-9, CPR);
3) COURT - as an officer of the court, to respect
or defend against criticisms, uphold authority
and dignity, obey orders and processes, and
assist in the administration of justice (Canons
10-13, CPR)] and,
4) CLIENT, in that order - to be devoted to the
client’s interest within legal and ethical
bounds (Canons 14-22, CPR) (Cruz v. Alino-
Hormachuelos, A.M No. CA-04-38, 2004).
Q: What are the duties of a lawyer to
SOCIETY?
A: The primary duty of a lawyer to the society or
the State is to maintain allegiance to the Republic
Page 7 of 103
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of the Philippines, uphold the Constitution and
obey the laws of the land. (LawyerPhilippines,
uphold the Constitution and obey the laws of the
land, egiance to the Republic y, o
As a servant of law, a lawyer belongs to a
profession to which the society has entrusted the
administration of law and the dispensing of
justice. (Samala v. Valencia, A.C. No. 5439,
2007)
While the duty to uphold the Constitution and
obey the law is an obligation imposed on every
citizen, a lawyer assumes responsibilities well
beyond the basic requirements of good
citizenship. As a servant of the law, a lawyer
should moreover make himself an example for
others to emulate. Being a lawyer, he is supposed
to be a model in the community in so far as
respect for the law is concerned. (Lee v.
Tambango, A.C. No. 5281, 2008)
Q: May a lawyer be suspended or disbarred
for a misconduct committed in his private
affairs?
A: YES. A lawyer may be suspended or disbarred
for any misconduct, even if it pertains to his
private activities, as long as it shows him to be
wanting in moral character, honesty, probity or
good demeanor. (Manaois v. Deciembre, A.C.
No. 5364, 2008)
Additionally, a lawyer may be disciplined for
misconduct committed either in his professional
or private capacity. The test is whether his
conduct shows him to be wanting in moral
character, honesty, probity, and good demeanor,
or whether it renders him unworthy to continue as
an officer of the court. (Navarro v. Solidum Jr.,
A.C. No. 9872, 2014)
Q: Can a lawyer be sanctioned as a member
of the bar for misconduct as notary public?
A: YES. A lawyer who is commissioned as a
notary public is a public officer authorized by
statute to administer various oaths and whose
duty is to attest to the genuineness of any deed
or writing in order to render them available as
evidence of the facts stated therein. Non­
fulfillment of these duties constitutes a ground for
disciplinary action as a member of the bar.
Q: Notary Public X, who has personal
knowledge of a false statement or information
ATENEO CENTRAL
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contained in the instrument to be notarized,
proceeds to affix a notarial seal on it. Is Notary
Public X guilty of malpractice?
A: YES. Notary Public Xtrument to be notarized,
proceeds to affix a notarial seal on it. Is Notary
Public X guilty of malpractice?oceeds e duty is to
attest to the genuineness of any deed or writing
in order to render them available as evidence of
the facts sg in unlawful, dishonest, immoral or
deceitful conduct. (Heirs of Villanueva v. Beradio,
AC. No. 6270, 2007)
Q: Is it necessary for the notary public to
know the signatories to a document signed in
his/her presence?
A: YES. A notary public is duty bound to require
the person executing a document to be
personally present and to swear before him that
he is the person named in the document and is
voluntarily and freely executing the act mentioned
in the document. The notary public faithfully
discharges this duty by at least verifying the
identity of the person appearing before him based
on the identification papers presented. (Gonzales
v. Padiernos, A.C. No. 6713, 2008)
Q: Can a lawyer, who drafted and notarized
another instrument that did not state the true
consideration of the sale to reduce the taxes
due, be administratively disciplined?
A: YES. In the case of Caalim-Verzonilla v. Atty.
Pascua (A.C. No. 6655, 2011), the Court
suspended the lawyer for notarizing a second
deed of sale despite knowledge of its illegal
purpose. The Court also noted in this case that
the lawyer, acting as notary public, gave the
second deed the same document number, page
number and book number as the first deed,
reasoning that the second deed was intended to
supplant and cancel the first deed. Each
instrument or document, executed, sworn to, or
acknowledged before the notary public must be
given a number corresponding to the one in his
register. This is to ensure the accuracy and
integrity of the entries in the notarial register.
Q: What Is GROSSLY IMMORAL CONDUCT?
A: Immoral conduct involves acts that are willful,
flagrant, or shameless, and show a moral
indifference to the opinion of the upright and
respectable members of the community. Immoral
conduct is gross when it’s so corrupt as to
constitute a criminal act, or so unprincipled as to
be reprehensible to a high degree, or when
Page 8 of 103
ETHICS
committed under such scandalous or revolting
circumstances as to shock the community’s
sense of decency. (Ventura v. Samson, A.C. No.
9608)
Q: What is GROSSLY IMMORAL ACT?
A: A grossly immoral act is one that is so corrupt
and false as to constitute a criminal act or so
unprincipled or disgraceful as to be reprehensible
to a high degree. It is a willful, flagrant, or
shameless act which shows a moral indifference
to the opinion of respectable members of the
community. (Figueroa v. Barranco, G.R. No. 519)
Q: Atty. X, a PAO lawyer, visited the Antipolo
City Jail and called all detainees with pending
cases before the RTC Antipolo City. Atty. X
said that she could help them with their cases
as she could help them bribe Judge M (who
she insinuated had a soft heart for sob
stories). Was Atty. X’s act proper?
A: NO. Atty. X’s act proper? visited the Antipolo
City Jail and called all detainees with pending
cases before the RTC Antipolo City. Atty. X said
that she could help them with their cases as she
could help them bribe Judge M (who she
insinuated had a soft he means, not honorable,
fair and honest which is resorted to by the lawyer,
even in the pursuit of his devotion to his client’s
cause, is condemnable and unethical.
Atty. X is guilty of giving improper advice, but
shall only suffer the penalty of reprimand and
warning. The Court took note that Atty. X was a
member of the PAO, and there was a lack of
malice. (Areola v. Atty. Mendoza, A.C. No. 10135.
2014)
Q: Atty. X entered into a contract of marriage
with the sister of the Complainant, and then
contracted another marriage a year later. Can
Atty. X be disbarred for this?
A: YES. Atty. X exhibited a deplorable lack of that
degree of morality required of him as a member
of the Bar. Atty. X’s act of contracting a second
marriage while his first marriage is subsisting
constitutes grossly immoral conduct and calls for
disbarment under Section 27, Rule 138 of the
Revised Rules of Court. (Bunugan-Bansig v. Atty.
Celera, A.C. No. 5581, 2014)
Q: A handed to Atty. X the amount of P100k in
exchange for the latter’s postdated check,
after reassurances from the latter that he had
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a A handed to Atty. X the amount of P100k in
exchange for the latter’s postdated check,
after reassurances from the latter that he had
a second marriage while his first marriage is
sadministratively liable for this?
A: YES. The mischief created by issuing a
worthless check is not only a wrong to the payee
or holder, but also an injury to the public.
Being a lawyer, Atty. X was well aware of the
objectives and coverage of BP 22. If he did not,
he was nonetheless presumed to know them.
That Atty. X’s act involved a private dealing did
not matter. His being a lawyer invested him —
whether he was acting as such or in a non­
professional capacity — with the obligation to
exhibit good faith, fairness and candor in his
relationship with others. There is no question that
a lawyer could be disciplined not only for a
malpractice in his profession, but also for any
misconduct committed outside of his professional
capacity. Respondent was suspended for 6
months for violating the lawyer’s oath, Canon 1,
Rule 1.01, Canon 7 and Rule 7.03. (Ong v. Atty.
Delos Santos, A.C. No. 10179, March 4, 2014)
Q: Atty. X was charged with s, A.C. No. 10179,
March 4, 2014)em. That Atty. X’s act involved
a p certificate of live birth form of her son by
falsely stating that she was married to Mr. S,
the father of her son. Mr. S’s lawyer sent
letters to the Office of the Civil Registrar, NSO
and St. Luke’s Hospital to prevent the
prosecution from obtaining a certified true
copy of the birth records. Can the lawyer be
disciplined for this?
A: YES. As an officer of the court, a lawyer is part
of the machinery in the administration of
justice.icate of live birth form of her son by falsely
stating that she was marriorrect, and inexpensive
adjudication of cases and prompt satisfaction of
final judgments, but should likewise avoid any
unethical or improper practices that may impede,
obstruct, or prevent the realization of a speedy
and efficient administration of justice. In the
present case, the respondent sent letters to
prevent the prosecution from obtaining a certified
true copy of the birth certificate of Mr.S. The
preliminary conference was precisely postponed
to allow the prosecution to secure this certified
true copy. Thus, Atty. X willfully disobeyed a
lawful order of the court that was intended to
avoid any further delay of the proceedings in the
criminal case. Atty. X was suspended in this case.
Page 9 of 103
ETHICS
(De los Santos v. Atty. Barbosa, A.C. No. 6681,
2015)
Q: Attorney X, in his pleadings, repeatedly
referred to a “medical report” showing that
the employee’s condition was not due to work
related reasons existed. The court took great
pains to find such report, but found that none
exists. Can the lawyer be disciplined for this?
A: YES. This is in violation of Rule 1.01 of the
Code of Professional Responsibility. The Court
scolded the lawyers for repeatedly referring to a
medical report that did not exist and warned that
another transgression would warrant the initiation
of disbarment proceedings. Lawyers should not
transcend the bounds of propriety and commit a
travesty before the Court by willfully, intentionally
and deliberately resorting to falsehood and
deception in handling their client’s case in to
misguide, obstruct and impede the proper
administration of justice. The lawyers were
sternly warned for their unethical conduct.
(Magsaysay Maritime Corporation v. Virgilio
Mazaredo, G.R. No. 201359, September 23,
2015)
Q: Atty. C, as counsel of Mr. B, filed five
manifestations addressed to the COC
insisting that the judgement in favor of his
client be executed. Notably, he did not serve
copies of the manifestations to the other
party. As a result, the COC issued the writ of
execution. However, Mr. A only found out
about the manifestations when the sheriff
attempted to serve the writ on him. Is Atty C.
liable for violating Canon 1?
A: Yes. Atty. C should be held administratively
liable for his violations of the CPR. Canon 1 of the
CPR mandates lawyers to uphold the
Constitution and promote respect for the legal
processes. In this case, Atty. C improperly filed
five motions as “manifestations” to sidestep the
requirement of notice and hearing for motions. In
effect, he violated his professional obligations to
respect and observe procedural rules, not to
misuse the rules to cause injustice, and to exhibit
fairness towards his professional colleagues.
(Festin vs. Zubiri, A.C. No. 11600)
Q: Can a lawyer compromise a case without
the clientle for his
A: As a general rule, no. A lawyer needs special
authority from the client to enter into a
compromise. (De Ysasi v. NLRC, G.R. NO.
104599, 1994)
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Q: When may a lawyer bind his client without
special power of attorney?
A: A lawyer can bind his client without special
power from the latter only in matters of procedure.
The lawyer, may, therefore, be disciplined for
compromising, settling, dismissing, waiving or
disposing of his client’s cause, property, interest
without prior subsequent authority from the client
because any of such steps does not involve
matters of procedure.
CANON 2: MAKING LEGAL SERVICES
AVAILABLE
SUMMARY OF RULES UNDER CANON 2
1) Not to reject the cause of the defenseless
(Rule 2.01, CPR)\
2) Not to refuse to render legal advice (Rule
2.02, CPR)]
3) Not to solicit legal business (Rule 2.03, CPR);
and,
4) Not to charge lower rates to attract business
(Rule 2.04, CPR).
Q: What are the primary CHARACTERISTICS
which distinguish the legal profession from a
business? (FOSR)
A:
1) A relation to clients in the highest degree of
Fiduciary;
2) A relation as an eOfficer of the Courtts in the
highest degree of inguish the legal profession
from a business? (FOSR)e lawyer, m
3) Duty of Service, of which the emolument is a
by-product, and in which one may attain the
highest eminence without making such
money; and,
4) A Relation to colleagues at the bar
characterized by candor, fairness and
unwillingness to resort to current business
methods of advertising and encroachment on
their practice or dealing with their clients.
(Agpalo, Legal and Judicial Ethics, p. 13,
2009)
Q: Can a lawyer solicit cases for gain?
A: NO. Rule 138, Sec. 27 of the Rules of Court
expressly states that the practice of soliciting
cases at law for the purpose of gain, either
personally or through paid agents or brokers,
constitutes malpractice. This is sufficient to
warrant the lawyert priorimand, suspension from
the practice of law, or even removal from office.
Page 10 of 103
ETHICS
Also, a lawyer should not do or permit to be done
any act designed primarily to solicit legal
business. (Rule 2.03, CPR)
Q: Name two (2) FORMS OF SOLICITATION
that are deemed unethical.
1) Ambulance chasing; and,
2) Barratry
Q: What is AMBULANCE CHASING?
A: It is the solicitation of almost any kind of legal
business by an attorney, personally or through an
agent, in order to gain employment. (Linsangan
v. Tolentino, A.C. No. 6672, 2009)
It is an act of chasing victims of accidents for the
purpose of talking to the said victims (or relatives)
and offering his legal services for the filing of a
case against the person(s) who caused the
accident(s). This term however has evolved to
include all acts of barratry and not only limited to
scenarios where there is an accident.
Q: What is BARRATRY?
A: It is an offense of frequently exciting and
stirring up quarrels and suits, either at law or
otherwise. (4 Bla. Com. 134; Co. Lift. 368) It is a
Iawyer4; Co. Litt. 368)xciting and stirring up
quarrels and suits, either at law or otherwise, s)
CANON 3: USE OF TRUE AND FAIR
INFORMATION IN MAKING LEGAL
SERVICES AVAILABLE
SUMMARY OF RULES UNDER CANON 3
1) Not to use false statement regarding his
qualification of service (Rule 3.01, CPR);
2) Not to use false or misleading firm names
(Rule 3.02, CPR);
3) Partner who accepts public office should
withdraw from the firm; exception (Rule 3.03,
CPR)] and,
4) Not to seek media publicity (Rule 3.04, CPR).
Q: Are lawyers absolutely prohibited from
advertising their services?
A: No, not all types of advertising or solicitation
are prohibited. The canons of the profession
enumerate exceptions to the rule against
advertising or solicitation and define the extent to
which they may be undertaken. The exceptions
are of two broad categories, namely, those which
are expressly allowed and those which are
ATENEO CENTRAL
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necessarily implied from the restrictions. (Ulep v.
Legal Clinic, Inc., B.M. No. 553, 1993)
Q: What is the most worthy and effective
advertisement possible of a lawyerons of the
P as the internet and social media.
A: It is the establishment of a well-merited
reputation for professional capacity and fidelity to
trust. (Ulep v. Legal Clinic, Inc., B.M. No. 553,
1993)
Q: What acts are considered INDIRECT
advertisements for professional
employment?
A:
1) Furnishing or inspiring newspaper
comments;
2) Procuring one’s photograph to be published
in connection with causes in which the lawyer
has been engaged or concerning the manner
of their conduct, the magnitude of the interest
involved, the importance of the lawyer's
position; and,
3) All other self-laudation.
Q: Is the prohibition on advertisements
absolute?
A: NO. The following are considered permissible
advertisements: (Yellow Legal RACE)
1) Yellow pages/telephone directories
containing the firm name, addresses and
contact numbers;
2) Advertisements or announcement in any
Legal publication, including books, journals,
and legal magazines;
3) Reputable law lists, in a manner consistent
with the standards of conduct imposed by the
canons, of brief biographical and informative
data, are allowed (Ulep v. Legal Clinic, Inc.,
B.M. No. 553, 1993)]
4) A simple Announcement of the opening of a
law firm or of changes in the partnership,
associates, firm name or office address,
being for the convenience of the profession,
is not objectionable (Id.)]
5) Ordinary simple professional Card. It may
contain only a statement of his name, the
name of the law firm which he is connected
with, address, telephone number and the
special branch of law practiced (Id.)] and,
6) Advertisements or simple announcement of
the Existence of a lawyer or his law firm
posted anywhere it is proper such as his
Page 11 of 103
ETHICS
place of business or residence except
courtrooms and government buildings.
Note: The rules have not yet been updated to
address new forms of media and technology such
Q: The door to Atty. Xot yet been updated to
address new forms of media and technology
such as the internet and social media.ber an
A: NO, it is unethical. Such sign gives an idea of
competition among notary public lawyers.
Q: Can a law firm still use the name of a
deceased partner?
A: YES. The continued use of the name of a
deceased partner is permissible provided that the
firm indicates in all its communication that said
partner is deceased. (Rule 3.02, CPR)
Q: Can a law firm still use the name of a
partner who accepts public office?
A: As a general rule, when a partner accepts
public office, he shall withdraw from the firm and
his name shall be dropped from the firm name
unless the law allows him to practice law
concurrently. (Rule 3.03, CPR)
Q: What are the two (2) prohibitions
applicable to PUBLIC OFFICIALS in relation to
the practice of law?
A:
1) Absolute prohibition; and,
2) Qualified prohibition.
Q: To which public officials does the
ABSOLUTE PROHIBITION apply?
(PRESIDENT-JOGS-COG)
1) PRESIDENT. Vice-President, members of
the cabinet, their deputies and assistants
(Art. VIII, Section 15, 1987 Philippine
Constitution)]
2) Judges and other officials as employees of
the Supreme Court (Rule 138, Sec. 35,
ROC)]
3) Officials and employees of the OSG (Id.)]
4) Government prosecutors (People v.
Villanueva, G.R. No. L-19450, 1965)]
5) Those prohibited by Special law (Secs. 7(b)
& 11, R.A. 6713)]
6) Members of the Constitutional Commission
(Art IX-A, Sec. 2, 1987 Constitution)]
7) Ombudsman and his deputies (Art. IX,
Section 8, 1987 Constitution)] and,
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8) All Governors, city and municipal mayors
(Section 90(a), Local Government Code).
Q: To which public officials does the
QUALIFIED PROHIBITION apply? (MS)
A:
1) Members of the Legislature
2) Sanggunian Members
Q: What are the instances when the qualified
prohibition applies to SANGGUNIAN
MEMBERS? (C2 FU)
A:
1) They appear as counsel before any court in
any Civil case wherein a local government
unit or any office, agency or instrumentality of
the government is the adverse party;
2) They appear as counsel in any Criminal case
wherein an officer or employee of the national
or local government is accused of an offense
committed in relation to his office;
3) They collect any Fee for their appearance in
administrative proceedings involving the local
government unit of which he is an official;
and,
4) They Use property and personnel of the
Government except when the sanggunian
member concerned is defending the interest
of the government.
Q: When does the qualified prohibition apply
to MEMBERS OF THE LEGISLATURE?
A: It applies when Members of the Legislature
appear as counsel before any court of justice, or
before Electoral tribunals, or quasi-judicial and
other administrative bodies (Article VI, Section
14, 1987 Philippine Constitution). This includes
filing of pleadings on behalf of a client or his name
to appear in such pleadings by itself or part of the
firm name.
Q: Senator E is a name partner in a law firm,
can the law firm still use his name?
A: YES, but he cannot appear before any court of
justice, or before the electoral tribunals, or quasi-
judicial and other administrative bodies. (Art. VI,
Sec. 14, 1987 Constitution)
Q: Four (4) lawyers formed a law firm which
was named “St. Thomas More Law
Advocates.” Supposing the 4 are able to have
the said name registered as a service name
with the relevant local government where
their office will be located, can they go ahead
Page 12 of 103
ETHICS
with the said name? Will your answer be the
same if they append their surnames to the
said name?
A: NO to both questions. Under Rule 3.02, CPR,
no false, misleading, or assumed name shall be
used. Further, under Rule 3.01, no misleading,
deceptive, undignified, or self-laudatory
statement or claim regarding one’s qualifications
or legal services is allowed. The moniker gives
the law firm an unwarranted religious or spiritual
tone, which can mislead clients or the public. It
can also denote a form of ethical superiority
smacking of self-laudation.
CANONS 4 AND 5:
PARTICIPATING IN LEGAL DEVELOPMENT
BY INITIATING OR SUPPORTING LAW
REFORM AND THE ADMINISTRATION OF
JUSTICE (Canon 4)
AND BY PARTICIPATING IN LEGAL
EDUCATION (Canon 5)
Q: What does CANON 5 mean?
A: Implicit in a lawyer’s mandate to protect a
client’s interest to the best of his/her ability and
with utmost diligence is the duty to keep abreast
of the law and legal developments, and
participate in continuing legal education
programs. Thus, in championing the interest of
clients and defending cases, a lawyer must not
only be guided by the strict standards imposed by
the lawyer’s oath, but should likewise espouse
legally sound arguments for clients, lest the
latter’s cause be dismissed on a technical
ground. Ignorance encompasses both
substantive and procedural laws. (Williams v.
Enriquez, AC No. 6352, 2006)
Q: Based on Canon 5, what are the three-fold
obligations of a lawyer?
A:
1) SELF - to continue improving his knowledge
of the laws;
2) PROFESSION - to take an active interest in
the maintenance of high standards of legal
education; and,
3) PUBLIC - to make the law a part of their
social consciousness.
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CANON 6: APPLICABILITY OF CODE TO
GOVERNMENT LAWYERS
SUMMARY OF RULES UNDER CANON 6
1) Duty of prosecutor to see that justice is done
(Rule 6.01, CPR)]
2) Not to use public position to promote private
interest (Rule 6.02, CPR)] and,
3) Former official may not accept certain
employment (Rule 6.03, CPR).
Q: Who are PUBLIC OFFICIALS?
A: Public officials include elective and appointive
officials and employees, permanent or
temporary, whether in the career or non-career
service, including military and police personnel,
whether or not they receive compensation,
regardless of amount. (Sec. 3 (b), RA 6713)
Q: What are the RESTRICTIONS against using
public office to promote private interest?
A: Public officials and employees during their
incumbency shall NOT: (MACO PPRC)
1) Manage, Accept, Control, or Own
employment as officer, employee, consultant,
counsel, broker, agent, trustee or nominee in
any private enterprise regulated, supervised
or licensed by their office unless expressly
allowed by law;
2) Engage in the Private Practice of their
profession, unless authorized by the
constitution or law, provided that such
practice will not conflict or tend to conflict with
their official functions;
3) Recommend any person to any position in a
private enterprise which has a regular or
pending official transaction with their office;
and,
4) Use or divulge Confidential or classified
information officially known to them by
reason of their office and not available to the
public.
Q: What are the NORMS OF CONDUCT OF
PUBLIC OFFICIALS according to Section 4 of
R.A. No. 6713 otherwise known as the Code of
Conduct and Ethical Standards for Public
Officials and Employees?
A: The following norms of conduct are expected
from government counsels as public officials in
the conduct and execution of their duties:
1) Commitment to public interest;
2) Professionalism;
3) Justness and sincerity;
Page 13 of 103
ETHICS
4) Political neutrality;
5) Responsiveness to the public;
6) Nationalism and patriotism;
7) Commitment to democracy; and,
8) Simple living.
Q: What is the primary duty of a lawyer
engaged in PUBLIC PROSECUTION?
A: The primary duty of a lawyer engaged in public
prosecution is not to convict but to see that justice
is done. A lawyer should recommend the acquittal
of the accused whose conviction is on appeal, if
he finds no legal basis to sustain the conviction.
Q: Can the OSG represent a public official at
any stage of a criminal case?
A: NO. The OSG represent a public official at any
stage of a criminal case?vict but to see that
justice is done. A lawyer should recommend the
acquittal of the accused whose convictions. (OSG
v. CA, G.R. No. 199027, 2014)
NOTE: the OSG cannot also represent a public
official in any civil case as any pecuniary liability
he may be held to account for in a civil suit is for
his own account. The State is not liable for the
same and therefore the OSG has no authority to
represent him in a civil suit for damages (Urbano
v. Chavez, G.R. No. 87977, 1990)
Q: How should lawyers in government service
conduct themselves?
A: Lawyers in government service should not use
their public position to promote or advance their
private interest, nor allow the latter to interfere
with their public duties. (Rule 6.02, CPR)
Q: What acts constitute PROMOTION OF
PRIVATE INTEREST?
A: Promotion of private interest includes soliciting
gifts or anything of monetary value in any
transaction requiring the approval of one’s office
or which may be affected by the functions of one’s
office. (Huyssen v. Gutierrez, A.C. No. 6707,
2006)
Q: What does Rule 6.03 entail?
A: Lawyers in the government service are
prohibited to engage in the private practice of
their profession unless authorized by the
constitution or law, provided that such practice
will not conflict or tend to conflict with their
official functions.
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Q: What is the prohibition on lawyers after
leaving the government service?
A: Lawyers shall not, after leaving government
service, accept engagements or employment in
connection with any matter in which they had
intervened while in said service. (Rule 6.03)
Section 7 (b) of RA 6713 prohibits any former
public official or employee for a period of one (1)
year after retirement or separation from office to
practice his/her profession in connection with any
other matter before the office he/she used to be
with.
Q: The phrase “any other matter before the
office he/she used to be with” in Rule 6.03 was
a contentious issue in the case of PCCG v.
Sandiganbayan. How did the SC clarify the
matter?
A: The SC defined the terms “MATTER” and
“ INTERVENE” as follows:
1) Matter,” as defined by Formal Opinion 342
of the American Bar Association, is the
discrete, isolatable act as well as identifiable
transaction or conduct involving a particular
situation and specific party, and not merely
an act of drafting, enforcing or interpreting
government or agency procedures,
regulations or laws, or briefing abstract
principles of law; and,
2) intervene” must be a substantial (not merely
innocuous or insignificant) intervention that
must affect the interests of parties. (PCCG v.
Sandiganbayan, G.R. Nos. 151809-12, 2005)
CHAPTER II
THE LAWYER AND THE LEGAL
PROFESSION
CANON 7: UPHOLD THE DIGNITY AND
INTEGRITY OF THE PROFESSION
SUMMARY OF RULES UNDER CANON 7
1) Not to make/use false statement in
application to the Bar (Rule 7.01, CPR)]
2) Not to support unqualified applicant to the
Bar (Rule 7.02, CPR)] and,
3) Always conduct self ethically and morally
(Rule 7.03, CPR).
Q: A lawyer declared in his application for
Admission to the Bar Examinations that he
was "single," when in fact he was secretly
Page 14 of 103
ETHICS
married. Did he violate the Code of
Professional Responsibility?
A: YES. It was a gross misrepresentation of a
material fact made in utter bad faith. That false
statement, if it had been known, would have
disqualified him outright from taking the Bar
Examinations as it indubitably exhibits lack of
good moral character. (Leda v. Tabang, A.C. No.
2505, 1992)
Q: A lawyer did not disclose in his Petition to
take the Bar Examinations that he had three
(3) pending criminal cases in the MTC. Did he
violate the Code of Professional
Responsibility?
A: YES. The act of concealment constitutes
dishonesty. It has been held that good moral
character is what a person really is, as
distinguished from good reputation or from the
opinion generally entertained of him, the estimate
in which he is held by the public in the place
where he is known. Good moral character
includes at least common honesty. (In the matter
of the Disqualification of Bar Examinee Haron S.
Meling, B.M. No. 1154, 2004)
Q: Atty. A filed multiple complaints against
Spouses B and C, who were complainants in
an administrative case filed against Atty. A.
Was Atty. A's act in keeping with the dignity
of the legal profession?
A: NO. Atty. A’s act of filing multiple cases against
the complainants evinces vindictiveness, a
decidedly undesirable trait whether in a lawyer or
another individual. (Sabumido v. Madrono, A.C.
No. 4497, 2001)
Q: Does the CPR distinguish between a
lawyer's professional and personal life?
A: No. A lawyer must at all times, whether in
public or private life, act in a manner beyond
reproach, especially when dealing with fellow
lawyers. (Noble HI v. Ailes, A.C. No. 10628, 2015;
Rule 7.03)
Q: A lawyer abandoned his family and lived
with another woman. Did he violate the Code?
A: YES. The lawyer breached the high and
exacting moral standards set for members of the
law profession. A lawyer may be disbarred for any
misconduct, whether in his professional or private
capacity, which shows him to be wanting in
moral character, in honesty, probity and good
demeanor or unworthy to continue as an officer
ATENEO CENTRAL
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of the court. (Narag v. Narag, AC. No. 3405,
1998)
Canon 7 of the CPR demands that all lawyers
should uphold at all times the dignity and integrity
of the Legal Profession. Rule 7.03 of the CPR
states that "a lawyer shall not engage in conduct
that adversely reflects on his fitness to practice
law, nor shall he whether in public or private life,
behave in a scandalous manner to the discredit
of the legal profession." Gross immorality,
conviction of a crime involving moral turpitude, or
fraudulent transactions can justify a lawyer’s
disbarment or suspension from the practice of
law. (Embido v. Pe, A.M. No. 6732, 2013)
Q: May a lawyer be disbarred/penalized for
acts done not in a professional capacity?
A: YES. A lawyer may be disciplined for
misconduct committed either in his professional
or private capacity. The test is whether his
conduct shows him to be wanting in moral
character, honesty, probity, and good demeanor,
or whether it renders him unworthy to continue as
an officer of the court. (Navarro v. Solidum Jr.,
A.C. No. 9872, 2014)
Q: What is the Integrated Bar of the
Philippines (IBP)?
A: The IBP is the national organization of lawyers.
It was created on January 16, 1973 under Rule
139-A, Rules of Court, and constituted on May 4,
1973 into a body corporate by P.D. No. 181.
Q: What are the three (3) FUNDAMENTAL
PURPOSES of the Integrated Bar?
A:
1) To raise the standards of the legal
profession;
2) To improve the administration of justice; and,
3) To enable the Bar to discharge its public
responsibilities more efficiently. (Rule 139-A,
Sec. 2, ROC)
Q: What is meant by ROC)harge its public res
A: Integration of the Bar means the official
unification of the entire lawyer population. (IN
THE MATTER OF THE INTEGRATION OF THE
BAR OF THE PHILIPPINES, 00, 1973)
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Q: What is the ROTATION RULE/ELECTION
MECHANISM of the IBP?
A: The Rotation Rule is the manner by which the
Executive Vice President of the IBP. The
Executive Vice President shall be elected, by the
vote of at least five (5) Governors. The Executive
Vice President then succeeds the President upon
the end of every Rotation. The Governor of the
Region becomes a member of the Board of
Governors, and gets to elect, or be elected, as the
next IBP Executive Vice President which
automatically becomes President for the next
term.
To illustrate:
1) IBP is comprised of 9 regions: R1, R2, R3,
R4, R5, R6, R7, R8, and R9. Every two
years, an EVP must be elected from the
pool IBP governors from the 9 regions.
2) If R1 produces an EVP, in the next
elections, the EVP can only be elected from
any of the governors of R2-R9.
3) Once each of the nine IBP regions have
already produced an EVP, the Rotation is
complete. (Magsino v. Vinluan, A.M. No.
0952).
Q: What are the DUTIES of a MEMBER of the
Bar?
A: Every member of the Integrated Bar shall pay
such annual dues as the Board of Governors
shall determine with the approval of the Supreme
Court, on or before the last day (June 30) of the
immediately preceding fiscal year. A fixed sum
equivalent to ten percent (10%) of the collection
from each Chapter shall be set aside as a Welfare
Fund for disabled members of the Chapter and
the compulsory heirs of deceased members
thereof. (Rule 139-A, Sec. 9, ROC)
Q: What is the effect of NON-PAYMENT of
IBP dues?
A: Without paying IBP dues, a lawyer cannot
engage in practice of law, no matter how limited
his practice. Membership in the Integrated Bar of
the Philippines is a condition precedent for the
practice of law and for maintaining his name in
the Roll of Attorneys.
Also, the lawyerg IBP dues, a lawyer cannot
engage in practice of law, no matter how limited
his practice. Membership in (Letter of Atty.
Arevalo Requesting Exemption from Payment of
IBP Dues, B.M. No.1370, 2005)
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Subject to the pertinent grievance procedures,
default in the payment of annual dues for six
months shall warrant suspension of membership
in the Integrated Bar, and default in such payment
for one year shall be a ground for the removal of
the name of the delinquent member from the Roll
of Attorneys. (Rule 139-A, Sec. 10, ROC)
Q: During a conference in the case filed by his
wife to annul their marriage, Atty. C choked
his daughter and engaged his son in a fist-
fight while inside the judge’s chambers. Atty.
C’s children then filed a disbarment case
against him. During one of the hearings
conducted by the Commission on Bar
Discipline, Atty. C stated that X, one of the
complainants, was not his biological son. Did
Atty. C violate the Code of Professional
Responsibility?
A: YES. Atty. C engaged in conduct that
"adversely reflects on his fitness to practice law,
and behaved in a scandalous manner that
discredits the legal profession when he engaged
his own children in a brawl inside the judge’s
chambers. Misbehavior within or around the
vicinity of the courtroom diminishes its sanctity
and dignity. Even if his children are not entirely
faultless, a higher level of decorum and restraint
is expected from Atty. C, whose conduct failed to
show due respect for the court and lend credit to
the nobility of the practitioners of the legal
profession.
Atty. C's statement that he doubts X to be his
biological son is an ascription of illegitimacy to X.
This is tantamount to defamation, having been
made in a proceeding not instituted for that
specific purpose. (Campos v. Campos, A.C. No.
8644, 2014)
CANON 8: RELATIONSHIP WITH OTHER
LAWYERS - CHARACTERIZED BY
COURTESY, CANDOR, AND FAIRNESS
SUMMARY OF RULES UNDER CANON 8
1) Use temperate language (Rule 8.01, CPR)\
and,
2) Not encroach upon the business of another
(Rule 8.02, CPR).
Q: What does Rule 8.01 entail?
A: Lawyers should treat their opposing counsel
and other lawyers with courtesy, dignity and
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civility. A great part of their comfort as well as of
their success at the bar depends upon their
relations with their professional brethren. Since
they deal constantly with each other, they must
treat each other with trust and respect. Any
undue feelings between clients should not
influence counsels in their conduct and demeanor
towards each other (Reyes v. Chiong, A.C. No.
5148,2003)
Q: What are PROHIBITED ACTS under this
rule?
A: A lawyer cannot use in pleadings and in
practice, disrespectful, abusive and abrasive
language, offensive personalities, unfounded
accusations or intemperate words tending to
obstruct, embarrass or influence the court in
administering justice. Their employment serves
no purpose and, on the contrary, constitutes
direct contempt or contempt in facie curiae.
(Surigao Mineral Reservation Board v. Cloribel,
G.R. No. L-27072, 1970)
Q: Is lack of intention excusable?
A: NO. Lack or want of intention is no excuse for
the employment of disrespectful language.
Counsel cannot escape responsibility by claiming
that his words did not mean what any reader must
have understood them as meaning. (Rheem of
the Philippines v. Ferrer, G.R. No. L-22979, 1967)
Q: What is the RULE ON DEFAMING
FELLOW LAWYERS?
A: Generally, it is unethical for a lawyer to use
improper and objectionable language against
another lawyer or to cause him wantonly and
maliciously of a serious misconduct in the
absence of a reasonable cause.
However, strongly worded statements by a
lawyer against opposing counsel, if justified by
the records, may not justify disciplinary action
against him. (Prosecutor Bacatan v. Atty. Merari
Daduia, A.C. 10565, 2016)
Q: What kinds of actions have been held to
constitute encroachment on another lawyer’s
employment?
1) When defendant’s lawyer compelled some of
the complainants to execute affidavits of
desistance without the knowledge and
agreement of their counsel (Binay-an v.
Addog, A.C. No. 10449, 2014)
2 ) When a lawyer directly communicated with
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the adverse party and proceeded to negotiate
with him, without the knowledge and consent
of opposing counsel (Camacho v.
Pangulayan, A.C. No. 4807, 2000)
CANON 9: PREVENTING UNAUTHORIZED
PRACTICE OF LAW
SUMMARY OF RULES UNDER CANON 9
1) Not to delegate legal work to non-lawyers
(Rule 9 01, CPR)] and,
2) Not to divide fees with non-lawyers (Rule
9.02, CPR).
Q: What is the effect of cooperating in illegal
practice of law?
A: A layman or a disbarred or suspended lawyer
may not practice law without being held liable for
contempt of court. Canon 9 of the Code of
Professional Responsibility expressly provides
that a lawyer shall not directly or indirectly assist
in the unauthorized practice of law.
Q: Who are NOT allowed to be a partner or
associate of a law firm?
A: One who:
1) Is not a lawyer;
2) Is disbarred;
3) Has been suspended from the practice of
law; and,
4) Foreign lawyer, unless licensed by the SC.
Q: Can a lawyer delegate his authority?
A: NO. A lawyer cannot delegate his authority
without client firm?t being held liable for contempt
Q: M passed the bar examinations in 1979. He
took the Attorney’s Oath thereafter, and was
scheduled to sign the Roll of Attorneys but
failed to do so because he misplaced the
Notice to Sign the Roll of Attorneys. Several
years later, he found such notice and realized
he never signed the Roll. Is he guilty of
unauthorized practice of law?
A: YES. While an honest mistake of fact could be
used to excuse a person from legal
consequences of his acts, a mistake of law
cannot be utilized as a lawful justification,
because everyone is presumed to know the law
and its consequences. Knowingly engaging in
unauthorized practice of law transgresses Canon
9 of the CPR. (In Re: Petition to Sign in the Roll
of Attorneys, B.M. No. 2540, 2013)
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Q: Atty. B filed a pleading which he knew was
signed by his non-lawyer secretary. Did Atty.
B violate the Code of Professional
Responsibility?
A: YES. Atty. B violated Canon 9, which prohibits
lawyers from assisting in the unauthorized
practice of law, by allowing a non-lawyer to affix
his signature to a pleading. The preparation and
signing of a pleading constitute legal work
involving the practice of law, which is reserved
exclusively for members of the legal profession.
Atty. B's authority and duty to sign a pleading are
personal to him. Although he may delegate the
signing of a pleading to another lawyer, he may
not delegate it to a non-lawyer. (Tapay v.
Bancolo, A.C. No. 9604, 2013)
CHAPTER III
THE LAWYER AND THE COURTS
CANON 10: RELATIONSHIP WITH THE
COURTS - CHARACTERIZED BY CANDOR,
FAIRNESS, AND GOOD FAITH TO THE
COURTS
SUMMARY OF RULES UNDER CANON 10
1) Not to do any falsehood (Rule 10.01, CPR)]
2) Not to misquote or misrepresent (Rule 10.02,
CPR)] and,
3) Not to misuse rules of procedure (Rule 10.02,
CPR).
Q: What are the EFFECTS when an attorney
commits BREACH OF DUTIES TO THE
COURT?
A: An attorney is an officer of the court whose
obligations to the court are more significant and
important than his obligations to his clients. He
may be admonished, censured, fined, suspended
or disbarred for breach of his duties to the court
that affects his professional integrity, his
obligations as a lawyer or his fitness as an officer
of the court.
Q: What is the EXTENT of a lawyer’s duty
under Rule 10.01?
A: A lawyer, as an officer of the court, has a duty
to be truthful in all his dealings. However, this
duty does not require that the lawyer advance
matters of defense on behalf of his or her client’s
opponent. A lawyer is his or her client’s
advocate; while duty-bound to utter no falsehood,
a lawyer is not obliged to build the case for his or
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her client’s opponent. (Fernandez v. De-Ramos-
Villalon, A.C. No. 7084, 2009)
A lawyer can be held liable for violating legal
ethics on account of misrepresentation of facts
and law. The disregard, misuse and
misrepresentation of constitutional provisions
constitute serious misconduct that reflects on a
lawyer’s fitness for continued membership in the
Philippine Bar. (Re: Subpoena Duces Tecum
dated January 11, 2010 of Acting Director Aleu A.
Amante, PIAB-C Office of the Ombudsman, AM.
No. 10-1-13-SC, 2010)
Q: A lawyer untruthfully stated in open court
that complainant had agreed to withdraw his
lawsuit. Did he violate the Code?
A: YES. A lawyer shall not do any falsehood, nor
consent to the doing of any in court; nor shall he
mislead or allow the court to be misled by any
artifice (Rule10.01). The lawyer’s act infringed on
every lawyer’s duty to “never seek to mislead the
judge or any judicial officer by an artifice or false
statement of fact or law.” (Maligaya v. Doronila,
A.C. No. 6198, 2006)
Q: A lawyer filed an unfounded complaint for
reformation of instrument to obtain financial
gain. Did he violate the Code?
A: YES. A lawyer shall observe the rules of
procedure and shall not misuse them to defeat
the ends of justice. (Donato v. Asuncion Sr., A.C.
No. 4914, 2004)
Q: A lawyer allowed other persons to use a
car secured by a writ of attachment The car
was subsequently destroyed. Can the lawyer
be held liable?
A: YES. A lawyer is first and foremost an officer
of the court. As such, he is expected to respect
the court’s order and processes. (Salomon Jr. v.
Frial, A.C. No. 7820, 2008)
Q: What is the EFFECT OF OBSTRUCTING
JUSTICE AND ABUSE OF LEGAL PROCESS
by lawyers?
A: Any act on the part of a lawyer that obstructs,
perverts or impedes the administration of justice
constitutes misconduct and justifies disciplinary
action against him. (Cantorne v. Ducasin, 57 Phil.
23, 1932) Ordinarily, obstruction in the
administration of justice constitutes contempt of
court, and citing the offender for contempt and
punishing him for such misbehavior may be
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ETHICS
sufficient to accomplish the end desired.
However, misbehavior may be of such character
as to affect the offender’s qualifications as a
lawyer for the practice of his profession. In such
a case, he may be disciplined as an attorney for
such misconduct.
Q: What is the EFFECT OF PROFFERING
FALSE CHARGES?
A: A lawyer may be suspended or disbarred for
knowingly presenting or introducing false
evidence in any proceeding as his act is a
violation of his oath to do no falsehood nor
consent to the doing of any in court. (Rule 10.01)
To warrant disciplinary action against a lawyer for
proffering or prosecuting false charges or
complaints, it must be shown that the charges are
false and the lawyer knows them to be so, in spite
of which he nevertheless filed them. In short, the
lawyer must have been moved by malice or bad
faith. However, if the charges are not entirely
false and have been filed to protect the lawyer’s
interest and that of his client, such action, on the
part of the lawyer does not warrant disciplinary
sanction.
CANON 11: OBSERVING AND MAINTAINING
RESPECT DUE THE COURTS AND JUDICIAL
OFFICERS
SUMMARY OF RULES UNDER CANON 11
1) To appear in proper attire (Rule 11.01, CPR)]
2) To be punctual (Rule 11.02, CPR)]
3) To abstain from offensive language (Rule
11.03, CPR);
4) To not attribute to a judge improper motives
(Rule 11.04, CPR)] and,
5) To submit grievances to proper authorities
(Rule 11.05, CPR).
Q: Atty. X acquired reliable information that
anomalies are perpetrated by judicial officers.
Is Atty. X required to report them?
A: YES. As part of the machinery for the
administration of justice, a lawyer is expected to
bring to the fore irregular and questionable
practices of those sitting in court which tend to
corrode the judicial machinery. An omission or
even a delay in reporting may tend to erode the
dignity of and the public’s trust in, the judicial
system. (Fudot v. Cattleya Land, G.R. No.
171008, 2008)
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Q: Where should grievances against judges
be filed?
A: Article VIII, Section 6 of the 1987 Constitution
exclusively vests in the Supreme Court
administrative supervision over all courts and
court personnel, from the Presiding Justice of the
Court of Appeals down to the lowest municipal
trial court clerk. By virtue of this power, it is only
the Supreme Court that can oversee the judges'
and court personnel's compliance with all laws,
and take the proper administrative action against
them if they commit any violation thereof. No
other branch of government may intrude into this
power, without running afoul of the doctrine of
separation of powers. (Maceda vs. Vasquez,
G.R. No. 102781, 1993)
Q: Atty. X submitted a pleading containing
derogatory, offensive and malicious
statements in the same court or judge in
which the proceedings are pending. Can Atty.
X be held in contempt?
A: YES. If a pleading which contains derogatory,
offensive and malicious statements is submitted
in the same court or judge in which the
proceedings are pending, it is direct contempt,
equivalent as it is to misbehaviour committed in
the presence or so near a court or judge as to
interrupt the administration of justice. (Re: Letter
Dated 21 February 2003 of Atty. Noel S. Sorreda,
A M No. 05-3-04-SC, 2005)
Q: Is a lawyer prohibited from criticizing court
actions?
A: NO. A lawyer, both as an officer of the court
and as a citizen, may criticize in properly
respectful terms and through legitimate
channels the act of courts and judges. But it is the
cardinal condition of all such criticism that it shall
be bona fide, and shall not spill over the walls of
decency and propriety. (In Re: Almacen, G.R. No.
L-27654, 1970)
There is a wide difference between fair criticism
and abuse and slander of courts and judges.
Intemperate and unfair criticism is a gross
violation of the duty to respect the courts. It
amounts to misconduct that subjects the lawyer
to disciplinary action. (Roxas v. de Zuzuarregui,
Jr., G.R. No. 152072, 2007)
Q: Can lawyers who were members of a Law
Faculty, which published a statement on the
allegations of plagiarism and
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misrepresentation relative to an SC decision
and which called for the resignation of a
Justice on account of allegations of
plagiarism in his work, be disciplined for such
actions?
A: YES. Any publication, pending a suit, reflecting
upon the court, the jury, the parties, the officers
of the court, the counsel with reference to the suit,
or tending to influence the decision of the
controversy, is contempt of court and is
punishable. (Re: Letter of the UP Law Faculty
entitled ‘Restoring Integrity: A Statement by the
Faculty of the University of the Philippines
College of Law on the Allegations of Plagiarism
and Misrepresentation in the Supreme Court.”
A M No. 10-10-4 SC, 2011)
Q: Can lawyers be found guilty for direct
contempt for using contumacious language in
their pleadings?
A: YES. Canon 11 of the CPR mandates all
attorneys to observe and maintain the respect
due to the courts and to judicial officers and to
insist on similar conduct by others. Rule 11.03 of
the CPR also says that lawyer shall abstain from
scandalous, offensive or menacing language or
behavior before the Courts. An imputation in a
pleading of gross ignorance against a court or its
judge, especially in the absence of any evidence,
is a serious allegation, and constitutes direct
contempt of court. Derogatory, offensive or
malicious statements contained in pleadings or
written submissions presented to the same court
or judge in which the proceedings are pending
are treated as direct contempt because they are
equivalent to a misbehavior committed in the
presence of or so near a court or judge as to
interrupt the administration of justice. This is true,
even if the derogatory, offensive or malicious
statements are not read in open court. (Habawel
v. CTA, G.R. No. 174759, 2011)
Q: What is the TEST that should be used in
criticizing a judge’s decision?
A: The test for criticizing a judge’s decision is,
therefore, whether or not the criticism is bona fide
or done in good faith, and does not spill over the
walls of decency and propriety. (Habawel v. CTA,
G.R. No. 174759, 2011)
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CANON 12: ASSISTING THE COURT IN
SPEEDY AND EFFICIENT ADMINISTRATION
OF JUSTICE
SUMMARY OF RULES UNDER CANON 12
1) To appear in proper attire (Rule 12.01, CPR)]
2) To be punctual (Rule 12.02, CPR)]
3) To abstain from offensive language (Rule
12.03, CPR)]
4) Not to attribute to a judge improper motives
(Rule 12.04, CPR)]
5) To submit grievances to proper authorities
(Rule 12.05, CPR);
6) Not to assist a witness to misrepresent (Rule
12.06, CPR)]
7) Not to harass a witness (Rule 12.07, CPR)]
and,
8) To avoid testifying for a client (Rule 12.08,
CPR).
Q: What LEVEL OF PREPARATION is required
of a lawyer who appears in trial?
A: A lawyer must be adequately prepared with
the law and fact of his case, the evidence he will
adduce and the order of preference. He must also
be ready with the original documents for
comparison with the copies. (Rule 12.01, CPR)
Q: Can a lawyer file MULTIPLE ACTIONS
arising from the SAME CAUSE?
A: NO. This is in direct violation of Rule 12.02
which prohibits a lawyer from filing multiple
actions arising from the same cause.
Q: What is FORUM SHOPPING?
A: Forum shopping exists when as a result of an
adverse opinion in one forum:
1) A party seeks favorable opinion (other than
by appeal or certiorari) in another; or,
2) When he institutes two or more actions or
proceedings grounded on the same cause of
action, on the gamble that one or the other
would make a favorable disposition.
(Benguet Electric Corp. v. Flores, A.C. 4058,
1998)
It is also the omission to disclose pendency of an
appeal or the prior dismissal of his case by a court
of concurrent jurisdiction. It may constitute direct
contempt. (Section 5, Rule 7, 1997 Rules of
Court)
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The most important factor in determining the
existence of forum-shopping is the vexation
caused the courts and party-litigants by a party
who asks different courts to rule on the same
related causes, asking the same relief. (Roxas v.
CA, G.R. No. 139227, 2001)
Q: What are the three (3) FORMS of Forum
Shopping?
A:
1) LITIS PENDENTIA - Filing multiple cases
based on the same cause of action and with
the same prayer, the previous case not
having been resolved yet;
2) RES JUDICATA - Filing multiple cases
based on the same cause of action and the
same prayer, the previous case having been
finally resolved; or,
3) SPLITTING OF CAUSES OF ACTION,
WHERE THE GROUND FOR DISMISSAL IS
ALSO EITHER LITIS PENDENTIA OR RES
JUDICATA - Filing multiple cases based on
the same cause of action but with different
prayers. (Heirs of Marcela Sotto v. Palicte,
G.R. No. 159691, 2014)
Q: What is the TEST to determine Forum
Shopping?
A: Whether the elements of litis pendentia are
present or whether a final judgment in one case
will amount to res judicata in another. (First Phil.
International Bank v. CA, G.R. No. 115849, 1996)
Q: Why is Forum Shopping PUNISHABLE?
A: Because to permit lawyers to resort to
unscrupulous practices for the protection of the
supposed rights of their client is to defeat one of
the purposes of the state - the administration of
justice. (Sebastian v. Bajar, A.C. No. 3731, 2007)
Q: What are the CONSEQUENCES of Forum
Shopping?
A: A willful violation of the non-forum shopping
rule constitutes direct contempt of court and
makes the lawyer liable administratively, such as
suspension from practice of law for one year.
Note that he or she will also be liable civilly and
criminally. The case may also be summarily
dismissed with prejudice.
But if it is not willful and deliberate, then the
subsequent cases shall be dismissed without
prejudice on one of the two grounds mentioned
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above. (Heirs of Marcela Sotto v. Palicte, G.R.
No. 159691, 2014)
Q: What should a lawyer refrain from doing in
order to aid in the speedy disposition of
cases?
A: He should not unduly delay a case, nor impede
the execution of a judgment or misuse court
processes. (Rule 12.04, CPR)
Q: How should a lawyer behave as regards
his/her witness during trial?
A: The lawyer should avoid talking to his witness
while the same is under examination and even
during a break or recess in the trial. (Rule 12.05,
CPR)
Q: How should a lawyer behave as regards all
witnesses?
A: He shall not knowingly assist a witness in
misrepresenting himself or impersonating
another (Rule 12.06, CPR)] nor shall the lawyer
abuse, browbeat or harass a witness or
needlessly inconvenience him. (Rule 12.07,
CPR)
Q: X filed a complaint for disbarment against
Atty. Y for abuse of court processes in
violation of Canons 10 and 12 of the CPR. X
alleged that Atty. Y employed extremely
dilatory tactics by continuously filing appeals
to the CA then to the SC. When the courts
ruled in favor of X, Atty. Y tried to defer the
execution of the decision by bringing another
appeal for the annulment of the judgement.
Atty. Y also filed administrative cases against
the presiding judge in the case. Should Atty.
Y be held administratively liable?
A: YES. Atty. Y is suspended from practicing law
for 18 months. While it is true that lawyers owe
entire devotion to the cause of their clients, it
cannot be emphasized enough that their first and
primary duty is not to the client but to the
administration of justice. Canon 12 of the CPR
states that a lawyer shall exert every effort and
consider it his duty to assist in the speedy and
efficient administration of justice. Thus, in the use
of Court’s processes, the lawyer’s zeal to win
must be tempered by the paramount
consideration that justice be done to all parties
involved and the lawyer for the losing party
should not stand in the way of the execution of a
valid judgement. From the nature and sheer
number of motions and cases filed by Atty. Y, the
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ETHICS
Court found the penalty of suspension for 18
months to be commensurate to the damage and
prejudice that Atty. Y has inflicted on X.
(Patrocinia Salabao v. Atty. Andres Vllaruel, AC
No. 8084, August 24 2015)
Q: Atty. B moved for an extension of time to
file his comment, which was granted by the
Supreme Court. However, he failed to file his
comment despite multiple notices, prompting
the Supreme Court to repeatedly fine him and
even order his arrest. Eventually, the
Supreme Court dispensed with his comment
and forwarded the records to the Integrated
Bar of the Philippines for its investigation.
What can Atty. B be held liable for?
A: Atty. B can be held liable for violating Canon
12 of the CPR, which provides that A lawyer shall
exert every effort and consider it his duty to assist
in the speedy and efficient administration of
justice. Here, Atty. B initially moved for an
extension of time to file comment but did not file
the same, prompting the Court to repeatedly fine
him and order his arrest. Such audacity on the
part of respondent — which caused undue delay
in the resolution of this administrative case •— is
a violation of Canon 11, Canon 12, Rule 12.03,
and Rule 12.04 of the CPR. (Roque, Jr. v. Balbin,
A.C. No. 7088, December4, 2018)
CANON 13: AVOIDING IMPROPRIETY THAT
TENDS TO INFLUENCE THE COURT
SUMMARY OF RULES UNDER CANON 13
1) Not to extend hospitality to a judge (Rule
13.01, CPR)]
2) Not to publicly discuss pending cases (Rule
13.02, CPR)] and,
3) Not to invite judicial interference (Rule 13.03,
CPR).
Q: What is the SUB JUDICE RULE?
A: The sub judice rule restricts comments and
disclosures pertaining to the judicial proceedings
in order to avoid prejudging the issue, influencing
the court, or obstructing the administration of
justice. A violation of this rule may render one
liable for indirect contempt under Sec. 3(d), Rule
71 of the Rules of Court. (Romero v. Estrada,
G.R. No. 174105, 2009)
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Q: What is the RATIONALE for the Sub Judice
Rule?
A: Courts, in the decision of issues of fact and law
should be immune from every extraneous
influence; that facts should be decided upon
evidence produced in court; and that the
determination of such facts should be
uninfluenced by bias, prejudice or sympathies.
(Romero v. Estrada, G.R. No. 174105, 2009)
Thus, a newspaper publication tending to
impede, obstruct, embarrass or influence the
courts in administering justice in a pending case
constitutes criminal contempt, but the rule is
otherwise after the litigation is ended. (In re
Abistado, 557 Phil. 668, 1932; In re Lozano, G.R.
No, L-32910 1930)
Q: To what extent is the prohibition on
criticism of courts allowed?
A: The court, in a pending litigation must be
shielded from embarrassment or influence in
deciding the case. But once litigation is
concluded, the judge who decided it is subject to
the same criticism as any other public official
because then his ruling becomes public property.
(Lejano v. People, G.R. No. 176389, 2010)
Q: What is the TEST when public statement is
contemptuous?
A: It is the character of the act done and its direct
tendency to prevent and obstruct the discharge of
official duty.
To warrant a finding of “prejudicial publicity”,
there must be an allegation and proof that the
judges have been unduly influenced, not simply
that they might be, by the “barrage” of publicity.
CHAPTER l¥
THE LAWYER AND THE CLIENT
ATTORNEY-CLIENT RELATIONSHIP
Q: What is the NATURE of the relationship
between lawyers and their clients? (PCF)
A: The relationship between lawyers and their
clients is:
1) Strictly Personal;
2) Highly Confidential; and,
3) Fiduciary.
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In light of this:
1) Best efforts must be exerted by the attorney
to protect his client’s interest;
2) The attorney must promptly account for any
fund or property entrusted by or received for
his client;
3) An attorney cannot purchase his client’s
property or interest in litigation;
4) The privacy of communications shall at all
times be upheld; and,
5) An attorney cannot represent a party whose
interest is adverse to that of his client even
after the termination of the relation.
Q: What are the three (3) ways in which an
attorney-client relationship created?
A:
1) ORAL - counsel is employed without a
written agreement, but the conditions and
amount of attorney’s fees are agreed upon
verbally
2) EXPRESS - when the terms and conditions
including the amount of fees, are explicitly
stipulated in a written document which may
be a private or public document. The written
contract of attorney’s fees is the law between
the lawyer and the client.
3) IMPLIED - when there is no agreement,
whether oral or written, but the client allowed
the lawyer to render legal services not
intended to be gratuitous without objection,
and the client is benefited by reason thereof.
Q: When does an attorney-client relationship
exist?
A: An attorney-client relationship is said to exist
when a lawyer acquiesces or voluntarily permits
the consultation of a person, who in respect to a
business or trouble of any kind, consults a lawyer
with a view of obtaining professional advice or
assistance. (Virgo v. Amorin, A.C. No. 7861,
2009)
Q: What is the concept of RETAINER?
A: A retainer refers to:
1) The act of the client by which he engages the
services of an attorney to render legal advice,
or to defend or prosecute his cause in court;
or
2) The fee a client pays to an attorney when he
is retained, a “retaining fee”, paid to insure
and secure his future services and to
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compensate (Hilado v. David, G.R A/o. L~
961, 1949) counsel for being forbidden from
acting as counsel for the other party.
Q: What are the two (2) KINDS of retainer
agreements? What are its purposes?
A:
1) GENERAL RETAINER - The purpose is to
secure beforehand the services of an
attorney for any legal problem that may
afterward arise.
2) SPECIAL RETAINER - The purpose is to a
particular case or service. (Agpalo, Legal and
Judicial Ethics, p. 186)
CANON 14: CREATION OF ATTORNEY
CLIENT-RELATIONSHIP
SUMMARY OF RULES UNDER CANON 14
1) Not to decline to represent unpopular clients
(Rule 14.01, CPR)]
2) Not to decline appointment by the court or by
IBP (Rule 14.02, CPR)]
3) To refuse to represent indigent on valid
grounds (Rule 14.03, CPR)]
a) Not in a position to carry out the work
effectively or competently; or,
b) Labors under a conflict of interest
between:
a. Him/her and the prospective
client; or,
b. Present client and the
prospective client;
4) To observe the same standard with all clients
(Rule 14.04, CPR).
Q: When is a lawyer prohibited from refusing
to represent a person?
A: A lawyer shall not decline to represent a
person solely on account of the latter’s race, sex,
creed or status of life, or because of his own
opinion regarding the guilt of said person. (Rule
14.01, CPR)
Q: When is this rule applicable?
A: Rule 14.01 is applicable only in criminal
cases. In criminal cases, a lawyer cannot decline
to represent an accused or respondent because
of his opinion that the said person is guilty of the
charge or charges filed against him. In
representing the accused or respondent, the
lawyer must only use means which are fair and
honorable. (Rule 138, Sec. 20[l], ROC) It is not
applicable in civil cases because a lawyer is
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ETHICS
required “To counsel or maintain such actions or
proceedings only as appear to him to be just, and
such defenses only as he believes to be honestly
debatable under the law.” (Rule 138, Sec. 20 [c],
ROC)
Q: Why is a lawyer inclined to accept a case
even though that in his opinion, it is a losing
case?
A: A lawyer may accept a losing criminal case
because every accused is presumed innocent
and is entitled to counsel.
Q: What is COUNSEL DE OFFICIO?
A: He is the lawyer assigned by the court to
render professional aid, free of charge, to any
party in a case if upon investigation it appears
that the party is destitute and unable to employ a
lawyer and that the services of a counsel are
necessary to secure the ends of justice.
Q: Who may be appointed as counsel de
officio?
A: The court, considering the gravity of the
offense and the difficulty of the questions that
may arise, shall appoint as counsel de officio
such members of the bar in good standing who,
by reason of their experience and ability, can
competently defend the accused. But in localities
where such members of the bar are not available,
the court may appoint any person, resident of the
province and of good repute for probity and
ability, to defend the accused. (Rule 116, Sec. 7,
ROC
)
Q: Can a lawyer decline an appointment as
counsel de officio?
A: A lawyer shall not decline, except for serious
and sufficient cause, an appointment as counsel
de officio or as amicus curiae or a request from
the Integrated Bar of the Philippines or any of its
chapters for rendition of free legal aid. (Rule
14.02, CPR)
General Rule:
A lawyer is not obligated to represent any person
who wishes to be his client (Enriquez v. Gimenez,
G.R. No. L-12817, 1960)
Exceptions:
1) A lawyer may not refuse to represent ah
indigent client unless he is relieved by the
court for sufficient cause. (People v. Irisuilo,
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G.R. No. L-1473, 1948; Ledesma v. Climaco,
G.R. No. L-23815, 1974)
a) He is not in a position to carry out the
work effectively or competently; or,
b) There exists a conflict of interest between
him and the prospective client.
2) A government lawyer called upon to
represent the government, any of its
agencies or any officer thereof unless he is
disqualified to act as counsel. (Enriquez, Sr.
v. Gimenez, G.R. No. L-121817; Reyes v.
Cornista, G.R. No. L-55555, 1953;
Municipality of Bocaue v. Manotok, G.R. No.
L-6528, 1953; Aquadorv. Enerio, G.R. No. L-
20388, 1971; Callejo v. Court of Appeals,
G.R. No. 156413, 2004)
Q: What standards should a lawyer observe
when dealing with paying and non-paying
clients?
A: A lawyer who accepts the cause of a person
unable to pay his professional fees shall observe
the same standard of conduct governing his
relations with paying clients. (Rule 14.04, CPR)
Q: How is an Amicus Curiae appointed?
A:
1) By application to the judge; or,
2) The judge on his own initiative may invite the
lawyer.
Q: What are the CONDITIONS that the Amicus
Curiae must adhere to?
A:
1) The Amicus Curiae has no right to interfere
with or control the condition of the record and
has no control over the suit.
2) He cannot refuse on the ground of insufficient
compensation or lack of it.
CANON 15: OBSERVING CANDOR,
FAIRNESS, AND LOYALTY IN DEALING
WITH CLIENTS
SUMMARY OF RULES UNDER CANON 15
1) OBSERVE CANDOR, FAIRNESS, AND
LOYALTY TO CLIENTS
a) To ascertain possible conflicts of interest
(Rule 15.01, CPR)] and,
b) To preserve the secrets of a prospective
client (Rule 15.02, CPR);
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2) PROHIBITION AGAINST REPRESENTING
CONFLICTING INTERESTS
a) Not to represent conflicting interests
(Rule 15.03, CPR)] and,
b) May act as a mediator, conciliator, or
arbitrator with the written consent of all
concerned (Rule 15.04, CPR).
3) CANDID ADVICE AND LAWFUL
PERFORMANCE OF DUTIES
a) To give candid advice on merits of a case
(Rule 15.05, CPR)]
b) Not to undertake influence-peddling
(Rule 15.06, CPR)]
c) To impress upon clients compliance with
laws (Rule 15.07, CPR)] and,
d) To make clear whether he/she is acting
in another capacity (Rule 15.08, CPR).
Q: What is the lawyer's duty with regard to
information disclosed by the client?
A: S/he shall not reveal information to anyone in
any way that may prejudice his client. The lawyer
shall be bound by the rule on privileged
communication in respect of matters disclosed to
him by a prospective client. (Rule 15.02, CPR)
Q: What is the RULE ON REVEALING THE
CLIENT’S IDENTITY?
A: A lawyer may not invoke privileged
communication to refuse revealing a client’s
identity. (Regala v. Sandiganbayan, G.R. No.
105938, 1996)
Q: What are the EXCEPTIONS to the general
rule on revealing client’s identity? (I-COD)
A:
1) When by divulging such identity, it would
Implicate the client to that same controversy
for which the lawyer's services were required;
2) It would open client to Civil liability;
3) The disclosure of such identity will provide for
the Only link in order to convict the accused,
otherwise, the government has no case; and,
4) Even if the communication is unprivileged,
the rule of ethics prohibits him from
voluntarily revealing or using to his benefit or
to that of a third person, to the Disadvantage
of the client, the said communication unless
the client consents thereto. (Regala v.
Sandiganbayan, G.R. No. 105938, 1996)
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Q: Can a lawyer represent parties with
conflicting interests?
A: Yes, upon written consent of all concerned
given after a full disclosure of the facts. (Rule
15.03, CPR)
Q: What is the RULE REGARDING CONFLICT
OF INTERESTS?
A: It is generally the rule based on sound public
policy that an attorney cannot represent adverse
interests. It is highly improper to represent both
sides of an issue. (Nakpil v. Valdez, A.C. No.
2040, 1998)
Q: What are the four (4) SEPARATE TESTS in
determining whether there is conflict of
interest when lawyers represent two or more
clients? (COID)
A:
1) In accepting the new relation, the lawyer will
be called upon to use Confidential
information acquired through their connection
against a client. (Quiambao v. Bamba, A.C.
No. 6708, 2005)
2) When in representation of one client, a
lawyer is required to fight for an issue or
claim, but is also duty bound to Oppose it for
another client;
3) When the acceptance of the new retainer will
require an attorney to perform an act that may
Injuriously affect the first client or when called
upon in a new relation to use against the first
one any knowledge acquired through their
professional connection;
4) When the acceptance of the new relation
would prevent the full discharge of n
attorney’s duty to give undivided fidelity and
loyalty to the client or would invite suspicion
of unfaithfulness or Double dealing in the
performance of that duty. (Northwestern
University v. Arquillo, A.C. No. 6632, 2005)
Q: What are the EXCEPTIONS TO THE RULE
ON CONFLICT OF INTEREST? (WCAN)
A:
1) Before the controversy reaches the court and
where all the parties concerned express their
Written Consent to the representation after
full disclosure of facts; (Nakpil v. Valdes, A.C.
No. 2040, 1998)
2) With the written consent of All concerned, a
lawyer may act as a mediator, conciliator, or
arbitrator in setting disputes; (Rule 15.04,
CPR)
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ETHICS
3) Where No true attorney-client relationship is
attendant; and,
4) With the written consent of a former client, a
lawyer, with full disclosure to a prospective
client, accept employment from the latter
against the former. (Bautista v. Gonzales,
A.M. No. 1625, 1990)
Q: What are the effects of violating the
prohibition on conflict of interest?
A: The possible effects of representation of
conflicting of interest, in the absence of written
consent of all parties concerned given after a full
disclosure of facts are:
1) Disciplinary action
2) Disqualification from representing the new
client upon petition of former client
3) When the representation of conflicting
interests is unknown and works to the
prejudice of the new client, setting aside of
adverse judgment against the new client,
provided that both are present:
a) That the attorney discharged or had the
opportunity to discharge conflicting
duties; and,
b) The new client was prejudiced.
4) Right to be paid for his services to the former
client may be affected, only when—
a) The two matters are related; and,
b) The former client objected to such
representation.
Q: Complainant X, retained Atty. Y as counsel
for the operation of his music lounge. X was
delinquent in the payment of monthly rentals
for the music lounge. Thus, together with
Atty. Y, the owner of the building inventoried
all the equipment therein and informed X that
Z would be taking over operation of the music
lounge. At that time. Atty. Y was still her
counsel pursuant to the retainer agreement
they previously signed. Should Atty. Y be held
administratively liable?
A: Yes, Atty. Y transgressed Rule 15.03 of Canon
15. The prohibition against representing
conflicting interests is absolute and the rule
applies even if the lawyer has acted in good faith
and with no intention to represent conflicting
interests. Lawyers are expected not only to keep
inviolate the client’s confidence, but also to avoid
the appearance of treachery and double-dealing
for only then can litigants be encouraged to
entrust their secrets to their lawyers, which is of
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paramount importance in the administration of
justice. (Daria Daging v. Atty. Riza David, AC.
No. 9395, November 12, 2014)
Q: Does conflict of interest exist when one
case is officially handled by a law firm, and
the other by a partner of the law firm in his
individual capacity and thus, the law firm was
not privy to any transaction of either case?
A: Yes, conflict of interest still exists. A lawyer
who takes up the cause of the adversary of the
party who has engaged the services of his law
firm brings the law profession into public
disrepute and suspicion and undermines the
integrity of justice. Thus, the argument that a
lawyer has never taken advantage of any
information acquired by his firm in the course of
professional dealings is of no moment. Indeed,
such lawyer could have simply advised the
parties to instead engage the services of another
lawyer. (Daria Daging v. Atty. Riza David, AC.
No. 9395, November 12, 2014)
Q: Does the attorney-client privilege apply
solely to lawyers?
A: NO. The rule of confidentiality and attorney-
client privilege also applies to an attorney's
secretary, stenographer or clerk, who in such
capacity has acquired confidential information
from the attorney's client.
Q: What is the DURATION of attorney-client
privilege?
A: It is a perpetual duty that continues even after
the attorney-client relationship has been
terminated (Canon 21, CPE; Canon 37, CPR)
and even after the death of the client. Once
professional confidence is reposed, it cannot be
divested by either event.
Q: What are the EXCEPTIONS to the
perpetuity of attorney-client privilege?
A:
1) When removed by the client himself; (Agpalo,
Legal and Judicial Ethics, p.266, 2009)
2) When removed after the death of the client by
his heir or legal representative; (Agpalo,
Legal and Judicial Ethics, p.266, 2009)
3) When a supervening act done pursuant to the
purpose of the communication causes such
communication to lose its privileged
character such as:
a) Communication sent by client through his
attorney once it has reached third party
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ETHICS
recipient; (Uy Chico v. Union Life
Assurance Society, G.R. No. L-9231,
1915) and,
b) The contents of a pleading before it is
filed. (Agpalo, Legal and Judicial Ethics,
p. 266, 2009)
Q: Can a lawyer accept engagements or
employment in connection with any matter
after he leaves government service?
A: A lawyer shall not, after leaving government
service, accept engagements or employment in
connection with any matter in which he had
intervened while in said service. (Rule 6.03, CPR)
Q: What should a lawyer do when he advises
his client regarding the merits and probable
results of his case?
A: A lawyer, when advising his client, shall give a
candid and honest opinion on the merits and
probable results of the client’s case, neither
overstating nor understating the prospects of the
case. (Rule 15.05, CPR)
Q: Is a law firm prohibited to take a case if one
of its lawyers is disqualified due to conflict of
interest?
A: When a lawyer is disqualified from appearing
as counsel in a case because of conflict of
interests, his law firm and all its members are also
disqualified from said case since the employment
of the firm is considered a retainer of all its
members. (Hilado v. David, G.R. No. L-961,
1949)
Q: Spouses X, through Atty. Z, a lawyer and
real estate broker, offered for sale a parcel of
agricultural land to Spouses Y. Atty. Z, who
was to receive the payment from Sps. Y and
transmit the same to Sps. X, undertook to
deliver the deed of sale and owner’s copy of
the title to Sps. Y upon full payment of the
purchase price. She further undertook to
cause the conversion of the subject property
from agricultural to residential, and the
transfer of the title to the names of Sps. Y as
part of the package agreement. After full
payment, Sps. Y requested from Atty. Z the
delivery of the deed of sale and the owner’s
copy of the title to them but respondent failed
to comply for a long time, giving a number of
excuses. Sps. Y later discovered that a deed
of sale over the subject property was
executed by Sps. X and notarized by Atty. Z in
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favor of someone else. Can Atty. Z be
disbarred for grave misconduct and gross
malpractice?
A: YES. Since Atty. Z publicly held herself out as
lawyer, the mere fact that she also acted as a real
estate broker did not divest her of the
responsibilities attendant to the legal profession.
In this regard, the legal advice and/or legal
documentation that she offered and/or rendered
regarding the real estate transaction subject of
this case should not be deemed removed from
the category of legal services. Case law instructs
that if a person, in respect to business affairs or
troubles of any kind, consults a lawyer with a view
to obtaining professional advice or assistance,
and the attorney voluntarily permits or acquiesces
with the consultation, then the professional
employment is established. (Ma. Jennifer Tria-
Samonte v. Epifania “Fanny” Obias, A.C. No.
4945, 2013)
CANON 16: LAWYER AS TRUSTEE OF
CLIENT’S MONIES AND PROPERTIES
SUMMARY OF RULES UNDER CANON 16
1) To account for client’s funds (Rule 16.01,
CPR)\
2) Not to commingle client’s funds (Rule 16.02,
CPR)]
3) To deliver funds to client, subject to lien (Rule
16.03, CPR)] and,
4) Not to borrow from, nor lend money to, client
(Rule 16.04, CPR).
ARTICLE 1491, CIVIL CODE
The following persons cannot acquire or
purchase, even at a public or judicial auction,
either in person or through the mediation of
another:
(5) ... lawyers, with respect to the property and
rights which may be the object of any litigation in
which they may take part by virtue of their
profession.
Q: What are the ELEMENTS OF ARTICLE 1491
of the Civil Code? (PAPI)
A:
1) The attorney takes Part as counsel in the
case;
2) There is an Attorney-client relationship;
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ETHICS
3) The attorney by himself or through another
Purchases or acquires such property or
interest; and,
4) The property or interest of the client must be
In litigation.
Note: Acquisition includes mortgage of property
in litigation to lawyer. In this case, acquisition is
merely postponed until foreclosure but the effect
is the same.
Q: Does fraud in the prohibited purchase need
to be proven or alleged?
A: NO. This prohibition is entirely independent of
fraud and does not need to be alleged or proven.
Q: What are the EXCEPTIONS to this
prohibition?
A:
1) Property is acquired by lawyer through a
contingent fee arrangement; and,
2) Any of the four (4) elements of Art. 1491 are
missing.
Q: Due to the relation of trust or their peculiar
control either directly or indirectly and even at
a public or judicial auction, who are the
people prohibited from acquiring property
under litigation? (GAPE-JO)
A:
1) Guardians;
2) Agents
3) Public officers and employees
4) Executors and administrators
5) Judicial officers and employees
6) Others specially disqualified by law. (Art.
1491, NCC)
Q: What is the duty of a lawyer who holds his
client’s money in the latter’s behalf?
A: A lawyer shall account for all money or property
collected or received for or from the client. (Rule
16.01, CPR)
Q: What is the effect if the lawyer fails to
return the money that he held for his client?
A: Failure to deliver upon demand gives rise to
the presumption that he has misappropriated the
funds for his own use to the prejudice of the client
and in violation of the trust reposed in him.
(Arellano University v. Mijares, A.C. No. 8380,
2009)
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Q: What should the lawyer do if the purpose
intended for the money cannot be pursued?
A: Where the client gives money to his lawyer for
a specific purpose — such as to file an action,
appeal an adverse judgment, consummate a
settlement, or pay the purchase price of a parcel
of land — the lawyer should, upon failure to take
such step and spend the money for it,
immediately return the money to his client.
(Arroyo-Posidio v. Vitan, A.C. No. 6051, 2007)
Q: What are the consequences of
misappropriating or failing to account for
client’s property?
A: While a lawyer has a right to be paid for the
legal services he has rendered to his client, he
should not exercise such right whimsically by
appropriating to himself the client’s money to pay
his fees without the client’s consent. He may be
held administratively liable for deceit in dealing
with his client. (Rivera v. Angeles, A.C. 2519,
2000)
Under Rule 20.03, Code of Professional
Responsibility, "A lawyer shall not, without the full
knowledge and consent of the client, accept any
fee, reward, costs, commission, interest, rebate
or forwarding allowance or other compensation
whatsoever related to his professional
employment from anyone other than the client.”
The fee as an item of damages belongs to the
party litigant and not to his lawyer. It forms part of
his judgment recoveries against the losing party.
The client and his lawyer may, however, agree
that whatever attorney’s fee as an element of
damages the court may award shall pertain to the
lawyer as his compensation or as part thereof. In
such a case, the court upon proper motion may
require the losing party to pay such fee directly to
the lawyer of the prevailing party. (Rosario Jr., v.
De Guzman, G.R. No. 191247, 2013)
Q: Atty. S. induced two of his clients to grant
him loans with exorbitant interest. He secured
his loans with post-dated checks issued
against an account different from his own
account without informing the complainants.
He also misrepresented the value and identity
of the estate which he mortgaged as
collateral. When he could not pay the
principal and its interest, he assailed the
exorbitant interest which he initially agreed to
pay. Moreover, he failed to properly account
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ETHICS
for the various amounts of money he received
from the complainants. Can Atty. S be
disbarred for this?
A: YES, he can be disbarred for violating Canon
16. The fiduciary nature of the relationship
between the counsel and his client imposes on
the lawyer the duty to account for the money or
property collected or received for or from his
client. A lawyer’s failure to return the excess
money in his possession gives rise to the
presumption that he has misappropriated it for his
own use to the prejudice of, and in violation of the
trust reposed in him by, the client. (Navarro v.
Solidum, A.C. No. 9872, 2014)
Q: The complainant engaged the legal service
of Atty. J to recover the title of a disputed
property. Atty. J received 45,000 pesos for the
expenses of the transfer. However, the
complainant was surprised that the case was
being handled by a certain Atty. C. Atty. J also
collected the rentals of the property and
refused to return the whole amount to the
complainant. Can Atty. J be held
administratively liable?
A: YES, he can be held liable for violating Canon
16. Failure to exercise that degree of vigilance
and attention expected of a good father of a
family makes the lawyer unworthy of the trust
reposed on him by his client and makes him
answerable not just to client but also to the legal
profession, the court and society. (Jinon v. Jiz,
A.C. No. 9615, 2013)
Q: In exchange for the legal service of Atty. Z
and financial assistance of Manuel, the
complainants agreed that Manuel and Atty. Z
would be entitled to 40% of all the realties,
monetary benefits, gratuities or damages
which may be adjudicated in their favor. They
also agreed to sell the remaining 60% share in
favor of Manuel. The complainants later
repudiated the agreement saying that the
arrangement violated Art. 1491 of the Civil
Code. Are they correct?
A: NO. The court has ruled that the arrangement
was valid and that the complainants were
estopped from questioning the agreements.
While Article 1491 (5) of the Civil Code prohibits
lawyers from acquiring by purchase or
assignment the property or rights involved which
are the object of the litigation in which they
intervene by virtue of their profession, the
prohibition only applies during the pendency of
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the suit and generally does not cover contracts for
contingent fees where the transfer takes effect
only after the finality of a favorable judgment.
(Heirs of Manuel Uy Ek Liong v. Castillo, G.R. No.
176425, 2013)
CANON 17: LAWYER’S DUTY OF ENTIRE
DEVOTION TO CLIENT’S CAUSE -
CHARACTERIZED BY TRUST AND
CONFIDENCE
Q: What is the duty of a lawyer when a client
approaches him and retains him?
A: It is the duty of the lawyer at the time of retainer
to disclose to the client all the circumstances of
his relations to the parties and any interest in, or
connection with, the controversy that might
influence the client in the selection of counsel.
Q: X and Y filed an administrative complaint
against Atty. V, claiming that they were
convicted of estafa due to Atty. V’s gross and
inexcusable negligence in performing his
duties as their counsel. X and Y alleged that
Atty. V: (1) was often absent during court
hearings, (2) frequently sought the
postponement of trial, (3) failed to file a
demurrer to evidence despite having been
granted sufficient time; (4) failed to present
evidence on behalf of the defense, and only
filed a memorandum; and, (5) did not inform X
and Y of the dates of the presentation of
defense evidence and the promulgation of
judgment. Can Atty. V be disciplined for such
acts?
A: YES. Atty. V’s failure to submit a demurrer to
evidence constitutes inexcusable negligence; it
showed his lack of devotion and zeal in
preserving his clients’ cause.
Furthermore, Atty. V’s failure to present any
testimonial, object or documentary evidence for
the defense reveals his lack of diligence in
performing his duties as an officer of the Court; it
showed his indifference towards the cause of his
clients. Considering that the liberty and livelihood
of his clients were at stake, Atty. V should have
exerted efforts to rebut the presented prosecution
evidence. While a lawyer has complete discretion
on what legal strategy to employ in a case
entrusted to him, he must present every remedy
or defense within the authority of the law to
support his client’s cause. (Mattus v: Villaseca,
A.C. No. 7922, 2013)
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Q: What is the EFFECT OF DECEIT OR
MISREPRESENTATION?
A: A lawyer may be suspended or disbarred for
deceit or misrepresentation to the prejudice of or
as a means to defraud his client. Implicit in these
fraudulent acts are bad faith on the part of the
lawyer and material damage to the client, which
are the requisites that should concur to justify the
suspension or disbarment of the lawyer on the
ground deceit or misrepresentation.
CANON 18: LAWYER’S DUTY OF ENTIRE
DEVOTION TO CLIENT’S CAUSE -
CHARACTERIZED BY COMPETENCE AND
DILIGENCE
SUMMARY OF RULES UNDER CANON 18
1) To render service only when qualified to do
so (Rule 18.01, CPR)\
2) Not to handle a case without adequate
preparation (Rule 18.02, CPR)] and,
3) Not to neglect matters entrusted to him (Rule
18.03, CPR).
Q: What is the duty to keep the client fully
informed?
A: A lawyer must advise his client promptly
whenever he has any information to give which is
important for the client to receive. (Baker v.
Humphrey, 1879) However, it is also the client’s
duty to make proper inquiries from his counsel
concerning his case. (Florendo v. Florendo, G.R.
No. L-24982, 1969)
Q: May a lawyer, who fails to file his client’s
petition and to respond to his client’s
messages for a period of 6 months, be held
liable for violating the CPR?
A: YES. A lawyer so engaged to represent a client
bears the responsibility of protecting the latter’s
interest with utmost diligence. The circumstance
that the client was also at fault does not
exonerate a lawyer from liability for his
negligence in handling a case. All court rulings
drive home the fiduciary nature of a lawyer’s duty
to his client once an engagement for legal
services is accepted. (Atty. Solidon vs. Atty
Macalalad, A.C. No. 8158, 2010)
Q: Mrs. X inherited some shares of ABC Co.
Mrs. X engaged the services of Atty. Z, and
together, went to ABC Co to settle these
affairs. However, things turned sour and ABC
Co then asked them to leave, locked the office
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and refused to give them a duplicate key.
However, Atty. Z, without the consent of Ms.
X, caused the change in the lock of the ABC
Co’s office door, which prevented the
employees thereof from entering and carrying
on the operations of the company. Thus, ABC
Co filed a complaint for grave coercion
against Atty. Z and Mrs. X. While the grave
coercion case was pending, Atty. Z then
abandoned Mrs. X and stopped
communicating with the latter. Can Atty. Z be
held liable?
A: YESs Atty. Z can be held liable for failing to
exercise the required diligence in handling
complainant’s cause.
He (1) failed to represent her competently and
diligently by acting and proffering professional
advice beyond the proper bounds of law; and, (2)
abandoned his client’s cause while the grave
coercion case against them was pending. Atty. Z
violated the principle he should employ only fair
and honest means to attain lawful objectives,
which is embodied in Canon 17, Rule 18.03 of
Canon 18, and Rule 19.01 of Canon 19 of the
Code. (Pitcher v. Atty. Gagate, A.C. No. 9532,
2013)
Q: What is the EFFECT OF NEGLIGENCE in
the performance of duties?
A: The failure to exercise due diligence or the
abandonment of the client’s cause makes the
lawyer unworthy of the trust which the client has
reposed in him. There is no hard and fast rule as
to what is gross misconduct in the performance
of the lawyer’s duty to his client. That question
depends upon the circumstances if the case, the
nature of the act done and the motive which
induced him to do the act charged.
CANON 19: LAWYER’S DUTY OF
REPRESENTATION WITH ZEAL
SUMMARY OF RULES UNDER CANON 19
1) To employ only fair and honest means (Rule
19.01, CPR)\
2) To rectify client’s fraud (Rule 19.02, CPR):
and,
3) Not to allow client to dictate on the law (Rule
19.03, CPR).
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ETHICS
Q: What should a lawyer do when he finds out
that his client has perpetrated a fraud upon a
person or on the tribunal?
A: A lawyer who has received information that his
client has, in the course of the representation,
perpetuated a fraud upon a person or tribunal,
shall promptly call upon the client to rectify the
same, and failing which he has to terminate the
relationship with such client. (Rule 19.02, ROC)
Note: Privileged communication survives the
termination of the lawyer-client relationship.
Q: What are the effects of the negligence of
lawyers on their client’s cases?
A: As a general rule, the client is bound by the
negligence of his/her counsel. The only exception
is when the negligence of the counsel is so gross
that the client is deprived of due process.
(Encarnacion v. People, G.R. No. 189955, 2014)
This is known as the DOCTRINE OF IMPUTED
KNOWLEDGE.
Q: X was convicted for grave threats and
grave oral defamation by the MTC. The RTC
then affirmed the convictions. X, at that time
represented by the PAO sought the
reconsideration of the RTC decision. Not long
after X was then represented by Attorney Y a
private practitioner. Attorney Y then
attempted to file a petition for review with the
CA on behalf of X. Instead of filing for a
petition for review, Attorney Y filed a motion
for extension of time. This was granted but
then X alleges that Attorney Y recklessly
abandoned him and disappeared without
leaving a trace. X is now before the supreme
court to plead that in abandoning his case,
Attorney Y has effectively deprived him of his
day in court and of his right to due process
and that Y’s actions constituted reckless and
gross negligence that should not be binding
against him. Should X’s petition be given due
course?
A: NO. Attorney Y was indeed negligent in
handling the case of X. His abject failure to file the
petition for review in the CA despite two motions
for extension for that purpose warranted no other
conclusion but that he was negligent.
Nonetheless, the court finds no justification to
reverse the CA’s decision. X is bound by Attorney
Y’s negligence.
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A recognized exception to the rule is when the
reckless or gross negligence of the counsel
deprives the client of due process of law. For the
exception to apply, however, the gross
negligence should not be accompanied by the
client’s own negligence or malice. (Bejarasco, Jr.
v. People, G.R. No.159781, 2011)
Q: P, a son of A s tenant in another lot,
obtained permission from A to farm an
abandoned area of their lot for free. When As
daughter, B, learned about this, B tried to
demand back the lot but P refused, claiming
that he was a tenant under P.D. No. 27. P was
later able to obtain an emancipation patent
(EP) over the lot. The PARAD ordered the
cancellation of P’s EP but the DARAB
reversed the ruling. The CA, on petition for
review, reinstated the PARAD decision
holding that there was not enough evidence
to prove the existence of a tenancy
relationship between the parties.
This decision became final and executory and
now, P, represented by new counsel, claims
that his former counsel was guilty of gross
negligence for letting the CA decision lapse
into finality by not filing a motion for
reconsideration or an appeal. Is P correct?
A: NO. While P’s former counsel was
blameworthy, there is no question that any act
performed by the counsel within the scope of his
general or implied authority is still regarded as an
act of the client. Here, however, both the failure
to file an appellee’s brief and failure to fie a motion
for reconsideration amount to simple negligence.
P was able to participate in the proceedings
before the PARAD, DARAB, and CA. That he had
not been able to avail of all the remedies open did
not give him justification to complain of a denial
of due process. Moreover, P himself was guilty of
being negligent for not monitoring the
developments in the case. He learned of the
adverse CA decision only more than 2 years after
it became final and executory. (Sofio v.
Valenzuela, G.R. No. 157810, 2012)
Q: What are the EXCEPTIONS TO THE
DOCTRINE OF IMPUTED KNOWLEDGE?
A:
1) Reckless imprudence (deprives client of
due process); and,
2) Results in outright deprivation of one’s
property through technicality.
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Q: Atty. A issued a check for the purpose of
returning the professional fees paid by his
client. The check bounced. Is Atty. A liable?
A: YES. A lawyer is deemed to know the law,
especially Batas Pambansa Big. 22 (B.P. Big. 22).
By issuing a check in violation of the provisions of
the law, respondent is guilty of serious
misconduct. (Santos-Tan v. Robiso, A.C. No.
6383, 2009)
Q: Atty. V sent demand letters asking the
complainants to vacate the premises for
being illegal occupants. The demand letters
were sent despite the final and executory
HLURB Decision which recognized the
complainant as a subdivision lot buyer who
had a right to complete her payments in order
to occupy her property. The complainants
filed a disbarment case against Atty. V for
sending demand letters with malice and intent
to harass them. Can Atty. V be disciplined for
this?
A: YES, Atty. V can be disciplined for violating
Rule 19.01. A lawyer is expected to champion the
cause of his client with wholehearted fidelity,
care, and devotion. This simply means that his
client is entitled to the benefit of any and every
remedy and defense. However, the Code of
Professional Responsibility provides the
limitation that lawyers shall perform their duty to
the client within the bounds of law. They should
only make such defense when they believe it to
be honestly debatable under the law. (Trinidad v.
Villarin, A.C. No. 9310, 2013)
CANON 20: ATTORNEY’S FEES
SUMMARY OF RULES UNDER CANON 20
1) Guides in determining amount of fees (Rule
20.01, CPR) (CATS IN PCCS);
a) The Customary charges for similar
services and the schedule of fees of the
IBP chapter to which he belongs;
b) The Amount involved in the controversy
and the benefits resulting to the client
from the services;
c) The Jime spent and the extent of the
services rendered or required;
d) The Skill demanded;
e) The Importance of the subject matter;
f) The Novelty and difficulty of the
questions involved;
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g) The Probability of losing other
employment as a result of acceptance of
the proffered case;
h) The Contingency or certainty of
compensation;
i) The Character of the employment,
whether occasional or established; and,
j) The professional Standing of the lawyer.
2) Entitled to fees based on work performed
(Rule 20.02, CPR);
3) Not to receive fee from another without
client’s consent (Rule 20.03, CPR); and,
4) To avoid controversies with clients
concerning fees (Rule 20.04, CPR).
Q: What are the REQUISITES for the right to
attorney’s fees to accrue? (SRP)
A:
1) Rendition of Services by the lawyer to the
client (Fajardo vs. Court of Industrial
Relations, G.R. No. L-19453-4, 1967);
2) Existence of an attorney-client
Relationship (Phil. Ass’n of Free Labor
Union v. Binalbagan Isabela Sugar Co., G.R.
No. L-23959, 1971); and,
3) Professional contract, express or implied,
between a lawyer and his client.
Q: Can the court fix reasonable compensation
which lawyers should receive for their
professional services?
A: YES. Nothing precludes the appellate courts
from reducing the award when it is deemed
unconscionable. (Law Firm of Tungol & Tibayan
v. CA, G.R. No. 169298, 2008)
Q: Who is LIABLE for attorney’s fees?
A: Only the client who engaged the services of
counsel unless a person, who accepts the
benefits of the legal representation, impliedly
agrees to pay the lawyer’s services.
Q: Who has the RIGHT TO COLLECT
attorney’s fees?
A: Only lawyers are entitled to attorney’s fees.
Q: What are the three (3) EXCEPTIONS?
A:
1) Pre-existing agreement with a partner or
associate that money shall be paid to his
estate upon the latter’s death;
2) When a lawyer undertakes to Complete
unfinished business of a deceased lawyer; or,
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ETHICS
3) A lawyer or firm includes Non-lawyer
employees in their retirement plan, whether
or not based in whole or in part on a profit-
sharing agreement. (Rule 9.02, CPR)
Q: What are the KINDS OF PAYMENT which
may be stipulated upon?
A:
1) A fixed or absolute fee which is payable
regardless of the result of the case;
2) A contingent fee that is conditioned on
securing a favorable judgment and recovery
of money or property and the amount of
which may be on a percentage basis;
3) A fixed fee payable per appearance;
4) A fixed fee computed by the number of
hours spent;
5) A fixed fee based on a piece of work; and,
6) An acceptance fee and progress billings.
Q: What is a CHAMPERTOUS CONTRACT?
A: It is an agreement wherein a lawyer conducts
the litigation on his own account, bearing all the
expenses, and the client agrees to pay a portion
of the proceeds of a judgment as lawyer’s fees. It
is void for being obnoxious to the law and public
policy.
Q: What is a CONTINGENT FEE CONTRACT?
A: It is one wherein the lawyer agrees to be paid
depending on the success of his efforts (not
necessarily for the same money or payment
subject of the case).
Q: Distinguish between a CHAMPERTOUS
CONTRACT and a CONTINGENT FEE
CONTRACT
A: What makes a contract champertous is the
stipulation whereby the lawyer bears all the
expenses of the litigation, thereby acquiring a
personal interest in the case's outcome.
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Q: Atty. Z was to represent Spouses X and Y
in a complaint on a contingency fee basis.
This arrangement was indicated in the
complaint. However, instead of confirming the
agreed contingent attorney’s fees of
P2,000.00, the lower court granted the
attorney’s fee consisting of one-half of the
subject lot to Atty. Z. (This was based on a
purported oral contract, and it dealt with the
property still subject of a pending civil case.)
Was the fee arrangement valid?
A:
1) The written contract on attorney’s fees (in the
amended complaint) prevails over the
alleged oral contract. An agreement between
the lawyer and his client is subject to the
ordinary rules governing contracts in general.
Thus, controversies involving written and oral
agreements on attorney’s fees shall be
resolved in favor of the former.
2) The oral contract in this case is
champertous. Lawyer Z agreeing to
represent the Spouses and assume the
litigation expenses, without providing for
reimbursement, in exchange for a Q: What are the REQUISITES OF A CHARGING
contingency fee consisting of one-half of the
subject lot is champertous. Champerty is
characterized by “the receipt of a share of the
proceeds of the litigation by the intermeddler”
and the fact that the lawyer must also, “at his
own expense maintain, and take all the risks
of, the litigation.”
3) Also, Article 1491 of the Civil Code prohibits
lawyers from acquiring, by purchase or
assignment, the property that has been the
subject of litigation in which they have taken
part by virtue of their profession. The
payment of the contingent fee is not made
during the pendency of the litigation involving
the client’s property but only after the
judgment has been rendered in the case
handled by the lawyer. In sum, Atty. Z violated
Rule 10 CPE, and Art. 1491(5) of Civil Code.
He should return to the complainants the
property acquired as “payment” for services
rendered. (The Conjugal Partnership of the
Spouses Cadavedo v. Lacaya, G.R. No.
173188, 2014)
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Q: What are the two (2) KINDS OF RETAINER
AGREEMENTS on attorney’s fees?
A:
1) GENERAL RETAINER or RETAINING FEE -
The purpose is to secure beforehand the
services of an attorney for any legal problem
that may afterward arise.
2) SPECIAL RETAINER - The purpose is to a
particular case or service. (Agpalo, Legal and
Judicial Ethics, p. 186)
Q: What are the two (2) KINDS of attorney’s
lien?
A:
1) CHARGING LIEN - an equitable right to have
fees and lawful disbursements due a lawyer
for his services in a suit secured to him out of
the judgment for the payment of money and
executions issued in pursuance thereof in the
particular suit.
2) RETAINING LIEN - a right merely to retain
the funds, documents and papers as against
the client until the attorney is fully paid.
LIEN? (FERN-C)
A:
1) Favorable judgment secured by the counsel
for his client which judgment is a money
judgment;
2) Existence of a lawyer-client relationship;
3) Attorney Rendered services;
4) Nothing in the records of the case through the
filing of an appropriate motion of the
statement of the lawyer’s claim for attorney’s
fee with copies furnished to the client and
adverse party; and,
5) Attorney has a Claim for attorney’s fees or
advances.
Q: What are the REQUISITES OF A RETAINING
LIEN? (PUR)
A:
1) Lawful Possession by the lawyer of the
client’s funds, documents and papers in his
professional capacity;
2) Unsatisfied claim for attorney’s fees; and,
3) Attorney-client Relationship.
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Q: Compare the 2 liens: How When When client loses

A: See table. extinguished possession action as lien may
lawfully ends only be enforced
RETAINING CHARGING LIEN when as lawyer against judgment
LIEN voluntarily parts awarded in favor
with funds, of client, proceeds
documents and thereof executed
Nature PASSIVE Lien; ACTIVE lien; may papers of client thereon.
cannot be be enforced by or offers them as
actively execution. evidence.
enforced. Special lien.
General lien.
Q: is a lawyer entitled to fees in case of
Basis Lawful Securing a REFERRAL?
possession of favorable money A: YES, but he must obtain the consent of the
papers, judgment for the
client first. According to Rule 20.02, a lawyer
! documents, client.
| property shall, in cases of referral, with the consent of the
belonging to client, be entitled to a division of fees in proportion
client. to the work performed and responsibility
assumed.
Coverage Covers papers, Covers all
I documents and judgment for the Q: What is the EXCEPTION to this Canon?
properties in the payment of money
A: A lawyer may receive compensation from a
lawful and execution
possession of issued in person other than his client when the latter has
i the attorney by pursuance of such full knowledge and approval thereof. (Rule 138,
reason of his judgments. Sec. 20[e], ROC)
professional
employment. Q: What should a lawyer do in dealing with
controversies regarding his compensation?
Time it takes As soon as the As soon as the A: A lawyer shall avoid controversies with clients
effect attorney is in claim for
possession of attorney’s fees
concerning his compensation and shall resort to
l papers, has been entered judicial action only to prevent imposition, injustice
documents or into the records of or fraud. (Rule 20.04, CPR)
property. the case.
Q: Are stipulations regarding payments
Notice It is not Notice must be illegal?
necessary to served upon client A: NO. Stipulation regarding payments of
notify client and adverse party
attorney’s fees is not illegal/immoral and is
enforceable as the law between the parties
Applicability May be Generally provided such stipulation does not contravene
exercised before exercisable only law, good morals, etc.
judgment or when the attorney
execution or already secured a Q: When is counsel NOT allowed to recover
regardless favorable the full amount despite written contract for
thereof. judgment for his
client. attorneys5fees? (FUN DAW)
A:
1) When the lawyer is guilty of Fraud or bad faith
toward his client;
2) When the stipulated fees are
Unconscionable;
3) When the counsel’s services are worthless
because of his Negligence;
4) Justified Dismissal of attorney (payment: in
quantum meruit only);

Page 34 of 103
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5) Serving Adverse interest unless proved that
it was consented by both parties; and,
6) When he Withdraws before the case is
finished.
Q: When can ATTORNEY’S FEES IN THE
CONCEPT OF DAMAGES be awarded?
(MALA-SUN-RIC2ES)
A:
1) In criminal cases of Malicious prosecution;
2) When there is Agreement;
3) When defendant’s action or omission
compelled plaintiff to Litigate;
4) When exemplary damages are Awarded;
5) In actions for Support;
6) When the action is clearly Unfounded;
7) When defendant acted in gross Negligence
and bad faith;
8) In cases of Recovery of wages;
9) In actions for Indemnity under workmen’s
compensation and employee’s liability laws;
10) In a separate civil action arising from a
Crime;
11) When at least double Costs are awarded;
12) When the court deems it just and Equitable;
and.
13) When a Special law so authorizes.
Q: What is QUANTUM MERUIT?
A: It means as much as the lawyer deserves or
such amount as his services merit.
Q: How are Attorney’s Fees determined based
on Quantum Meruit? (TINS)
A:
1) Time spent and extent of the services
rendered or required;
2) Importance of the subject matter;
3) Novelty and difficulty of questions involved;
and,
4) Skill demanded of a lawyer.
CANON 21: PRESERVING CLIENT’S
CONFIDENCE
SUMMARY OF RULES UNDER CANON 21
1) Not to reveal client’s confidence (Rule 21.01,
CPR)]
2) Not to use client’s secrets without the latter’s
consent (Rule 21.02, CPR)]
3) Not to give information from files (Rule 21.03,
CPR)]
Page 35 of 103
ETHICS
4) To disclose affairs of client to partners (Rule
21.04, CPR)]
5) To adopt measures against disclosure of
client’s secrets (Rule 21.05, CPR)]
6) To avoid indiscreet conversation about
client’s affairs (Rule 21.06, CPR)] and,
7) Not to reveal his/her having been consulted
(Rule 21.06, CPR).
Q: What is CONFIDENCE in relation to this
Canon?
A: It refers to information protected by the
attorney-client privilege.
Q: What is a SECRET?
A: It refers to other information gained in the
professional relationship that the client has
regulated to be held inviolate or the disclosure of
which would be embarrassing or would likely be
detrimental to the client.
Q: Are all types of secrets confidential?
A: NO. The obligation to keep secrets covers only
lawful purposes.
Q: What is the BURDEN of the confidential
relationship between the lawyer and his
client?
A: Among the burdens of the relationship is that
which enjoins the lawyer to keep inviolate
confidential information acquired or revealed
during legal consultations. The fact that one is, at
the end of the day not inclined to handle the
client’s case is hardly of consequence. The fact
that no formal professional engagement follows
the consultation. Nor will it make any difference
that no contract whatsoever was executed by the
parties to memorialize the relationship (Hadjula v.
Madianda, A.C. No. 6711, 2007)
Q: Are all types of communication between
the lawyer and the client confidential?
A: NO. The mere establishment of a client-lawyer
relationship does not raise a presumption of
confidentiality. There must be intent or that the
communication relayed by the client to the lawyer
be treated as confidential. (Mercado v. Atty
Vitriolo, A.C. No. 5108, 2005)
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Q: What are the REQUISITES FOR
PRIVILEGED COMMUNICATION to exist? (R-
Con-Prof)
A:
1) There exists an attorney-client Relationship,
or a prospective attorney-client relationship,
and it is by reason of this relationship that the
client made the communication;
2) The client made the communication in
Confidence; and,
3) The legal advice must be sought from the
attorney in his Professional capacity.
(Jimenez v. Atty; Francisco, AC. No. 10548,
2014)
Q: What are the EXCEPTIONS for the non­
disclosure of communications?
A:
1) Consent or waiver by the client;
2) When disclosure is required by law;
3) When disclosure is made to protect the
lawyer’s rights (i.e. to collect his fees or
defend himself); and,
4) When such communications are made in
contemplation of a crime or the perpetuation
of a fraud.
Q: What should a lawyer do to keep the
confidences of his client secret?
A:
1) He shall adopt measures to prevent those
whose services are utilized by him from
disclosing or using confidences or secrets of
his client. (Rule 21.05, CPR)
2) He shall avoid indiscreet conversation about
a client’s affairs even with members of his
family. (Rule 21.06, CPR)
3) He shall not reveal that he has been
consulted about a particular case except
when necessary to avoid a possible conflict
of interest. (Rule 21.07, CPR)
CANON 22: WITHDRAWING SERVICES FOR
A GOOD CAUSE
SUMMARY OF RULES UNDER CANON 22
1) To withdraw only for good cause (Ml VIDEO)
(Rule 22.01, CPR)] and,
a) When the Mental or physical condition of
the lawyer renders it difficult for him to
carry out the employment effectively;
b) When his Inability to work with co­
counsel will promote the best interest of
the client;
Page 36 of 103
ETHICS
c) When the client insists that the lawyer
pursue conduct Violative of the canons
and rules;
d) When the client pursues an Illegal or
immoral course of conduct in connection
with the matter he is handling;
e) When the client Deliberately fails to pay
the fees for the services or fails to comply
with the retainer agreement;
f) When the lawyer is Elected or appointed
to a public office; and,
g) Other similar cases.
2) Not be prejudiced by such withdrawal to
attorney’s lien (Rule 22.02, CPR).
Q: What are the two (2) KINDS OF
APPEARANCE?
A:
1) GENERAL APPEARANCE is that kind
where the party comes to court either as
plaintiff or defendant and seeks general relief
from the court for satisfaction of his claims or
counterclaims respectively.
2) SPECIAL APPEARANCE is that kind where
a defendant appears in court solely for the
purpose of objecting to the jurisdiction of the
court over his person. The aim is simply the
dismissal of the case. If the defendant seeks
other relief, the appearance, even if qualified
by the word special, is equivalent to a general
appearance.
Q: What is the EFFECT OF WILLFULLY
APPEARING WITHOUT BEING RETAINED?
A:A lawyer may not represent a litigant without
authority from the latter or from the latter’s
representative or, in the absence thereof, without
leave of court. His unsolicited appearance in
court for the insured, in the absence of attorney-
client relationship, is unbecoming of a member of
the bar. The lawyer’s appearance for a party
without the latter’s authority must be willful,
corrupt or contumacious in order that he may be
held liable held therefor. If he acts in good faith,
then the complaint for suspension or disbarment
must fail. (Garrido v. Quisumbing, A.M. No. L-840,
1969)
Q: After a lawyer withdraws his service, what
should he do?
A: The lawyer shall, subject to a lien, turn over all
papers and property to which his client is entitled
to. He shall also cooperate with his successor in
the orderly transfer of the matter, including all
ATENEO CENTRAL
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information necessary for the proper handling of
the matter. (Rule 22.02, CPR)
Q: If a person, in respect to his business
affairs or troubles of any kind, consults with
his attorney in his professional capacity with
the view of obtaining professional advice or
assistance, and the attorney voluntarily
permits or acquiesces in such consultation, is
a professional relationship established
between them?
A: YES. An attorney is engaged in his
professional capacity as a lawyer or counsel
when he is listening to his client’s preliminary
statement of his case, or when he is giving advice
thereon, just as truly as when he is drawing his
client’s pleadings or advocating his client’s cause
in open court. (Hilado vs. David, G.R. No. L-961,
1949)
Q: How is a lawyer withdrawn or dismissed
from a case?
A: The withdrawal as counsel of a client or
the dismissal by the client of his counsel, must be
in a formal petition filed in the case. Attorney-
client relationship does not terminate formally
until there is withdrawal made of record. Unless
properly relieved, counsel is responsible for the
conduct of the case. (Tumbangahan v. CA, G.R.
No. L-32684, 1988)
Q: What are the REQUIREMENTS FOR THE
SUBSTITUTION OF ATTORNEYS? (C2AP)
A:
1) Written Consent of client;
2) Written Consent of attorney to be substituted;
3) Written Application; and,
4) If the consent of the attorney to be substituted
cannot be obtained, there must be at least a
Proof of notice that the motion for substitution
has been served upon him, in the manner
prescribed by the rules.
Q: When is the attorney-client relationship
TERMINATED? (IF-CAW-D5)
A:
1) Intervening incapacity or incompetence of the
client during the pendency of the case, for
then the client loses his capacity to contract,
or to control the subject matter of the action.
The guardian may authorize the lawyer to
continue his employment;
2) Full termination of the case or case;
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3) Conviction for a crime and imprisonment of
the lawyer for quite some time;
4) Appointment or election of a lawyer to the
government position which prohibits private
practice of law;
5) Withdrawal of the lawyer under Rule 22.01;
6) Death of the lawyer, unless it is a Law Firm,
in which case, the other partners may
continue with the case;
7) Death of the client as the relationship is
personal, and one of agency
8) Discharge or dismissal of the lawyer by the
client, for the right to dismiss a counsel is the
prerogative of the client, subject to certain
limitations;
9) Disbarment or suspension of the lawyer from
the practice of law;
10) Declaration of the presumptive death of the
lawyer (Art. 390, NCC; Art. 41, Family Code
“FC” for brevity)
Q: How does a LAWYER terminate the
attorney-client relationship?
A: By procuring the written consent of his client or
by permission of the court after due notice and
hearing, which the attorney ensures that the
name of the new attorney is recorded. If he
cannot get the written consent, he must make an
application to the court, as the relation does not
terminate until there is a withdrawal of the record.
He must serve a copy of his petition upon his
client and the adverse party at least 3 days before
the date set for hearing. (Visitacion v. Manit, G.R.
No. L-27231, 1969)
Q: Is the procedure the same when the
CLIENT terminates the relationship?
A: NO. A client has the absolute right to
discharge his attorney at any time with or without
cause or even against his consent.
Q: Atty. X filed a notice of withdrawal of
appearance as counsel for the accused Y after
the prosecution rested its case. The reason
for the withdrawal of Atty. X was the failure of
accused Y to affix his conformity to the Atty.
X’s demand for increase in attorney’s fees. Is
the ground for withdrawal justified? Explain.
A: The inability of a client to pay the attorney’s
fees or the cost of litigation does not justify the
lawyer’s withdrawal from the action (In re
Carmen, cited by Agpalo, p. 283) unless the client
deliberately disregards an agreement as to
compensation or expenses. There being no
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agreement, Atty. X’s ground for withdrawal is not
justified. It must be remembered that in a criminal
proceeding, counsel for an accused should not
ask to be relieved from his professional
responsibility on mere trivial ground. (Ledesma v.
Climaco, G.R. No. L-23815, 1974)
C. LIABILITIES OF LAWYERS
DISBARMENT PROCEEDINGS
Q: What is the NATURE OF DISBARMENT
PROCEEDINGS?
A: A disbarment case is su i generis for it is
neither purely civil nor purely criminal, but is
rather an investigation by the court into the
conduct of its officers. Hence, an administrative
proceeding for disbarment continues despite the
desistance of a complainant, or failure of the
complainant to prosecute the same, or in this
case, the failure of respondent to answer the
charges against him despite numerous notices.
(Bunugan-Bansig vs. Atty. Cetera, A.C. No. 5581,
2014)
A disciplinary proceeding as a member of the bar
is impliedly instituted with the filing of an
administrative case against a justice of the
Sandiganbayan, Court of Appeals and Court of
Tax Appeals or a judge of a first- or second-level
court. (Campos v. Atty. Campos, A.C. No. 8644,
2014)
Q: Must the person, who initiates disbarment
proceedings, be a REAL PARTY IN
INTEREST?
A: NO. The right to institute a disbarment
proceeding is not confined to clients nor is it
necessary that the person complaining suffered
injury from the alleged wrong. (Atty. Navarro v.
Atty Nemeses III, CBD A.C. No. 313, 1998) This
is because disbarment proceedings are matters
of public interest. The requirement in ordinary civil
actions that only the real party-in-interest must
initiate the suit does not apply in disbarment
cases. (Figueras v. Jimenez, A.C. No. 9116,
2014) The complainant in disbarment cases is in
no sense a party, and generally has no interest in
the outcome.
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ETHiCS
Q: Can a case of suspension or disbarment
proceed regardless of interest or lack of
interest of the injured client?
A: Yes. A case of suspension or disbarment may
proceed regardless of interest or lack of interest
of the injured complainant. What matters is
whether, on the basis of the facts borne out by the
record, the charge of deceit and grossly immoral
conduct has been proven. This rule is premised
on the nature of disciplinary proceedings. A
proceeding for suspension or disbarment is not a
civil action where the complainant is a plaintiff
and the respondent lawyer is a defendant.
Disciplinary proceedings involve no private
interest and afford no redress for private
grievance. They are undertaken and prosecuted
solely for the public welfare. (Spouses Umaguing
v. De Vera, A.C No. 10451, February 04, 2015)
Q: Is the complainant required to suffer
INJURY?
A: NO. The complainant need not suffer injury.
The right to institute a disbarment proceeding is
not confined to clients nor is it necessary that the
person complaining suffered injury from the
alleged wrong. This is because disbarment
proceedings are matters of public interest.
Q: What KIND OF EVIDENCE Is required in
disbarment proceedings?
A: Considering the serious consequence of the
disbarment or suspension of a member of the
Bar, this Court has consistently held that clear
preponderant evidence is necessary to justify the
imposition of the administrative penalty.
(Bunugan-Bansig vs. Atty Cetera, A.C. No. 5581,
2014)
Q: Will criminal prosecution constitute a
PREJUDICIAL QUESTION in the disbarment
proceedings?
A: NO. Criminal prosecution will not constitute a
prejudicial question even if the same facts and
circumstances are attendant in the administrative
proceedings. (Gatchalian Promotions Talent
Pool, Inc. v. Naldoza, A.C. No. 4017, 1999)
Q: May the Supreme Court take up the
removal or suspension of lawyers from the
practice of law on its OWN MOTION?
A: YES. Proceedings for the removal or
suspension of attorneys may be taken by the
Supreme Court on its own motion or upon the
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complaint under oath of another in writing. (Rule
139, Sec. 1, ROC)
Q: What is the EFFECT OF DESISTANCE in a
disbarment complaint?
A: Desistance or withdrawal of the disbarment
case does not exonerate the lawyer. (Ylaya v.
Atty. Gacott, A.C. No. 6475, 2013) A case of
suspension or disbarment may proceed
regardless of the interest or lack of interest of the
complainant. (Quiachon v. Atty. Ramos, A.C. No.
9317, 2014) Hence, if the evidence on record
warrants, the respondent may be suspended or
disbarred despite the desistance of complainant
or his withdrawal of the charges. (Rayos-Ombac
v. Rayos, A.C. No. 2884, 1998)
Q: C filed a verified administrative complaint
against Atty. D. In the course of the
investigation, C presented an affidavit of
desistance which she identified on the
witness stand. What course of action should
the investigator take? Explain.
A: The desistance of a complainant in disbarment
proceedings or his withdrawal of the charges
against a lawyer does not deprive the court of the
authority to proceed to determine the matter. Nor
does it necessarily result in the dismissal of the
complaint, except when, as a consequence of
withdrawal or desistance, no evidence is adduced
to prove the charges. Since disbarment
proceedings are neither a civil nor a criminal
action but one presented solely for public interest,
the fact that the complainant and the respondent
have considered the case closed, is unimportant.
(Bar question #6, 1994)
The investigator should still proceed with the
investigation of the charges.
Q: What is the BURDEN OF PROOF in
disciplinary proceedings?
A: In the absence of contrary proof, the
presumption is that the lawyer is innocent of the
charges and has performed his duty as an officer
of the court in accordance with his oath. (Acosta
v. Serrano, A.C. No. 1246, 1977) The burden of
proof rests upon the complainant to overcome the
presumption. (Baldoman v. Luspo, A.C. No.
1081,1975)
In disciplinary proceedings against members of
the bar, only “clear preponderance of evidence” is
required to establish liability. As long as the
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evidence presented by complainant or that taken
judicial notice of by the Court is more convincing
and worthy of belief than that which is offered in
opposition thereto, the imposition of disciplinary
sanction is justified. (Pimentel, Jr. v. Llorente,
A.C. No. 4680, 2000)
Q: Are disciplinary proceedings confidential?
A: A disciplinary proceeding against an attorney
is confidential in nature until its final
determination. (Murillo v. Superable, Jr., A.C. No.
341, 1960) The exception is when the
confidentiality is waived. (Villalon v. Intermediate
Appellate Court, G.R. No. 73751, 1986)
Q: What is the PURPOSE OF
CONFIDENTIALITY in disciplinary
proceedings? (PED)
A:
1) To Protect the personal and professional
reputation of attorneys from baseless
charges by disgruntled, vindictive, and
irresponsible persons or clients by prohibiting
the publication of such charges pending final
resolution;
2) To Enable the court to make its investigation
free from any extraneous influence or
interference; and,
3) To Deter the press from publishing the
charges or proceedings based thereon.
(Villalon v. Intermediate Appellate Court, G.R.
No. 73751, 1986)
Q: What is the PROCEDURE for disbarment?
A:
1) Instituted either by: (SIV)
a) The Supreme Court, motu proprio; or
b) The IBP, motu proprio; or
c) Upon verified complaint by any person
2) Six copies of the verified complaint shall be
filed with the Secretary of the IBP or
Secretary of any of its chapter and shall be
forwarded to the IBP Board of Governors.
3) Investigation by the National Grievance
investigators.
4) Submission of investigative report to the IBP
Board of Governors.
5) Board of Governors decides within 30 days.
6) Investigation by the Solicitor-General
7) SC renders final decision for disbarment/
suspension/ dismissal (Rule 139-B, ROC; as
amended by B.M. 1645, October 15, 2015)
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Notes:
1) If the respondent fails to file an answer, the
Solicitor General shall first conduct an
investigation to determine if there is sufficient
ground to proceed with the prosecution of the
respondent. Thereafter, he may submit a
report recommending its dismissal or the
corresponding complaint. (Rule 139, Secs. 3
& 4, ROC)
2) The evidence that shall be considered are
those which are adduced before the lower
court, those adduced during the investigation
of the Solicitor General and any additional
evidence the respondent introduces. (Rule
139, Sec. 6, ROC)
3) If the respondent does not appear during the
hearing to introduce additional evidence, the
hearing shall proceed ex parte.
Q: How many days does the respondent have
to respond to the complaint against him?
A: The respondent shall be required to comment
within ten (10) days from the date of service.
Otherwise, the same shall be dismissed. (Rule
140, Section 2, ROC)
Q: What defenses are not available to a lawyer
in a disciplinary proceeding? (Double-Pari-
Good-PARE2)
A:
1) DOUBLE jeopardy is not available to a
lawyer in a disciplinary proceeding. (De
Jesus-Paras v. Vailoces, A.C. No. 439, 1961);
2) When both parties are in PARI delicto
(Mortel v. Aspiras, G.R. No. L-9152, 1956);
3) GOOD faith, except when bad faith or
willfulness is an indispensable element of the
charge against the lawyer (Rheem of the
Philippines v. Ferrer, G.R. No. L-22979,
1967)]
4) Pardon by the offended party (Tiong v.
Florendo, A.C. No. 4428, 2011)]
5) Acquittal of a lawyer of a crime upon which
the disbarment proceeding is based (in re Del
Rosario, 52 Phil. 399, 1928);
6) Restitution to the injured person;
7) Estoppel; and,
8) Executive pardon (In re Gutierrez, A.C. No. L-
363, 1962)
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Q: May a lawyer benefit from MODIFYING
CIRCUMSTANCES (Le., justifying
circumstances, exempting circumstances,
etc.) in disciplinary proceedings?
A: YES. The extent of disciplinary sanctions
which the court may impose against an erring
lawyer may depend upon the attendance of
mitigating circumstances. Generally, the
presence of mitigating circumstances may justify
suspension instead of disbarment (In re Tagorda,
G.R. No, 32329, 1929), and censure or reprimand
instead of suspension (Acuna v. Dunca, A.C. No.
138, 1961). The inverse rule may apply where
aggravating circumstances are present. (Visayan
Stevedore Transp. Co. v. CIR, G.R. No. L-21696,
1977)
Q: Do lawyers benefit from a presumption of
innocence during disbarment proceedings?
A: Yes. In suspension or disbarment proceedings,
lawyers enjoy the presumption of innocence and
the burden of proof rests upon the complainant to
clearly prove their allegations by preponderant
evidence. In the absence of such, the
presumption of innocence of the lawyer continues
and the complaint against the lawyer must be
dismissed. (Jasper Junno F. Rodica v. Atty.
Manuel Lazaro, AC No. 9259, August 23, 2012)
Q: When is a trial type hearing no longer
necessary in disciplinary proceedings?
A: Where the facts of record sufficiently provide
the basis for the determination of a lawyer’s
administrative liability, he may be disciplined or
disbarred by the Supreme Court without further
inquiry or investigation. A trial type hearing is not
necessary, as the lawyer has been fully heard in
his pleadings. (Prudential Bank v. Castro, A.M.
No. 2756, 1986)
Q: May the Supreme Court order the payment
of amounts owed during disciplinary
proceedings?
A: As a GENERAL RULE, in disciplinary
proceedings against lawyers, the SC cannot
order the guilty lawyer to pay the amounts he
owes to the complaining party because the
Court’s only concern is the determination of
administrative liability. The Court’s findings have
no material bearing on other judicial actions
which the parties may choose to file against each
other. (The Flight Shop, Inc. v. Barican, G.R. No.
9950, 2014)
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EXCEPTION: When a lawyer receives money
from a client for a particular purpose involving the
client-attorney relationship. In these cases, the
lawyer is bound to render an accounting to the
client showing that the money was spent for that
particular purpose. If the lawyer does not use the
money for the intended purpose, he must return
the money to his client. Thus, in a 2014
disbarment case where the lawyer received
advances from his client to defray the expenses
connected with a case he was handling, and
where the lawyer failed to account for these
sums, the SC directed the lawyer to return the
amounts given by his client. (Navarro v. Solidum,
A.C. No. 9872, 2014)
DISCIPLINE OF LAWYERS
Q: What are the GROUNDS for disciplining
lawyers?
A:
1) In General (M.U.)
a) Misconduct or malpractice
b) Unprofessional conduct
2 ) Breach of Duties to the Court
a) Obstructing justice and abuse of legal
process
b) Misleading the court
c) Forum Shopping
d) Proffering false charges
e) Introducing false evidence
f) Blackmail
g) Willfully disobeying the court orders and
disrespect to the court
h) Using vicious or disrespectful language
i) Continuing to practice after suspension
3) Breach of Duties to the Client
a) Negligence in the performance of duties
b) Employment of lawful means
c) Deceit or misrepresentation
d) Representing adverse interests and
revealing client’s secrets
e) Purchasing client’s property in litigation
f) Failing to account for or misappropriating
client’s property
g) Collecting unreasonable fees
h) Acting without authority
i) Willfully appearing without being retained
4) Breach of Duties to the Bar
a) Unethical conduct
b) Defaming fellow lawyer
c) Communicating with adverse party
d) Soliciting business
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e) Cooperating in illegal practice of law
5) Other Grounds for Discipline
a) Nonprofessional misconduct
b) Gross immorality
c) Conviction of crime involving moral
turpitude
d) Misconduct in the discharge of duties as
a public officer
e) Misconduct as notary public
f) Nonpayment of IBP dues
Q: Is the enumeration EXCLUSIVE?
A: NO. The enumeration is not exclusive. A
lawyer may be removed from office or suspended
from the practice of law on the grounds other than
those specifically provided in the law. (Royong v.
Oblena, A.C. No. 376, 1963) Any misconduct on
the part of a lawyer in his professional or private
capacity which shows him to be wanting in moral
character may justify his suspension or removal
from office even though the law does not specify
the acts as a ground for disciplinary action.
Q: What is GROSS MISCONDUCT?
A: Gross Misconduct is an inexcusable,
shameful, flagrant, or unlawful conduct on the
part of the person concerned in the administration
of justice which is prejudicial to the rights of the
parties or to the right determination of a cause. It
is a conduct that is generally motivated by a
premeditated, obstinate or intentional purpose.
(Lahm III v Mayor, Jr., A.C. No. 7430, 2012)
Q: What is MALPRACTICE?
A: Malpractice ordinarily refers to any
malfeasance or dereliction of duty committed by
a lawyer. (Tan Tek Beng v David, A.C. No. 1261,
1983)
Q: What is UNPROFESSIONAL CONDUCT?
A: Unprofessional Conduct in an attorney is that
which is unbecoming a member of that
profession. (Ricafort v. Bansil, A.C. No. 6298,
2004)
LIABILITIES OF LAWYERS
Q: What are the CIVIL LIABILITIES of a
lawyer? (PB-TV-LC)
A:
1) Client is Prejudiced by lawyer's negligence or
misconduct;
2) Breach of fiduciary obligation;
3) Civil liability to Third persons;
4) Libelous words in pleadings;
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5) Violation of communication privilege; and,
6 ) Liability for Costs of suit (treble costs) - when
a lawyer is made liable for insisting on client's
patently unmeritorious case or interposing
appeal merely to delay litigation.
Q: What are the CRIMINAL LIABILITIES of a
lawyer? (PR2IM)
A:
1) Prejudicing client through malicious breach of
professional duty;
2) Revealing client’s secrets;
3) Representing adverse interests;
4) Introducing false evidence; and,
5) Misappropriating client's funds (estafa).
Q: What are the two (2) TYPES OF
CONTEMPT?
A:
1) Direct; and,
2) Indirect.
Q: What Is DIRECT CONTEMPT?
A:
It consists of misbehavior in the presence of or so
near a court or judge as to interrupt or obstruct
the proceedings before the court or the
administration of justice; punished summarily
(Rule 71, Section 1, ROC).
It is failure to do something ordered by the court
which is for the benefit of a party.
An imputation in a pleading of gross ignorance
against a court or its judge, especially in the
absence of any evidence, is a serious allegation,
and constitutes direct contempt of court.
Derogatory, offensive or malicious statements
contained in pleadings or written submissions
presented to the same court or judge in which the
proceedings are pending are treated as direct
contempt because they are equivalent to a
misbehavior committed in the presence of or so
near a court or judge as to interrupt the
administration of justice. This is true, even if the
derogatory, offensive or malicious statements are
not read in open court. (Habawel v. CTA, G.R. No.
174759f 2011)
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Q: What are the acts which would constitute
contempt? (MD-P2UB)
A:
1) Misbehavior;
2) Disobedience;
3) Publication concerning pending litigation;
4) Publication tending to degrade the court;
5) Unauthorized practice of law; and,
6) Belligerent attitude.
Q: Atty. A was found guilty of indirect
contempt by the Regional Trial Court and
summarily suspended indefinitely from the
practice of law. Atty. A appealed to ♦he
Supreme Court by way of Rule 45. Is his
appeal meritorious?
A: YES. Indirect contempt may not be punished
summarily. There must first be a charge in writing
and an opportunity for the respondent to
comment. (Rule 71, Sec. 3, ROC)
Q: What are the GROUNDS FOR
DISBARMENT OR SUSPENSION? (MAC
DOWG)
A:
1) Malpractice or other gross misconduct in
office;
2) Corrupt or willful Appearance as attorney for
a party to a case without authority to do so;
3) Conviction of a crime involving moral
turpitude;
4) Deceit;
5) Violation of Oath of office;
6) Willful disobedience of any lawful order of a
superior court; and,
7) Grossly immoral conduct. (Rule 138, Sec. 27,
ROC)
Q: Are the grounds for suspension exclusive?
A: NO. A lawyer may be suspended from the
practice on grounds other than those provided by
law. Misconduct on the part of the lawyer that
shows want of moral character may justify
suspension or removal (In re Sotto, G.R. No.
14576, 1919)
Q: Discuss misconduct BEFORE or INCIDENT
TO admission to the practice of law.
A: Broadly speaking, the grounds for disbarment
or suspension of a lawyer consist of those acts of
misconduct committed before and after his
admission to practice. Two important requisites
must concur before he may be suspended or
disbarred for misconduct committed before his
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admission. First, the act imputed to him must be
so corrupt and false as to constitute a criminal act
or so unprincipled as to be reprehensible to a high
degree (Soberano v. Villanueva, AC. No. 215,
1962)] and second, the act charged must be
established by clearly preponderant evidence.
(Lim v. Antonio, A.C. No. 848, 1971)
Q: Discuss misconduct AFTER admission to
the practice of law.
A: Grounds for suspension or disbarment
based on acts committed after the lawyer’s
admission to the bar are those which cause loss
of moral character on his part (Advincula v. Atty.
Macabata, A.C. No. 7204, 2007) or involve a
violation of his duties to the court, to his client, to
the legal profession and to the public.
Q: What is the effect of misconduct
committed OUTSIDE Philippine jurisdiction?
A: If he commits misconduct outside Philippine
jurisdiction which is also a ground for disciplinary
action under Philippine law, he may be
suspended or disbarred in this country. (In Re
Maquera, B.M. No. 793, 2004, and Velez v. De
Vera, A.C. No. 6697, 2006)
Q: May a lawyer be disbarred for continuing
to practice after his suspension from the
practice of law?
A: YES, because it constitutes gross misconduct
and a willful disregard of the suspension order
which should be obeyed until it is set aside.
A lawyer who is suspended for a fixed period
does not automatically get reinstated and cannot
just resume practice after the period of
suspension. He must first ask the Supreme Court
for permission to resume his practice. (Maniago v
De Dios, A.C. No. 7472, 2010)
Q: D was charged with estafa by C before the
Barangay for misappropriating the proceeds
of sale of jewelry on commission. In
settlement of the case, D turned over to the
Barangay Captain, a lawyer, the amount of
P2,000.00 with the request that the Barangay
Captain turn over the money to C. Several
months passed without C being advised of
the status of her complaint. C contacted D
who informed her that she (D) had long before
turned over the amount of P2,000.00 to the
Barangay Captain who undertook to give the
money to her (C). C thus filed a case against
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the Barangay Captain who at once remitted
the amount of P2,000.00 to C. May the
Barangay Captain be faulted
administratively? Explain.
A: YES. The barangay captain may be faulted
administratively since the act of withholding the
funds in spite of knowledge that such rightfully
belongs to C may be considered evidence of want
of moral character.
The practice of law is a privilege burdened with
conditions. (Ledesma v. Climaco, G.R. No. L-
23815, 1974) A disciplinary action is premised on
the assumption that members of the bar should
be competent, honorable, and reliable, persons in
whom courts and clients may repose confidence.
(Daroy v. Legaspi, A.M. No. 936, 1975)
Generally, any misconduct on the part of a lawyer
in his professional or private capacity which
shows him to be wanting in moral character may
justify his suspension or removal from office even
though the law does not specify the act as a
ground for disciplinary action. (Santos v. CFI,
G.R. No. 58532, 1990) The reason is that the
continuous possession of good moral character is
a condition for the privilege to practice law and if
that condition is broken by any act of misconduct
on the part of the lawyer, the withdrawal of the
privilege is justified. (Agpalo, Legal and Judicial
Ethics, p. 381, 2009, citing Model v. Aspiras G.R.
No. L-9152, 1956)
Q: Is the court required to mete out the
penalty of disbarment in all cases of gross
misconduct?
A: NO. There are cases when suspension will
suffice. In a case where X engaged the services
of Atty. Y for the fee of Php 42,000 for the purpose
of contracting an annulment of marriage, and
where Atty. Y, supposedly presented a petition for
annulment which bore the stamp receipt of the
RTC but failed to follow up such case or notify X
of the developments of the case, the court ruled
that suspension will suffice. There was clear and
convincing evidence that Atty. Y indeed authored
such a reprehensible act. Atty. Y did indeed
misrepresent that he had already filed a petition
for annulment on behalf of X. He even went to the
extent of presenting to X a supposed copy of the
petition. The code exacts from layers not only a
firm respect for law, legal processes but also
mandates the utmost degree of fidelity and good
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faith in dealing with clients and the money’s
entrusted to them pursuant to their fiduciary
relationship. In the exercise of the court’s
discretion, the court believes that a four year
suspension suffices. The court has gone through
jurisprudential ruling where the respondents were
found guilty of grave misconduct and/or
dishonesty and the court either disbars or
suspends them based on its collective
appreciation of attendant circumstances. The
Court is not bound to impose the penalty of
disbarment in cases of gross misconduct and/or
dishonesty, if in its appreciation of facts and in the
exercise of its sound discretion. (Grace M. Anacta
v. Atty. Eduardo D. Ressurection, A.C. No. 9074,
August 14, 2012)
Disbarment, jurisprudence teaches, should not
be decreed where nay punishment less severe,
such as reprimand, suspension or fine, would
accomplish the end desired. This is as it should
be considering the consequences of disbarment
on the economic life and honor of the erring
person. (Grace M. Anacta v. Atty Eduardo D.
Ressurection, A.C. No. 9074, August 14, 2012)
D, READMISSiON TO THE BAR
REINSTATEMENT OF LAWYERS
Q: What is REINSTATEMENT?
A: It is the restoration to a disbarred lawyer of the
privilege to practice law.
Q: What are the FACTORS considered in the
reinstatement of lawyers? (ANTA)
A: The following factors are considered:
1) Applicant’s character and standing prior to
disbarment;
2) Nature and character of the charge;
3) Time that has elapsed between the
disbarment and the application for
reinstatement; and,
4) Applicant’s conduct subsequent to the
disbarment.
Whether or not the applicant shall be reinstated
rests on the discretion of the court. (Cui v. Cui,
G.R. No. L-18727, 1964)
Q: Is reinstatement AUTOMATIC?
A: NO. Before one can be reinstated, there is a
need to file the appropriate petition with the
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Supreme Court. (In re: Rovero, A.C. No. 126,
1980)
Q: What is the EFFECT OF EXECUTIVE
PARDON?
A: Executive pardon which is defined as an
absolute pardon by the President is one that
operates to wipe out the conviction as well as the
offense itself, and the grant thereof in favor of a
lawyer is a bar to a proceeding for disbarment
against him based solely on the commission of
such offense. (In re Parcasio, A.M No. 1000,
1976)
However, an absolute pardon subsequently
granted to a lawyer who had previously been
disbarred for conviction of a crime does not
automatically entitle him to reinstatement to the
bar, because only the Supreme Court can
reinstate a disbarred lawyer. (In re Rovero, A.C.
No. 126, 1952)
Q: What is the EFFECT OF CONDITIONAL
PARDON?
A: A conditional pardon or the remission of the
unexpired portion of the sentence does not
operate as a bar to the disbarment proceeding.
(In re Lontok, 43 Phil. 293, 1922)
E. MANDATORY CONTINUING LEGAL
EDUCATION (BAR MATTER NO. 850, AS
AMENDED)
BAR MATTER 850 - MANDATORY
CONTINUING LEGAL EDUCATION (MCLE)
Adopting the Rules on the Continuing Legal
Education of Members of the Integrated Bar
o f the Philippines, 22 August 2000
[Note: A brief discussion on the recently released
Rule on Community Legal Aid and Service, A.M.
No. 17-03-09-SC (hereinafter “Rule on CLAS”)
has been added.]
Q: What is the purpose of MANDATORY
CONTINUING LEGAL EDUCATION (MCLE)?
A: It is required of members of the Integrated Bar
of the Philippines (hereinafter “IBP”) to ensure
that throughout their career, they keep abreast
with law and jurisprudence, maintain the ethics of
the profession, and enhance the standards of the
practice of law.
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Q: What are the REQUIREMENTS OF
COMPLETION of MCLE?
A: Members of the IBP shall complete every 3
years at least 36 hours of continuing legal
education activities.
Q: How are 36 hours divided?
A: The 36 hours shall be divided as follows:
1) 2 hours - International Law and International
Conventions;
2) 4 hours - Trial and Pretrial Skills;
3) 4 hours - Legal Writing and Oral Advocacy;
4) 5 hours - Alternative Dispute Resolution;
5) 6 hours - Legal Ethics;
6) 9 hours - Updates on substantive and
procedural laws and jurisprudence; and,
7) Remaining 6 hours - Such other subjects as
may be prescribed by the Committee on
MCLE.
Q: Are all members obligated to fulfill the
requirements of completion?
A: YES. But a member may file a verified request
setting forth good cause for exemption (such as
physical disability, illness, post-graduate study
abroad, proven expertise in law, etc.) from
compliance with or modification of any of the
requirements, including an extension of time for
compliance, in accordance with procedure to be
established by the Committee on MCLE.
Q: Who are EXEMPT from MCLE?
A:
1) The President and the Vice President of the
Philippines, and the Secretaries and
Undersecretaries of Executive Departments;
2) Senators and Members of the House of
Representatives;
3) The Chief Justice and Associate Justices of
the Supreme Court, incumbent and retired
members of the judiciary, incumbent
members of Judicial Bar Council, incumbent
members of the Mandatory Continuing Legal
Education Committee, incumbent court
lawyers who have availed of the Philippine
Judicial Academy programs of continuing
judicial education;
4) The Chief State Counsel, Chief State
Prosecutor and Assistant Secretaries of the
Department of Justice;
5) The Solicitor General and the Assistant
Solicitors General;
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ETHICS
6) The Government Corporate Counsel, Deputy
and Assistant Government Corporate
Counsel;
7) The Chairmen and Members of the
Constitutional Commissions;
8) The Ombudsman, the Overall Deputy
Ombudsman, the Deputy Ombudsman and
the Special Prosecutor of the Office of the
Ombudsman;
9) Heads of government agencies exercising
quasi-judicial funclions;
10) Incumbent deans, bar reviewers and
professors of law who have teaching
experience for at least ten (10) years in
accredited law schools;
11) The Chancellor, Vice-Chancellor and
members of the Corps of Professors and
Professorial Lecturers of the Philippine
Judicial Academy;
12) Governors and Mayors;
13) Those who are not in law practice, private or
public;
14) Those who have retired from law practice
with the approval of the IBP Board of
Governors; and
15) Those who have filed a verified request for
exemption with a good cause (such as
physical disability, illness, post graduate
study abroad, proven expertise in law etc.).
(B.M. 850 as amended)
Q: What must the member submit as PROOF
OF EXEMPTION?
A: A member must submit an application for
exemption from or modification of the MCLE
requirement, which shall be under oath and
supported by documents. (Rule 7, Sec. 5, B.M.
850)
Q: What constitutes NON-COMPLIANCE?
(RARE-NO)
A:
1) Failure to complete education Requirement
within the compliance period;
2) Failure to provide Attestation of compliance
or exemption;
3) Failure to satisfy the education requirement
and furnish evidence of such compliance
within 60 days from Receipt of non-
compliance notice;
4) Failure to provide satisfactory Evidence of
compliance (including evidence of exempt
status) within the prescribed period;
ATENEO CENTRAL
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5) Failure to pay Non-compliance fee within the
prescribed period; or,
6) Any Other act or omission analogous to any
of the foregoing or intended to circumvent or
evade compliance with the MCLE
requirements. (Rule 12, Sec. 1, B.M. 850)
Q: What is a NON-COMPLIANCE NOTICE?
A: It is sent to members who fail to comply with
the MCLE requirements. It states the specific
deficiency and gives the lawyer 60 days from date
of notification to file a response. (Rule 12, Sec. 2,
B.M. 850)
Q: What are the CONSEQUENCES of non-
compliance?
A:
1) A member who fails to comply with the
requirements after the 60-day period shall be
listed as delinquent member by the IBP
Board of Governors upon recommendation of
the Committee on MCLE.
2) The listing as a delinquent member is
administrative in nature but shall be made
with notice and hearinq by the Committee on
MCLE.
3) The lawyer will be subject to penalties and
disciplinary sanctions;
4) The lawyer will be fined P2,000.00 for the first
offense, P3,000.00 for the second offense
and P4,000.00 for the third offense;
5) The lawyer may be listed as a delinquent
member of the Bar;
6) The non-compliant lawyer shall be
discharged from the case and the client/s
shall be allowed to secure the services of a
new counsel with the concomitant right to
demand the return of fees already paid to the
non-compliant lawyer.
Note that the failure to indicate the MCLE
Certificate of Compliance or Certificate of
Exemption in pleadings will no longer cause the
dismissal of the case or the expunction of
pleadings from the records. (OCA Circular No.
79-14, 2014)
Q: How else can a member of the Bar earn
CREDIT for MCLE?
A: A member of the Bar can earn credit for MCLE
through Community Legal Aid Service (“CLAS”
for brevity) based on the new Rule.
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In fact, a “covered lawyer” who successfully
complies with the requirements of this Rule shall
be given a full credit of thirty-six (36) MCLE unites
for the three year-period covered by a compliance
period under the Rules on MCLE. (Sec. 10, Rule
on CLAS)
Q: What is the RATIONALE behind the CLAS
Rule?
A: The legal profession is imbued with public
interest. As such, lawyers are charged with the
duty to give meaning to the guarantee of access
to adequate legal assistance under Article III,
Section 11 of the 1987 Constitution by making
their legal services available to the public in an
efficient and convenient manner compatible with
the independence, integrity and effectiveness of
the profession. As a way to discharge this
constitutional duty, lawyers are obliged to render
pro bono services to those who otherwise would
be denied access to adequate legal services.
(Sec. 2, Rule on CLAS)
Q: Who are the COVERED LAWYERS under
this Rule?
A: Covered lawyers shall refer to those who have
successfully passed the Annual Bar
Examinations and have signed the Roll of
Attorneys for that particular year. It shall include
lawyers who will pass the 2017 Bar Examinations
and are admitted to the Bar in 2018. (Sec. 4(a),
Rule on CLAS)
Q: What does PRO BONO LEGAL AID
SERVICE mean?
A: It shall refer to supervised post-admission legal
services in civil, criminal and administrative cases
consisting of legal services provided without
charge to:
1) Indigent party or pauper litigants;
2) Other persons of limited means;
3) Individuals, groups, or organizations
rendered unable to secure free legal
assistance by reason of conflict of interest on
the part of the government provided legal
assistance through the Public Attorney’s
Office; and/or
4) Public Interest cases that have societal
impact and involves a group or sector of
society that would not be capable of securing
legal assistance by reason of ability of other
Sawyers including the Public Attorney’s Office.
ATENEO CENTRAL
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Q: What shall be considered LEGAL
SERVICES under this Rule?
A:
1) Representation of qualified litigants;
2) Legal Counseling;
3) Developmental Legal Assistance;
4) Legal Services provided as part of
employment in the government provided that
the lawyer must already be in government
service for at least 6 months; and/or
5) Legal Services provided to marginalised
sectors.
Q: What are the REQUIRED NUMBER OF
HOURS?
A: Covered lawyers are required to render 120
hours of pro bono legal services to qualified
parties within the first year of the lawyer’s
admission to Bar, counted from the time they sign
the roll of Attorneys (Section 5 (a), Rule on CLAS)
It is possible to comply with these hours on
weekends upon written request approved by the
chairperson of the IBP Chapter Legal Aid
Committee or by the authorized representative of
the Accredited Legal Aid Service Provided,
covered lawyers may comply with the
requirements of this Rule on weekends. (Sec. 5
(b), Rule on CLAS)
Q: Who may be considered EXEMPT from this
Rule?
A:
1) Lawyers in the executive and legislative
branch of government provided that the
lawyer must already be in government
service at least six (6) months before
admission into the Bar;
2) Lawyers in the Judiciary are automatically
exempt;
3) Those who have already undergone and
completed the clinical legal education
program (CLED) under Rule 138-A;
4) Covered lawyers who have worked for at
least one (1) year in law firms offering pro
bono legal services or regularly accepting
counsel de officio appointments;
5) Covered lawyers who have previously
worked for more than one (1) year as staff of
a Law School Legal Aid Office, a public
interest law group, or an alternative
developmental law group; and/or
6) Covered lawyers who have worked with
lawyers for Public Interest Law Groups for
Page 47 o f 103
ETHICS
more than one (1) year and have filed public
interest cases. (Sec. 5 (c), Rule on CLAS)
Q: How do those exempted from the rule avail
of such exemption?
A: Within 30 days from the date of signing the Roll
of Attorneys, an exempt lawyer shall submit
his/her sworn statement and that of the
chairperson or director or supervising partner or
lawyer of the Accredited Legal Aid Service
showing his/her entitlement to the exemption
from the rule, otherwise the new lawyer shall not
be considered exempt. (Sec. 5, Rule on CLAS)
Q: How is compliance monitored by the IBP?
A: The IBP Chapter Legal Aid Committee shall
keep a record of the time/hours spent by new
lawyers in rendering free legal aid services to
qualified parties or litigants. Time spent in the
office or at the place designated by the IBP Legal
Aid Committee regardless of whether there are
clients or not, shall also be recorded and included
in the computation of the hours spent. (Sec. 5 (f),
Rule on CLAS)
Q: What is issued to covered lawyers after
completion of the required hours?
A: A Certificate of compliance which shall be
presented to the Office of the Bar Confidant which
states that the covered lawyers has completed
the required one hundred twenty (120) hours of
free legal aid services. (Sec. 5 (g), Rule on CLAS)
Q: How long does a covered lawyer have to
comply with the required hours?
A: Covered lawyers shall complete the
community legal aid service within 12 months
form the date they sign the Roll of Attorneys.
Within one month after the lapse of the said
period, covered lawyers shall submit the
Certificate of Compliance to the OBC. (Sec. 6,
par. 1, Rule on CLAS)
Q: Can this 12-month period be extended?
A: YES. It may be extended upon a petition duly
submitted and granted by the Bar Confidant who
will then furnish a copy to the Chief justice to
resolve such petition. This petition must be filed
before the lapse of the period of compliance.
ATENEO CENTRAL
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Q: What happens to cases handled by
covered lawyers after the period of
compliance has been completed?
A: The covered lawyer may choose to continue
the case or, should the covered lawyer upon
compliance be unable to continue representation
by reason of professional conflict of interest
arising from employment, he may turn over the
case to the IBP Chapter Legal Aid Committee or
the Accredited Legal Aid Service Provider,
indicating clearly the reason for the turnover. The
case is then reassigned to another covered
lawyer. (Sec. 7, par. 2, Rule on CLAS)
Q: What is the RULE ON THE SOLICITATION
OR ACCEPTANCE OF GIFTS BY COVERED
LAWYERS?
A: Covered lawyers are absolutely prohibited
from receiving any fee, gift, token or gratitude or
anything of monetary value in the course of
rendering the service. (Sec. 8, Rule on CLAS)
Q: What are the PENALTIES for non-
compliance with this Rule?
A: Covered layers must show cause in writing
within ten days from receipt of notice why no
disciplinary action should be taken against
him/her. Should the OBC find the lawyers
explanation insufficient to justify non-compliance,
it shall recommend to the Supreme Court that the
lawyer be delisted as a member in good standing
of the Bar. (Sec. 14 (a), Rule on CLAS)
Q: What is the consequence of falsifying a
Certificate of Compliance?
A: Without prejudice to criminal liability, a covered
lawyer who falsifies the Certificate of Compliance
required, shall be administratively charged by the
OBC with disciplinary action up to and including
disbarment. (Sec. 14 (b), Rule on CLAS)
F. NOTARIAL PRACTICE (A.M. NO. 02-8-13-SC,
AS AMENDED)
Q: What are the qualifications of a Notary
Public?
A: (F21-GOOD MORAL RESIDENT)
1) Filipino Citizen
2) Over twenty-one (21) years of age
3) A member of the Philippine Bar in Good
standing with clearances from the Office of
the Bar Confidant of the Supreme Court and
the Integrated Bar of the Philippines
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ETHICS
4) Must not have been convicted in the first
instance of any crime involving Moral
turpitude
5) A Resident in the Philippines for at least one
(1) year and maintains a regular place of work
or business in the city or province where the
commission is to be issued (Rule III, Section
1, 2004 Rules on Notarial Practice)
Q: What is the Term of Office of a Notary
Public?
A: A notary public may perform notarial acts for a
period of 2 years commencing the first day of
January of the year in which the commissioning
is made, unless earlier revoked or the notary
public has resigned under these Rules and the
Rules of Court (Rule III, Section 11, Notarial Law)
Q: What is the difference between a Notarial
Register and the Register of Notaries Public?
A: The Notarial Register is the permanently
bound book with numbered pages containing a
chronological record of notarial acts
performed by a notary public (Rule II Section 5).
It is kept by the notary public and only one
remains active at any given time.
The Register of Notaries Public, on the other
hand, is kept by the executive judge, and
contains among other things, the dates of
issuance or revocation or suspension of notarial
commissions, and the resignation or death of
notaries public. (Rule III Section 12)
Q: What are the required entries in a Notarial
Register?
A:
1) Entry and page number;
2) Date and time of day of the notarial act;
3) Type of Notarial Act;
4) Title or Description of the instrument,
document or proceedings;
5) Name and address of each principal
6) Competent evidence of identity as defined by
these Rules if the signatory is not personally
known to the notary
7) Name and address of each credible witness
swearing to or affirming the person’s identity;
8) Fee charged for the notarial act;
9) Address where the notarization was
performed if not in the notary’s regular place
of work or business; and
ATENEO CENTRAL
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10) Any other circumstance the notary public
may deem of significant or of relevance (Rule
VI, Sec. 2[a], Notarial Law).
Q: Where does a notary public have
jurisdiction to conduct notarial acts?
A: A person commissioned as notary public may
perform notarial acts in any place within the
territorial jurisdiction of the commissioning court.
(Rule 111, Section. 11, Notarial Law)
Q: What are the grounds for revocation of
Commission of a Notary Public?
A:
1) Any ground on which an application for a
commission may be denied (e.g., conviction
at the first instance of a crime involving moral
turpitude);
2) Failure to keep a notarial register;
3) Failure to make the proper entry or entries in
his notarial register concerning his notarial
acts;
4) Failure to send the copy of the entries to the
Executive Judge within the first ten (10) days
of the month following;
5) Failure to affix to acknowledgments the date
of expiration of his commission;
6) Failure to submit his notarial register, when
filled, to the Executive Judge;
7) Failure to make his report, within a
reasonable time, to the Executive Judge
concerning the performance of his duties, as
may be required by the judge;
8) Failure to require the presence of a principal
at the time of the notarial act;
9) Failure to identify a principal on the basis of
personal knowledge or competent evidence;
10) Executing a false or incomplete certificate;
11) Knowingly performing or failing to perform
any other act prohibited or mandated by the
2004 Notarial Rules; and,
12) Committing any other dereliction or act which
in the judgment of the Executive Judge
constitutes good cause for revocation of
commission or imposition of administrative
sanction (Rule XI Secs. 1[a]and 1[b], Notarial
Law).
passport, driver's license, Professional
Regulations Commission ID, National Bureau
of Investigation clearance, police clearance,
postal ID, voter's ID, Barangay certification,
Government Service and Insurance System
(GSIS) e-card, Social Security System (SSS)
card, Philhealth card, senior citizen card,
Overseas Workers Welfare Administration
(OWWA) ID, OFW ID, seaman's book, alien
certificate of registration/immigrant certificate
of registration, government office ID,
certification from the National Council for the
Welfare of Disable Persons (NCWDP),
Department of Social Welfare and
Development; or
2) The oath or affirmation of one credible
witness not privy to the instrument,
document or transaction who is personally
known to the notary public and who
personally knows the individual; or,
3) The oath or affirmation of two credible
witnesses neither of whom is privy to the
instrument, document or transaction who
each personally knows the individual and
shows to the notary public documentary
identification.
NOTE: A community tax certificate or cedula is no
longer accepted as competent evidence of
identity.
NOTE: To personally know the parties, the notary
public must at least be acquainted with them.

Q: What is considered competent evidence of

identity?
1) At least one current identification
document issued by an official agency
bearing the photograph and signature of
the individual, such as but not limited to,
Page 49 of 103
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r »■ JUDICIAL ETHICS
A. SOURCES
Q: What is JUDICIAL ETHICS?
A: It is a branch of moral science which treats of
the right and proper conduct and behavior to be
observed by all judges and magistrates in trying
and deciding controversies brought before them
for adjudication which conduct and behavior must
be demonstrative of independence, integrity,
impartiality, equality, propriety, competence and
diligence. (Agpalo, Ruben E., Legal and Judicial
Ethics, 2002)
Q: Define “COURT.”
A: It is a board or other tribunal which decides a
litigation or contest. (Hidalgo v. Manglapus, 64
O.G. 3189) A court may exist without a judge.
Q: Who is a JUDGE?
A: A public officer who, by virtue of his office, is
clothed with judicial authority. A public officer
lawfully appointed to decide litigated questions in
accordance with law. (People v. Manantan, G.R.
No. L-14129, 1962) This refers to persons only.
There may be a judge without a court.
Q: Who is a DE JURE JUDGE?
A: An officer of the law fully vested with all of the
powers and functions conceded under the law to
a judge, which relate to the administration of
justice within the jurisdiction over which he
presides. (Lino Luna v. Rodriguez, G.R. No. L-
12647, 1917)
A judge who in all respects legally appointed and
qualified as such and whose term of office has not
yet expired. (Tayko v. Capistrano, G.R. no.
30188, 1928)
Q: Who is a DE FACTO JUDGE?
A: A judge who in good faith continues and is
recognized by common error after the abolition of
his court by statute is deemed judge de facto of
the new court which succeeds to the jurisdiction
of that presided over by him. (US v. Abalos, G.R.
No. 412, 1901) An officer who is not fully vested
with all of the powers and duties conceded to
judges, but is exercising the office under some
color or right. (Lino Luna v. Rodriguez, G.R. No.
L-12647, 1917)
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ETHICS
| The acts of a de facto judge are just as valid for
all purposes as those of a de jure judge in so far
as the public or 3rd persons who are interested
therein are concerned. The decision of a de facto
judge cannot be collaterally attacked.
(Nacionaiista Party v. De Vera, G.R. No. L-3474,
1949)
Q: What are the CHARACTERISTICS OF
GOOD JUDGES?
A: Good judges have a mastery of the principles
of law, who discharge their duties in accordance
with law, are permitted to perform the duties of the
office undeterred by outside influence, and are
independent and self-respecting human units in a
judicial system equal and coordinate to the other
departments of the government. (Borromeo v.
Mariano, G.R. No. L-16808, 1921)
Q: What are the sources of judicial ethics?
A:
1) The Code of Judicial Conduct for the
Philippine Judiciary (A.M. No. 03-05-01-SC);
2) The Code of Judicial Conduct;
3) Rules of Court (Rules 135, 137, 140);
4) Supreme Court jurisprudence;
5) Other issuances of the Supreme Court;
6) Republic Act No. 6713, Republic Act No.
3019, and other laws governing public
officers.
1. NEW CODE OF JUDICIAL CONDUCT
Q: What are the six (6) QUALITIES that an
ideal judge should possess for the Philippine
Judiciary? (P-PEC)
A: Under the New Code of Judicial Conduct
(“NCJC” for brevity), the following:
1) independence;
2) Integrity;
3) Impartiality;
4) Propriety;
5) Equality; and,
6) Competence and Diligence
CANON 1: INDEPENDENCE
SUMMARY OF SECTIONS UNDER CANON 1
1) To exercise the judicial function
independently on the basis of assessment of
the facts and in accordance with a
conscientious understanding of the law, free
of any extraneous influence (Sec. 1, NCJC)\
ATENEO CENTRAL
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2) To perform judicial duties independent form
judicial colleagues (Sec. 2, NCJC)]
3) To refrain from influencing in any manner the
outcome of litigation or dispute pending
before another court or administrative agency
(Sec. 3, NCJC)]
4) Not to allow family, social, or other
relationships to influence judicial conduct or
judgment (Sec. 4, NCJC)]
5) To riot only be free from inappropriate
connections with, and influence by, the
executive and legislative branches of
government, but must also appear to be free
therefrom (Sec. 5, NCJC)]
6) To be independent from society as well as
particular parties to a dispute (Sec. 6, NCJC)]
7) To encourage and uphold safeguards for the
discharge of judicial duties (Sec. 1, NCJC)]
and,
8) To exhibit and promote high standards of
judicial conduct in order to reinforce public
confidence (Sec. 8, NCJC).
Q: What is an “INDEPENDENT JUDICIARY”?
A: It is one free of inappropriate outside
influences.
Q: What does INDEPENDENCE under Canon
1 require?
A: CANON 1 requires that judges reject pressure
from any source by maintaining independence in
the pursuit of their duties.
Q: What are the SOURCES OF INFLUENCE
which judges should be independent from
that are enumerated under CANON 1?
(CEFGS)
A:
1) JUDICIAL COLLEAGUES (Sec. 2, NCJC)
Judges should be careful to avoid such actions as
may reasonably tend to awaken the suspicion
that their social or business relations constitute
an element in determining their judicial course.
They must resist the inducements of their own
colleagues in the judiciary. (Note: This does not
apply, however, in collegiate courts where there
is group deliberation.)
2) EXTRANEOUS INFLUENCE,
INDUCEMENT, PRESSURE, THREAT OR
INTERFERENCE (Sec. 1, NCJC)
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ETHICS
Judges are required to rule fairly regardless of
public clamor, opinion or pressure.
3) FAMILY, SOCIAL OR OTHER
RELATIONSHIPS (Sec. 4, NCJC)
A judge should not sit in litigation where a near
relative is a part of or counsel. This
disqualification is mandatory.
4) EXECUTIVE, LEGISLATIVE BRANCHES
OF GOVERNMENT (Sec. 5, NCJC)
Judges should avoid inappropriate connections,
as well as any situation that would give rise to the
impression of the existence of such inappropriate
connections with the executive and legislative
branches of the government.
5) SOCIETY IN GENERAL, AND THE
PARTIES IN PARTICULAR (Sec. 6, NCJC)
Q: What other acts must judges refrain from
doing in order to show independence?
A: Independence includes refraining from
influencing in any manner the outcome of
litigation or dispute pending before another court
or administrative agency.
To achieve this end, judges must also make it
clear to others that his position will not be used or
lent to advance private interests, nor will he allow
anyone to interfere with his judicial work. (Sec. 4,
NCJC)
Q: Is it absolutely unethical for a judge to
consult with court staff and court officials?
A: NO, as when consultation is purely in an
academic or hypothetical basis and the judge
does not surrender his or her independent
decision making.
Q: During a telephone call, a justice
discussed with his brother the merits of one
party’s position in a pending case. Did he
violate the Code?
A: YES. As a magistrate, a justice has the duty to
prevent any circumstance that would cast doubt
on his ability to decide a case without interference
or pressure from litigants, counsels or their
surrogates. (Re: Letter of Presiding Justice
Conrado M. Vasquez, Jr. on CA-GR SP No.
103692, AM No. 08-8-11-CA, 2008)
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Q: RTC Judge X wrote a letter to a MTC Judge
Y, influencing the latter to promptly hear and
decide a case, if he has jurisdiction or, if not,
to remand the case to the RTC. The other
parts of the letter indicated a message to
acquit. When MTC Judge Y convicted the
accused, RTC Judge X directed MTC Judge Y
to forward the records to the RTC. Without
notice to the parties, RTC Judge X acquitted
the accused. Was this proper?
A: NO. RTC Judge X is guilty of serious
misconduct for undue interest in a pending
criminal case before a lower court over which he
exercised supervision, in violation of the Code of
Judicial Conduct. (Sabitsana v. ViUamor, A.M.
No. 90-474, 1991)
CANON 2: INTEGRITY
SUMMARY OF SECTIONS UNDER CANON 2
1) To ensure conduct is above reproach and
appears to be so in the view of a reasonable
observer (Sec. 1, NCJC)]
2) To reaffirm people’s faith in the judiciary
through behavior and conduct (Sec. 2,
NCJC)] and,
3) To take or initiate appropriate disciplinary
measures against court personnel when
appropriate (Sec. 3, NCJC).
Q: What are the four (4) “ INS” which judges
must personify? (“In” - TeTeDeDu)
A:
1) Integrity
2) Intelligence
3) independence
4) Industry (Community Rural Bank of Guimba,
Inc. v. Talavera, A.M. No. RTJ-05-1909,
2005)
Q: How is the STANDARD OF INTEGRITY
measured?
A: The standards of integrity required of members
of the bench are not satisfied by conduct which
merely enables one to escape the penalties of the
criminal law. (Centrum Agri-Business Realty
Corporation v. Katalbas-Moscardon, A.M. No.
RTJ-92-880, 1995) Both in his public and private
life, the judge must live honestly and uprightly
being the visible representation of the law. He
must be an ideal example in the community.
Judges are presumed to be honest and men of
integrity unless proven otherwise. (People v.
Bocar, G.R. No. L-9050, 1955)
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Q: Is it enough for a judge to act and behave
at all times with integrity?
A: NO. According to Section 1 of CANON 2,
judges shall not only ensure that their conduct is
above reproach, but that it is perceived to be so.
In the judiciary, moral integrity is more than a
cardinal virtue, it is a necessity. (Fernandez v.
Hamoy, A.M. No. RTJ-04-1821)
A judge is not only required to be impartial; he
must also appear to be impartial. Public
confidence in the judiciary is eroded by
irresponsible or improper conduct of judges.
(Dela Cruz v. Judge Bersamira, A.M. No. RTJ-00-
1567, 2000)
Q: How can a judge show lack of integrity?
A: Ignorance of the law is a mark of
incompetence, and where the law involved is
elementary, ignorance thereof is considered as
an indication of lack of integrity. Judges who fail
to observe the Rules of Court in such matters as
issuance of warrants of arrest, TRO’s, injunctions
and the like are guilty of incompetency. This
includes integrity practiced by the court
personnel, because the slightest breach of duty
and irregularity in the conduct of court officers
and employees detract from the dignity of the
courts and erode the faith of the people in the
judiciary. (Buenaventura v. Benedicto, A.C. No.
137-5, 1971)
Q: What is INTELLIGENCE?
A: It is the possession of sufficient learning, ability
and skill in a particular discipline enhanced by
actual and sufficient experience in the field.
Q: An anonymous letter was sent to the court
administrator complaining about the acts of
Judge X. The letter claimed that the judge
likes to make side comments during trial,
reprimand and make insults against counsels
and their witnesses. The judge however
denied such imputations and claimed that the
reason why he may have used harsh words
sometimes was due to his exasperation and
desire to correct the wrong being committed
in his presence, and did not intend to insult
anyone. Was the judge justified in his
actions?
A: NO, the judge should be reminded of his
obligation under CANON 2. A judge should
possess the virtue of gravitas. He should be
learned in law, dignified in demeanor, refined in
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speech, and virtuous in character. He must
exhibit the hallmark of judicial temperament, and
in this connection must be considerate of all the
people appearing in his court. (Juan De La Cruz
v. Carretas, A M No. RTJ-07-2043, 2007)
A judge should be considerate, courteous and
civil to all persons who come to his court. A judge
who is inconsiderate, discourteous or uncivil to
lawyers, litigants or witnesses who appear in his
sala commits an impropriety and fails in his duty
to reaffirm the people’s faith in the judiciary. (Juan
De La Cruz v. Carretas, AM. No. RTJ-07-2043,
2007)
Q: Is there a valid question on integrity when
the accusation is based on facts or matters
calling for professional judgment?
A: NO, a disagreement in legal opinion is normal
in the legal community. To question one’s
integrity, there must be an act linked to the moral
character, and not to his judgment as a
professional. (Jardeleza v. Sereno, G.R. No.
213181, 2014)
CANON 3: IMPARTIALITY
SUMMARY OF SECTIONS UNDER CANON 3
1. To perform judicial duties without favor, bias,
or prejudice (Sec. 1, NCJC),
2. To ensure that his or her conduct, both in and
out of court, maintains and enhances the
confidence of the public, the legal profession
and litigants (Sec. 2, NCJC)] and,
3. To conduct themselves as to minimize the
occasions on which it will be necessary for
them to be disqualified from hearing or
deciding cases (Sec. 3, NCJC)]
4. While a proceeding is before or could come
before them, to not knowingly, make any
comment that might reasonably be expected
to affect the outcome of such proceeding or
impair the manifest fairness of the process
(Sec. 4, NCJC)]
5. To disqualify themselves from participating in
any proceedings in which they are unable to
decide the matter impartially or in which it
may appear to a reasonable observer that
they are unable to decide the matter
impartially (P6-CEP) (Sec. 5, NCJC)] and,
6. If disqualified as stated above, to disclose on
the records the basis thereof instead of
withdrawing from the proceeding (Sec. 3,
NCJC).
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Q: When should judges disqualify themselves
from taking part in a case?
A: Judges shall disqualify themselves from
participating in any proceeding in which they are
unable to decide the matter impartially or in which
it may appear to a reasonable observer that they
are unable to decide the matter impartially. (Sec.
3, NCJC)
Q: What is the RATIONALE for the mandatory
disqualification of a judge?
A: The rationale stems from the long-standing
precept that a judge should not handle a case
where there is a perception, rightly or wrongly,
that he is susceptible to bias and impartiality
because of relationship or some other legal
ground. (Palon v. Judge Vallarta, A.M. No. MTJ-
04-1531, 2007)
A judge has the duty to render a just decision and
to do so in a manner that leaves his reputation for
fairness and integrity completely free from
suspicion. (Sergio Del Castillo v. Manuel
Javelona, etal., G.R. No. L-16742, 1962)
Q: What situations would tend to indicate
partiality on the part of the judge and thus be
grounds for mandatory disqualification?
A:
A. Grounds that are personal to the judge
(BEE-MAR)
1) Actual bias or prejudice concerning a party
(NCJC);
2) Personal knowledge of disputed evidentiary
facts concerning the proceedings (NCJC);
3) Judge has an economic interest in the
outcome of the matter in controversy (NCJC,
Rule 137);
4) Judge previously served as a lawyer or was
a material witness in the matter in
controversy (NCJC, Rule 137);
5) Judge served as executor, administrator,
guardian, or trustee in the matter in
controversy (NCJC, Rule 137);
6) Judge’s ruling in a lower court is the subject
of review (NCJC, Rule 137).
B. Grounds pertaining to the judge's family
and other relationships (E-6-P)
7) A member of the judge’s family has an
economic interest in the outcome of the
matter of the controversy (NCJC, Rule 137);
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8) Judge is related to a party litigant within the
6th civil degree by consanguinity or affinity
(NCJC, Rule 137);
9) Judge knows his or her spouse or child has a
financial/pecuniary interest as heir, legatee,
creditor, fiduciary, or otherwise, in the subject
matter of controversy, or in a party to the
proceeding, or any other interest that could
be substantially affected by the outcome of
the proceedings (NCJC)
C. Grounds pertaining to judge's relationship
with former associate or counsel (C2)
10) Former associate of the judge served as
counsel or was a material witness (NCJC)
11) Judge is related to counsel within the 4th civil
degree (NCJC, Rule 137)
Q: What is the EXTRAJUDICIAL SOURCE
RULE?
A: To sustain a claim of bias or prejudice, the
resulting opinion must be based upon an
“extrajudicial source”, that is, some influence
other than the facts and law presented in the
courtroom. (Pefianco v. Sempio Diy, IPI No, 14-
222-CA-J, 2016)
Q: Who has the BURDEN of proving bias of
the judge?
A: Burden of proof lies with the complainant. He
must prove bias sufficient to require inhibition with
clear and convincing evidence.
However, if a judge’s decisions are based on
evidence presented and the application of the
law, such opinion even if erroneous will not
sustain a claim of personal bias or prejudice on
the part of the judge. (Gochan v. Gochan, G.R.
1433089, 2003)
Q: When is there UNDUE INTERFERENCE by
a judge?
A: There is undue interference where the judge’s
participation in the conduct of the trial tends to
build or bolster a case of one of the parties.
In disposing of a criminal case, a judge should
avoid appearing like an advocate for either party.
(Sec. 2, NCJC)
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Q: What kinds of comments should judges
refrain from making?
A: Judges shall not knowingly, while a proceeding
is before or could come before them, make any
comment that might reasonably be expected to
affect the outcome of such proceeding or impair
the manifest fairness of the process.
Nor shall judges make any comment in public or
otherwise that might affect the fair trial of any
person or issue. (Sec. 4, NCJC)
Q: What must a judge do when a member of
his family represents a litigant?
A: Judge must disqualify himself.
Q: Who are deemed to be members of the judge’s
FAMILY? (SC2-RG)
A:
1) Spouse
2) Children (son or daughter)
3) Children-in-law
4) Any Relative within the 6th civil degree,
whether by affinity or consanguinity
5) Companion or employee of the judge who
lives in the judge’s household (NCJC)
Q: Who are deemed to be RELATIVES of a
judge? (A-ICU)
A:
1) Adopted Child;
2) Recognized illegitimate child;
3) First and second Cousins by blood, and first
and second cousins-in-law; and,
4) Uncles, aunts, nephews and nieces,
grandnephews and grandnieces.
Q: Why does a judge need to disqualify
himself when any of his relatives will
represent a litigant in a case pending before
him?
A: When any one of the relatives of the judge will
represent a litigant in the case pending before
him, the judge must consider self-disqualification
so that the confidence of the people may not
erode. (Garcia v. Burgos, G.R. No. 124130, 1998)
Even if the relative is not a representative of a
litigant, the judge must still disqualify himself if a
relative is associated in any manner with the
case. (Austria v. Masague, G.R. No. L-22536,
1967)
Q: Should a judge in all circumstances
disqualify himself?
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A: NO. The rule of disqualification of judges must
yield to demands of necessity - that a judge is not
disqualified to sit in a case if there is no other
judge available to hear and decide the case.
(Parayno v. Menesis, G.R. No. 112684, 1994)
Q: Is there an EXCEPTION to the Mandatory
Inhibition?
A: YES. Remittal of disqualification or disclosure
on the part of the judge and the subsequent
agreement by the parties that inhibition is not
necessary. (Canon 3, Sec. 6, NCJC) Waiver will
not constitute an exception.
Q: If the party to the case believes that the
judge is disqualified from taking the case,
what should the party do?
A: The party may, in writing, file his objection,
stating the grounds therefore. (Rule 137, Sec. 2,
ROC)
Q: When must a PETITION TO DISQUALIFY A
JUDGE be filed?
A: The petition to disqualify a judge must be filed
before rendition of judgment, and cannot be
raised on appeal. (Gov’t v. Abella, 49 Phil 374,
1926)
Q: Can the judge, despite the existence of
reasons for disqualification continue to hear
the case?
A: YES, the judge may continue to hear the case,
provided that the decision to continue hearing the
case should be:
1) Coupled with a bona fide disclosure to the
parties-in-litigation
2) Subject to express acceptance by all the
parties of the cited reason as not material or
substantial. (Sec. 6, NCJC)
Either of the two instances must be present,
absent such, the judge may not continue to hear
the case.
Q: Should a judge disqualify himself in a case
where he issued an order for the Writ of
Execution in favor of his son-in-law’s client,
and where in the same case, the son-in-law
appeared only as additional counsel to a case
pending in the former’s sa/a?
A: YES, CANON 3 of the NCJC provides that a
judge should not take part in any proceeding
where he is related ‘by consanguinity or affinity to
a party litigant within the sixth degree or to
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ETHICS
counsel within the fourth degree’, A son-in-law in
this case is related to the judge in the first degree
of affinity, was a counsel for the plaintiff (in this
case). (Ortiz v. Judge Jaculbe Jr., A.M. No. RTJ-
04-1833, 2005)
Q: Dr. X, in his capacity as President of the
Cultural Center of the Philippines (CCP),
entered into a 5-year lease contract on a
property owned by CCP with Restaurateur Y.
The lease was terminated. CCP demanded the
settlement of Restaurateur Y’s obligations;
the latter, however, offered the renewal of the
lease but CCP rejected the offer. Restaurateur
Y filed a case for specific performance. Judge
Z issued several Orders contested by Dr. X,
including a preliminary injunction. CCP
claimed that the 3-day notice rule was violated
when Judge Z immediately issued an Order
resolving the motion in favor of Restaurateur
Y. Dr. X sought the inhibition of Judge Z from
the case. Should Judge Z have inhibited?
A: YES. Judge Z appeared to be stubbornly
clinging to the subject case for unknown reasons.
In this case, the decision of the appellate court
implied that it should not have been difficult for
Judge Z to determine whether Restaurateur Y
was entitled to an injunctive writ. Judge Z should
have been guided by this ruling and should have
refrained in further issuing orders which tend to
favor Espiritu without factual or legal basis.
However, instead of rectifying his errors or
inhibiting from the case at once, Judge Z
appeared to be unperturbed and insisted in
hearing the case, contrary to Section 1, Rule 137
of the Rules of Court. (Dr. Sunico v. Judge Pedro
DL, Per Curiam, A.M. No. RTJ-16-2457, 2017)
CANON 4: PROPRIETY
SUMMARY OF SECTIONS UNDER CANON 4
1) To avoid impropriety and the appearance
thereof in all activities (Sec. 1, NCJC);
2) To accept personal restrictions and conduct
oneself in a way that is consistent with the
dignity of the judicial office (Sec. 2, NCJC);
3) To avoid situations which might give rise to
suspicion or appearance of favoritism or
partiality in their personal relations with
members of the legal profession (Sec. 3,
NCJC)]
4) Not to participate in the determination of a
case in which any member of their family
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represents a litigant or is associated in any
manner with the case (Sec. 4, NCJC);
5) Not to allow the use of one’s residence by a
member of the legal profession to receive
clients of the latter or of other members of the
legal profession (Sec. 5, NCJC);
6) To conduct oneself in such a manner as to
preserve the dignity of the judicial office in the
exercise of freedom of expression, belief, as
well as association and assembly (Sec. 6,
NCJC);
7) To inform oneself about personal fiduciary
and financial interests and make reasonable
efforts to be informed about that of members
of their family (Sec. 7, NCJC);
8) Not to use or lend the prestige of the judicial
office to advance their private interests, or
those of a member of their family or of anyone
else nor to convey an impression thereof
(Sec. 8, NCJC);
9) Not to use or disclose confidential information
for any other purpose related to their judicial
duties (Sec. 9, NCJC);
10) To perform the following acts:
a) Write, lecture, teach and participate in
activities concerning the law, the legal
system, the administration of justice or
related matters;
b) Appear at a public hearing before an
official body concerned with matters
relating to the law, the legal system, the
administration of justice or related
matters;
c) Engage in other activities if such
activities do not detract from the dignity
of the judicial office or otherwise interfere
with the performance of judicial duties
(Sec. 10, NCJC);
11) Not to practice whilst the holder of judicial
office (Sec. 11, NCJC);
12) To form or join associations of judges or
participate in other organizations
representing the interests of judges (Sec. 12,
NCJC);
13) Not to ask for, nor accept, any gift, bequest,
loan or favor in relation to anything done or to
be done or omitted to be done by him or her
in connection with the performance of judicial
duties (Note: applicable to family members;
relate to RA 3019) (Sec. 13, NCJC);
14) Not to knowingly permit court staff or others
subject to their influence, direction or
authority, to ask for, or accept, any gift,
bequest, loan or favor in relation to anything
Page 56 of 103
ETHICS
done or to be done or omitted to be done in
connection with their duties or functions (Sec.
14, NCJC); and,
15) To receive a token gift, award or benefit as
appropriate to the occasion on which it is
made, provided that such gift, award or
benefit might not reasonably be perceived as
intended to influence the judge in the
performance of judicial duties or otherwise
give rise to an appearance of partiality (Sec.
15, NCJC).
Q: What is PROPRIETY?
A: It means conformity to prevailing customs and
usage.
Q: Should judges be free from any
appearance of impropriety both in their public
and private lives?
A: YES. A judge’s official conduct should be free
from any appearance of impropriety; and his
personal behavior, not only in the bench and in
the performance of his duties, but also in his
everyday life should be beyond reproach. (Office
of the Court Administrator v. Duque, AM. P-05-
1958. 2005)
Acts of judges must conform with the dignity of
judicial office. As judges are occupying exalted
positions, they must exercise some restraint
freely and willingly to prevent unnecessary
criticisms of condemnations. (Padilla v. Zantua,
AM. No. MTJ-93-88, 1994)
Avoidance of improprieties, which require some
personal sacrifices, is an essentiality for judges
because in the ultimate end, if their dispensation
of justice is perceived fair and acceptable, they
contribute a lot to the maintenance of peace and
order in the community.
Q: Is it improper for a judge to allow a
practitioner to receive his clients in his
residence?
A: YES. By entertaining a litigant in his home and
receiving benefits given by said litigant,
respondent miserably failed to live up to the
standards of judicial conduct. (J. King and Sons
v. Hontanosas, Jr., A.M. No. RTJ-03-1802, 2004)
Q: Do judges lose their rights as citizens
when they perform their judicial roles?
A: NO. When a lawyer is appointed as a judge,
he does not lose any of his fundamental rights
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and freedoms guaranteed under the Constitution.
However, in the exercise thereof there are
restrictions which they must uphold and respect.
(Lorenzana v. Austria, A.M. No. RTJ-09-2200,
2014)
Q: Judge X had an issue with the billings for
the post-paid cellular phone services of her
16-year-old daughter for at least 3
consecutive months. Although Judge X had
been repeatedly calling the customer services
hotline of universal telecoms, the billings
issue was never fully settled to Judge X’s
satisfaction. Finally, Judge X wrote the
National Telecommunications Commission a
letter of complaint against Universal
Telecoms, using her official court stationery
and signing the letter as “Judge X.” Did Judge
X violate any professional or ethical standard
forjudges? Justify your answer.
A: YES, Judge X violated Section 8, Canon 4, of
the New Code of Judicial Conduct for the
Philippine Judiciary, which provides that “judges
shall not use or lend the prestige of the judicial
office to advance their private interests, or those
of a member of their family or of anyone else nor
shall they convey or permit others to convey the
impression that anyone is in a special position
improperly to influence them in the performance
of judicial duties,” as well as Rule 6.02 of the
Code of Professional Responsibility which
provides that “a lawyer in the government service
shall not use his public position to promote or
advance his private interests, nor allow the latter
to interfere with his public duties.” (Bar 2015)
Q: Is the prohibition to use or disclose
confidential information acquired by the
judge in his judicial capacity absolute?
A: NO. The prohibition to use or disclose
confidential information acquired by the judge in
his judicial capacity is not absolute. If the purpose
of the use or disclosure is related to their judicial
duties, there is a violation. But if the purpose is
not related to their judicial duties, there is no
violation. (Notice In Re: Production of Court
Records and Documents and the Attendance of
Court officials and employees, 2012)
Q: What is the RATIONALE for the prohibition
on practicing law?
A: The position of a judge is a lifetime duty and
responsibility. It requires preserving dedication to
the task. The court dockets of judges are
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generally clogged with so many pending cases.
There is no time for judges to pursue another
profession, occupation or calling which equally
requires attention, mindfulness and vigilance. It
covers any activity, in or out of court, which
requires the application of the law, legal
principles, practice or procedure and calls for
legal knowledge, training and experience.
(Mercado v. De Vera, A.C. No. 3066, 2001)
Q: What is the MEANING OF “PRACTICE OF
LAW”?
A: Generally, to engage in their practice is to do
any of those acts which are characteristic of the
legal profession. (In Re: David, A.M. No. 98,
1954)
Q: What are the LIMITATIONS under Section
10?
A:
1) Participate in legal academia but not interfere
in the performance of the judge’s primary
functions;
2) Sec. 12 Art. VIII o f the Constitution -
prohibits judges from being designated to any
agency performing quasi-judicial or
administrative functions.
Q: What is a GIFT?
A: It refers to a thing or a right of gratuitously, or
any act of liberality, in favor of another who
accepts it. (Section 3(c), R.A. 6713)
Q: What is a LOAN?
A: It covers simple loan and commodatum, as
well as guarantees, financing arrangement or
accommodations intended to ensure its approval.
(Section 3(e), R.A. 6713)
Q: Can judges directly solicit or accept gifts,
bequests, or loans or favors?
A: NO. A judge may not directly solicit or accept
gifts, bequests, or loans or favors in consideration
of:
1) Something done
2) To be done
3) Omitted to be done
In such a case, the judge is liable for bribery.
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Q: Give examples of judges' impropriety that
violate the New Code of Judicial Conduct.
A:
1) Judge hearing cases on a day when he was
supposed to be on official leave.
2) Judge hearing a motion while on vacation
and dressed in a polo jacket.
3) Judge and his subordinate seen coming out
of a hotel room together.
4) Judge sitting beside the counsel of his
brother in the courtroom where the latter was
involved in an election case.
Q: Judge X was the father of Atty. Y, and the
latter represented Dr. Z in an administrative
hearing. Judge X never entered his
appearance to represent Dr. Z, and during the
hearing, he sat beside Atty. Y, and manifested
that he was the counsel of the latter,
reasoning that Atty. Y recently passed the bar.
When questioned, he shouted “So what?! I am
only sitting and assisting my daughter!” A
complaint was filed against Judge X for
conduct unbecoming a judge. Will it prosper?
A: YES. Section 35 of Rule 138 of the Rules of
Court expressly prohibits sitting judges like Judge
X from engaging in the private practice of law or
giving professional advice to clients. Section 11,
Canon 4 (Propriety), of the New Code of Judicial
Conduct and Rule 5.07 of the Code of Judicial
Conduct reiterate the prohibition from engaging in
the private practice of law or giving professional
advice to clients. (Decena v. Malanyaon, A.M.
No. RTJ-10-2217, 2013)
Q: Is it permissible for a judge to mingle with
those who engage in cockfighting?
A: NO. While rearing fighting cocks is not illegal,
a judge should avoid mingling with a crowd of
cockfighting enthusiasts and bettors as it
undoubtedly impairs the respect due him. As a
judge, he must impose upon himself personal
restrictions that might be viewed as burdensome
by the ordinary citizen and should do so freely
and willingly. (Anonymous v. Judge Rio C. Achas,
A.M. No. MTJ-11-1801, 2013)
CANON 5: EQUALITY
SUMMARY OF SECTIONS UNDER CANON 5
1) To be aware of, and understand, diversity in
society and differences arising from various
sources (Sec. 1, NCJC)]
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2) Not to manifest bias or prejudice towards any
person or group on irrelevant grounds in the
performance of judicial duties, by words or
conduct, (Sec. 2, NCJC);
3) To carry out judicial duties with appropriate
consideration for all persons without
differentiation on any irrelevant ground,
immaterial to the proper performance of such
duties (Sec. 3, NCJC)]
4) Not to knowingly permit court staff or others
subject to his or her influence, direction or
control to differentiate between persons
concerned, in a matter before the judge, on
any irrelevant ground (Sec. 4, NCJC); and,
5) To require lawyers in proceedings before the
court to refrain from manifesting, by words or
conduct, bias or prejudice based on irrelevant
grounds, except such as are legally relevant
to an issue in proceedings and may be the
subject of legitimate advocacy (Sec. 5,
NCJC).
Q: What is the RATIONALE of EQUALITY
under the Code?
A: Ajudge shall show no signs of bias or prejudice
toward any person or persons on irrelevant
grounds while in the performance of his duties.
Any display of bias or prejudice will adversely
affect his image of being an impartial judge.
Q: What are some acts that are prohibited by
Section 4?
A: Calling the complainant a greedy and usurer
Chinese woman, tagging her lawyer as lazy and
negligent while branding her own clerk of court as
equally lazy and incompetent is not language
befitting the esteemed position of a magistrate of
law. (Cua Shuk Yin v. Perello, A.M. No. RTJ-05-
1961, 2005)
Q: Do judges need to ensure that their court
personnel do not discriminate in performing
their duties?
A: YES. Judges must see to it that their court
personnel do not discriminate against anyone in
respect to the personnel’s performance of their
duties, by dispensing special favors or disclosing
to any unauthorized person any confidential
information. (Canon 1, Sec. 3, A.M. No. 03-06-13-
SC, 2004, Code of Conduct for Court Personnel)
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CANON 6: COMPETENCE AND DILIGENCE
SUMMARY OF SECTIONS UNDER CANON 6
1) To prioritize judicial duties over all other
activities (Sec. 1, NCJC)]
2) To devote professional activity to judicial
duties (Sec. 2, NCJC)]
3) To take reasonable steps to maintain and
enhance their knowledge, skills and personal
qualities necessary for the proper
performance of judicial duties (Sec. 3,
NCJC)]
4) To keep themselves informed about relevant
developments of international law (Sec. 4,
NCJC)]
5) To perform all judicial duties, including the
delivery of reserved decisions, efficiently,
fairly, and with reasonable promptness (Sec.
5, NCJC)]
6) To maintain order and decorum in all
proceedings before the court and be patient,
dignified and courteous in relation to litigants,
witnesses, lawyers and others with whom the
judge deals in an official capacity and to
require similar conduct of Segal
representatives, court staff and others
subject to their influence, direction or control
(Sec. 6, NCJC)] and,
7) Not to engage in conduct incompatible with
the diligent discharge of judicial duties (Sec.
7, NCJC).
Q: What is the PRIMARY DUTY of judges?
A: The primary duty of judges is to hear and
decide cases brought to them for trial and
adjudication. As to Judges’ other administrative
assignments, including organizing special
events, the respondent judge should only be
reminded that decision making is the primordial
and most important duty of a member of the
judiciary. (Re: Complaint against Justice
Asuncion of the CA, A.M. No. 06-6-8-CA, 2007)
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ETHICS
Q: What are EXAMPLES of judicial duties that
a judge must adhere to under the Canon?
A: A judge must devote professional activity to
judicial duties. Hence, a judge should conduct a
periodic review of the archived cases in his sala.
(Administrative Circular No. 7-A-92, June 21,
1903)
If the archived cases have remained untouched
for several years, there is gross inefficiency.
(Surlgao Citizens' Movement for Good
Government v. Coro, A.M. MTJ-96-1099, 1996)
[Moreover, t]he loss of not one but eight records
is indicative of gross misconduct and inexcusable
negligence unbecoming of a judge. For true
professionalism in the bench to exist, judges
whose acts demoralize the ethical standards of a
judicial office and whose acts demonstrate
unfitness and unworthiness of the prestige and
prerequisites attached to the said office must be
weeded out. (Longboan v. Polig, A.M. No. 704-
RTJ, 1990)
Q: Does the maxim “ignorance of the law
excuses no one” apply to judges?
A: YES, in fact it has special application. (Espiritu
v. Jovellanos, A.M. No. MTJ-97-1139, 1997) As
advocates of justice and visible representation of
the law, they are expected to keep abreast with
the developments in law and jurisprudence, and
to be proficient in their application and
interpretation thereof. (Almonte v. Bien, A.M. No.
MTJ-04-1532, 2005)
When he accepted his position he owed it to the
dignity of the court, to the legal profession and to
the public, to know the very law he is supposed
to apply to a given controversy. Even in the
remaining years of his stay in the judiciary he
should keep abreast with the changes in the law
and with the latest decisions and precedents.
Although a judge is nearing retirement he should
not relax in his study of the law and court
decisions. Service in the judiciary means a
continuous study and research on the law from
beginning to end. (Ajeno v. Inserto, A.M. No.
1098-CFI, 1976) Those who wield that judicial
gravel have the duty to study our laws and their
latest wrinkles. They owe it to the public to be
legally knowledgeable for ignorance of the law is
the mainspring of injustice. (Bio v. Valera, A.M.
No. MTJ-96-1074, 1996)
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Q: How should a judge decide cases?
A:
1) A judge should decide cases with dispatch.
(Castro v. Malazo, A.M. No. 1237-CAR,
1980)
2) He should decide motions of parties without
unnecessary delay (Pernea v. Montecillo,
A.M. No. 631-CFI, 1981), and should be
more careful, punctual and observant in the
performance of his functions. (Secretary of
Justice v. Bidin, A.M. No. 194-J, 1971)
3) The failure of a judge to decide a case within
the period as specified by the Constitution is
inexcusable and constitutes gross
inefficiency. (Re: Judge Tenerife, A.M. No.
94-5-42 MTC, 1996)
4) Lack of transcript of stenographic notes shall
not be a valid reason to interrupt or suspend
the period for deciding the case. Unless the
case was previously heard by another judge
not the deciding judge, in which case the
latter shall have the full period of 90 days for
the completion of the transcripts within which
to decide the same. (Oiaguer v. Judge
Ampuan, A.M. No. MTJ-10-1769, 2010)
Q: A judge knowingly allowed detailed
employees to solicit commissions from
bonding companies, but did not do anything
to discipline them. Did he commit a violation
of the Code of Judicial Conduct?
A: YES. The CJC imposes on him the duty to take
or initiate appropriate disciplinary measures
against court personnel for unprofessional
conduct of which he would have become aware.
(OCA v. Judge Edwin C. Larida Jr., A.M. No. RTJ-
08-2151, 2014)
Q: A was charged with qualified trafficking,
punishable by life imprisonment and a fine of
not less than 2 million pesos. By reason of the
penalty prescribed by law, the grant of bail is
a matter of discretion for the judge. Judge B
who heard the case, granted bail even if A did
not file a motion for bail, and without a
hearing. Is Judge B liable?
A: YES. A motion for application of bail, as well
as a hearing, are mandatory, even if bail is
discretionary on the Judge. Judge B’s act of fixing
the bail and reducing the same motu proprio are
not mere deficiency in prudence and discretion on
his part, but a patent disregard of well-known
rules. When an error is so gross and patent, such
error produces an inference of bad faith, making
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ETHICS
the judge liable for gross ignorance of the law.
(Jorda v. Judge Bitas, A.M. No. RTJ-14-2376,
2014)
Q: A was the Branch Clerk of Court under
Judge B. A failed to maintain a general docket
book to keep track of cases. A also repeatedly
submitted inaccurate reports as to the actual
number of cases pending with their court. Is
Judge B liable in any way?
A: YES. Although the duty of keeping a docket
book was vested with A, it is the duty of Judge B
to make sure that the members of her staff
perform their duties. Judge B also failed to adopt
a system of monitoring cases. In doing so, she is
guilty of violating Supreme Court rules, directives,
and circulars for her failure to comply with her
duty to provide an efficient court management
system, which includes preparation and use of
docket inventory and monthly report of cases as
tools thereof. (OCA v. Judge Tormis, A.M. No.
MTJ-12-1817, 2013)
LIABILITIES OF JUDGES
Q: Who has SUPERVISION OVER LOWER
COURTS?
A: Article VIII, Section 6 of the 1987 Constitution
exclusively vests in the Supreme Court
administrative supervision over all courts and
court personnel. By virtue of this power, it is only
the Supreme Court that can oversee the judges'
and court personnel's compliance with ail laws,
and take the proper administrative action against
them if they commit any violation thereof.
Q: May the Ombudsman investigate judges of
lower courts?
A: NO. The Ombudsman cannot justify its
investigation of a lower court judge on the powers
granted to it by the Constitution, for such a
justification runs counter to the specific mandate
of the Constitution granting supervisory powers to
the Supreme Court over all courts and their
personnel, and undermines the independence of
the judiciary. (Maceda v. Ombudsman Vasquez,
G.R. No. 102781, 1993)
Q: What should an Ombudsman do in such
cases?
A: The Ombudsman should first refer the matter
to the Supreme Court for determination. (Maceda
\/. Ombudsman Vasquez, G.R. No. 102781,
1993)
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Q: What are the three (3) GENERAL
GROUNDS FOR ADMINISTRATIVE
CHARGES?
A:
1) MALFEASANCE - performance of some act
which ought not to be done
2) MISFEASANCE - improper performance of
some act which might lawfully be done
3) NONFEASANCE - omission of an act which
ought to be performed
Q: What are considered as MALFEASANCE
under the Revised Penal Code (RPC)?
A:
1) Knowingly Rendering Unjust Judgment (Art.
204)] and,
2) Judgment Rendered Through Negligence
(Art. 205).
Q: What is the PROCEDURE FOR FILING AN
ADMINISTRATIVE COMPLAINT against an
erring judge?
A:
1) Complaint in writing, setting forth clearly and
concisely the acts and omissions constituting
the violations of standards of conduct
prescribed for Judges;
2) Service or dismissal which must followed by
a (jommeril within 10 days from dale of
service;
3) Comment and hearing; and,
4) Report filed with the Supreme Court of
findings accompanied by evidence and
pleadings.
The report is confidential and for the exclusive
use of the Court. (Rule 140, ROC)
Q: Who investigates the charges against the
respondent embodied in the complaint?
A: Upon the filing of the complaint, the Court shall
refer the matter to the OCA for evaluation, report,
and recommendation to a retired member of the
Supreme Court, if the respondent is a Justice of
the Court of Appeals and the Sandiganbayan, or
to a Justice of the Court of Appeals, if the
respondent is a Judge of a Regional Trial court or
of a special court of equivalent rank, or to a Judge
of the Regional Trial Court if the respondent is a
Judge of an inferior court. (Rule 140, Sec. 3,
ROC)
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Q: How many days does the investigating
Justice or Judge have to deal with the
investigation?
A: The said Justice or Judge has 90 days from
the date of its commencement or within such
extension as the Supreme Court may grant. (Rule
140, Sec. 4, ROC)
Q: What are the specific charges that can be
imputed to judges of regular Courts and CA
and Sandiganbayan Justices as a basis for
administrative liability?
A:
1) Serious;
2) Less serious; and,
3) Light charges. (Rule 140, Sec. 7, ROC)
Q: What are SERIOUS charges?
A:
1) Bribery, direct or indirect;
2) Dishonesty and violations of the Anti-Graft
and Corrupt Practices Law (R.A. No. 3019)]
3) Gross misconduct constituting violations of
the Code of Judicial Conduct;
4) Knowingly rendering an unjust judgment or
order as determined by a competent court in
an appropriate proceeding;
5) Conviction of a crime involving moral
turpitude;
6) Willful failure lo pay a jusl debt;
7) Borrowing money or property from lawyers
and litigants in a case pending before the
court;
8) Immorality;
9) Gross ignorance of the law or procedure;
10) Partisan political activities; and
11) Alcoholism and/or vicious habits. (Rule 140,
Sec. 8, ROC)
Q: What are LESS SERIOUS charges?
A:
1) Undue delay in rendering a decision or order,
or in transmitting the records of a case;
2) Frequently and unjustified absences without
leave or habitual tardiness;
3) Unauthorized practice of law;
4) Violation of Supreme Court rules, directives,
and circulars;
5) Receiving additional or double compensation
unless specifically authorized by law;
6) Untruthful statements in the certificate of
service; and,
7) Simple misconduct. (Rule 140, Sec. 9, ROC)
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Q: What are LIGHT charges?
A:
1) Vulgar and unbecoming conduct;
2) Gambling in public;
3) Fraternizing with lawyers and litigants with
pending case/cases in his court; and,
4) Undue delay in the submission of monthly
reports. (Rule 140, Sec. 10, ROC)
Q: In what instances does a less serious
offense becomes a serious offense?
A:
1) Commission of two or more administrative
offenses alleged in the same administrative
complaint
2) Repeated commission of a less serious
offense or light offense.
Q: May ANONYMOUS COMPLAINTS be filed
against judges?
A: YES, but they must be supported by public
records of indubitable integrity. Courts have acted
in such instances needing no corroboration by
evidence to be offered by the complainant. Thus,
for anonymous complaints, the burden of proof in
administrative proceedings, which usually rests
with the complainant, must be buttressed by
indubitable public records and by what is
sufficiently proven during the investigation. If the
burden of proof is not overcome, the respondent
is under no obligation to prove his defense. (Rule
140, Sec. 1, ROC)
Q: Should administrative charges against
judges be proven with the clear and
PREPONDERANT EVIDENCE requirement?
A: YES, administrative charges against judges
have been viewed by this Court with utmost care,
as the respondent stands to face the penalty of
dismissal or disbarment. (Datoon vJudge Kapili,
A M No. RTJJO-2247, 2011)
Q: Does the SC have jurisdiction over
administrative cases wherein the judge
defendant has already RETIRED?
A: NO. For the Supreme Court to acquire
jurisdiction over an administrative proceeding,
the complaint must be filed during the
incumbency of the respondent public official or
employee. (OCA v. Grageda, A.M. No. RTJ-10-
2235, 2013)
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Q: What is the rule on sanctions imposed by
the Supreme Court on erring members of the
Judiciary?
A: The Supreme Court has the mandate to
oversee that all judges and justices of the
judiciary comply with the law and the Rules of
Court. All complaints against such judges or
justices are lodged with the Supreme Court.
(Maceda v. Vasquez, G.R. No. 102781, 1993)
Q: What are the GENERAL GROUNDS FOR
ADMINISTRATIVE SANCTIONS against
judges under Section 67 of the Judiciary Act
of 1948? (SMI)
A:
1) SERIOUS MISCONDUCT, which implies
malice or wrongful intent, not mere error of
judgment, judicial acts complained of must be
corrupt or inspired by an intention to violate
the law, or were in persistent disregard for
well-known legal rules; and,
2) INEFFICIENCY, which implies negligence,
incompetence, ignorance, and carelessness,
when the judge fails to observe in the
performance of his duties that diligence,
prudence and circumspection which the law
requires in the rendition of any public service.
Q: What are the GENERAL GROUNDS FOR
SUSPENSION AND DISMISSAL?
A:
1) Those related to the discharge of the
functions of the office concerned, such as
neglect of duty, oppression, corruption or
other forms of mal-administration, etc.
2) Those not related to, or connected with, the
functions of the office, such as the
commission of a crime.
3) Grounds falling under the first category may
be proceeded against administratively at one,
while those falling under the second category
requires a final judgment of conviction unless
the act committed constitutes a violation of
the Code of Judicial Conduct. (Agpalo, Legal
and Judicial Ethics, 686-687 (2009);
Provincial Board of Zamboanga del Norte v.
Guzman, G.R. No. L-23523, 1967)
Q: If the respondent is GUILTY OF A SERIOUS
CHARGE, what are the SANCTIONS that may
be imposed?
A:
1) Dismissal from the service, disqualification
from reinstatement or appointment to any
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public office, and forfeiture of all or part of the
benefits except accrued leave credits;
2) Suspension from office for 3-6 months
without salary and other benefits; and/or,
3) A fine of P20,000.00 to P40,000.00. (Rule
140, Sec. 11-A, ROC)
Q: If the respondent is GUILTY OF A LESS
SERIOUS CHARGE, what SANCTIONS can be
imposed?
A:
1) Suspension from office for 1-3 months
without salary and other benefits; and/or,
2) A fine of P10,000.00 to P20,000.00 (Rule
140, Sec. 11-B, ROC)
Q: If the respondent is GUILTY OF A LIGHT
CHARGE, what are the SANCTIONS that may
be imposed?
A:
1) A fine of P1,000.00 to P10,000.00; and/or
2) Censure;
3) Reprimand;
4) Admonition with warning. (Rule 140, Sec. 11,
ROC)
Q: Are PROSECUTORS covered by the Code
of Professional Responsibility?
A: YES. The Prosecutors of the House who are
members of the Bar are of course covered by the
Code of Professional responsibility even in their
conduct in impeachment proceedings.
Q: Can a decision be reconsidered for a judge
found guilty of violating the Code of Judicial
Conduct considering that he is a first-time
offender?
A: YES. While the Court is duty-bound to sternly
wield a corrective hand to discipline its errant
employees and to weed out those who are
undesirable, the Court also has the discretion to
temper the harshness of its judgment with mercy.
(Favor v. Judge Untalan, A.M. No. RTJ-08-2158,
2010)
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Q: An MTC judge found complainants guilty
of contempt against MTC and sentenced them
to four months imprisonment. Is the MTC
judge guilty of gross ignorance of the law?
A: YES. The Rules of Court provides that the
imposable penalty for contempt committed
against a lower court is a fine not exceeding
P5,000 or imprisonment of one month, or both.
(Pancho, et a l v. Judge Aguirre, A.M. No. RTJ-
09-2196, 2010)
Q: Can a judge purchase properties subject of
litigation is his court?
A: Generally, no. As an exception, it does not
apply where the subject property was not
acquired from any of the parties to the case, nor
will it apply when the litigation is already finished.
Q: May a judge be held administratively liable
for rendering an erroneous order or
judgment?
A: NO. A judge may not be held administratively
liable for every erroneous order or decision he
renders. To hold otherwise would be to render
judicial office untenable, for no one called upon to
try the facts or interpret the law in the process of
administering justice can be infallible in his
judgment. (Ang v. Judge Quilala, A.M. No. MTJ-
03-1476, 2003)
Q: Is the judge guilty of undue delay in
rendering a decision, when he decides a civil
case beyond the 90-day reglementary period?
A: YES, the 90-day period is mandatory. Failure
to decide cases within the reglamentary period
constitutes a ground for administrative liability
except when there are valid reasons for the delay
and is classified as a less serious offense. (Edano
v. Judge Asdala, A.M. No. RTJ-06-2007, 2010)
Q: Can a judge be held to have violated the
Code of Judicial Conduct in a case where he
approved the bail bonds issued by a
blacklisted bonding company, and the bail
bonds for persons charged in criminal cases
pending outside her territorial jurisdiction?
A: YES. The judge is still bound to review the
supporting documents before approving the bail
bonds, even if it is the Clerk of Court who has the
duty to ascertain that the bail bonds are in order
and that all requisites for approval have been
complied with. (Re: Anonymous Letter-Complaint
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against Hon. Marilou Runes-Tamang, A.M. No.
MTJ-04-1558, 2010)
Q: May a judge be disciplined for failure to pay
a debt arising out of a private transaction?
A: YES. Rule 140, Sec. 8 of the ROC, holds its
officials and employees administratively liable in
unpaid debt situations, and considers willful
failure to pay a just debt as a ground for
disciplinary action against judges and justices.
The phrase “just debts” refer to (1) claims
adjudicated by a court of law; or (2) claims, the
existence and justness of which are admitted by
the debtor. (Manlapaz v. Judge Sabillo, A.M. No.
MTJ-10-1771, 2013)
Q: Is the filing of an administrative complaint
the proper remedy for correcting the actions
of a judge perceived to have gone beyond the
norms of propriety?
A: NO. Administrative actions are not the proper
course of action, where a sufficient remedy
exists. The actions against judges should not be
considered as complementary or suppletory to, or
substitute for, the judicial remedies which can be
availed of by a party in a case. (Peralta v. Judge
Omelio, A.M. No. RTJ-11-2259, 2013)
NOTE: THE DISMISSAL OF SB ASSOC.
JUSTICE GREGORY ONG (PROMULGATED
ON 23 SEPTEMBER 2014).
FACTS: Former SB Associate Justice Ong was
accused of gross misconduct, partiality and
corruption or bribery during the pendency of the
Kevlar case, and impropriety on account of his
dealing and socializing with Napoles after her
acquittal in the said case. Additionally, Ong failed
to disclose in his 26 September 2013 letter to
Chief Justice Sereno that he had actually visited
Napoles at her office in 2012, as he vehemently
denied having partied with or attended any social
event hosted by her.
HELD: GUILTY of gross misconduct, dishonesty,
and impropriety, all in violations of the New Code
of Judicial Conduct for the Philippine Judiciary,
for which he is hereby DISMISSED from the
service, with forfeiture of all retirement benefits,
except accrued leave credits, if any, and with
prejudice to reemployment in any branch, agency
or instrumentality of the government including
GOCCs.
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Important Doctrines
Q: Is DIRECT EVIDENCE of wrongdoing
required in an administrative case for gross
misconduct?
A: NO. In administrative proceedings, only
substantial evidence is required. Justice Ong’s
actions during and after the pendency of the trial
constitutes gross misconduct, notwithstanding
absence of direct evidence of corruption and
bribery.
Q: Justice Ong raised the defense that he was
not the ponente of the decision acquitting Ms.
Napoles. Is his argument meritorious?
A: NO. By the mere act of going to Ms. Napoles’s
office, Justice Ong exposed himself to the
suspicion of partiality. The suspicion of partiality
was not abolished, notwithstanding the fact that
the decision was promulgated as part of a
collegial body.
Q: May a judge meet with litigants in pending
cases before him or her?
A: NO. Such acts are grossly improper and
violate Section 1, Canon 4 (Propriety) of the New
Code of Judicial Conduct. A judge must be
impartial, and fraternizing with litigants tarnishes
this appearance.
Q: Is the rule on propriety limited to pending
or prospective litigation, and not those which
have been completed?
A: NO. It covers all times, because judges must
be beyond reproach and should avoid the mere
suggestion of partiality and impropriety. Because
magistrates are under constant public scrutiny,
the termination of a case will not deter public
criticisms for acts which may cast suspicion on its
disposition or resolution.
Q: Is there any liability for failing to disclose
that Justice Ong met with Ms. Napoles prior
to the initiation of the administrative
proceedings?
A: YES. Being untruthful on crucial matters
amounts to dishonesty, a violation of Canon 3
(Integrity) of the New Code of Judicial Ethics.
Dishonesty, being a grave offense, carries the
extreme penalty of dismissal from the service with
forfeiture of retirement benefits except accrued
leave credits, and with perpetual disqualification
from re- employment in government service. (Re:
Allegations made under oath at the Senate Blue
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Ribbon Committee hearing held on September
26, 2013 Against Associate Justice Gregory S.
Ong, Sandiganbayan, A.M. No. SB-14-21-J,
2014)
IMPEACHMENT
Q: What are the GROUNDS FOR
IMPEACHMENT AND CONVICTION OF
MEMBERS OF THE SC? (GOT-BBC [I GOT Big
Black Clock])
A:
1) Graft and Corruption:
2) Other High Crimes;
3) Treason;
4) Bribery;
5) Betrayal of Public Trust; or,
6) Culpable Violation of the Constitution (Sec. 2,
Art. XI, 1987 Constitution).
Q: Can a SC Justice, during his incumbency,
be charged with disbarment or any other
charge that would warrant a removal from
office?
A: NO. A SC Justice, during his incumbency, may
be removed from office only by impeachment,
therefore he cannot be charged with disbarment
or any other criminal charge before the
Sandiganbayan or any other court with any
offence which carries with it the penalty of
removal from office, or any penalty service of
which would amount to removal from office. (In
Re First Indorsement From Honorable Raul M.
Gonzalez, A.M. 88-4-5433, 1988)
Q: May a SC Justice be impeached for failing
to disclose to the public his/her Statement of
Assets, Liabilities, and Net Worth (SALN)?
A: YES. A SC Justice can be impeached on the
ground of Culpable Violation of the Constitution
and/or Betrayal of Public Trust when he/she fails
to disclose to the public his/her SALN as required
under Sec. 17, Art. XI of the 1987 Constitution.
(Republic vs. Sereno, GR 237428, 2018)
Q: Is a depositor of foreign currency funds
prohibited by law to make declarations of his
assets, such that a SC Justice may be
prohibited from declaring such?
A: NO. There is nothing in R.A. No. 6426 (FCD
Act) which prohibits the depositor from making a
declaration on his own of such foreign currency
funds. All the law (RA 6426) prohibits is the
depository banks and third parties from disclosing
Page 65 of 103
ETHICS
the account. The public officer is still mandated to
uphold accountability and transparency. (PSB vs.
Senate Impeachment Court, GR 200238, 2012)
Q: May an employee of the Judiciary be
dismissed for failing to disclose matters in
her SALN?
A: YES. A court interpreter can be dismissed from
service because she fails to disclose in her SALN
that she rented a market stall. (Rabe v. Flores,
A.M. No. P-97-1247, 1997)
Q: What is the EFFECT OF INCONSISTENCIES
OF DECLARATIONS in the SALN?
A: Dismissal from the service. (Concerned
Taxpayer v. Doblada, A.M. No. P-99-1342, 2005)
Q: Is prior notice of non-completion of SALN
and its correction necessary before filing of
charges?
A: NO. Under RA 3019, the employee does not
have to be given the chance to correct his SALN
before charges can be filed against him. It is also
not condition precedent for him to be charged for
dishonesty and grave misconduct. (Carabeo v.
Court of Appeals, G.R. Nos. 178000, 2009)
Q: Who are required to file a SALN and a
Disclosure of Business Interests and
Financial Connections?
A: All public officials and employees shall file
under oath their Statement of Assets, Liabilities
and Net Worth and a Disclosure of Business
Interests and Financial Connections and those of
their spouses and unmarried children under
eighteen (18) years of age living in their
households.
Exception: Those who serve in an honorary
capacity, laborers and casual or temporary
workers. (Section 8(a), RA 6713 or Code of
Conduct and Ethical Standards for Public
Officials and Employees)
ATENEO CENTRAL
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Q: Who must file and where must it be filed? B, DISQUALIFICATION OF JUDGES AND
A: JUSTICES (RULE 137)
OFFICER WHERE
Q: What are COMPULSORY
DISQUALIFICATIONS?
Constitutional Officials Ombudsman
A: Those which are mandatory and where the
(Constitutional
judge has no option but to inhibit himself/herself
Commissions)
from the case. (Alexander Ortiz v. Judge Ibarra
National Elective
Jaculbe, Jr., A M No. RTJ-04-1833, 2005; See
Officials
Rule 137, Rules of Court; Rule 3.12, Canon 3,
Senators Respective Code of Judicial Conduct)
Congressmen secretaries of each
chamber Q: What are the GROUNDS FOR
COMPULSORY DISQUALIFICATIONS UNDER
SC Justices Clerk of Court of RULE 137? (P6-CEP)
SC A:
1) The judge, judicial officer or his wife or child
All National Executive Office of the is Pecuniarily interested in as heir, creditor
Officials (Cabinet President or otherwise.
members) 2) The judge or judicial officer is related to either
Regional and local Deputy party within the sixth (6th) degree of
officials and employees Ombudsman in the consanguinity or affinity.
(mayors, governors) respective region 3) The judge or judicial officer is related to
Counsel within the fourth degree of
Armed forces officers Office of the consanguinity or affinity.
(colonel or naval President 4) The judge or judicial officer has previously
captain) participated as the Executor, administrator,
guardian, trustee or counsel to ruling or
Armed forces officers Deputy decision subject of review.
lower than colonel or Ombudsman in 5) The judge or judicial officer Previously
naval captain respective region participated by presiding over the case in
any inferior court over the ruling or decision
Others Civil Service subject of review.
Commission
NOTE: The New Code of Judicial Conduct,
Q: What is the EFFECT OF FAILURE TO FILE particularly Canon 3, Section 5, provides new,
SALNS WITHOUT EXPLANATION? additional grounds for compulsory
A: Failure to file SALNs without explanation disqualification. See the previous discussion in
warrants a penalty. While every office in the the earlier part of this reviewer.
government service is a public trust, no position
exacts a greater demand on moral righteousness Q: What is an example of a RELATIONSHIP
and uprightness of an individual than a seat in the THAT IS NOT DISQUALIFIED under Rule 137,
Judiciary. Hence, judges are strictly mandated to Sec. 1?
abide with the law, the Code of Judicial Conduct A: That the counsel and judge were classmates.
and with existing administrative policies in order
to maintain the faith of our people in the Q: How are compulsory disqualifications
administration of justice. WAIVED by the parties-in-interest?
A: According to Rule 137, Sec. 1, they are waived
Note: Relate to: RULE 2.01 -A JUDGE SHOULD by signing a written waiver and entering the same
SO BEHAVE AT ALL TIMES AS TO PROMOTE upon the record of the court.
PUBLIC CONFIDENCE IN THE INTEGRITY
AND IMPARTIALITY OF THE JUDICIARY (Code According to Canon 3, Section 6 of the NCJC, the
of Judicial Conduct) parties and lawyers can agree in writing that the
reason for the judge's inhibition is immaterial or

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insubstantial, and sign such agreement which is
then incorporated in the record of the
proceedings.
Q: What are VOLUNTARY
DISQUALIFICATIONS under Rule 137, Sec. 1?
A: It is when a judicial officer, in the exercise of
his sound discretion, disqualifies himself for any
other valid cause other than those stated in the
first paragraph of the rule.
Q: What are the GROUNDS for voluntary
disqualification?
A: There are no expressly enumerated grounds
for voluntary inhibition and such is left to the
sound discretion of the judge. (Parayno, e t al. v.
Hon. Meneses, et.al., G.R. No. 112684, 1994)
Q: What should be Lite BASIS fot voluntary
disqualification?
A. The basis for voluntary Inhibition should be
based on just and valid reasons ascertained by
the judge after a “rational and logical assessment
of the circumstances prevailing in the case.”
There is no hard and fast rule in determining
when a judge should voluntarily inhibit himself,
such must be taken on a case to case basis.
(Gutang, et ai, v. Court of Appeals, et al, G.R.
No. 124/60, 1998)
Q: Are imputations of bias sufficient to
constitute grounds for voluntary
disqualification?
A: NO. The mere imputation of bias or partiality is
not enough ground for inhibition, especially when
the charge is without basis. (BGen. (Ret.)
Ramiscal, Jr. v. Hon. Hernandez, G.R. No.
173057-74, 2010)
Q: May a judge still be required to oversee the
case even though he/she voluntary
disqualifies himself/herself?
A: YES. While voluntary inhibition is based on the
sound discretion and conscience of the judge,
reviewing tribunals will not disturb the judges’
decision unless there is manifest arbitrariness or
whimsicality. (Gutang, et al., v. CA, G.R. No.
124760, 1998)
Q: What is an example of a ground for
voluntary disqualification?
A: A judicial officer may voluntarily inhibit himself
on the ground of delicadeza when a suggestion is
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made on record that he might be induced to favor
one party over the other or with bias or prejudice
against a litigant. (Gutang, et al., v. CA, G.R. No.
124760, 1998)
A judge may also inhibit himself on the ground of
fear that he is suspect of surrendering to or
succumbing to “utang na loob” to counsel who
recommended him to his post, when bias and
prejudice is unavoidable, (Query of Executive
Judge Estrella T. Estrada, Regional Trial Court of
Malolos, Bulacan, on the conflicting views of
Regional Trial Court - Judges Masadao and
Elizaga RE: Criminal Case No. 4954-M, A.M. No.
87-9-3918-RTC, 1987)
Q: How should the judge determine if he/she
should voluntarily disqualify himself/herself?
A: The judge must conduct self-examination and
exercise his discretion to ensure that people’s
faith In the courts are not Impaired and his actions
will not cause the losing party to think that the
judge tilted the scales of justice against him.
(Pimentel v. Salonga, G. R. No. 27934, 1967)
Q: What should parties do if the judge fails to
inhibit himself in cases of voluntary
disqualification?
A: According to Rule 137, Sec. 2, the party may
make his objection known in writing and file it with
the court.
Q: What PROCESS will the court follow in
case objections are made? (I LD-F)
A:
1) File his objection in writing with the officials,
stating the grounds therefor.
2) The official, after determining the question of
his disqualification, shall either withdraw
from the case or proceed with trial.
3) The decision of the official shall be in writing
and filed with the other papers of the case.
4) No appeal or stay of the official’s decision
may be taken until final judgment in the
main case.
Q: May a judge, who has filed a motion to
inhibit, be compelled to proceed with the
hearing of the case by Mandamus?
A: NO. The grant or denial of the motion to inhibit
involves the exercise of discretion. The right or
duty to exercise this discretion has been imposed
on the judge by the Rules of Court with regard to
any matter before him. (Gutang v. CA, G.R. No.
124760, 1998)
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C. POWERS AND DUTIES OF COURTS AND
JUDICIAL OFFICERS
Q: What are the GENERAL
RESPONSIBILITIES of the courts? (OPI)
A;
1) To always be open for filing of any pleading,
motion or other papers, for hearings of cases
and motions and for rendition of judgments,
except for legal holidays;
2) To be open to the public, except when, given
the nature of the evidence to be adduced, it
is in the interest of morality or decency (Rule
135, Sec. 1, ROC); and,
3) To be impartial in dispensing justice without
unnecessary delay.
Q: What are the INHERENT POWERS OF THE
COURT?
A: Under Rule 135, Sec, 5, the court has inherent
powers to: (PEC3A3)
1) To preserve and enforce order in its
immediate presence;
2) To enforce order in proceedings before it,
or before a person or persons empowered to
conduct a judicial investigation under its
authority;
3) To compel obedience to its judgments,
orders and processes, and to the lawful
orders of a judge out of court, in a case
pending therein;
4) To control, in furtherance of justice, the
conduct of its ministerial officers, and of
all other persons in any manner connected
with a case before it, in every manner
appertaining thereto;
5) To compel the attendance of persons to
testify in a case pending therein;
6) To administer or cause to be administered
oaths in a case pending therein, and in all
other cases where it may be necessary in the
exercise of its powers;
7) To amend and control its process and
orders so as to make them conformable to
law and justice; and,
8) To authorize a copy of a lost or destroyed
pleading or other paper to be filed and used
instead of the original, and to restore, and
supply deficiencies in its records and
proceedings
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Q: What actions may judicial officers take
when jurisdiction is conferred by law? When
it is not conferred by law?
A: When jurisdiction is conferred by law, the
judicial officer may make employ all auxiliary
writs, processes and other means necessary to
carry it into effect.
When jurisdiction is not specifically granted by
law the court or judicial officer may employ any
suitable process or mode of proceeding may be
adopted which appears comfortable to the spirit
of the law or rules.
Q: How should TRIAL be conducted?
A: Trial on the merits shall be conducted in open
court and so far as convenient in a regular court
room.
All other acts or proceeding, may be done or
conducted by a judge in chambers, without the
attendance of the clerk or other court officials.
Q: What is the POWER OF JUDGES OF TRIAL
COURTS? (ICJ)
A:
1) Power to hear and determine any
Interlocutory motion or issue after due and
reasonable notice to the parties.
2) Power to Choose any place, in the judicial
district, for the hearing in cases of habeas
corpus, for release on bail or reduction of bail.
3) Preparing and signing Judgments out of
province/within the Philippines.
Q: What is the DUTY OF THE CLERK OF THE
SUPREME COURT AND THE COURT OF
APPEALS?
A: The clerk of the Supreme Court and that of the
Court of Appeals shall keep office at Manila and
all papers authorized or required shall be filed at
Manila.
The clerk's office shall be open during business
hours on all days except Sundays and legal
holidays, with the clerk or his deputy in
attendance. (Rule 136, Sec, 3, ROC)
Q: What are the GENERAL DUTIES OF
CLERKS? (P2S-DJ-ECOS)
A:
1) Issuance of process;
2) Receive papers and prepare minutes;
3) Safekeeping of property;
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4) To keep a general docket of cases;
5) To keep a judgment and entries book;
6) To keep an Execution book;
7) To prepare certified copies of court
documents;
8) Other such books and duties as the court
may direct; and,
9) To demand that the stenographer comply
with his duty to deliver all the notes he has
taken.
Q: What are the GENERAL DUTIES OF
STENOGRAPHERS? (NTS)
A:
1) To deliver to the clerk of court all the
Notes he has taken, immediately at the close
of such morning or afternoon session;
2) To deliver the Transcript of transcribed
notes to the clerk, duly initialed on each page
thereof, to be attached to the record of the
case; and,
3) To deliver, whenever requested by a party,
any Statement made by a judge of first
instance, or by a commissioner, with
reference to a case being tried by him, or to
any of the parties thereto, or to any witness
or attorney, during the hearing of such case,
shall be made of record in the stenographic
notes. (Rule 136, Sec. 17, ROC)
D. FEES AND COSTS
LEGAL FEES
Q: When is JURISDICTION OVER A CASE
acquired?
A: Jurisdiction over any case is acquired only
upon payment of the prescribed docket fee which
is both mandatory and jurisdictional. Failure to
pay will result in the dismissal of the case. (Home
Guaranty Corporation v. R-ll Builders In., G.R.
No. 192649, 2011)
Q: Are there any EXCEPTIONS to the
abovementioned rule?
A:
1) Where the filing of the initiatory pleading is
not accompanied by payment of the docket
fee, the court may allow payment of the fee
within a reasonable time but in no case
beyond the applicable prescriptive or
reglementary period.
2) The same rule applies to permissive
counterclaims, third-party claims and similar
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ETHICS
pleadings, which shall not be considered filed
until and unless the filing fee prescribed
therefor is paid. The court may also allow
payment of said fee within a reasonable time
but also in no case beyond its applicable
prescriptive or reglementary period.
3) Where the trial court acquires jurisdiction
over a claim by the filing of the appropriate
pleading and payment of the prescribed filing
fee but, subsequently, the judgment awards
a claim not specified in the pleading, or if
specified the same has been left for
determination by the court, the additional
filing fee therefor shall constitute a lien on the
judgment. It shall be the responsibility of the
Clerk of Court or his duly authorized deputy
to enforce said lien and assess and collect
the additional fee. (Sun Insurance Office, Ltd.
v. Hon. Asuncion, G.R. No. 79937-38, 1989)
Q: Who are REQUIRED to pay legal fees?
A: The general rule is that all parties to an action
must pay fees prescribed in full, upon filing of the
pleading or other application, which initiates and
action or proceeding. (Rule 141, Sec. 1, ROC)
Q: Who are EXEMPTED from paying legal
fees?
A:
1) The REPUBLIC OF THE PHILIPPINES, its
agencies and instrumentalities are exempt
from paying the legal fees provided. But local
governments and GOCCs with or without
independent charters are NOT exempted
from paying the necessary fees. (Rule 141,
Sec. 21, ROC)] and,
2) INDIGENT LITIGANTS whose gross income
and that of their immediate family do not
exceed P4,000 a month if residing in Metro
Manila, and P3,000 pesos a month if residing
outside Metro Manila, and who do not own
real property with an assessed value of more
than P50,000. To be entitled to this
exemption, the litigant must execute an
affidavit containing the aforementioned
information. This must be supported by
another affidavit accomplished by a
disinterested person, attesting to the truth of
the litigant’s affidavit. (Rule 141, Sec. 18,
ROC)
Q: If the indigent litigant fails to meet the
requirements of Section 18, Rule 141, can he
still be exempted from paying legal fees?
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A: YES, the applicant may still qualify as an
indigent-litigant under Rule 3, Section 21. For this
purpose, the applicant must prove that he “has no
money or property sufficient and available for
food, shelter and basic necessities for himself
and his family.” In that hearing, the adverse party
may adduce countervailing evidence to disprove
the evidence presented by the applicant. In
addition, the adverse party may still contest such
grant any time before judgment is rendered,
possibly based on newly discovered evidence.
(Spouses Algura v. Naga, G.R. No. 150135,
2006)
Q: Are SENIOR CITIZENS exempt from paying
association dues?
A: NO. While the Senior Citizens Act grants
senior citizens exemption from the payment of
individual income taxes, the exemption does not
include payment of membership or association
due. A lawyer who is a senior citizen can engage
in the practice of law only by paying his due, and
it does not matter that his practice is “limited.”
(Santos v. Llamas, A.C. No. 4749, 2000; 2006
Bar)
Q: What are FEES IN LIEN?
A: Party concerned shall pay the additional fees,
which shall constitute a lien on the judgment in
satisfaction of the lien, when the court in its final
judgment awards:
1) A claim not alleged; or,
2) A relief different from, or more than that
claimed in the pleading. (Rule 141, Sec. 2,
ROC)
Q: What is the RULE ON COSTS?
A: Costs ordinarily follow results of the suit. It
shall be allowed to the prevailing party as a
matter of course. However, the court shall have
power, for special reasons, to adjudge that either
party shall pay the costs of an action, or that the
same be divided, as may be equitable. Note that
no costs shall be allowed against the Republic of
the Philippines, except otherwise provided by
law. (Rule 142, Sec. 1, ROC)
Q: What is the rule on costs when the ACTION
OR APPEAL IS DISMISSED FOR WANT OF
JURISDICTION OR OTHERWISE?
A: The court shall still have the power to render
judgment for cost, as justice may require. (Rule
142, Sec. 2, ROC)
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ETHICS
Q: What is the rule on costs for FILING
FRIVOLOUS ACTIONS OR APPEALS?
A: Double or treble costs may be imposed on the
plaintiff or appellant, which shall be paid by his
attorney, if ordered by the court. (Rule 142, Sec.
3, ROC)
Q: What is the rule on costs for KNOWINGLY
MAKING FALSE ALLEGATIONS?
A: A litigant who knowingly makes false
allegations in a pleading shall pay such
reasonable expenses as may have been
necessarily incurred by the other party by reason
of such untrue pleading. (Rule 142, Sec. 4, ROC)
Q: What is the rule on costs when WITNESS
FAILS TO APPEAR?
A: The costs of the warrant of arrest and of the
arrest of the witness shall be borne by the witness
if the court determines that his failure to appear
was willful or without just excuse. (Rule 142, Sec.
12, ROC)
Q: Stenographer X was charged with willful
gross neglect of duties based on the
following: (1) non-issuance of an official
receipt for the payment of the transcript of
stenographic notes (TSN) and (2) antedating
of the date the TSN was prepared, and with the
corresponding amounts of P79.20 and P92.40,
which were not consistent with the amount
indicated in the temporary acknowledgement
receipt she had issued, is she liable?
A: YES. Stenographer X violated the Code of
Conduct of Court Personnel and Code of Ethics
for Government Officials and Employees.
The Court will not tolerate the practice of asking
for advance payment from litigants, much less the
unauthorized acceptance of judicial fees. Section
11, Rule 141 of the Rules of Court, specifically
provides that payment for requests of copies of
the TSN shall be made to the Clerk of Court.
Clearly, therefore, payment cannot be made to
respondent, as it is an official transaction, and, as
such, must be made to the Clerk of Court.
Stenographer X is not authorized to accept
payment for judicial fees, even if two-thirds of
those fees would be paid to her. Moreover, the
issuance of an acknowledgment receipt cannot
be construed as having been done in good faith,
considering the fact that respondent only remitted
the payment for the TSN five (5) months after her
receipt of the supposed judicial fee, or only after
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the instant Complaint had been filed against her.
Her belated remittance was tainted with bad faith.
(Baguio v. Arnejo, AM. No. P-13-3155, 2013)
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j III. PRACTICAL EXERCISES |
[Preliminary Note: As a reminder, do not use
your own name when making legal forms, as
this will be equivalent to making markings on
your booklet]
A. NOTARIAL LAW
[This Section covers the basics of forms in terms
of notarial law, as most legal forms will contain
some form of notarial a ct]
1. NOTARIAL CERTIFICATE
Q: What is a notarial certificate?
A: A notarial certificate refers to the part of, or
attachment to, a notarized instrument or
document that is:
1) Completed by the notary public;
2) Bears the notary's signature and seal; and
3) States the facts attested to by the notary
public in a particular notarization as provided
for by these Rules. (Rule II, Sec. 8 of 2004
Rules on Notarial Practice)
Q: What should a notarial certificate contain?
A: It should include the following:
• The name of the notary public as exactly
indicated in the commission;
• The serial number of the commission of
the notary public;
• The words "Notary Public" and the
province or city where the notary public is
commissioned, the expiration date of the
commission, the office address of the
notary public; and
• The roll of attorney's number, the
professional tax receipt (PTR) number
and the place and date of issuance
thereof, and the IBP membership
number. (Rule VIII, Sec. 2 of 2004 Rules
on Notarial Practice)
Q: When should there be a notarial certificate
on a document or pleading?
A: Any document or pleading which requires that
a notary public perform a notarial act must always
feature a notarial certificate. (Rule II, Sec. 8 of
2004 Rules on Notarial Practice)
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2. FORM: NOTARIAL CERTIFICATE 4. FORM: JURAT

[Signature of Notary Public] REPUBLIC OF THE PHILIPPINES )

JOSIAH LEE
Notary Public for Makati City
. Appointment No. 234 until Dec. 31, 2019
874 Swallow St., Makati City
Roll No. 12345
IBP No. 225; issued Jan. 2, 2017; IBP Makati
Chapter
PTR No. 24; issued Jan. 3, 2017; Makati City
CITY OF MAKATI ) S.S.
JURAT
Subscribed and sworn to before me, a Notary
Public in and for Makati City, affiant exhibiting
to me his/her [insert competent evidence of
identity] issued a t __________and expiring on
____________ _s signed the instrument in my
presence, and who took an oath before me as
to such instrument.

Memory Aid: NNoVADARIP Witness my hand and seal this 14th day of
Name December 2017.
Notary Public for Venue
Appointment No. Doc. No. _ ;
Date of expiry Page No. [INSERT NOTARIAL
Address/Regular Place of Work or Business Book No. _ ; CERTIFICATE]
Roll No. Series of 2017.
IBP No.
PTR No. 5. OATH OR AFFIRMATION; DEFINED

Q: What is an oath or affirmation?

3. JURAT; DEFINED A: The term affirmation or oath refers to an act in
which an individual on a single occasion:
Q: What is a jurat? 1) Appears in person before the notary public;
A: A jurat refers to an act in which an individual 2) Is personally known to the notary public or
on a single occasion: identified by the notary public through
1) Appears in person before the notary public competent evidence of identity as defined by
and presents an instrument or document; these Rules; and
2) Is personally known to the notary public or 3) Avows under penalty of law to the whole truth
identified by the notary public through of the contents of the instrument or
competent evidence of identity as defined by document. (Rule II, Sec. 2 of 2004 Rules on
these Rules; Notarial Practice)
3) Signs the instrument or document in the
presence of the notary; and
4) Takes an oath or affirmation before the
notary public as to such instrument or
document. (Rule II, Section 6 of 2004 Rules
on Notarial Practice)
Q: When is the jurat used?
A: It is used in notarizing documents that are
declaratory in nature (e.g., affidavits).

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6. FORM: OATH OR AFFIRMATION
REPUBLIC OF THE PHILIPPINES )
CITY OF MAKATI ) S.S.
OATH
Sworn to before me this 27th day of June, 2017,
in Makati City, Philippines, John Doe exhibiting
to me his [insert competent evidence of identity]
issued at ________ and expiring on
presented the foregoing
instrument and avowed, under penalty of law,
to the whole truth of its contents.
Witness my hand and seal this 14th day of
December 2017.
Doc. No.
Page No. [INSERT NOTARIAL
Book No. CERTIFICATE]
Series of 2017.
7. ACKNOWLEDGMENT; DEFINED
Q: What is an acknowledgment?
A: An acknowledgment refers to an act in which
an individual on a single occasion:
1) Appears in person before the notary public
and presents an integrally complete
instrument or document;
2) Is attested to be personally known to the
notary public or identified by the notary public
through competent evidence of identity as
defined by these Rules; and
3) Represents to the notary public that the
signature on the instrument or document was
voluntarily affixed by him for the purposes
stated in the instrument or document,
declares that he has executed the instrument
or document as his free and voluntary act and
deed, and, if he acts in a particular
representative capacity, that he has the
authority to sign in that capacity. (Rule II, Sec.
1 of 2004 Rules on Notarial Practice)
Q: When is the acknowledgment used?
A: It is used in notarizing documents that transmit
rights or property (e.g., contracts of sale, last wills
and testaments).
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ETHICS
Q: Which notarial act requires the principal to
bring his or her community tax certificate
(CTC)?
A: The notarial act which requires the
presentation of a CTC is the acknowledgement.
An individual must present his or her CTC when
he or she acknowledges a document before a
notary public. Thus, to show compliance with this
requirement, the CTC number, among other
details relating to such CTC, must be stated in the
acknowledgment. (Local Government Code, Sec.
163; Revised Administrative Act, Sec. 251)
Q: What information in relation to the CTC
must be provided in the acknowledgement?
A: Every document acknowledged before a
notary public shall have certified thereon that -
1) The parties thereto have presented their
proper CTC or are exempt from the cedula or
residence tax; and
2) The number, place of issue, and date of issue
of the CTC. (Revised Administrative Act, Sec.
251)
Q: Is a CTC still considered competent
evidence of identity?
A: No, as it has been omitted as competent
evidence of identity under the 2004 Rules on
Notarial Practice and related issuances. Hence,
an acknowledgment which mentions a CTC
number must additionally include details on a
principal’s competent evidence of identity. (A.M.
No. 02-8-13-SC, 2008; Baylon v. Almo, A.C. No.
6962, 2008)
NOTE: This now means the person executing the
instrument must present both the CTC and a
competent evidence of identity.
Q: What is the significance of getting
documents acknowledged before a notary
public?
A: Documents acknowledged before notary
publics (except last wills and testaments) are
considered public documents under the Rules of
Evidence, and may be presented in evidence
without further proof, the certificate of
acknowledgment being prima facie evidence of
the execution of the instrument or document
involved. (Rules of Court, Rule 132, Sec. 30)
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8. FORM: ACKNOWLEDGMENT documentary identification. (Rule II,

Section 12, 2004 Rules on Notarial
Practice)
REPUBLIC OF THE PHILIPPINES ) Q: What are some examples of identification
CITY OF MAKATI ) S.S. documents that can serve as competent
evidence of identity?
ACKNOWLEDGMENT A: They include, but are not limited to, the
following:
Before me, a Notary Public in and for Makati 1) Passport
City, personally appeared John Doe, with 2) Driver’s license
[insert CTC number], issued by [issuing city] 3) Professional Regulations Commission ID
and expiring on , exhibiting to 4) National Bureau of Investigation clearance
5) Police clearance
me his [insert competent evidence of identity]
6) Postal ID
issued at ________ and expiring on 7) Voter’s ID
, who was identified by me 8) Barangay certification
through competent evidence of identity to be 9) Government Service and Insurance System
the same person who presented the foregoing (GSIS) e-card
instrument and affirmed that such instrument is 10) Social Security System (SSS) card
his free and voluntary act and deed. 11) Philhealth card
12) Senior citizen card
Witness my hand and seal this 13th day of 13) Overseas Workers Welfare Administration
December 2017. (OWWA) ID
14) OFW ID
15) Seaman’s book
Doc. No... 16) Alien certificate of registration/immigrant
Page No. ; [INSERT NOTARIAL certificate of registration
Book No. CERTIFICATE] 17) Government office ID
Series of 2017. 18) Certification from the National Council for the
Welfare of Disable Persons (NCWDP),
Department of Social Welfare and
9. COMPETENT EVIDENCE OF IDENTITY;
Development (DSWD) certification. (A M No.
DEFINED 02-8-13-SC, 2008)

Q: What does “competent evidence of Q: When is competent evidence of identity

identity” mean?
A: The phrase “competent evidence of identity”
refers to the identification of an individual based
on:
a) At least one current identification
document issued by an official agency
bearing the photograph and signature of
the individual; or
b) The oath or affirmation of one credible
witness not privy to the instrument,
document or transaction who is
personally known to the notary public and
who personally knows the individual, or
c) The oath or affirmation of two credible
witnesses neither of whom is privy to the
instrument, document, or transaction
who each personally knows the individual
and shows to the notary public
needed, and when is it not?
A: Competent evidence of identity is needed only
when the principal requesting that the notary
public perform the notarial act is not personally
known to the notary public; if the notary public
personally knows the principal, the notary must
say so explicitly in the notarized document,
instead of providing for the details of the
principal’s competent evidence of identity. (2004
Rules on Notarial Practice, Rule II, Secs. 1, 2, 4,
6, & 14)

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B. ADDITIONAL RULES (FOR REFERENCE)
[Note: Section B is not explicitly part of the Bar
Syllabus fur 2017. However, they have been
included due to their relevance and for ease of
reference.]
1. JUDICIAL AFFIDAVIT RULE (A.M. No. 12-8-
8-SC)
Q: What are the formal requisites of a judicial
affidavit?
A: A judicial affidavit shall be prepared in the
language known to the witness and, if not in
English or Filipino, accompanied by a translation
in English or Filipino, and shall contain the
following:
1) The name, age, residence or business
address, and occupation of the witness;
2) The name and address of the lawyer who
conducts or supervises the examination of
the witness and the place where the
examination is being held;
3) A statement that the witness is answering the
questions asked of him, fully conscious that
he does so under oath, and that he may face
criminal liability for false testimony or perjury;
4) Questions asked of the witness and his
corresponding answers, consecutively
numbered, that:
a) Show the circumstances under which the
witness acquired the facts upon which he
testifies;
b) Elicit from him those facts which are
relevant to the issues that the case
presents; and
c) Identify the attached documentary and
object evidence and establish their
authenticity in accordance with the Rules
of Court.
5) The signature of the witness over his printed
name; and
6) A jurat with the signature of the notary public
who administers the oath or an officer who is
authorized by law to administer the same.
7) The sworn attestation by the lawyer who
conducted or supervised the examination of
the witness, to the effect that:
a) He faithfully recorded or caused to be
recorded the questions he asked and the
corresponding answers that the witness
gave; and
b) Neither he nor any other person then
present or assisting him coached the
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ETHICS
witness regarding the latter's answers.
(A.M. No. 12-8-8-SC, Sec. 3 & 4)
2. EFFICIENT USE OF PAPER RULE (A.M.
No. 11 -9-4-SC)
Q: When does the Efficient Use of Paper Rule
apply?
A: It applies when pleadings, motions, and similar
papers (i.e., court-bound papers) are filed before
any and all courts and quasi-judicial bodies under
the administrative supervision of the Supreme
Court. It also applies to decisions, resolutions,
and orders issued by courts and quasi-judicial
bodies. (A.M. No. 11-9-4-SC, Sec. 2 & 3)
Q: What are the format and style rules under
the Efficient Use of Paper Rule?
A: All court-bound papers shall be written in
single space with a 114 space between
paragraphs, using an easily readable font style of
the party's choice, of 14-size font, and on a 13-
inch by 8.5-inch white bond paper (i.e., long bond
paper). Also, every page must be consecutively
numbered. (A.M. No. 11-9-4-SC, Sec. 3 & 4)
Q: What should the margins of court-bound
papers be under the Efficient Use of Paper
Rule?
A: The parties shall maintain the following
margins on all court-bound papers:
• A left hand margin of 1.5 inches from the
edge;
• An upper margin of 1.2 inches from the edge;
• A right hand margin of 1.0 inch from the edge;
and
• A lower margin of 1.0 inch from the edge.
(A.M. No. 11-9-4-SC, Sec. 4)
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A, DEMAND AND AUTHORIZATION LETTERS

1 DEMAND LETTER

[Letterhead]

April 21, 2019

Ms, Anna Karenina
101 Sutherland Tower, Mandaluyong City
Re: [SUBJECT]

Dear Ms. Karenina,

We are writing on behalf of our client, Mrs. Alicia Florrick (“Mrs. Florrick”),

Mrs. Florrick has informed us that: [insert summary of basic facts supporting your client’s
demand/comprising your client’s cause of action].

We wish to inform you that your acts constitute clear violations of [insert applicable laws or
regulations violated by the addressee which give rise to a cause of action in your client’s favor].

Accordingly, if Mrs. Florrick does not receive full payment of the sum of P15,000,000.00 within 15
days from your receipt of this letter, we will be constrained to file all the appropriate civil and criminal actions
against you in connection with the foregoing facts.

We trust that you will give this demand your most urgent attention.

Yours,
Mike Ross

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2. AUTHORIZATION LETTER

April 21, 2019

THE BRANCH CLERK OF COURT

Regional Trial Court
Branch 143, City of Makati

Re: [SUBJECT]

To the Branch Clerk of Court:

Greetings!

I am Alicia Florrick, plaintiff in Civil Case No. 182-887 pending before this Honorable Court.

This letter serves to introduce my counsel, XXX Law Firm and to authorize its lawyers and
apprentices, including but not limited to Atty. Mike Ross, Atty. Eli Gold, Ms. Anna Karenina, and Ms. Rachel
Zane to obtain copies of records pertaining to the aforementioned case on my behalf.

For clarifications, you may reach me at 09176281727.

Thank you for your kind consideration.

Best regards,

[insert signature]
Alicia Florrick

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B. SIMPLE CONTRACTS

1. LEASE

CONTRACT OF LEASE1

KNOW ALL MEN BY THESE PRESENTS:

This Agreement made and entered into at Makati this 7th day of July 2018 by and between DIANA
DESIRABLE, of legal age, married to ASA KA (LESSOR), and resident of Makati City, and ALAN DY, of
legal age, single and resident of Quezon City (LESSEE), WITNESSETH that:

1. In consideration of a monthly rental of P23,000.00 and the covenants made below, the LESSOR hereby
LEASES to the LESSEE an apartment located at 52 Sorrow Street, Makati City covered by Tax Declaration
No. 005 (Makati City Assessor’s Office) for a period of 12 MONTHS from signing of this contract.

2. The LESSEE covenants, as follows:

2.1. To pay the rentals on or before the fifth day of each month, without need of demand at the residence
of LESSOR;
2.2. To keep the premises in good and habitable condition, making the necessary repairs and painting
inside and outside the house;
2.3. Not to make major alterations and improvements without the written consent of the LESSOR and in
the event of such unauthorized major alterations and improvements, surrendering ownership over such
improvements and alterations to the LESSOR upon expiration of this lease;

IN WITNESS WHEREOF, the parties have signed this contract on the date and the place first mentioned.

DIANA DESIRABLE
Lessor

With my consent:
ASA KA

ALAN DY
Lessee

[INSERT ACKNOWLEDGMENT]

1 There are two instances when a contract of lease must be in writing and subscribed by the parties charged to be enforceable: (1)
when the contract lasts for a period of more than one year and (2) when the transaction involves real rights. (Civil Code, Art. 1403 (2)
(e))
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2. SALE OF REALTY

REPUBLIC OF THE PHILIPPINES )

CITY OF MAKATI ) S.S.

DEED OF ABSOLUTE SALE

KNOW ALL MEN BY THESE PRESENTS:

This DEED OF ABSOLUTE SALE is made, executed and entered into by:
LOU GAW, Filipino citizen, of legal age, single and resident of Makati City, hereinafter referred to
as the SELLER

-AND-
CUTE SHAH, of legal age, Filipino, single, and resident of Makati City, hereinafter referred to as
the BUYER.

WITNESSETH;

WHEREAS, the SELLER is the registered owner of a parcel of land, together with buildings and
improvements thereon situated in Makati City, and covered by Transfer (or Original) Certificate of Title No.
223 more particularly described as follows:

(Technical Description of property; specify metes and bounds of the property with approximate area thereof,
as indicated on the face of the title)

WHEREAS, the BUYER has offered to buy and the SELLER has agreed to sell the
abovementioned property for the amount of Three Million Pesos (PHP 3,000,000) of which I am the
registered owner in fee simple, my title thereto being, issued by the Register of Deeds of Makati City.

NOW THEREFORE, for and in consideration of the sum of Three Million Pesos (PHP 3,000,000),
the SELLER do hereby SELL, TRANSFER, and CONVEY by way of Absolute Sale unto said BUYER, his
heirs and assigns, the certain parcel of land together with buildings and improvements thereon. It is hereby
mutually agreed that the vendee shall bear all expenses for the execution and registration of this deed of
sale.

IN WITNESS WHEREOF, I have signed this deed this 9th day of March, 2019 at Makati City.

LOU GAW CUTE SHAH

Vendor Vendee

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[If vendor is married, then add the following:]2

With my consent:

GANDA KHO
Vendor’s Wife

SIGNED IN THE PRESENCE OF:

(Sgd.) WIT 1

(Sgd.) WIT 23

[INSERT ACKNOWLEDGMENT]

[Note: If the instrument conveys 2 or more parcels of land,4 include the following after the first paragraph in
the acknowledgment:]

This instrument relates to the sale of 2 parcels of land, and consists of 2 pages including the page on which
this acknowledgment is written,5 each and every page of which, on the left margin, having been signed by
LOU GAW, CUTE SHAH and their witnesses, and sealed with my Notarial seal.

2 If the vendor is married, marital consent must be secured; thus, the Deed must also indicate that fact.
3 The Property Registration Decree requires that, deeds, conveyances, encumbrances, discharges, powers of attorney, and other
voluntary instruments involving real property to be registrable with the Register of Deeds, the instrument must be signed by the
person/s executing the same in the presence of at least two witnesses, who shall likewise sign it. (P.D. 1529, Sec. 112)
4 Where the instrument acknowledged relates to a sale, transfer, mortgage or encumbrance of two or more parcels of land, the number
thereof shall likewise be set forth in said acknowledgment. (P.D. 1529, Sec. 112)
5 Where the instrument consists of two or more pages, including the page whereon acknowledgment is written, each page of the copy
which is to be registered, except the page where the signatures already appear at the foot of the instrument, shall be signed on the
left margin by the person/s executing the instrument and their witnesses, and all the pages sealed with the notarial seal, and this fact
as well as the number of pages shall be stated in the acknowledgment. (P.D. 1529, Sec. 112)
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3. SALE OF PERSONALTY

DEED OF SALE OF MOTOR VEHICLE

KNOW ALL MEN BY THESE PRESENTS:

This DEED OF SALE is made, executed and entered into by:

VALERIE VEE, Filipino citizen, of legal age, single and resident of Makati City, hereinafter referred
to as the SELLER

-AND-
PIPER LEE, of legal age, Filipino, single, and resident of Sundance Lane, Quezon City, hereinafter
referred to as the BUYER.

WITNESSETH;

WHEREAS, the SELLER is the registered owner of a motor vehicle which is more particularly
described as follows:

[INSERT DESCRIPTION OF VEHICLE, NORMALLY MODEL, MAKE, COLOR, PLATE NUMBER AND
REGISTRATION NO.]

WHEREAS, the BUYER has offered to buy and the SELLER has agreed to sell the
abovementioned property for the amount of Two Million Pesos (PHP 2,000,000).

NOW THEREFORE, for and in consideration of the sum of Two Million Pesos (PHP 2,000,000),
the SELLER do hereby SELL, TRANSFER, and CONVEY by way of Absolute Sale unto said BUYER, his
heirs and assigns, the above described motor vehicle, free from all liens and encumbrances.

IN WITNESS WHEREOF, we have hereunto affixed our hands this 2nd day of February at
Mandaluyong City.

VAI FRIF VFF

Seller

PIPER LEE
Buyer

SIGNED IN THE PRESENCE OF:

(Sgd.) WIT 1

(Sgd.) WIT 2

[INSERT ACKNOWLEDGMENT]

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C. SPECIAL POWER OF ATTORNEY

1. SPECIAL POWER OF ATTORNEY FOR REPRESENTATION IN ACTIONS

REPUBLIC OF THE PHILIPPINES )

CITY OF MAKATI ) S.S.

SPECIAL POWER OF ATTORNEY

KNOWN ALL MEN BY THESE PRESENTS:

I, LUNA MADRIGAL, of legal age, Corporate Secretary of AAA Manufacturing Corporation (“AAA”),
a corporation duly organized and existing under Philippine laws, by virtue of this authority given to me
pursuant to a Board Resolution duly issued by AAA’s Board of Directors in its meeting on 19 November
2018, as evidenced by the secretary’s certificate attached hereto, do hereby name, constitute and, appoint
JANE DOE to be AAA’s true and lawful attorney-in-fact in Civil Case No. 87612 entitled AAA
MANUFACTURING CORPORATION v. LOPEZ (“Case”), for and on its behalf to:

(A) Appear for and represent AAA whether at the original or appellate stage, and whether as
appellant or appellee, petitioner or respondent;
(B) Sign, under oath or otherwise, all necessary and appropriate pleadings, motions, verifications,
certifications, papers and documents;
(C) Act as agent and appear on behalf of AAA in the mandatory conciliation, mediation conference,
judicial dispute resolution, and pre-trial proceedings and all other hearings in the Case, with full power
and authority to consider:
(i) The possibility of an amicable settlement or of submission to alternative modes of
dispute resolution;
(ii) The simplification of the issues;
(iii) The necessity or desirability of amending the pleadings;
(iv) The possibility of obtaining stipulations or admissions of fact and of documents to
avoid proof;
(v) The limitation of the number of witnesses;
(vi) The advisability of a preliminary reference of issues to a commissioner;
(vii) The propriety of rendering judgment on the pleadings, or summary judgment, or of
dismissing the Case should a valid ground therefor be found to exist;
(viii) The advisability or necessity of suspending proceedings; and,
(ix) Such other matters as may aid in the prompt disposition of this Case.
(D) Negotiate, conclude, enter into, and execute a compromise or amicable settlement of the Case,
if appropriate.

HEREBY GIVING AND GRANTING unto said attorney-in-fact full power and authority whatsoever
which may be necessary or proper to be done in or about the premises, as fully to all intents and purposes
as AAA might or could do if personally present, with power of substitution and revocation, and hereby
ratifying and confirming all that said attorney-in-fact shall do or cause to be done and by virtue of these
presents.

IN WITNESS WHEREOF, I have hereunto affixed my signature on this 28th day of November 2019
in Makati City

Luna Madrigal
Principal

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[INSERT ACKNOWLEDGEMENT]

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2. SPECIAL POWER OF ATTORNEY FOR PURCHASE OF REAL PROPERTY

REPUBLIC OF THE PHILIPPINES )

CITY OF MAKATI ) S.S.

SPECIAL POWER OF ATTORNEY

KNOWN ALL MEN BY THESE PRESENTS:

I, LUNA D. MADRIGAL, of legal age, Filipino Citizen, with postal address at 123 Rockwell Drive,
Makati City, Philippines, do hereby name, constitute, and appoint mother, ANA MADRIGAL, Filipino citizen
with residence and postal address at 888 Hidalgo Drive, Makati City, Philippines to be my true and lawful
attorney-in-fact, for me and in my name, place, and stead to do and perform ail or any of the following:

(A) To purchase real estate property or properties anywhere in the Philippines, in an amount
acceptable to her;
(B) To sign and/or execute any deed of conveyance to effect the sale of the property in my/our
name/s;
(C) To receive all the documents pertinent to the purchase of any property.

HEREBY GIVING AND GRANTING unto said attorney-in-fact full power and authority whatsoever
which may be necessary or proper to be done in or about the premises, as fully to all intents and purposes
as I might or could do if personally present, with power of substitution and revocation, and hereby ratifying
and confirming all that said attorney-in-fact shall do or cause to be done and by virtue of these presents.

IN WITNESS WHEREOF, I have hereunto affixed my signature on this 16th day of September
2019 in Makati City.

LUNA D. MADRIGAL
Principal

ACCEPTED:

ANA MADRIGAL
ATTORNEY-IN-FACT

SIGNED IN THE PRESENCE OF:

[INSERT ACKNOWLEDGEMENT]

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D. VERIFICATION AND CERTIFICATION AGAINST FORUM SHOPPING

1. VERIFICATION6 (IN GENERAL)

[INSERT PLEADING]

VERIFICATION

I, Bebot Mariano, of legal age, after having been duly sworn in accordance with law, do hereby depose and
state that:
1. lam the plaintiff in the case entitled Mariano v. Cruz, docketed GR. No. 5555.
2. I have caused its preparation.
3. I have read it and the allegations therein are true and correct based on my personal knowledge or
based on authentic records.7

IN WITNESS WHEREOF, I have signed this verification on 19 May 2017.

(Sgd.)
BEBOT MARIANO

[INSERT JURAT]

6 As a general rule, pleadings need not be verified. As an exception, however, pleadings must be verified when explicitly required by
law or the Rules of Court. (Rules of Court, Rule 7, Sec. 4) Examples of pleadings requiring verification include:
• All pleadings under the Rules of Summary Procedure (Rules of Summary Procedure, Rule II, Sec. 3 (B))
• Petition for a notarial commission (2004 Rules on Notarial Practice, Rule III, Sec. 2)
• Complaint for injunction (Rules of Court, Rule 58, Sec. 4)
• Petition for Adoption (Rule on Adoption, Domestic Adoption, Sec. 7)
• As a general rule, pleadings where there is a specific denial under oath of an actionable document (Rules of Court, Rule 8, Sec.
8)
• Petition for relief from judgment, order, or other proceedings (Rules of Court, Rule 38, Sec. 1)
• Petition for relief from denial of appeal (Rules of Court, Rule 38, Sec. 1)
7 A pleading is verified by an affidavit that the affiant has read the pleading and that the allegations therein are true and correct (1) of
his personal knowledge or (2) based on authentic records. It is wrong to state in the verification that the allegations in the pleading
are based on "information and belief," or upon "knowledge, information and belief.” If the latter phrasing is used, the pleading to which
the verification is attached will be considered an unsigned pleading. (Rules of Court, Rule 7, Sec. 4, as amended)
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2. VERIFICATION (SPECIFIC DENIAL UNDER OATH OF AN ACTIONABLE DOCUMENT UNDER RULE

8, SEC, 8)

[INSERT PLEADING]

VERIFICATION
I, YOKO ONO, of legal age, do hereby depose and state that:
1. I am the defendant in the case entitled McCartney v. Ono, docketed GR. 1111;
2. In response to the pleading filed by plaintiff McCartney, I have caused the preparation of this Answer
with Counterclaim;
3. I have read its contents and affirm that they are true and correct to the best of my own personal
knowledge;
4. I specifically deny the genuineness and due execution as well as the binding effect of the actionable
documents pleaded by plaintiff;

IN WITNESS WHEREOF, I have signed this verification on 19 May 2017.

(Sgd.)
YOKO ONO

[INSERT JURAT]

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3. CERTIFICATION AGAINST FORUM SHOPPING8

[INSERT PLEADING]

CERTIFICATION AGAINST FORUM SHOPPING

I, Sunny Shine, of legal age, after having been duly sworn in accordance with law, do hereby depose and
state that;

1. lam the plaintiff in the case entitled Shine v. Spine, docketed GR. No. 2222;
2. I hereby certify that I have not commenced any action or filed any claim involving the same issues
before any other court, tribunal, or quasi-judicial agency;
3. To the best of my knowledge, there is no such pending action or claim;
4. If I should learn that a similar action or claim has been filed or is pending, I shall report such fact
within 5 days from the discovery to this Honorable Court.

IN WITNESS WHEREOF, I have signed this certification on 19 May 2017.

(Sgd.)
SUNNY SHINE9

[INSERT JURAT]

8 There must be a certification against forum shopping in all complaints or other initiatory pleadings. (Rules of Court, Rule 1, Sec. 5)
9 When there are multiple plaintiffs or petitioners, the certification against forum shopping must be signed by all of them; otherwise,
those who did not sign will be dropped as parties to the case. However, as an exception, under reasonable and justifiable
circumstances, when all the plaintiffs or petitioners share a common interest and invoke a common cause of action or defense, the
signature of only one of them in the certification is substantial compliance with the Rules. One example of such a situation would be
co-ownership by family members of a specific property. (Vda. de Formosa v. Philippine National Bank, G.R. No. 154704, 2011)

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4, VERIFICATION AND CERTIFICATION AGAINST FORUM SHOPPING10

[INSERT PLEADING]

VERIFICATION AND CERTIFICATION AGAINST FORUM SHOPPING

I, Bugs Bunny,11 of legal age, do hereby state that:

1. I am the plaintiff in the case entitled Bunny v. Silvester,

2, I have read its contents and affirm that they are true and correct to the best of my own personal
knowledge;
3„ I hereby certify that there is no other case commenced or pending before any court involving the
same parties and the same issue and that, should I learn of such a case, I shall notify the court within
5 days from my notice.
•

IN WITNESS WHEREOF, I have signed this instrument on 19 May 2017.

(Sgd.)
BUGS BUNNY

[INSERT JURAT]

0 As in this example, when both are needed, a verification and certification against forum shopping may be combined, and only one
jurat need be written for both.

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5. SAMPLE COMPLAINT12 WITH VERIFICATION AND CERTIFICATION AGAINST FORUM SHOPPING

OF A CORPORATION

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY
BRANCH NO.

Bebot Bebot Be Company,

Plaintiff,

- versus - Civil Case No.

Marker Lee,
Defendant.

x ■x

COMPLAINT

Plaintiff Bebot Bebot Be Company (“Plaintiff’), by counsel, respectfully states:

1. Plaintiff is a corporation organized and existing under Philippine laws with principal office at
[insert address]. For purposes of this case, it may be served with pleadings and submissions, as well as
decisions, orders and resolutions through the undersigned counsel at the address indicated below.

2. Defendant Marker Lee (“Defendant”) [insert personal circumstances of the Defendant,

including address where summons may be served].

The Material Facts

3. [insert material/ultimate facts]

First Cause of Action

4. The foregoing are repleaded.

5. [state first cause of action]

Second Cause of Action

6. The foregoing are repleaded.

7. [state second cause of action]

Prayer

WHEREFORE, premises considered, it is respectfully prayed that, after due hearing, this
Honorable Court issue a judgment:

12 While the form of a complaint has not been included in the bar syllabus, this completed form demonstrates how a full pleading is
supposed to appear with a verification and certification against forum shopping.
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[Specify relief/s sought]

Other just and equitable reliefs likewise prayed for.

[Venue], [date].

[insert name]
Counsel for Plaintiff
[address, PTR, IBP, Roll No., contact information (i.e.,
e-mail address), MCLE Certificate]

VERIFICATION AND CERTIFICATION AGAINST FORUM SHOPPING

I, Bebot Mariano,13 of legal age, do hereby state that:

4. I am the President of Bebot Bebot Be Company and in such capacity, caused this Complaint to be
prepared;
5. ! was authorized by the Board of Directors of Bebot Bebot Be Corporation to file this suit, as evidenced
by the attached board resolution;
6. I have read its contents and affirm that they are true and correct to the best of my own personal
knowledge;
7. I hereby certify that there is no other case commenced or pending before any court involving the
same parties and the same issue and that, should I learn of such a case, I shall notify the court within
5 days from my notice.
•

IN WITNESS WHEREOF, I have signed this instrument on 19 July 2017.

(Sgd.)
BEBOT MARIANO

[INSERT JURAT]

13 To validly sign the verification and certificate against forum shopping of a corporation, corporate officers must attach either the board
resolution authorizing them, or the Corporate Secretary’s Certificate. (Mid-Pasig Land Development Co. v, Tablante, G.R. No. 162924,
2010) However, note that the following officers or employees of the company can sign the verification and certification without need
of a board resolution:
• The Chairperson of the Board of Directors
• The President of a corporation
• The General Manager or Acting General Manager
® Personnel Officer
• An Employment Specialist, if what is involved is a labor case. (Fuji Television Network v. Espiritu, G.R. No. 204944-45, 2014)

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E. NOTICE OF HEARING AND EXPLANATION IN MOTIONS

1. SAMPLE MOTION TO DISMISS14 WITH NOTICE OF AND REQUEST FOR HEARING

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY
BRANCH

Bebot Bebot Be Company,

Plaintiff,

- versus - Civil Case No.

Marker Lee,
Defendant.

x ■x

MOTION TO DISMISS

Defendant Marker Lee (“Defendant”), by counsel, respectfully moves for the dismissal of this case
on the following:

Grounds

[Insert arguments]

Discussion

I. [Insert First Argument]

II. [Insert Second Argument]

PRAYER

WHEREFORE, Defendant respectfully prays that the Honorable Court DISMISS the Complaint in
its entirety on the grounds stated above.

Defendant also respectfully prays for other just and equitable reliefs.15

[venue], [date].

Atty. Harvey Specter

Counsel for Defendant
[address, PTR, IBP, Roll No., contact info (i.e., email
address), MCLE Certificate]

REQUEST FOR AND NOTICE OF HEARING

14 While the form of a motion has not been included in the bar syllabus, this completed motion to dismiss demonstrates how a full
motion is supposed to appear with a notice of hearing.
15 Exclude this if what is being questioned is the court’s jurisdiction over the defendant.
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THE BRANCH CLERK OF COURT

Regional Trial Court
Branch 1, Makati City

Please submit the foregoing Motion to the Court for its consideration and approval immediately upon receipt
hereof and kindly include the same in the court’s calendar for hearing on Friday, 17 March 2017 at
8:30 in the morning.16

(sgd.)
Atty. Harvey Specter
Counsel for Defendant

ATTY. MIKE ROSS

Counsel for the Plaintiff
1 Rockwell Drive
Makati City

Please take notice that counsel has requested to be heard on Friday, 17 March 2017 at 8:30 in the morning.

(sgd.)
Atty. Harvey Specter
Counsel for Defendant

16 The hearing must be set no later than 10 days from the date the motion is filed. The motion must also be served in a manner that
will ensure that opposing counsel receives it at least 3 days before the scheduled hearing. (Rules of Court, Rule 15, Sec. 4 & 5)
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2. EXPLANATION IN MOTIONS

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY, BRANCH 143

Will Gardner,
Plaintiff,
- versus - Civil Case No. 18-143
For: Damages
Peter Florrick,
Defendant.
x----- -----------------------~— - — ------x

MOTION TO DISMISS

[INSERT RELEVANT PORTIONS]

Notice of Hearing and

Copies furnished:

Atty. XYZ [BY REGISTERED MAIL]

Counsel for the Plaintiff
[Insert address]

Branch Clerk of Court [BY HAND]

Regional Trial Court of Makati City,
Branch 143

Gentlemen:

The undersigned will submit the foregoing Motion to Dismiss for the consideration and approval of the
Honorable Court on [Date] at [Time].

[Insert name]

EXPLANATION

This motion will be served on Plaintiffs counsel by registered mail due to lack of time and the distance
between his office and the office of the undersigned.

[Insert name]

[Note: The second paragraph in the Prayer must be excluded when questioning the court’s jurisdiction.]17

17 Service and filing by registered mail is no longer allowed when it will not comply with the three-day notice rule.
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F. JUDICIAL AFFIDAVIT

1. BASIC TEMPLATE FOR AFFIDAVITS

REPUBLIC OF THE PHILIPPINES )

CITY OF MAKATI ) S.S.

AFFIDAVIT

I, [name], of legal age with address at [address], after being sworn in accordance with law, do hereby
depose and state that:

1. [Insert recital of facts attested to or affirmed in the affidavit. Note that these “facts” should be based on
the affiant’s personal knowledge.]

2. [ x x x ]

3. [ x x x ]

I have nothing further to say at this time.

IN WITNESS WHEREOF, I have affixed my signature on this [date] in the [place].

[Name and Signature of Affiant]

[INSERT JURAT]

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2. JUDICIAL AFFIDAVIT

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY, BRANCH 143

Cary Agos,
Plaintiff,
- versus - Civil Case No. 16-228
For: Damages
Kalinda Sharma,
Defendant.

JUDICIAL AFFIDAVIT OF CARY AGOS

I, CARY AGOS, Filipino, 23 years of age, with residence at 888 Katipunan Avenue, Quezon City,
after having been sworn in accordance with law, hereby respond to the following questions being
propounded by Atty. Diane Lockhart at their office, with full consciousness that my answers are being given
under oath and that I may otherwise face criminal liability for false testimony of perjury.

1. Q: Please state your name and personal circumstances.

A: I am Cary Agos, Filipino, single, 23 years of age and with residence at 888 Katipunan
Avenue, Quezon City.

2. Q: What Is your present occupation?

A: I am an associate at Stern, Lockhart and Gardner.

3. Q: How did you meet Ms. Kalinda Sharma?

A: We went to law school together.

4. Q: What took place between you and Ms. Kalinda Sharma?

A: We entered into a Contract of Sale on June 19, 2018 over 18 units of iPhone Xs.

5. Q: What was the consideration?

A: I was to pay P20,000 for each unit.

6. Q: I am showing you a document consisting of one page which has been marked as Exhibit. How
is this document related to the Contract of Sale dated June 19, 2018 you mentioned?

A: They are the same.

7. Q: When were these iPhone units to be delivered?

A: These were to be delivered after Ms. Kalinda Sharma encashes my cheque.

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8. Q: What happened after the encashment of the cheque?

A: Ms. Kalinda Sharma delivered 18 units of iPhone Xs to me, but they were not in working
condition.

9. Q: What did you do upon realizing these iPhone X units were not working?

A: I demanded that these units be replaced.

10. Q: After demanding for replacement, what did Ms. Kalinda Sharma do?

A: She refused to replace them.

11. Q: After her refusal to replace them, what did you do?

A: I asked that my money be returned instead.

12. Q: After asking for the return of your money, what did Ms. Kalinda Sharma do?

A: She refused to return my money.

13. Q: What happened after Ms. Kalinda Sharma’s refusal to return your money?

A: I filed this civil case for damages.

IN WITNESS WHEREOF, I have hereunto set my hand this 26th day of November, 2018 at Makati City.

Cary Agos
Affiant

[INSERT JURAT]

SWORN ATTESTATION

I, DIANNE LOCKHARTE, after having been duly sworn in accordance with law, hereby attest that
I conducted the foregoing examination of CARY AGOS; that I faithfully recorded the questions that I asked
and the corresponding answers that the affiant gave; that neither I nor any person [resent or assisting me
or the witness coached him regarding his answers, and that I am aware that a false attestation shall subject
me to disciplinary action, including disbarment.

DIANNE
LOCKHARTE
Affiant

[INSERT JURAT]

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G. NOTARIAL CERTIFICATES: JURAT AND ACKNOWLEDGMENT

1. JURAT

REPUBLIC OF THE PHILIPPINES )

CITY OF MAKATI) S.S.

JURAT

Subscribed and sworn to before me, a Notary Public in and for Makati City, affiant exhibiting to me his/her
[insert competent evidence of identity] issued a t__________ and expiring o n _____________ , signed the
instrument in my presence, and who took an oath before me as to such instrument.

Witness my hand and seal this 14th day of December 2017.

Doc. No___;
Page No___ ; [INSERT NOTARIAL
Book No. CERTIFICATE]
Series of 2017.

2. ACKNOWLEDGMENT

REPUBLIC OF THE PHILIPPINES )

CITY OF MAKATI ) S.S.

ACKNOWLEDGMENT

Before me, a Notary Public in and for Makati City, personally appeared John Doe, with [insert CTC number],
issued by [issuing city] and expiring o n ____________ , exhibiting to me his [insert competent evidence of
identity] issued a t________ and expiring o n ____________ , who was identified by me through competent
evidence of identity to be the same person who presented the foregoing instrument and affirmed that such
instrument is his free and voluntary act and deed.

Witness my hand and seal this 13th day of December 2017.

Doc. No.
Page No. ; [INSERT NOTARIAL
Book No. , CERTIFICATE]
Series of 2017.

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H. MOTIONS FOR EXTENSION OF TIME. TO DISMISS, AND TO DECLARE IN DEFAULT

1. MOTION FOR EXTENSION OF TIME

REPUBLIC OF THE PHILIPPINES

SUPREME COURT
MANILA

Will Gardner,
Plaintiff,
- versus - G.R. No. 143143
(CA-G.R. No. 87000;
Civil Case No. 18-143)

Peter Florrick,
Defendant.
X——--------------- -— ------- — — — - — -x

MOTION FOR EXTENSION OF TIME

Defendant Peter Florrick (“Defendant”), by counsel, respectfully states:

1. On 5 April 2019, Defendant received a copy of the Court of Appeals’ Resolution dated 27 March
2019 denying Defendant’s Motion for Reconsideration dated 28 November 2018 of the CA’s Judgment
dated 20 September, 2018 in CA-G.R. No. 87000 entitled Will Gardner v. Peter Florrick, which found
Defendant liable for damages in the amount of P143,000,000.00.

2. Defendant, therefore, has until 20 April 2019 within which to file a Petition for Review on Certiorari
of the CA’s Decision.

3. However, undersigned counsel is presently saddled with heavy volume of equaiiy-urgent work
and assignments on other similarly important cases. In addition, there are intervening holidays, from April
18 to 21.

4. Undersigned counsel, therefore, needs additional time to prepare a petition for review on
certiorari.

5. Defendant is constrained and respectfully moves that he be granted an additional period of thirty
(30) days from 20 April 2019, or until 20 May 2019, within which to file a petition for review on certiorari.

6. Defendant hereby pays all the required docket and other fees.

7. This motion is not intended for delay but is solely caused by the foregoing considerations.

PRAYER

WHEREFORE, it is respectfully prayed that Defendant be given an additional period of thirty (30) days from
20 April 2019, or until 20 May 2019, within which to file a petition for review on certiorari.

Defendant also respectfully prays for other ju st and equitable reliefs.

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[Venue], [Date],

[Insert firm/lawyer details]

Copies furnished:

Court of Appeals [BY HAND]

Former Special Seventeenth Division
Ma. Orosa St.s Ermita
1000 Manila City

Atty. Mike Ross [BY HAND]

Counsel for Plaintiff
123 New York, Cubao
Quezon City

[Note: The second paragraph in the Prayer must be excluded when questioning the court’s jurisdiction/

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2. MOTION TO DISMISS

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY
BRANCH 143

Will Gardner,
Plaintiff,
- versus - Civil Case No. 18-143
For: Damages
Peter Florrick,
Defendant.
x— — ----------------— — ------ -™x

MOTION TO DISMISS

Peter Florrick (“Defendant”), by counsel, respectfully moves for the dismissal of this case on the
following:

Grounds

L This Honorable Court has no jurisdiction over the subject matter of the claim.
II. The Complaint fails to state a cause of action against the Defendant.

Discussion

I. [Insert First Argument]

II. [Insert Second Argument]

PRAYER

WHEREFORE, Defendant respectfully prays that the Honorable Court DISMISS the Complaint in
its entirety on the grounds stated above.

Defendant also respectfully prays for other just and equitable reliefs.

[Venue], [Date],

[Insert firm/lawyer details] REPUBLIC OF THE PHILIPPINES )

CITY OF MAKATI ) S.S.

ACKNOWLEDGMENT

Before me, a Notary Public in and for Makati City, personally appeared John Doe, with [insert CTC number],
issued by [issuing city] and expiring o n _______ ____ , exhibiting to me his [insert competent evidence of
identity] issued a t______ _and expiring on____________ who was identified by me through competent
evidence of identity to be the same person who presented the foregoing instrument and affirmed that such
instrument is his free and voluntary act and deed.

Witness my hand and seal this 13th day of December 2017.

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Doc. No.
Page No___ ; [INSERT NOTARIAL
Book No___ ; CERTIFICATE]
Series of 2017.

REQUEST FOR AND NOTICE OF HEARING

I H t BRANCH CLERK Oh COURI

Regional Trial Court
Branch 143, Makati City

Please submit the foregoing Motion to the Court for its consideration and approval immediately upon receipt
hereof and kindly include the same in the court’s calendar for hearing on Friday, 17 March 2017 at
8:30 in the morning.18

(sgd.)
Atty. Harvey Specter
Counsel for Defendant

ATTY. MIKE ROSS

Counsel for the Plaintiff
1 Rockwell Drive
Makati City

Please take notice that counsel has requested to be heard on Friday, 17 March 2017 at 8:30 in the morning.

(sgd.)
Atty. Harvey Specter
Counsel for Defendant

18 The hearing must be set no later than 10 days from the date the motion is filed. The motion must also be served in a manner that
will ensure that opposing counsel receives it at least 3 days before the scheduled hearing. (Rules of Court, Rule 15, Sec. 4 & 5)
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3„ MOTION TO DECLARE IN DEFAULT

REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
MAKATI CITY
BRANCH 143

Will Gardner,
Plaintiff,
- versus - Civil Case No.
For: Damages
Peter Florrick,
Defendant.
x—~------- — -------------_ _ _ _ v

MOTION TO DECLARE DEFENDANT IN DEFAULT

Will Gardner ("Plaintiff), by counsel and unto this Honorable Court, respectfully moves for Peter
Florrick (“Defendant”) to be declared in default. Plaintiff respectfully states:

1. The records of the Honorable Court show that Defendant was served with copy of the summons
and of the complaint on 20 March 2018.

2. Upon verification, however, the records show that Defendant has failed to file his Answer within
the reglementary period specified by the Rules of Court despite the service of the summons and the
complaint.

PRAYER

WHEREFORE, Plaintiff respectfully prays that the Defendant be DECLARED IN DEFAULT

pursuant to the Rules of Court and that the Honorable Court proceed to render judgment as the complaint
may warrant.

Defendant also respectfully prays for other just and equitable reliefs.

[Venue], [Date],

[Insert firm/lawyer details]

REQUEST FOR AND NOTICE OF HEARING

THE BRANCH CLERK OF COURT

Regional Trial Court
Branch 143, Makati City

Please submit the foregoing Motion to the Court for its consideration and approval immediately upon receipt
hereof and kindly include the same in the court’s calendar for hearing on Friday, 17 March 2017 at
8:30 in the morning.

(sgd.)
Atty. Harvey Specter
Counsel for Defendant

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ATTY. MIKE ROSS

Counsel for the Plaintiff
1 Rockwell Drive
Makati City

Please take notice that counsel has requested to be heard on Friday, 18 May 2017 at 8:30 in the morning.

(sgd.)
Atty. Harvey Specter
Counsel for Defendant

[Note: The second paragraph in the Prayer must be excluded when questioning the court’s jurisdiction]

Page 103 of 103

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