Legal Ethics Notes 2003

LEGAL ETHICS REVIEWER
1 SAINT LOUIS UNIVERSITY BAR OPERATIONS
LEGAL ETHICS Q: What constitutes practice of law?

A: It embraces any activity, in or out of court, which requires
the application of law, legal principle, practice or
procedure and calls for legal knowledge, training and
Q: Define legal ethics. experience. (Cayetano vs. Monsod) More importantly, to
A: It refers to that branch of moral science which treats of the engage in the practice of law, there must be the
duties which an attorney owes to the court, to his client, to existence of an attorney client relationship.
his colleagues in the profession and to the public.
Q: Explain briefly the student practice rule.
Q: Who is an amicus curiae? A: The rule provides that a law student who has
A: He is an experienced and impartial attorney invited by the successfully completed his 3rd year of the regular four
court to appear and help in the disposition of issues before year law curriculum and is enrolled in a recognized law
it. (Rule 138, sec. 36) schools clinical legal education program approved by
the Supreme Court, may appear without compensation
A lawyer shall not decline, except for serious and sufficient in any civil, criminal or administrative case before any
cause, an appointment as amicus curiae. (Rule 14.02, CPR) trial court, tribunal, board or officer, to represent indigent
clients accepted by the legal clinic of the law school.
POWER TO REGULATE THE PRACTICE OF LAW: (Rule 138 A, sec. 1)
The constitution vests the power of control and He shall be under the direct supervision and control of
regulation in the Supreme Court. However, even in the a lawyer accredited by the law school and who shall sign
absence of such constitutional provision, the right to define on behalf of the legal clinic all pleadings, motions, briefs,
and regulate the practice of law logically belongs to the memoranda or other papers to be filed. (sec. 2, supra)
judiciary represented by the high tribunal, since the practice
of law is inseparably connected with the exercise of its He shall be governed by the rules on privileged
juridical power in the administration of justice.
communication and shall comply with the standards of
professional conduct governing lawyers. The supervising
The legislature, in the exercise of its police power,
lawyer may be disciplined for his failure to provide
may enact laws regulating the practice of law to protect the adequate supervision. (secs. 3 and 4, supra)
public and to promote the public welfare. Accordingly, it
may enact laws prescribing additional qualifications for DISQUALIFICATION TO PRACTICE LAW:
candidates for admission to practice or further examination
before practicing before any tribunal or quasi judicial body, The following public officials are disqualified to practice their law
or declaring illegal and punishable unauthorized practice of profession once appointed and while holding their respective
law. But it cannot pass laws that will control the SC in the positions:
performance of is power to decide who may enjoy the
privilege of practicing law. Hence, a law admitting into the 1. The President and the Vice President;
practice examinees that failed in the bar examinations by 2. Justices of the SC, CA and Sandiganbayan, judges of
relaxing the standard 75% passing mark is unconstitutional. the lower courts, their officers and employees;
(In re: Cunanan, 94 Phil 554 [1954])
3. Officers and employees of the Office of the Solicitor
PUBLIC VS. PRIVATE AND PERSONAL DUTIES: General;
4. Members of government prosecuting offices;
5. Members of the Cabinet, their Deputies and Assistants;
The duties of an attorney may be classified into public, private 6. Members of the Constitutional Commissions;
and personal duties. Such classification results from the three 7. Civil Service officers and employees, the nature of
fold capacity in which an attorney operates, namely, as a faithful their jobs of which requires their full devotion;
assistant of the court in search of a just solution to disputes, as
a trusted agent of his client and as a self employed 8. Governors, City and Municipal Mayors.
businessman. The rules and ethics of the legal profession
demand that an attorney subordinate his personal and private Members of the Legislature are prohibited to appear
duties to those which he owes to the court and to the public. as counsel before any court of justice or before any
Electoral Tribunal, or Quasi Judicial and other
Q: Is appearance by counsel always obligatory? Administrative bodies (Art. VI, sec.14, 1987 Constitution).
A: No. In the municipal trial court, a party may conduct his The prohibition includes the signing of pleadings or
litigation in person or with the aid of an agent or friend permitting the appearance of his name therein or as part of
appointed by him for that purpose or with the aid of an a firm name.
attorney. In the RTC and appellate court, a party may
conduct his litigation either by himself or through counsel. Members of Sanggunian concerned may practice law,
(Rule 138, sec. 34) except:
1. In any civil case where a local government unit or any
However, in criminal cases involving grave and office, agency or instrumentality of the government is the
less grave offenses, an accused who is a layman must adverse party;
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.
Prepared by the LEGAL ETHICS SECTION Chief ROMMEL AYSON Assistant Chief GEORGE FUKAI III Members GERALD CABRERA,
ERIC JASON DUGYON, JOHN RAY LIBIRAN, MARVIN TAVARES, MARLO PABLO and MA. LUISA PUL-OC. All Rights Reserved by the
SAINT LOUIS UNIVERSITY COLLEGE OF LAW BAR OPERATIONS 2003.
2. In a criminal case wherein an officer or employee of

the national or local government is accused of an offense The useful function of a lawyer is not only to conduct litigation
committed in relation to his office; but also to avoid it where possible, by advising settlement or
withholding suit. Moreover, parties to an amicable settlement
3. They shall not collect any fee for their appearance in
enjoy benefits better than those that can legally be secured to
administrative proceedings involving the local government
them by the most elaborate and exacting judicial procedure.
unit of which he is an official;
Litigation involves time, expense and ill feelings, which may well
4. They shall not use the property and personnel of the be avoided by the settlement of the action. And in those clearly
government except when defending the interest of the unmeritorious cases, a compromise or even a confession of
government. (Sec. 90 [b], RA 7160) judgment will accord respect to the just claim of the other party,
save the client from additional expenses and help prevent
clogging of the docket.
A. CODE OF PROFESSIONAL RESPONSIBILITY
2. A LAWYER SHALL MAKE HIS LEGAL SERVICES
NOTE: The statements in bullets are the implementing rules of AVAILABLE IN AN EFFICIENT AND CONVENIENT MANNER
the respective canon under which they are found. COMPATIBLE WITH THE INDEPENDENCE, INTEGRITY AND
EFFECTIVENESS OF THE PROFESSION. (Canon 2)
LAWYERS DUTIES TO THE SOCIETY: A lawyer who accepts professional employment should be in a
position to render efficient and effective legal assistance;
1. A LAWYER SHALL UPHOLD THE CONSTITUTION, OBEY otherwise he should help find another lawyer who is qualified
THE LAWS OF THE LAND AND PROMOTE RESPECT FOR and able to do so. And a lawyer who is qualified to provide
LAW AND LEGAL PROCESSES. (Canon 1) efficient legal services should make available such services to
those who are in need thereof. This is an obligation a lawyer
This is the first and foremost duty of a lawyer for he is the assumes when he took his oath of office.
servant of the law and belongs to a profession to which society
has entrusted the administration of law and the dispensing of Therefore, he is required:
justice. Corollarily, the Rules of Court provides that it shall be
the duty of an attorney to maintain allegiance to the Republic of Not to reject, except for valid reasons, the case of
the Philippines and to support the Constitution and obey the the defenseless or the oppressed. In such cases, even if he
laws of the Philippines. [Rule 138, sec.20 (a)] does not accept a case, he shall not refuse to render legal
advice to the person concerned if only to the extent
Accordingly: necessary to safeguard the latters rights. (Rule 2.01; Rule
138 sec.20 [h] RRC; Rule 2.02)
He shall not engage in unlawful, dishonest,
immoral or deceitful conduct; Nor counsel or abet activities These rules stem from one of the obligations incident to the
aimed at defiance of the law or at lessening confidence in status and privileges of a lawyer, which is to represent the poor
the legal system. (Rule 1.01; Rule 1.02) and the oppressed in the prosecution of their claims or the
defense of their rights.
Thus he should not promote an organization known to be
violating the law nor assist it in a scheme which he knows is Accordingly, A court may assign an attorney
dishonest. Nor should he allow his services to be engaged by an to render professional aid free of charge to any party in a
organization whose members are violating the law, to defend case, if upon investigation it appears that the party is
them when they get caught. destitute and unable to employ an attorney, and that the
services of counsel are necessary to secure the ends of
He shall not encourage any suit or proceeding or justice and to protect the rights of the party. It shall be the
delay any mans cause for any corrupt motive or interest. duty of the attorney so assigned to render the required
(Rule 1.03) service, unless he is excused therefrom by the court for
sufficient cause shown. (Rule 138, sec.31)
Corollary to this duty, the Rules of Court provides that it shall be
the duty of an attorney not to encourage either the The lawyer so assigned has to render effective legal
commencement of an action or proceeding, or delay any mans services; under pain of disciplinary sanction should he fail
cause, from any corrupt motive or interest. [Rule 138, sec.20 or neglect to do so, until he is excused therefrom by the
(g)] court.
The purpose of the prohibition is to prevent ambulance chasing. Not to do or permit to be done any act designed
primarily to solicit legal business. (Rule 2.03) NOTE: Read
this together with Canon 3 (No.3 below) and its implementing
Q: What is ambulance chasing? Explain briefly.
rules.
A: Ambulance chasing refers to the act of soliciting almost
any kind of legal business by laymen employed by an attorney
The law prohibits lawyers from soliciting cases for the purpose
for the purpose or by the attorney himself.
of gain, either personally or through paid agents or brokers, and
makes the act malpractice. (Rule 138, sec. 27)
He shall encourage his clients to avoid, end or
Among those that fall under the prohibition would be that of a
settle a controversy if it will admit of a fair settlement. (Rule lawyer who recommends employment of himself, his partner,
1.04)
associate, or member of his legal staff to a non lawyer who US/Foreign Visa for Filipina Spouse? Children. Call
has not sought his advise regarding employment of a lawyer; or Marivic. (Ulep vs. Legal Aid Clinic, Inc., 223 SCRA 378)
compensates and gives anything of value to a person or
organization to recommend or secure his employment of a client d. The giving of advice on legal matters
or as a reward for having made a recommendation resulting in through the medium of a newspaper column or radio
his employment by a client. A lawyer who agrees with a non television broadcast is improper. It cannot be undertaken
lawyer to divide attorneys fees paid by clients supplied or by a layman because that service constitutes practice of
solicited by the non lawyer is guilty of malpractice, the same law. Nor can it be undertaken by a lawyer because that
being a form of solicitation of cases. work involves indirect advertising, violation of the
confidential relation of attorney and client, and a breach of
Not to charge rates lower than those customarily the traditional standards of the profession.
prescribed unless the circumstances so warrant. (Rule 2.04)
But not all types of advertising or solicitation are prohibited, that
What the rule prohibits is the competition in the matter of activity not being inherently malum in se. What makes
charging professional fees for the purpose of attracting clients in advertising or solicitation improper is the employment of such
favor of the lawyer who offers lower rates. It does not prohibit a methods as are incompatible with the traditional dignity of a
lawyer from charging a reduced fee or none at all to an indigent lawyer and the maintenance of correct professional standards,
or to a person who would have difficulty paying the fee usually or the use of artificial means to augment the publicity that
charged for such services. normally results from what a lawyer does. In the last analysis,
where to draw the line in borderline cases, as there are always
3. A LAWYER IN MAKING KNOWN HIS LEGAL SERVICES honest differences of opinion as to what is ideal or improper
SHALL USE ONLY TRUE, HONEST, FAIR, DIGNIFIED AND advertising or solicitation of business, is a question of good faith
OBJECTIVE INFORMATION OR STATEMENT OF FACTS. and good taste. Common sense and a spirit of fairness must, in
(Canon 3) the absence of juridical guidelines, be relied upon for guidance
in determining the question.
Conformably to this canon, it is a lawyers duty:
The following acts do not violate ethical norms of the profession:
Not to use or permit the use of any false, 1. Publication in reputable law lists, in a manner
fraudulent, misleading, deceptive, undignified, self- consistent with the standards of conduct imposed by the
laudatory or unfair statement or claim regarding his canons, of brief biographical and informative data, provided
qualifications or legal services. Nor shall he pay or give such reputable law list is published primarily for that
anything of value to representatives of the mass media in purpose and not a mere supplemental feature of a paper,
anticipation of, or in return for, publicity to attract legal magazine, trade journal or periodical which is principally
business. (Rule 3.01; Rule 3.04) published for other purposes;
The following acts constitute improper advertising: 2. The use of ordinary simple professional card is also
permitted, containing his name, the firm name where he is
a. The use of the card containing the following: connected, its address, telephone number and special
As a notary public, he can execute for you a deed of dale branch of law practiced. Listing his name in a phone
for the purchase of land as required by the cadastral office, directory is allowed provided it is not under a designation of
can renew lost documents of young animals, can make a special branch of law;
your application and final requisites for your homestead,
and execute any kind of affidavit. As a lawyer, he can help 3. The proffer of free legal services to the indigent, even
you collect your loans, altogether long overdue, as well as when broadcast over the radio or tendered through
any complaints for or against you. Come or write to him in circulation of printed matter to the general pubic.
his town, Echague, Isabela. He offers free consultation and
is willing to help the poor. (In re: Tagorda, 53 PHIL 37) Not to use false, misleading or assumed name in
choosing a firm name. The continued use of the name of a
b. Causing to be published in a newspaper the deceased partner is permissible provided that the firm
following advertisement: Marriage license promptly indicates in all its communications that said partner is
secured through our assistance and the annoyance of deceased. And when he accepts public office, to withdraw
delay or publicity avoided if desired, and marriage arranged from the firm where he is a partner and his name shall be
to wishes of parties. Consultation on matter free to the dropped from the firm name unless the law allows him to
poor. Everything confidential. Legal assistance service. practice law concurrently. (Rule 3.02; Rule 3.03)
(Director Religious Affairs vs. Bayot, 74 PHIL 579)
The reason for allowing the continued use of the name of a
c. A newspaper ad, which reads: SECRET deceased partner is that all of the partners by their joint efforts
MARRIAGE? P560.00 for a valid married. Info on over a period of years contributed to the goodwill attached to the
DIVORCE, ABSENCE, ANNULMENT, VISA. GUAM firm name, and this goodwill is disturbed by a change in the firm
DIVORCE. DON ARKINSON an attorney in Guam is giving name every time a partner dies. The name of a law firm may not
FREE BOOKS on Guam Divorce through The Legal Aid necessarily identify the individual members of the firm, and
Clinic beginning Monday to Friday during office hours. consequently, the continued use of the firm name after the death
Guam Divorce. Annulment of Marriage, Immigration of one or more partners is not a deception.
Problems, Visa Ext. Quota/Non-quota Res. & Special
Reference Visa. Declaration of Absence. Remarriage to The purpose of the rule requiring the dropping from the firm
Filipina Fiances. Adoption. Investment in the Phi name the partners name who accepts a public office is to
prevent the law firm or its partners from using the name of the
public official to attract legal business and to avoid the suspicion was in the government service. These are very broad terms,
of undue influence. which include any conceivable subject in which he acted in his
official capacity. The restriction covers engagement or
Filipino lawyers cannot practice law under the name of employment, which means that he cannot accept any work or
a foreign law firm, as the latter cannot practice law in the employment from anyone that will involve or relate to the matter
Philippines and the use of a foreign law firm in the country which he intervened as a public official, except on behalf of the
is unethical for it constitutes a representation that being body or authority which he served during his public employment.
associated with the firm they could render legal services of
the highest quality to multinational business enterprises
and others engaged in foreign trade and investment. LAWYERS DUTIES TO THE LEGAL PROFESSION:
(Dacanay vs. Baker & McKenzie, GR Adm Case No. 2131,
May 10, 1985) 1. A LAWYER SHALL PARTICIPATE IN THE DEVELOPMENT
OF THE LEGAL SYSTEM BY INITIATING OR SUPPORTING
4. THESE CANONS SHALL APPLY TO LAWYERS IN EFFORTS IN LAW REFORM AND IN THE IMPROVEMENT OF
GOVERNMENT SERVICE IN THE DISCHARGE OF THEIR THE ADMINISTRATION OF JUSTICE. (Canon 4)
OFFICIAL TASKS. (Canon 6)
While this task is not a matter of strict duty, it is a duty
A lawyer does not shed his professional obligations upon his nonetheless which flows from the lawyers sense of public
assuming public office. His professional obligations should make responsibility.
him more sensitive to his official obligations because a lawyers
disreputable conduct is more likely to be magnified in the public 2. A LAWYER SHALL KEEP ABREAST OF LEGAL
eye. DEVELOPMENTS, PARTICIPATE IN CONTINUING LEGAL
EDUCATION PROGRAMS, SUPPORT EFFORTS TO
The rule is also a reiteration of a fundamental principle in public ACHIEVE HIGH STANDARDS IN LAW SCHOOLS AS WELL
law, which is that a public office is a public trust and a public AS IN THE PRACTICAL TRAINING OF LAW STUDENTS AND
servant owes utmost fidelity to the public services. ASSIST IN DISSEMINATING INFORMATION REGARDING
THE LAW AND JURISPRUDENCE. (Canon 5)
ROLE OF PUBLIC PROSECUTORS:
The primary duty of a lawyer engaged in public This canon stems from the threefold obligation which a person
prosecution is not to convict but to see that justice is done. assumes upon becoming a lawyer. He owes it to himself to
The suppression of facts or the concealment of witnesses continue improving his knowledge of the law; he owes it to his
capable of establishing the innocence of the accused is profession to take an active interest in the maintenance of high
highly reprehensible and is cause for disciplinary action. standards of legal education; and he owes it to the public to
(Rule 6.01) make the law a part of their social consciousness.
Thus, he shall not offer as proof of the 3. A LAWYER SHALL AT ALL TIMES UPHOLD THE INTEGRITY
accuseds guilt, illegally seized or acquired evidence, AND DIGNITY OF THE LEGAL PROFESSION AND SUPPORT
neither should he consent to any undue delay in the THE ACTIVITIES OF THE INTEGRATED BAR. (Canon 7)
prosecution because it is also his duty to see to it that a
person on trial is not deprived of his statutory or legal The discharge of this duty should start from the
rights. (Kalaw vs. Apostol, 64 PHIL 852) student and continue during his incumbency as a lawyer by not
knowingly making false statement or suppressing a
He should not hesitate to recommend the material fact, in connection with his application for
acquittal of the accused either to the trial court or upon admission to the bar; not supporting the application for
appeal by the accused, if he finds out that the evidence admission to the bar of any person known by him to be
against accused is insufficient to warrant or to sustain unqualified in respect to character, education, or other
conviction. For his finest hour is not when he wins a case relevant attribute; not engaging in conduct that adversely
with the conviction of the accused. His finest hour is still reflects on his fitness to practice law, nor shall he, whether
when, overcoming the advocates natural obsession for in public or private life, behave in a scandalous manner to
victory he stands up before the court and pleads not for the the discredit of the legal profession. (Rule 7.01; Rule 7.02;
conviction of the accused but for his acquittal. For indeed, Rule 7.03)
his noble task is to prosecute only the guilty and protect the
innocent. (Triesta vs. Sandiganbayan, 145 SCRA 508; A lawyer should aid in guarding the bar against the admission to
People vs. Madera, 57 SCRA 349) the profession of candidates who are unfit or unqualified
because the deficient in either moral character or education.
ROLE OF LAWYERS IN PUBLIC SERVICE: Thus, he should expose without fear or favor before the
A lawyer in the government service shall not use Supreme Court corrupt or dishonest conduct in the profession
his public position to promote or advance his private and should accept without hesitation employment against a
interests, nor allow the latter to interfere with his public lawyer who has wronged his client.
duties. And after leaving government service, shall not
accept engagement or employment in connection with any 4. A LAWYER SHALL CONDUCT HIMSELF WITH COURTESY,
matter in which he had intervened while in said service. FAIRNESS AND CANDOR TOWARD HIS PROFESSIONAL
(Rule 6.02; Rule 6.03) COLLEAGUES, AND SHALL AVOID HARASSING TACTICS
AGAINST OPPOSING COUNSEL. (Canon 8)
The qualifying words or phrases that define the prohibition are:
(a) any matter and (b) he had intervened thereon while he Therefore, he shall not use abusive, offensive or
other wise improper language in his professional dealings.
Neither shall he, directly or indirectly, encroach upon the his client and that to the court, he should resolve the conflict
professional employment of another lawyer. However, it is against the former and in favor of the latter, his primary
the right of any lawyer, without fear or favor, to give proper responsibility being to uphold the cause of justice. Therefore:
advice and assistance to those seeking relief against
unfaithful or neglectful counsel. (Rule 8.01; Rule 8.02) He shall not do any falsehood, nor consent to the
doing of any in court; nor shall he mislead, or allow the
In the conduct of litigation, he should not yield to his clients Court to be misled by any artifice. (Rule 10.01)
demand that he be illiberal, nor should he do anything
repugnant to his sense of honor and propriety. To this duty he swore upon his admission to practice.
The oath embodies, in a capsule the fundamental duties of
Thus, he should not take advantage of the excusable a lawyer, which he must honor as there would be a great
unpreparedness or absence of counsel during the trial of a detriment to, if not a failure of, the administration of justice
case. Nor may he, when he thinks a case is weak, criticize if court could not rely on the submission and representation
the lawyer who accepts, much less should he attribute to of lawyers in the handling of their cases. (Casals vs. Cusi,
him evil motive for taking up the clients case. (Yulo vs. 53 SCRA 58)
Yang Chiao Seng, 106 PHIL 110; Asia Banking Corp. vs.
Herridge, 45 PHIL 850) He shall not knowingly misquote or misrepresent
the contents of a paper, the language or the argument of
5. A LAWYER SHALL NOT, DIRECTLY OR INDIRECTLY, ASSIST opposing counsel, or the text of a decision or authority, or
IN THE UNAUTHORIZED PRACTICE OF LAW. (Canon 9) knowingly cite as law a provision already rendered
inoperative by repeal or amendment, or assert as a fact that
The purpose of the law is to protect the public, the court, the which has not been proved. (Rule 10.02)
client and the bar from the incompetence, dishonesty of those
unlicensed to practice law and not subject to the disciplinary In citing Supreme Court decisions and rulings, it is the
control of the court. Therefore: bounden duty of courts, judges and lawyers to reproduce or
copy the same word for word and punctuation mark by
He shall not delegate to any unqualified person punctuation mark. This is because only Supreme Courts
the performance of any task which by law may only be decisions and rulings form part of the law of the land and
performed by a member of the bar in good standing. Neither when unfaithfully and exactly quoted, the decisions and
may he divide nor stipulate to divide a fee for legal services rulings may lose their proper and correct meaning, to the
with persons not licensed to practice law, except: detriment of other courts, lawyers and the public who may
thereby be misled. (Insular Life Assurance Co., Ltd.
a. there is a pre-existing agreement with a partner or Employees Assn. vs. Insular Life Assurance Co., Ltd., 37
associate that, upon the latters death, money shall be SCRA 244)
paid over a reasonable period of time to his estate or to
the persons specified in the agreement; or He shall observe the rules of procedure and shall
b. where a lawyer undertakes to complete unfinished not misuse them to defeat the ends of justice. (Rule 10.03)
legal business of a deceased lawyer; or
c. Where a lawyer or law firm includes non lawyer Procedural rules are instruments in the speedy and
employees in a retirement plan, even if the plan is efficient administration of justice. They should be used to
based in whole or in part, on a profit sharing achieve such end and not to derail it. Thus, the filing by a
arrangement. (Rule 9.01; Rule 9.02) lawyer of multiple petitions regarding the same subject
matter constitute abuse of the courts processes and
Even members of the bar are not at liberty to appear improper conduct that tends to obstruct and degrade the
in court representing a client if they are not duly retained by administration of justice.(Macias vs. Uy Kim, 45 SCRA 251)
the client or appointed by the court to do so. An attorney
willfully appearing in court for a person without being 2. A LAWYER SHALL OBSERVE AND MAINTAIN THE
employed, unless by leave of court, may be punished for RESPECT DUE TO THE COURTS AND TO JUDICIAL
contempt as an officer of the court who has misbehaved in OFFICERS AND SHOULD INSIST ON SIMILAR CONDUCT BY
his official transactions. (Rule 138, sec. 21) OTHERS. (Canon 11)
But an unauthorized representation by a lawyer may be given It is the duty of an attorney to observe and maintain the respect
effect if ratified, expressly or impliedly, by the client. Ratification due to the courts of justice and judicial officers. (Rule 138,
retroacts to the date of the attorneys first appearance and sec.20 [b]) Hence, a lawyer shall:
validates the action taken by him. It also removes the taint of
impropriety in the attorneys conduct as an officer of the court. Appear in court properly attired. (Rule 11.01)
Punctually appear at court hearings. (Rule 11.02)
THE LAWYERS DUTIES TO THE COURTS: Abstain from scandalous, offensive or menacing
language or behavior before the Courts. (Rule 11.03)
1. A LAWYER OWES CANDOR, FAIRNESS AND GOOD FAITH Not attribute to a Judge motives not supported by
TO THE COURT. (Canon 10) the record or have no materiality to the case. (Rule 11.04)
Submit grievances against a Judge to the proper
A lawyer is first and foremost, an officer of the court. His duties authorities only. (Rule 11.05)
to the court are more significant than those which he owes to his
client. Accordingly, should there be conflict between his duty to
3 A LAWYER SHALL EXERT EVERY EFFORT AND CONSIDER A lawyer should not file pointless petitions for the
IT HIS DUTY TO ASSIST IN THE SPEEDY AND EFFICIENT purpose of reviving a decision that has long been final.
ADMINISTRATION OF JUSTICE. (Canon 12) (Banogon vs. Zerna, 154 SCRA 593 [1987])
Being an officer of the court, a lawyer is part of the machinery in A lawyer must resist the whims and caprices of his
the administration of justice. He should avoid any unethical or client, and temper his clients propensity to litigate. He
improper practices that impede, obstruct or prevent its should not acquiescence to his clients intention of
realization. Therefore, he is required: prolonging the litigation by filing petitions for issuance of a
writ of preliminary injunction to restrain execution of a final
To appear for trial with himself adequately judgment. (Cobb-Perez vs. Lantin, 23 SCRA 637 [1968])
prepared on the law and the facts of his case, the evidence
he will adduce and the order of profference. He should also not, after obtaining extensions of time to file
be ready for the original documents for comparison with pleadings, memoranda or briefs, to let the period lapse
the copies; (Rule 12.01) without submitting the same or offering an explanation for
his failure to do so; (Rule 12.03)
Not to file multiple actions arising from the same cause;
(Rule 12.02) not to unduly delay a case, impede the execution
of a judgment or misuse Court processes; (Rule 12.04)
This restriction is intended to prevent forum
shopping.
The law makes it the lawyers duty to delay no mans cause
Q: What is forum shopping? for money or malice. As an officer of the court whose
primary function is to assist the court administer impartial
A: It is an improper practice of going from one court to another justice, a lawyer should use procedural rules for that
in the hope of securing a favorable relief in one court which purpose and not for its frustration.
another court has denied or the filing of repetitious suits or
proceedings in different courts concerning substantially the It is the duty of an attorney not to encourage either the
same subject matter. commencement or the continuance of an action or
proceeding, or delay any mans cause, from any corrupt
There is also forum shopping when an action is motive or interest. (Rule 138, sec. 20 [g])
commenced in court while administrative proceeding is
pending, in order to defeat administrative processes and in to refrain from talking to his witness during a
anticipation of an unfavorable administrative ruling and a break or recess in the trial, while the witness is still under
favorable court ruling. Also, forum shopping is committed examination; (Rule 12.05)
even if different or additional party litigants were impleaded
in the subsequent cases or petitions involving similar The purpose of this rule is to avoid any suspicion that he is
issue/issues with that of the first case. coaching the witness what to say during the resumption of the
examination.
Q: Explain briefly why forum shopping is prohibited by law?
But the lawyer may interview witnesses in advance of trial or
A: Forum shopping wrecks havoc to the orderly procedure. attend to their needs if they are poor and have no adequate
It obstructs the administration of justice, unduly burdens the means of defraying their own expenses or are lukewarm to do
courts and embarrasses the adverse party. so.
Under the Rules, a plaintiff or principal party to a suit
not to knowingly assist a witness to misrepresent
is required to attach a Certificate of Non Forum Shopping
himself or to impersonate another; (Rule 12.06)
in his complaint or other initiatory pleading. Failure to
comply with the foregoing requirement shall be a cause for
dismissal of the case without prejudice. Aside from the fact that the testimony of a witness who admits
But submission of a false certification or non- having been instructed what to say may not be relied upon by
compliance with any of the undertakings therein shall the court, a lawyer who presents a witness whom he knows will
constitute indirect contempt of court, without prejudice to give a false testimony may be subjected to disciplinary action.
the corresponding administrative and criminal actions. If the
acts of the party or his counsel clearly constitutes willful not to abuse, browbeat or harass a witness nor
and deliberate forum shopping, the same shall be ground needlessly inconvenience him; (Rule 12.07)
for summary dismissal with prejudice and shall constitute
direct contempt without prejudice to the corresponding
administrative sanctions. Cf Rule 7 Sec.5, 1997 Rules on A lawyer should always treat adverse witnesses and
Civil Procedure. suitors with fairness and due consideration. He should
advance no fact prejudicial to their honor or reputation
Litigation must end and terminate sometime and somewhere unless required by the justice of the cause with which he is
and it is essential to an effective and efficient administration of charged. (Rule 138, sec. 20 [f])
justice that once a judgment has become final, the winning party
be not, through subterfuge, and misuse of legal processes It ill behooves an attorney to justify his disrespectful
deprived of that verdict. Therefore: language with the statement that it was necessary for the
defense of his client. His clients cause is subordinate to his
duty to assist in the administration of justice. (Surigao Conduct not to take part in the proceedings because
Mineral Reservation Board vs. Cloribel, 31 SCRA 1 [1970]) among the grounds for mandatory disqualification of the
judge is if any of the lawyers is a relative by consanguinity
to avoid testifying in behalf of his client. (Rule 12.08) or affinity within the 4th degree. (Bautista vs. Rebueno, 81
SCRA 535 [1978]).
Q: why is it unethical for a lawyer to testify in behalf of his
client?
Not to make public statements in the media
A: the underlying reason for the impropriety of a lawyer acting
regarding a pending case tending to arouse public opinion
in such dual capacity lies in the difference between the
for or against a party; (Rule 13.02)
function of a witness and that of an advocate. The function
of a witness is to tell the facts as he recalls them in answer
to questions to him. The function of a counsel is that of a RIGHT AND DUTY TO CRITICIZE THE COURTS.
partisan. It is difficult to distinguish between the zeal of an The guarantees of a free speech and a free press include
advocate and the fairness and impartiality of disinterested the right to criticize the judicial conduct. The administration of
witness. The lawyer will find it difficult to disassociate his the law is a matter of vital public concern. Whether the law is
relation to his client as attorney and his relation to the party wisely or badly enforced is, therefore, a fit subject for proper
as a witness. comment. The fact that a person is a lawyer does not deprive
him of the right to criticize and comment on the actuations of a
judge. As a citizen and officer of the court, a lawyer is expected
A lawyer may testify for his client on the following matters:
not only to exercise the right but also to consider it his duty to
expose the shortcomings and indiscretions of courts and judges.
a. Formal matters, such as the mailing, authentication or
This right is subject only to the limitation that the lawyer shall
custody of an instrument, and the like; or
employ honest and fair languages.
b. Substantial matters, in cases where his testimony is
Q: Explain briefly the right of every person to criticize the
essential to the ends of justice, in which event he
actuations of a judge.
must, during his testimony, entrust the trial of the case
A: The rule on the right to criticize the courts differs in a
to another counsel. (Rule 12.08)
concluded and a pending action.
Once litigation is concluded, the judge who decided it
4. A LAWYER SHALL RELY UPON THE MERITS OF HIS CAUSE
is subject to the same criticism as any other public official
AND REFRAIN FROM ANY IMPROPRIETY WHICH TENDS
because then his ruling becomes public property and is
TO INFLUENCE, OR GIVES THE APPEARANCE OF
thrown open to public consumption.
INFLUENCING THE COURT. (Canon 13)
The rule is different in a pending case. The court,
in a pending litigation must be shielded from
Improper acts of a lawyer which give the appearance of
embarrassment or influence in its all important duty of
influencing the court to decide a case in a particular way lessen
deciding the case. The restriction does not prohibit
the confidence of the public in the impartial administration of
issuance of statements by public officials charged with the
justice.
duty of prosecuting or defending actions in court. However,
such statements should avoid any statement of facts likely
Therefore, it is his duty:
to create an adverse attitude in the public mind respecting
the alleged actions of the defendants to the pending
Not to extend extraordinary attention or hospitality
proceedings.
to, nor seek opportunity for, cultivating familiarity with
Judges; (Rule 13.01)
Not to brook or invite interference by another branch or
agency of the government in the normal course of judicial
proceedings. (Rule 13.03)
The common practice of some lawyers making judges and
prosecutors godfathers of their children to enhance their
This act of a lawyer endangers the independence of the
influence and their law practice should be avoided.
judiciary.
A lawyer should avoid marked attention and unusual hospitality ATTORNEY CLIENT RELATIONSHIP
to a judge, uncalled for by the personal relations of the parties.
Nature:
The attorney client relationship is strictly personal. It
He should not communicate with him as to the merits involves mutual trust and confidence of the highest degree,
of a pending case. (Austria vs. Masaquel, 20 SCRA 1247) irrespective of whether the client is a private person or a
government functionary. Therefore:
Q: Is it unethical for a lawyer to appear as counsel for a
party in a case before a judge who is a relative, compadre A court or administrative tribunal cannot but recognize
or a former office mate? its creation on the faith of the clients word. (Piitsburgh
Plate vs. director of Patents, 56 SCRA 243);
A: there is no ethical constraint against a lawyer
appearing before a judge who is a relative, compadre or It cannot be delegated in favor of another attorney
former office colleague as long as the lawyer avoids giving
without the clients consent. But the legal work may be
the impression that he can influence the judge. On the
delegated. (Menzi and Co. vs. Bastida, 63 PHIL 16);
other hand, the judge is required by the Code of Judicial
not by that circumstance alone become counsel of

It terminates upon the death of either the client or attorney. appellant in the appealed case. (Velasquez vs. Barrera, 29
Therefore, the representative of the deceased attorney may SCRA 312 [1969])
not assign the case to a counsel of his choice for that
matter belongs to the client, except: employment of a law Only those who have the capacity
firm. Such employment is equivalent to the retainer of the to contract may employ lawyers. Those who have legal
members thereof even though only one of them is disability cannot retain a lawyer to appear for him in court.
consulted; conversely, the employment of one member is Only a general guardian or a guardian ad litem has the
generally considered as employment of the law firm. authority to employ an attorney to represent a minor or
Therefore, in case of death of the partner handling the incompetent. Accordingly, the appearance of a lawyer as
case, it should be continued by the remaining lawyers of authorized by a relative of the minor or incompetent is
the firm unless the firm withdraws from the case. officious and will give no effect except to show the
attorneys good faith in appearing in court. (Lim Siok Huey
It can be terminated by the client with or without cause, but vs. Lapiz, 103 PHIL 930 [1958]).
it cannot be terminated by the lawyer without his clients or
the courts consent. Generally, a lawyer is not obliged to act as legal counsel for any
person who may wish to become his client. He has the right to
Q: What is a retainer? Explain briefly. decline employment. He must on his own responsibility decide
A: The term retainer may refer to either of two concepts: It what businesses he will accept as counsel, what causes he will
may refer to the act of a client by which he engages the bring into courts for plaintiffs or what cases he will contest in
services of an attorney to render legal advice, or to defend court for defendants.
or prosecute his cause in court. On the other hand, it may
also refer to the fee which a client pays to an attorney when Q: Is the right of a lawyer to decline employment absolute?
the latter is retained, known as the retaining fee. A: No. In the following instances, a lawyer may not decline
employment:
Q: Is a retainer necessary? Why?
A: Yes. An attorney has no power to act as counsel or legal a) He shall not refuse his services to the needy;
representative for a person without being retained nor may (CANON 14)
he appear in court for a party without being employed
unless by leave of court. There must be contract of b) Not to decline to represent a person solely on
employment, express or implied, between him and the account of the latters race, sex, creed or status of
party he purports to represent or the latters authorized life, or because of his own opinion regarding the
agent. guilt of said person; (Rule 14.01)
Kinds of retainer contract: It is the duty of an attorney in the

defense of a person accused of crime, by all fair and
i. General retainer is one the purpose of which is to secure honorable means, regardless of his personal opinion as to
before hand the services of an attorney for any the guilt of the accused, to present every defense that the
legal problem that may afterward arise. law permits, to the end that no person may be deprived of
life or liberty, but by due process of law. (Rule 138, sec. 20
ii. Special retainer to secure the services of a lawyer for a [i])
particular case or service.
c) Not to decline, except for serious and sufficient
The essential feature of the relation of attorney and cause, an appointment as counsel de oficio or as
client is the fact of employment. While a written agreement amicus curiae, or a request from the IBP or any of
is the best evidence to show the relation, formality is not an its chapters for rendition of free legal aid; (Rule
essential element of the employment of an attorney. The 14.02)
absence of a written contract will not preclude a finding that
there is professional relationship. The contract may be d) Not to refuse to accept representation of an
express or implied. indigent client unless: (Rule 14.03)
An attorney for a buyer of a piece of land who i) he is in no position to carry out the work
prepared the Deed of sale in favor of the buyer and that he effectively or competently;
charged the seller the fees for such services do not make
the attorney the counsel for the seller as those matters ii) he labors under a conflict of interest between
were wrapped up in the sale and could have been done as him and the prospective client or between a
counsel for the buyer in the furtherance of the latters present client and the prospective client.
interest. (Gregorio Araneta, inc. vs. Paterno, 91 PHIL 726
[1952]). iii) too many de oficio cases assigned to the
lawyer
The fact that a lawyer signed a pleading for and on
behalf of the counsel of record for a party does not iv) lawyer is prohibited from practicing law by
necessarily make that party a client of the lawyer. (Garcia reason of his public office which prohibits
vs. Flores, 101 PHIL 781 [1957]). appearances in court; and
A lawyer who helped an appellant perfect an appeal v) lawyer is preoccupied with too many cases
without entering his appearance or signing a pleading does which will spell prejudice to the new clients.
He shall observe the same standard of conduct governing He shall not reveal the confidence obtained by him from persons
his relations with paying clients every time he accepts the in his professional capacity even though his employment may
cause of a person unable to pay his professional fees; not have been hired to continue with the clients case.
(Rule 14.04)
It is the duty of the an attorney to
Q: May an attorney refuse to handle a losing case? Support maintain inviolate the confidence, and at every peril to
your answer. himself, to preserve the secrets of his client, and to accept
A: In civil cases, a lawyer may refuse to handle a losing case. no compensation in connection with his clients business
In all probability, a losing case is one which has no basis or except from him or with his knowledge and approval. (Rule
cause of action. Under the Attorneys Oath, the Code of 138, sec.20 [e])
Professional Responsibility and Rules of Court, it is the
duty of a lawyer not to promote or sue any groundless, He shall not represent conflicting interests except by
false or unlawful suit, or give aid or consent to the same. written consent of all concerned given after a full disclosure
The same is true in criminal cases, except when a lawyer is of the facts; (Rule 15.03) But he may, with the written
called upon to defend a person guilty of an offense. In such consent of all concerned, act as mediator, conciliator or
a case, a lawyer may not refuse to defend a person merely arbitrator in settling disputes; (Rule 15.04)
because he perceives him to be guilty. That matter is within
the province of the Judge. The client is presumed innocent He shall not act as counsel for a
until otherwise proven. It is the counsels duty to see to it person whose interest conflicts with that of his present or
that his client is accorded due process, that his rights are former client. (Mejia vs. Reyes, 114 PHIL 574 [1962])
respected, and that only the proper penalties are meted out
should he be convicted. That the conflict of interests is remote or merely probable or the
representation of conflicting interests is in good faith and with
Q: What are the duties of a defense counsel when the honest intention on the part of the lawyer does not make the
accused intends to plead guilty? prohibition inoperative.
A: the following are the duties of a defense counsel: (a) fully
acquaint himself with the records and surrounding The circumstance that the former client is successful or has not
circumstances of the case; (b) confer with the accused and been prejudiced by the representation of conflicting interests
obtain from him his account of what happened; (c) advise does not render the lawyers conduct less improper.
him of his constitutional rights; (d) thoroughly explain to him
the import of a guilty plea and the inevitable conviction that Where a lawyer was retained by a
will follow; (e) see to it that the prescribed procedure which person to form a corporation and appeared as counsel in
experience has shown to be necessary to the behalf of said person but said lawyer was subsequently
administration of justice is strictly followed and disclosed in shown to be in collusion with the board of directors of the
the court records. corporation against the said client, there is a clear case of
conflict of interests. (see De Guzman vs. De Dios, 350
SCRA 320 [2001])
THE LAWYERS DUTIES TO HIS CLIENTS:
Nor does the lawyers withdrawal
1. A LAWYER SHALL OBSERVE CANDOR, FAIRNESS AND from the case after his appearance therein was questioned
LOYALTY IN ALL HIS DEALINGS AND TRANSACTIONS WITH on the ground of conflict of interest free him from
HIS CLIENTS. (Canon 15.) administrative liability for such misconduct. (Pasay Law
and Conscience, Inc. vs. Paz, 95 SCRA 24 [1980])
Public interest requires that once a lawyer accepts the cause of
his client, he shall exert his best efforts and ability in the Q: When is there a conflict of interest?
prosecution or defense of his clients cause. A: There is conflict of interests within the meaning of the
prohibition when, on behalf of one client, it is the attorneys
He should present every remedy or defense authorized by law duty to contend for that which his duty to another client
in support of his clients cause, regardless of his personal views. requires him to oppose, or when the possibility of such
Thus: situation develops. It includes cases even where no
confidential communication have been confided or will be
He shall, in conferring with a prospective client, ascertain used.
as soon as practicable whether the matter would involve a Another test is whether the acceptance of a new relation
conflict with another client or his own interest, and if so, will prevent an attorney from the full discharge of his duty of
shall forthwith inform the prospective client; (Rule 15.01) undivided fidelity and loyalty to his client or invite suspicion
of unfaithfulness or double-dealing in the performance
It is a lawyers duty to disclose and explain to a prospective thereof; or when he will be called upon in his new relation
client all circumstances of his relations to the parties and any to use against his first client any knowledge acquired in the
interest in or connection with the controversy, which in his previous employment.
honest judgment might influence the client in the selection of
counsel. It is improper for a lawyer to appear as counsel for
one party against the adverse party who is his client in
He shall be bound by the rule on privilege communication another totally unrelated action. (Rosasica vs. Bulalacao,
in respect of matters disclosed to him by a prospective supra).
client; (Rule 15.02)
A lawyer for a party may not subsequently appear as counsel for When engaged in another profession or occupation
the opposite party in an action which is somehow related to the concurrently with the practice of law shall make clear
former clients case, even though the lawyer acquired no to his client whether he is acting as a lawyer or in
confidential communication from his former client, or his another capacity. (Rule 15.08)
services to him were gratuitous, or the former client illegally
terminated his professional employment. 3. A LAWYER SHALL HOLD IN TRUST ALL MONEYS AND
PROPERTIES OF HIS CLIENT THAT MAY COME INTO HIS
Where a lawyer is disqualified or forbidden from appearing as POSSESSION. (Canon 16).
counsel in a case because of conflict of interests, the law firm of
which he is a member as well as any member, associate or The money collected by a lawyer in pursuance of a judgment in
assistant therein is similarly disqualified or prohibited from so favor of his client is held in trust. So is money of a client not
acting. used for the purpose for which it was entrusted to his counsel.
Therefore, he shall:
The rule against representation of conflicting interests does not
apply: Account for all money or property collected or received for
or from the client (Rule 16.01) and shall keep the funds of
a. where no conflict of interests really exists i.e. when each client separate and apart from his own and those of
the case for a new client against a former client is others kept by him. (Rule 16.02)
unrelated in any way with the previous controversy in
which he appeared for the former client. (Magno vs. The highly fiduciary and confidential relation of attorney and
Gellada, 42 SCRA 549); client requires that the attorney should promptly account for all
funds and property received or held by him for the clients
b. where the client knowingly consent after full disclosure benefit. Where a client gives money to his lawyer for a specific
of the facts. The disclosure should include an purpose, the lawyer should, upon failure to take such step and
explanation of the effects of the dual representation, spend the money for it, immediately return the money to his
such as the possible revelation or use of confidential client.
information;
c. where no attorney client relationship exists. A lawyer also holds for the benefit
(People vs. Mediavilla) of his client any property redeemed with the clients money
and registered in the lawyers name. (Imbucido vs.
The new client however, may not defeat the attorneys right to Manganon, 114 PHIL 695 [1962])
fees in the absence of concealment and prejudice by reason of
the attorneys previous professional relationship with the
opposite party. In the case of Cleto Docena vs.
Atty. Limon, the respondent was disbarred for failing to
When advising his client, he shall give a candid and honest return the money of his clients. Disbarment was imposed
opinion on the merits and probable results of the clients notwithstanding the fact that the amount involved was too
case, neither overstating nor understating the prospects of small because of the nature of the transgression. In this
the case; (Rule 15.05) Neither shall he state nor imply that case, the lawyer collected 10,000 pesos from his clients
he is able to influence any public official, tribunal or purportedly as supersedeas bond to stay the decision of
legislative body; (Rule 15.06) the lower court. When the appellate court ruled in their
favor, the amount cannot be withdrawn because no bond
If a lawyer finds that his clients contemplated civil suit is totally was ever filed by the lawyer. When confronted, the lawyer
devoid of merit or that the pending action against him is wholly justified his retention of the amount as his attorneys fees.
defenseless, he should so inform his client and dissuade him, in (Docena vs. Limon, September 10, 1998)
the first instance, from filing the case, in the second instance, to
compromise or submit rather than traverse the incontrovertible.
Deliver the funds and property of his client when due or
upon demand. However, he shall have a lien over the funds
If on the other hand he finds that his clients cause is fairly
and may apply so much thereof as may be necessary to
meritorious and ripe for judicial adjudication, he should refrain
satisfy his lawful fees and disbursements, giving notice
from making bold and confident assurances of success.
promptly thereafter to his client. He shall also have a lien to
the same extent on all judgments and executions he has
He shall impress upon his client compliance with the laws
secured for his client as provided for in the Rules of Court;
and the principles of fairness; (Rule 15.07) (Rule 16.03)
While it is the lawyers duty to comply with the clients lawful When an attorney unjustly retains
request, he should resist and should never follow any unlawful in his hands money of his client after it has been
instructions of his client. In matters of law, it is the client who demanded, he may be punished for contempt as an officer
should yield to his lawyer and not the other way around. of the court who has misbehaved in his official transactions;
but proceedings under this section shall not be a bar to a
A lawyer should not approve of his impropriety. He may not criminal prosecution. (Rule 138, sec. 25)
therefore sanction his clients act of compromising the action
with the adverse party without the knowledge of the latters The circumstance that an attorney
attorney.
has a lien for his attorneys fees on the money in his hands
collected for his client does not relieve him from the
obligation to make a prompt accounting. (Tambueko vs. De It expires when possession of the documents or papers lawfully
Dumo, 172 SCRA 760 [1989]) ends, as when the lawyer voluntarily parts with the funds,
documents and papers of his client or when he offers them in
The failure of an attorney to return the clients money upon evidence in court.
demand 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. 2. Charging lien the equitable right to have the fees
and lawful disbursements due a lawyer for his services in a
ATTORNEYS LIEN suit, secured to him out of the judgment for the payment of
money and executions issued in pursuance thereof in the
It is a lien created by law in favor particular suit upon causing a statement of his claim to be
of a lawyer to insure payment of his professional fees and entered upon the records of the court rendering such
reimbursement of his lawful disbursements, not only upon judgment, or issuing such execution, and shall have
the funds, documents and papers of his client which have caused written notice thereof to be delivered to his client
lawfully come into his possession but also upon all and to the adverse party. (see Rule 138, sec. 26 and sec.
judgments in favor of the client for the payment of money 37)
and executions issued in pursuance of such judgments
rendered in the case wherein his services have been Requisites:
retained by the client. (see Rule 138 secs. 37 and 26,
RRC) a. Existence of attorney client relationship;
Kinds of Attorneys lien:
b. The attorney has rendered services;
1. Retaining lien the right of an attorney to retain the funds, c. A money judgment favorable to the client has been secured
documents and papers of his client which have lawfully
come to his possession until his lawful fees and in the action;
disbursements have been paid and to apply such funds to
the satisfaction thereof. (Rule 138, sec. 37, RRC)
d. The attorney has a claim for attorneys fees or advances;
Requisites for validity:
and
a. Existence of attorney client relationship;
e. A statement of his claim has been duly recorded with notice
b. Possession by the lawyer of the clients funds,
thereof served upon the client and the adverse party.
documents and papers must be lawful and in his
professional capacity; Charging lien takes effect from and after the time the attorney
has caused a notice of his lien to be duly entered in the record
of the case. But recording to be valid should be effected while
c. There is an unsatisfied claim for attorneys fees or
the court still has the records of the case and before satisfaction
of judgment.
lawful disbursement.
However, the satisfaction of judgment in favor of the client in
disregard of the attorneys duly recorded right and notice thereto
Retaining lien does not extend to funds, documents and papers has been properly given does not extinguish his charging lien, in
of the clients principal, such as the estate represented by the the absence of a waiver of the right thereto either by his active
client as administrator, except when the attorney is also retained conduct or by his passive omission. The court may vacate such
as counsel for the estate against whom he has unpaid claim for satisfaction by issuing a writ of execution upon motion of the
attorneys fees. Neither does it extend to the subject matter of lawyer. The court retains jurisdiction over the case where a
the action, which the court has adjudged in favor of the clients charging lien has been duly recorded until that lien is settled.
adversary nor to documents introduced as exhibits in court.
The judgment debtor is a stranger to the contract for
professional fees between the judgment creditor and his lawyer.
Retaining lien attaches from the moment the attorney lawfully Thus, he is entitled to notice before he may be held liable under
obtains and retains possession of the funds, documents and the charging lien. The notice to the adverse party or judgment
papers of the client until his client pay him his fees and debtor also makes the charging lien binding upon him who, for
disbursements. disregarding it to the lawyers prejudice, may be held liable in
favor of the lawyer for the full amount thereof.
Until the client files a bond to secure and to guarantee the
payment of the lawyers fees, the court may not compel the The charging lien may be enforced, upon proper motion, by
surrender of the documents and papers without gravely abusing execution.
its discretion or authority for the courts duty is to protect and not
to destroy the attorneys retaining lien. Charging lien also attaches to the proceeds of a compromise
settlement.
Lien does not attach to the following: expenses in a legal matter he is handling for the client.
a. property in litigation; (Rule 16.04)
b. sum of money which, according to the same
judgment, must be applied to satisfy a legitimate debt
of the client; 4. A LAWYER OWES FIDELITY TO THE CAUSE OF HIS CLIENT
c. property of the client in the hands of an officer of the AND HE SHALL BE MINDFUL OF THE TRUST AND
court; CONFIDENCE REPOSED IN HIM; (Canon 17).
d. when the clients action is dismissed upon motion of
the adverse party; No lawyer is obliged to act either as adviser or advocate for
e. when the client loses the action as the lien may only every person who may wish to become his client. But once
be enforced against a judgment awarded in favor of he agrees to take up the cause of his client, the lawyer
the client, the proceeds thereof or executions thereon. owes fidelity to such cause and must always be mindful of
the trust and confidence reposed in him. He owes his client
A duly recorded lien enjoys preference of credit over that of a entire devotion to his genuine interest, warm zeal in the
creditor who subsequently recorded it. Generally, a charging lien maintenance and defense of his rights and the exertion of
may be assigned without the preference character thereof being his utmost learning and ability.
extinguished except when the assignment carries with it a
breach of the attorneys duty to preserve his clients confidence But while a lawyer owes
inviolate. absolute fidelity to the cause of his client, full devotion
to his genuine interest, and warm zeal in the
It survives the death of the client and need not be enforced in maintenance and defense of his rights, he must do so
the proceeding for the settlement of the clients estate. It also only within the bounds of law. (Choa vs. Chiongson,
gives the lawyer standing in the action to protest its 260 SCRA 477 [1996])
discontinuance by the client, unless suitable measures for the
protection of his right to professional fees are provided. His pending release by the client from professional
responsibility does not justify relaxing his guard. Neither
Where the client contests the right of the lawyer to does the failure of his client to pay him his fees warrant his
compensation or the amount thereof, the proper procedure is for abandoning the case.
the court to first resolve that question in a full dress trial before it
should order the registration of the charging lien. At all events A lawyer has no right to presume
however, the exact amount of the attorneys fees should be that his petition for withdrawal will be granted by the court.
determined before the lien can be enforced. On the other hand, Until his withdrawal shall have been approved, the lawyer
if the client fails to contest the claim, he will be bound by the remains counsel of record who is expected by his client as
amount specified in the lien even though it may appear to be well as by the court to do what the interests of his client
unjust. require. He must still appear on the date of hearing for the
attorney-client relation does not terminate formally until
Q: May a lawyer purchase his clients property without there is a withdrawal of record.(Orcino vs. Atty. Gaspar,
transgressing ethical norms and conduct required of a September 24, 1997)
lawyer?
A: The law expressly prohibits a lawyer from purchasing, even 5. A LAWYER SHALL SERVE HIS CLIENT WITH COMPETENCE
at a public or judicial auction, either in person or through AND DILIGENCE (Canon 18).
the mediation of another, any property or interest involved
in any litigation in which he may take part by virtue of his By accepting a retainer, he impliedly represents that (a) he
profession. possesses the requisite degree of learning, skill and ability
which is necessary to the practice of his profession and which
The rule forbidding an attorney from purchasing his clients others similarly situated possess; (b) he will exert his best
property or interest in litigation involves four elements: (a) there judgment in the prosecution or defense of the litigation entrusted
must be an attorney client relationship; (b) the property or to him; (c) he will exercise reasonable and ordinary care and
interest of the client must be in litigation; (c) the attorney takes diligence in the use of his skill and in the application of his
part as counsel on the case; and (d) the attorney by himself or knowledge to his clients cause; and (d) he will take such steps
through another purchases such property or interest during the as will adequately safeguard his clients interest.
pendency of the litigation. It is immaterial that the deed of sale is
executed at the instance of the client or at the behest of the Therefore, it is a lawyers duty:
attorney.
Not to undertake a legal service which he knows or should
Q: What is a contingency fee contract? know that he is not qualified to render. However, he may
A: It is a contract for attorneys fees contingent upon the render such service if, with the consent of his client, he can
outcome of the litigation. It neither gives nor purports to obtain as collaborating counsel a lawyer who is competent
give to the attorney an absolute right, personal or real, in on the matter; (Rule 18.01)
the subject matter during the pendency of the litigation.
The full protection of the clients interests requires no less than a
Not to borrow mastery of the applicable law and the facts involved in a case,
money from his client unless the clients interests are fully regardless of the nature of the assignment and keeping
protected by the nature of the case or by independent constantly abreast of the latest jurisprudence and developments
advice. Neither shall a lawyer lend money to a client except, in all branches of the law.
when in the interest of justice, he has to advance necessary
Not to handle any legal matter without adequate secondly, it would give improper advantage to the older and
preparation; (Rule 18.02) better known lawyer whose opinion would carry more weight;
finally, omission to make such assertion might be taken as an
Any attempted representation of a case without adequate admission of the lack of belief in the soundness of his clients
preparation distracts the administration of justice and discredits cause.
the bar. And when the merits of one side of a case are not
properly presented because of inadequate legal representation Who has received information that his client has, in the
as against the merits of the other well presented side, the course of the representation, perpetrated a fraud upon a
court may be and often is misled into looking at the case in an person or tribunal, shall promptly call upon the client to
uneven light. Moreover, to be able to put up a good fight in the rectify the same, and failing which he shall terminate the
courtroom, hard work and intensive study and preparation are relationship with such client in accordance with the Rules
the only guarantees of coming out unscathed. of Court; (Rule 19.02)
Not to neglect a legal matter entrusted to him, and his The code merely requires the lawyer to terminate his
negligence in connection therewith shall render him liable; relationship with the client in the event the latter fails or refuses
(Rule 18.03) to rectify the fraud. He may not however volunteer the
information concerning the clients commission of fraud to
A lawyer is required to exercise ordinary diligence or that anybody, as it will violate his obligation to maintain his clients
reasonable degree of care and skill having reference to the secrets undisclosed.
character of the business he undertakes to do, as any other
member of the bar similarly situated commonly possesses and Not to allow his client to dictate the procedure in handling
exercises. He is not, however, bound to exercise extraordinary the case. (Rule 19.03)
diligence.
While it is the lawyers duty to comply with the clients lawful
What amounts to carelessness or negligence in the lawyers request, he should resist and should never follow any unlawful
discharge of his duty to client is incapable of exact formulation. instruction of his client. In matters of law, it is the client who
That question depends upon the circumstances of the case. should yield to the lawyer and not the other way around.
To keep the client informed of the status of his case and

shall respond within a reasonable time to the clients 7. A LAWYER SHALL CHARGE ONLY FAIR AND REASONABLE
request for information. (Rule 18.04) FEES. (Canon 20).
Keeping the client fully informed of important developments of Q: What is fair and reasonable fees?
his case will minimize occasions for misunderstanding or loss of A: The following guidelines shall be followed in determining
trust and confidence in the attorney. the fairness and reasonableness of fees:
a. time spent and the extent of the services rendered

6. A LAWYER SHALL REPRESENT HIS CLIENT WITH ZEAL or required;
WITHIN THE BOUNDS OF THE LAW. (Canon 19). b. novelty and difficulty of the questions involved;
c. importance of the subject matter;
The lawyers duty of entire devotion to his clients cause not only d. skill demanded;
requires but entitles him to employ every honorable means to e. probability of losing other employment as a result
secure for his client what is justly due him or to present every of acceptance of the proffered case;
defense provided by law to enable his client to succeed. In this f. customary charges for similar services and the
regard, It is his duty: schedule of fees of the IBP chapter to which he
belongs;
To employ only fair and honest means to attain the lawful g. amount involved in the controversy and the
objectives of his client and shall not present, participate in benefits resulting to the client from the service;
presenting or threaten to present unfounded criminal h. contingency or certainty of compensation;
charges to obtain an improper advantage in any case or i. character of the employment, whether occasional
proceeding; (Rule 19.01) or established; and
j. professional standing of the lawyer. (Rule 20.01)
A lawyer should employ such
means only as are consistent with truth and honor, and No court shall be bound by the
never seek to mislead the judge or any judicial officer by an opinion of attorneys as expert witnesses as to the proper
artifice or false statement of fact or law. (Rule 138, sec. 20 compensation, but may disregard such testimony and base
[d]) Thus, he should not offer in evidence any document its conclusion on its own professional knowledge. A written
which he knows is false nor present any witness whom he contract for services shall control the amount to be paid
knows will perjure. He should make such defense only as therefor unless found by the court to be unconscionable or
he believes to be honestly debatable under the law. (Rule unreasonable. (Rule 138, sec. 24)
138, sec. 20 [c])
In this regard, it is said that an agreement fixing the lawyers
In espousing his clients cause, a lawyer should not state his fees is personal between the lawyer and his client, and such
personal belief as to the soundness or justice of his case. A agreement shall prevail even though the lawyers services are
number of reasons underlie such ethical injunction: firstly, the worth more than the stipulated fees.
lawyers personal belief has no real bearing on the case;
Not to accept, without the full knowledge and consent of The restriction against champertous contracts is designed
the client, any fee, reward, costs, commission, interest, to prevent a lawyer from acquiring an interest in the
rebate or forwarding allowance or other compensation litigation and avoid conflict of interests between him and his
whatsoever related to his professional employment from client. To permit such practice of the lawyer is to enable
anyone other than the client; (Rule 20.03) him to acquire additional stake in the outcome of the action
which might lead him to consider his own recovery rather
This rule is designed to secure the attorneys wholehearted than that of his client.
fidelity to the clients cause and to prevent that situation in which
the receipt by him of rebate or commission from another in The lawyer may, however, in good faith advance the
connection with the clients business may interfere with the full expenses as a matter of convenience but subject to
discharge of his duty to his client. reimbursement.
CLIENT MAY DISMISS THE ACTION.

To avoid controversies with clients concerning his
compensation and shall resort to judicial action only to A client may dismiss his action (compromise agreement) even
prevent imposition, injustice or fraud. (Rule 20.04) without or against the consent of his counsel. But such dismissal
will not deprive the lawyer of his fees for services rendered
RIGHT OF LAWYER IN CASE OF REFERAL: unless he waives such right.
In cases of referral, with the consent of the client, the If the dismissal is in good faith i.e. honest belief on the lack of
valid cause of action, the lawyer may recover only the
lawyer shall be entitled to a division of fees in proportion to
reasonable worth of his services unless when the fee is
the work performed and responsibility assumed; (Rule
contingent in which case there will be no recovery.
20.02)
On the other hand, if the dismissal is in bad faith i.e. intended to
Q: What are the requisites for the right of attorney to
defraud his lawyer, the counsel shall be entitled to the full
compensation accrue?
amount stipulated in a written contract of professional
A: The following requisites must concur to entitle the lawyer to
employment. In the absence thereof, he shall be entitled to
compensation:
recover the reasonable value of his services based on quantum
a. existence of an attorney client relationship;
meruit.
b. rendition by the lawyer of services to the client.
Q: What do you understand about the term quantum meruit?
Therefore a non lawyer cannot
A: The term literally means as much as a lawyer deserves.
recover attorneys fees even if there is a law authorizing
Its essential requisite is the acceptance of the benefits by
him to represent a litigant in court. For this reason, an
the one sought to be charged for the services rendered
agreement between a union lawyer and a layman president
under the circumstances as reasonably to notify him that
of the union to divide equally the attorneys fees that may
the lawyer performing the task was expecting to be paid
be awarded in a labor case is illegal and immoral insofar as
compensation therefore.
it grants to the union president a share in the counsel fees.
(Phil. Assn of Free Labor Unions vs. Binalbagan Isabela
Q: When may the court fix the lawyers compensation based
Sugar Co., 42 SCRA 302 [1970])
on quantum meruit?
A: 1. The agreement as to counsel fees is invalid for some
reason other than the illegality of the object of
RIGHT TO COMPENSATION AFTER LOSING THE CLIENTS
performance;
CASE.
2. The amount stipulated in the contract is unconscionable;
3. No agreement as to fees exists;
General Rule:
4. Client rejects the amount fixed in the contract as
unconscionable and is found to be so;
Mere loss does not affect lawyers right to be paid.
5. Some act or event has prevented the lawyer from
concluding the litigation without fault on his part;
Exception:
Q: What do you understand about the term unconscionable
When the loss is due to his a) misconduct; b)
fees? Explain briefly.
misrepresentation or abuse of confidence; c) unfaithfulness in
A: An unconscionable fee is that amount which, under the
representing his clients cause; d) act of defrauding his client or
circumstances surrounding the case, constitutes an
bad faith on his part in his dealings. But not when it s due to the
exaggeration of the worth of the lawyers services. But this
lawyers honest mistake.
involves a question of fact which is for the trial court to
decide.
Q: What are champertous contracts?
A: A champertous contracts are those which the lawyer
agrees to conduct the litigation on his own account, to pay
ATTORNEY FEES AS DAMAGES:
the expenses thereof or to save his client therefrom and to
receive as his fee a portion of the proceeds of a judgment.
These types of contracts are held to be against public The award that the court may grant to a successful party by
policy. way of attorneys fees is an indemnity for damages sustained by
him in prosecuting or defending, through counsel, his cause in
court. It may be decreed in favor of the party, not his lawyer, in
any of the instances authorized by law.
On the other hand, the attorneys fee which a client pays

his counsel refers to the compensation for the latters services. Reveal the confidences or secrets of his client except;
The losing party against whom damages by way of attorneys
fees may be assessed is not bound by, nor his liability a. when authorized by the client after acquainting him of
dependent upon, the fee arrangement of the prevailing party the consequences of the disclosure;
with his lawyer. The amount stipulated in such fee arrangement
may, however, be taken into account by the court in fixing the b. when required by law;
amount of counsel fees as an element of damages.
c. when necessary to collect his fees or to defend
General rule: himself, his employees or associates or by judicial
action. (Rule 21.01)
Attorneys fees in the concept of damages are not
recoverable. Use information acquired in the course of employment to
the disadvantage of his client, nor to his own advantage or
Exceptions: that of a third person, unless the client with full knowledge
of the circumstances consents thereto; (Rule 21.02)
1. when there is an agreement;
2. exemplary damages are awarded; Give information from his files to an outside agency
3. defendants action or omission compelled plaintiff to seeking such information for auditing, statistical,
litigate; bookkeeping, accounting, data processing, or any similar
4. malicious prosecution; purpose without the written consent of his client; (Rule
5. the action is clearly unfounded; 21.03)
6. defendant acted in gross and evident bad faith;
7. actions for support;
Reveal that he has been consulted about a particular case
8. recovery of wages;
except to avoid possible conflict of interest. (Rule 21.07)
9. actions for indemnity under the workmens
compensation and employees liability laws;
10. separate civil action arising from crimes; Shall avoid indiscreet conversation about a clients affairs
11. double costs are awarded awarded when the action even with members of his family; (Rule 21.06)
or appeal is frivolous.
12. court deems it just and equitable;
13. special law so authorizes. DOS:
Shall adopt such measures as may be required to prevent

8. A LAWYER SHALL PRESERVE THE CONFIDENCES AND those whose services are utilized by him, from disclosing
SECRETS OF HIS CLIENT EVEN AFTER THE ATTORNEY or using confidences or secrets of the client; (Rule 21.05)
CLIENT RELATION IS TERMINATED. (Canon 21).
May disclose the affairs of a client of the firm to partners or
An attorney, cannot without the associates thereof unless prohibited by the client; (Rule
consent of his client, be examined as to any 21.04)
communication made to him by the client, or his advise
given thereon in the course of, or with a view to, 9. A LAWYER SHALL WITHDRAW HIS SERVICES ONLY FOR
professional employment, nor can an attorneys secretary, GOOD CAUSE AND UPON NOTICE APPROPRIATE IN THE
stenographer or clerk be examined, without the consent of CIRCUMSTANCES. (Canon 22).
the client and his employer, concerning any fact the
knowledge of which has been acquired in such capacity. An attorney may retire at any time
(Rule 130, sec. 24 [b]) from any action or special proceeding, by the written
consent of his client filed in court. He may also retire at any
The lawyers duty to maintain his clients confidence is time from an action or special proceeding, without the
perpetual. It outlasts his professional employment and continues consent of his client, should the court, on notice to the
even after the death of his client. He may not do either of two client and attorney, and on hearing, determine that he
things after severance of the attorney client relationship: he ought to be allowed to retire. Written notice of the change
may not do anything which might injuriously affect his former shall be given to the adverse party. (Rule 138, sec. 26)
client nor may he at any time disclose or use against him any
knowledge or information acquired by virtue of the professional The foregoing provision is explained by the Supreme Court in
relationship. the case of Angelita Orcino vs. Atty. Gaspar, September 24,
1997, in the following manner: A client has the right to
The communication to the lawyer loses its privileged discharge his attorney at any time with or without cause or even
character when such communication falls into the hands of against his consent. A lawyer, however lacks the unqualified
third persons. right to withdraw once he has taken his clients cause. He has
impliedly stipulated that he will prosecute the case to the
In this regard, the Code of Professional Responsibility conclusion. He may not ask that he should be relieved from his
provides for the following duties of a lawyer: professional responsibility on mere trivial grounds. A lawyer may
retire at any time from any action or special proceeding with the
DONTS: written consent of his client filed in court and copy thereof
served upon the adverse party. Should the client refuse to give
A lawyer shall not: his consent, the lawyer must file an application with the court.
The court, on notice to the client and adverse party, shall 1. The attorney may bind the client in any case by any written
determine whether he ought to be allowed to retire. The
application for withdrawal must be based on a good cause. agreement made in relation thereto. (Rule 138, sec. 23)
Under the Code of Professional Responsibility, the Hence:

following are instances when a lawyer may withdraw his
services:
An attorney may make admissions of facts for the purpose
of the litigation and such admission binds the client unless
i. when the client pursues an illegal or immoral course of
it was made through palpable mistake, or that the facts
conduct in connection with the matter he is handling;
admitted were matters relating to another action even
though involving the same client. Nor may the attorney
ii. when the client insists that the lawyer pursue conduct
make admissions, which operate as waiver, surrender or
violative of these canons and rules;
destruction of the clients cause.
iii. when his inability to work with co accused will not
An attorney has the general or implied authority to agree or
promote the best interest of the client;
stipulate upon the facts involved in litigation even without
the prior knowledge or consent of his client. The client may
iv. when the mental or physical condition of the lawyer
not withdraw from the stipulation properly entered into by
renders it difficult for him to carry out the employment
his counsel on his behalf unless it is with consent of the
effectively;
adverse party or made through palpable mistake or when
what the lawyer agreed is that a witness, if presented in
v. when the client deliberately fails to pay the fees for the
court, would testify as stated by the adverse party. But
services or fails to comply with the retainer agreement;
stipulations affecting the clients cause of action or the
subject matter of the litigation will not bind the client in the
vi. when the lawyer is elected or appointed to public
absence of a special authority to counsel to enter into such
office; and
stipulation.
vii. other similar cases. (Rule 22.01)
But a lawyer cannot compromise, without special
A motion to withdraw appearance authority, his clients litigation or receive anything in
discharge of a clients claim but the full amount in cash.
on the ground that "there no longer exist[ed] the . . .
(Rule 138, sec.23)
confidence" between the lawyer and his client and that
there had been "serious differences between them relating
Q: If the client cannot attend the pre trial conference, what is
to the manner of private prosecution" is not based upon
the proper step that his counsel should undertake?
good cause. The ground relied upon is neither one of the
A: If the lawyer is appearing during the pre trial conference
foregoing instances nor analogous thereto. (Orcino vs. Atty.
without the client, he must be armed with a special
Gaspar, September 24, 1997)
authority. One purpose of a pre trial conference is to
discuss the possibility of a settlement, and without the
AUTHORITY OF ATTORNEY
lawyer securing the special authority, his client maybe non
suited or considered in default.
An attorney is presumed properly
authorized to represent any cause in which he appears,
2. The knowledge acquired by an attorney during the time that
and no written power of attorney is required to authorize
he is acting within the scope of his authority is imputed to
him to appear in court for his client, but upon motion based
the client. This is the doctrine of imputed knowledge. Thus
on reasonable grounds, the judge may require him to
a client cannot raise as a defense in an action the validity
present his authority under which he appears. (Rule 138,
of a note when his counsel has knowledge of the defect in
sec. 21)
the instrument.
The presumption is a strong one. A mere denial by a party that
he has authorized an attorney to appear for him, in the absence 3. Notice to counsel is notice to client unless, notice upon the
of a compelling reason, is insufficient to overcome the party himself is ordered by the court. But the court may
presumption. disregard the rule when its strict application would foster
dangerous collusion detrimental to the interest of justice.
But the presumption of authority extends only to matters of
ordinary judicial procedure such as, but not limited to, what
4. The general rule is that the client is bound by his counsels
action or pleadings to file, where and when to file, theory of the
conduct, negligence and mistake in handling the case, or in
case, defenses to raise, etc.
the management of the litigation and in procedural
technique, and he cannot be heard to complain that the
The presumption of his authority continues on appeal,
result might have been different had his lawyer proceeded
unless he files a formal petition withdrawing his differently. But the court may relax the rule when the
appearance in the appellate court. (Sec. 22, supra) mistake or negligence of counsel is so gross that its strict
implementation will result in deprivation of the clients
Consequences of the presumption: liberty or property without due process of law.
CHANGE OR SUBSTITUTION OF COUNSEL:
A client may change his counsel in a pending case in any of superior officer or a body to which he belongs. It is more
three ways: than just a warning or an admonition.
a. Discharge his attorney at any time with or without cause.
No notice and consent of the lawyer and approval of the Censureis an official reprimand [Blacks Law Dictionary, 6th
court is required. Ed., p.224]. Censure and reprimand are synonymous.
b. Motion to withdraw appearance either with the written
consent of his client or with leave of court on some Suspension, Concept:
justifiable ground (see Rule 22.01, CPR) This is the temporary withholding of the lawyers privilege to
c. By substitution of counsel in the form of an application for practice his profession for a certain period, or for an indefinite
that purpose. period of time.
It is the act of the court in prohibiting an attorney from practicing
Requirements for substitution: law for a definite period.
a. written application for substitution; Disbarment, Concept:

b. written consent of the client and the attorney to be It is the act of the Philippine Supreme Court in withdrawing from
substituted an attorney the privilege to practice law. The name of the lawyer
c. proof of service of notice of the application upon the is stricken out from the Roll of Attorneys. And he does not have
attorney to be substituted, in case the written consent of the right to put in his name even the prefix Atty.. Neither can he
the lawyer cannot be obtained. sign pleadings even if he does not personally appear in court.
DUTY OF A LAWYER WHO WITHDREW FROM OR IS The power to punish for contempt and the power to
DISCHARGED BY THE CLIENT IN THE PROSECUTION OR disbar are separate and distinct, and that the exercise of
DEFENSE OF HIS CAUSE: one does not exclude the exercise of the other (People vs.
Godoy, 243 SCRA 64).
The lawyer shall, subject to a retainer lien, immediately turn
over all papers and property to which the client is entitled, Q: Who has the power to discipline errant lawyers?
and shall cooperate with his successor in the orderly A: The Supreme Court has the full authority and power to
transfer of the matter, including all information necessary warn, admonish, reprimand, suspend and disbar a lawyer
for the proper handling of the matter. (Rule 22.02) [Section 27, Rule 138, Revised Rules of Court].
The Court of Appeals and the Regional Trial Courts

RIGHT TO COMPENSATION WHEN ATTORNEY IS
are also empowered to warn, admonish, reprimand and
DISCHARGED BY THE CLIENT BEFORE THE CONCLUSION
suspend an attorney who appears before them from the
OF THE LITIGATION.
practice of law for any of the causes mentioned in Section
27, of Rule 138, RRC. But they cannot disbar a lawyer.
When the discharge is without a valid cause and the there is no
express written agreement as to fees, the lawyer may only be
An RTC Judge cannot summarily suspend a lawyer as
entitled to recover the reasonable value of his services based on
quantum meruit. On the other hand, if the contract between a punishment for committing an indirect contempt. That is not
client and his lawyer is in writing and the fee stipulated is allowed under Section 6, Rule 71 of the Rules of Court
absolute and reasonable, the lawyer is entitled to the full amount (Balasbas vs. Aquilisan, 106 SCRA 489).
thereof.
The inferior courts (MTCs) are not empowered even just to
When the discharge is for a cause, the attorney may be suspend an attorney, although, they may cite or hold a lawyer in
deprived of his right to be paid for his services only if his contempt of court for contemptuous acts.
dismissal constitutes in itself a sufficient legal obstacle to
recovery. A mere honest difference between the lawyer and his Justices of the Supreme Court however may not be
client is insufficient to deny the lawyer of his right to be paid for disbarred unless and until they shall have been first
his services. impeached in accordance with the Constitution (Cuenco
vs. Fernan, 158 SCRA 29). The same is true with the other
impeachable officers who are members of the bar.
DISBARMENT, SUSPENSION AND DISCIPLINE OF
ATTORNEYS. (Rule 139 B, RRC) Power to discipline lawyers is judicial in nature and
can be exercised only by the courts. It cannot be defeated
Warning, Admonition And Reprimand Distinguished: by the legislative or executive departments [7 C.J.S. 728].
In Tobias vs. Veloso (100 SCRA 177), the SC
distinguished reprimand from warning and admonition. It
held that: A warning, in ordinary parlance, has been Characteristics of disbarment proceeding:
defined as an act or fact of putting one on his guard against 1. It is neither a civil or criminal proceeding;
impending danger, evil consequences or penalties, while 2. Double jeopardy cannot be availed of in a
an admonition, refers to a gentle or friendly reproof, mild disbarment proceeding
rebuke, warning or reminder, counseling, on a fault or error 3. It can proceed regardless of interest or lack of
or oversight, an expression of authoritative advice or interest of the complainants, if the facts proven so warrant;
warning. They are not considered as penalties. A 4. It can be initiated motu proprio by the Supreme
reprimand, on the other hand, is of a mere severe nature, Court or the IBP. It can be initiated without a complaint;
and has been defined as a public and formal ensure or 5. It is imprescriptible;
severe reproof, administered to a person in fault by his
6. It is conducted confidentially being confidential in

nature until its final determination; Malpractice it refers to any malfeasance or dereliction of
7. It is itself due process of law; duty committed by a lawyer (Tan Tek Beng vs. David, 126 SCRA
8. Whatever has been decided on a disbarment 389).
case cannot be a source of right that may be enforced in
another action for reconveyance and damages. Instances of malpractice and gross misconduct:
The power to disbar attorneys must Failure of a lawyer to appeal in allowing the period of
always be exercised with great caution and only in clear appeal to lapse;
cases of misconduct which seriously affects the standing Failure of a lawyer to submit his clients brief within the
and character of the lawyer as an officer of the court and reglementary period;
member of the bar. (Siervo vs. Infante, 73 SCRA 35). Preparation by a notary public of a false affidavit;
Solicitation of cases either directly or indirectly through paid
In the last analysis, the lawyers good name is his most agents or brokers;
important possession (Ibanez vs. Vina, 107 SCRA 607). Abandonment of a clients case;
The lawyers reputation is likened to a plant of tender Delay in the filing of a clients case;
growth, and its bloom, once lost, is not easily restored. Notarizing a document without the affiants presence;
Notary public, who makes it appear in the jurat of a contract
GROUNDS FOR SUSPENSION OR DISBARMENT OF
MEMBERS OF THE BAR that an affiant exhibited to him his residence certificate
when in fact he did not do so;
1. deceit; Compromising a clients case without authority;
2. malpractice, or other gross misconduct in office; Notarizing documents after the lawyers commission as
3. grossly immoral conduct; notary public had expired;
4. conviction of a crime involving moral turpitude; Representing conflicting interests;
5. violation of oath of office; Encroaching upon the business of another lawyer;
6. willful disobedience of any lawful order of a superior Advertisement of a lawyers skill in a newspaper or
court; publication;
7. Corrupt or willful appearance as an attorney for a Cooperating in illegal practice of law such as formation of a
party to a case without authority to do so [Section 27, partnership with a layman;
Rule 138, RRC]. Notarizing ones own affidavit;
Refusal to pay IBP dues;
Enumerated grounds are not exclusive. Practicing law despite the lawyers suspension even if he
Any gross misconduct of a lawyer, whether in his professional or refrained from using the word attorney;
private capacity which puts his moral character in serious doubt Unwarranted obstinacy in evading payment of debt.
as a member of the bar, will render him unfit to continue in the
practice of law. 3. GROSSLY IMMORAL CONDUCT that conduct which is
willful, flagrant, or shameless, and which shows a moral
In the case Melendez vs. Decena[176 SCRA 662], it indifference to the opinion of the good and respectable members
was held that gross misconduct on the part of the lawyer, of the community [7 CJS 959; Arciga vs Maniwang, 106 SCRA
although not related to the discharge of professional duties 594].
as a member of the Bar, which puts his moral character in
serious doubt, renders him unfit to continue in the practice Q: Is the sexual intimacy of a male lawyer with a woman not
of law. his wife or without the benefit of marriage grossly immoral
per se?
In Re: Atty. Tranquilino Rovero, [92 PHIL 128], a A: NO. It has been held that mere intimacy between a lawyer
lawyer was convicted of smuggling. Later, a disbarment and a woman with no impediment to marry each other
case was filed against him. While he admits his conviction, voluntarily cohabited and had two children is neither so
he sets up the defense that the decision of conviction was corrupt as to constitute a criminal act nor so unprincipled as
not sufficient to disqualify him from practice of law, because to warrant disbarment or disciplinary action against the
he claims, he committed the act as an individual and not in man as a member of the bar ( Arciga vs. Maniwang, 106
pursuance or in the exercise of his legal profession. The SCRA 591).
SC disbarred him. Crime of smuggling involves moral
turpitude. In Radaza vs. Tejano [106 SCRA 246], the respondent
lawyer was 28 years of age and the complainant woman
1. DECEIT deceit assumes so many different hues and forms was 30 years of age. They had been having sexual
that it is not possible to lay down a rule to determine its intimacy but the lawyer married another woman. There was
presence in any given case. Deceit may consist in a no finding of gross immorality. The case is a product of
misrepresentation or in the positive assertion of a falsehood, or indiscretion between two consenting adults.
in the creation of a false impression by words or acts, or in any
trick or device. But it is not immoral by Muslim standard for a Muslim judge
to have a second wife (Sulu Islamic Ass., Etc. vs. Malik,
As a general rule, in order to constitute deceit, there must be a 226 SCRA 193).
false representation as to a matter of fact.
In Marcayda vs. NAz, [125 SCRA 466], the lawyer had an
2. MALPRACTICE OR OTHER GROSS MISCONDUCT IN
affair with a married woman. A child was born as a result of
OFFICE
the affair. For the reason that the lawyer admitted the
paternity of the child and agreed to support him, this Thus, a lawyer who is directed to do something , such
circumstance has rendered the immorality not so gross and as to surrender records, to appear as counsel de officio, to
scandalous. comment on a matter pending in Court, may be disciplined
for willful disobedience of the order (Marcelo vs. CA, March
15, 1995).
4. CONVICTION OF A CRIME INVOLVING MORAL
TURPITUDE 7. CORRUPT OR WILLFUL APPEARANCE FOR A CLIENT
WITHOUT BEING EMPLOYED:
Moral Turpitude the term moral turpitude means anything
which is done contrary to justice, honesty, modesty, or good It is prohibited for a lawyer to appear for a person in
morals, or to any act of vileness, baseness or depravity in the court without being hired or employed, unless, there is
private and social duties that a man owes his fellowmen or to leave of court first obtained. Thus, a lawyer was suspended
society, contrary to the accepted rule of right and duty between from the practice of law in appearing for a party defendant
man and man. In general, all crimes of which fraud or deceit is without authority (see Porac Trucking Corporation vs. CA,
an element or those which are inherently contrary to rules of 202 SCRA 647).
right conduct, honesty or morality in a civilized community,
involve moral turpitude. DISBARMENT OR SUSPENSION OF A FILIPINO LAWYER IN
A FOREIGN COUNTRY; EFFECT IN THE PHILIPPINES:
Instances of offenses involving moral turpitude
A member of the Philippine Bar may also be admitted to the
estafa or swindling practice of law in a foreign country especially in the United
falsification of public document States.
bribery If the Filipino lawyer is disbarred or suspended from the practice
murder of law by a competent court or disciplinatory agency in a foreign
bigamy jurisdiction where he has been admitted as an attorney, and the
abduction ground therefore includes any of the acts enumerated in section
seduction 27, Rule 138 of the Revised Rules of Court, such disbarment or
concubinage suspension is a ground for his disbarment or suspension in the
Philippines.
violation of BP 22
The judgment, resolution or order of the foreign court or
disciplinatory agency shall be prima facie evidence of the
In a disciplinary proceeding against a lawyer based on his ground for disbarment or suspension [Supreme Court
conviction of a crime involving moral turpitude, the sufficiency or Resolution dated 21 February 1992 amending section 27, Rule
legality of the conviction is no longer at issue even if the lawyer 138 of the Revised Rules of Court].
asserts that the judgment is a judicial error. The judgment of
conviction is no longer renewable, that being after its finality a Proceedings for the disbarment, suspension and discipline of
closed matter. The only issue before the court is whether or not lawyers may be taken motu proprio by the Supreme Court, or by
the crime of which he was found guilty actually involves moral the Integrated Bar of the Philippines. (Rule 139 B, sec. 1)
turpitude. Suspension from practice or removal from office may
follow as a matter of course upon a finding that the crime of A. Proceedings in the IBP. (Rule 19 B)
which the lawyer was found guilty by final judgment involves
moral turpitude. For by his conviction, the lawyer himself has Step 1.
shown that he is unfit to protect the administration of justice or The IBP may, motu proprio, or upon referral by the Supreme
that he is no longer of good moral character, either of which Court or any Chapter Board of Officers, or at the instance of any
justifies his suspension or disbarment. person, initiate and prosecute proper charges against erring
attorneys, including those in the government service, except
5. VIOLATION OF OATH OF OFFICE: Justices of the CA and Sandiganbayan, judges of the CTA and
lower courts, even if lawyers are jointly charged with them. In
The Attorneys oath is a condensed Code of Ethics. It is not the latter case, the complaint shall be filed with the Supreme
just a mere formality recited for a few minutes in the glare of Court including those filed prior to their appointment. (Sec. 1)
flashing cameras and before the presence of select witnesses
(In Re: Arthur Cuevas, Jr., 285 SCRA 63). Step2.
The IBP Board of Governors shall appoint an investigator from
It is a rather solemn affirmation of the lawyers lifetime among IBP members or, when special circumstances warrant, a
commitment to be a loyal citizen, a law- abiding person, a panel of 3 investigators.
defender of truth and justice, and advocate of the rule of law, an
exemplar of loyalty and fidelity to the courts and to clients and a Step 3.
model to emulate both in his professional and private life. The investigator or investigators shall examine the complaint.
The violation of Oath is a ground for suspension or Step4.
disbarment [Rule 138, section 27, RRC]. If the complaint appears to be meritorious the investigator/s
shall sent a copy of the complaint to the respondent which shall
6. WILFUL DISOBEDIENCE OF ANY LAWFUL ORDER OF A be given 15 days from receipt thereof to reply.
SUPERIOR COURT: If the complaint appears or if the Answer shows to the
satisfaction of the Investigator that the same is not meritorious,
The resistance or defiance to the Court must be willful. the complaint may be dismissed by the IBP BG upon his
recommendation. The order may be appealed to the Supreme

Court within 15 days from notice. Step 2.
The SC shall refer the case either to the Solicitor General or any
NOTE: officer of the SC or judge of the lower court for investigation and
No investigation shall be interrupted or terminated by reason of recommendation.
the desistance, settlement, compromise, restitution, withdrawal
of the charges, or failure of the complainant to prosecute the If the respondent is a judge of first instance and the charges or if
same. (sec. 5) the Answer thereto shows to the satisfaction of the court that it
does not merit any action, the same shall be dismissed.
Step 5. Otherwise, if the complaint appears to be meritorious, he shall
Upon joinder of the issues or failure of the respondent to be required to file his Answer within 10 days. (Rule 140, sec.2)
respond, the investigator shall proceed to investigate the facts Upon filing of respondents answer or his failure to file the same,
complained of. The proceedings shall terminate within 3 months the court shall appoint any one of its members, or a justice of
from the date of its commencement. the CA, or a judge of first instance, to conduct hearings of the
He shall have the power to issue subpoenas and administer charges. (Rule 140, sec.3)
oaths. Willful failure or refusal to obey a subpoena or lawful
order issued by the investigator shall be dealt with as for an Step 3.
indirect contempt after the IBP BG shall have conducted a The SG or other investigator appointed by the SC shall forthwith
hearing for that matter and filed its recommendation to the conduct the necessary investigation of the facts complained of.
Supreme Court.
The justice or judge so assigned shall conduct the necessary
NOTE: hearings.
Upon receipt of respondents Answer or upon his failure to file
the same, the Supreme Court may suspend the respondent Step 4.
during the pendency of the investigation at the instance of the The SG or other investigators assigned, shall submit its report,
IBP Board of Governors upon recommendation of the containing its findings of facts and recommendation, to the
investigator for any of the causes mentioned under Rule 138, Supreme Court for final action.
sec.27. (sec. 15)
The justice or judge so assigned shall submit his report of his
Step 6. findings of facts and conclusions of law, accompanied by the
Not later than 30 days from the termination of the investigation, evidence of the parties, for final action of the Supreme Court.
the investigator shall submit his report to the IBP BG containing (Rule 140, sec.4)
his findings of facts and his recommendation (disbarment,
suspension, etc.).
NOTE:
Step 6. Proceedings against judges of first instance shall be private and
The report of the investigator shall be reviewed by the Board of confidential. (Rule 140, sec. 6)
Governors which shall forthwith decide the case, clearly and
distinctly stating the facts and reasons upon which it is based.
Step 7. B. CODE OF JUDICIAL CONDUCT

If the IBP BG, via a majority vote of its total membership,
determines that the respondent should be suspended or An honorable, competent and independent judiciary exists to
disbarred, the BG shall issue a resolution containing its findings administer justice and thus promote the unity of the country, the
and recommendations which shall be forthwith transmitted to the stability of government, and the well being of the people.
Supreme Court for final action. (Preamble)
If the respondent is exonerated, or if the sanction is lower than
suspension or disbarment (i.e. fine, warning, etc.), the case shall Therefore, every judge is duty bound to observe the following:
be deemed terminated unless the complainant or any interested
person, files an appeal to the Supreme Court within the 1. TO UPHOLD THE INTEGRITY AND INDEPENDENCE OF THE
reglementary period of 15 days. JUDICIARY. (Canon 1)
NOTE: As part of this duty, a judge should be:

Proceedings against attorneys shall be private and confidential.
However, the final order of the Supreme Court shall be The embodiment of competence, integrity, and
published like its decisions in other cases. (Sec.18) independence. (Rule 1.01);
Upon his assumption in office, a judge

B. Proceedings in the Supreme Court. (Rule 19 B) ceases to be an ordinary mortal. He becomes the visible
representation of the law, and more importantly, of justice.
Step 1. (Office of the Court Administrator vs. Gines, 224 SCRA
Proceedings for disbarment, suspension or discipline of 261)
attorneys may be initiated by the Supreme Court motu proprio.
Complaints against Justices of the CA and Sandiganbayan, No position exacts greater demand on moral
judges of the CTA and lower courts shall be filed only with the righteousness and uprightness of an individual than a seat
Supreme Court including those filed prior to their appointments in the judiciary. A magistrate of the law must comport
in the judiciary. (Section 1) himself at all times in such manner that his conduct, official
or otherwise, can bear the most searching scrutiny of the Influencing in any manner the outcome of
public that looks up to him as the epitome of integrity and litigation or dispute pending before another court or
justice. (Lachica vs. Flordeliza, 254 SCRA 278) administrative agency. (Rule 2.04)
Administer justice impartially and without delay. In every litigation, the manner and attitude of a
(Rule 1.02); judge are crucial to everyone concerned. He should, in the
performance of his functions, avoid side remarks, hasty
He Is a judge who is a man of learning who conclusions, loose statements or gratuitous utterances that
spends tirelessly the weary hours after midnight could form the basis for erroneous impressions in the mind
acquainting himself with the great body of traditions and the of those who hear them and who may conclude that he is
learning of the law. He bears himself in the community with prejudicing the case or the issues that come before him in
friends but without familiars; almost lonely, evoking himself the exercise of his jurisdiction. (Castillo vs. Juan, 62 SCRA
exclusively to the most exacting mistress that a man ever 124)
had, the law as a profession in its highest reaches where
he not only interpose the law but applies it, fearing neither
friend nor foe, fearing only one thing in the world that in a 3. A JUDGE SHOULD PERFORM OFFICIAL DUTIES
moment of abstraction, or due to human weakness, he may HONESTLY, AND WITH IMPARTIALITY AND DILIGENCE.
in fact commit some errors and fail to do justice. (Estoya (Canon 3)
vs. Abraham Singson, 237 SCRA 1)
As part of this duty, a judge has the following ADJUDICATIVE
Vigilant against any attempt to subvert the RESPONSIBILITIES:
independence of the judiciary and resist any pressure from
whatever source. (Rule 1.03) Should be faithful to the law and maintain professional
competence. [Rule 3.01]
The behavior of a judge, such as his acceptance
of a bribe, holding office and conducting hearings at his Those who wield the judicial gavel have the duty
residence, falsification of his daily time record, failure to to study our laws and their latest wrinklesthey owe it to
observe proper decorum in conducting court proceedings, the public to be legally knowledgeable for ignorance of the
his intemperate language, shows beyond doubt his law is the mainspring of injustice. [Bio vs. Valera, 257
unfitness to occupy the position of a judge. (Villa vs. SCRA 462].
Amonoy, 194 SCRA 48)
In the case Exequiel Domingo vs. Judge Luis
2. TO AVOID IMPROPRIETY AND THE APPEARANCE OF THE Reyes [June 21,1999] the Supreme Court held that judges
IMPROPRIETY IN ALL ACTIVITIES. (Canon 2) are expected to keep abreast of developments in law and
jurisprudence. The SC does not countenance respondent
A judge should so behave at all times as to judges failure to inform himself of recent jurisprudential
promote public confidence in the integrity and impartiality rules. His error, while an honest one and committed for the
of the judiciary. (Rule 2.01) purpose of achieving the ends of justice, must never
happen again. Respondent judge was reprimanded for
Members of the judiciary should conduct IGNORANCE OF THE LAW.
themselves beyond reproach and suspicion, and be free
from any appearance of impropriety in their personal In every case, he shall endeavor diligently to
behavior not only in the discharge of their official duties but ascertain the facts and the applicable law unswayed by
also their everyday life. (Calo, Jr. vs. Tapucar, 88 SCRA 78) partisan interest, public opinion or fear of criticism. [Rule
3.02]
A judge should also avoid the following:
A judge should be studios of the principles of the
Seeking publicity for personal vainglory. (Rule law and diligent in ascertaining the facts of the case
2.02) (Parada vs. Veneracion, 269 SCRA 371).
He should not be swayed by public clamor or Judges should draw up their decisions and
considerations of personal popularity. resolutions with due care and make certain that they truly
and accurately reflect their conclusions and their final
Allowing family, social, or other relationships to dispositions (Saballa vs. NLRC, 260 SCRA 697).
influence judicial conduct or judgment. The prestige of .
judicial office shall not be used or lent to advance the Shall maintain order and proper decorum in the court
private interests of others, nor convey or permit others to [Rule 3.03].
convey the impression that they are in a special position to
influence the judge. (Rule 2.03) On the dress code, it is impropriety for a judge to
hear a case in sleeveless shirts and slippers (Impao vs.
A judge should not allow himself to be influenced Makilala, 178 SCRA 541) or attired in polo jacket(Ignacio
by outside pressure to decide a case in a particular way, or vs. Valenzuela, 111 SCRA 12) or to hold office in his
to be moved by pride, prejudice, passion or pettiness in the residence and not in his court room (Espayo vs. Lee, 89
performance of his official functions. (Nadijrul Tahil vs. SCRA 478;Impao vs Makilala,supra).
Eisma, 65 SCRA 378, Borja vs. Macandog, 158 SCRA 391)
The judge should not tolerate unauthorized taking to question a witness in order that his judgment may rest
of pictures of the court proceedings. No video shots or upon a full and clear understanding of the clarificatory
photographs shall be permitted during the trial proper. facts.
(Res. En Banc, Oct.22, 1991, Re: Live TV & Radio
Coverage, Hearing of Pres. Corazon Aquinos Libel case). In the case People vs. Gondora, 265 SCRA 408,
it was held that judges are not mere referees like of a
A judge should at all times, remain in full control boxing bout, only to watch and decide the result of the
of the proceedings in his sala and should adopt a firm game; they should have as much interest as counsel in the
policy against improvident postponementsmore orderly and expeditious presentation of evidence, calling of
importantly, he should follow the limit set for deciding cases the attention of counsel to points at issue that are
(Hernandez vs. De Guzman, 252 SCRA 64). overlooked, directing them to ask questions that would elicit
the facts on the issues involved, clarifying ambiguous
Should be patient, attentive, and courteous to lawyers, remarks by witness, etc.
especially the inexperienced, to litigants, witnesses, and others
appearing before the court. A judge should avoid unconsciously In People vs. Castillo, April 20, 1998, it was held
falling into the attitude of mind that the litigants are made for that: It is the prerogative and duty of the judge to ask
courts, instead of the courts to the litigants. [Rule 3.04] clarificatory questions to ferret out the truth. Questions
which merely clear up dubious points and bring out
Judges should practice courteously and civility additional relevant evidence are within judicial prerogative.
(Retuya vs. Equipilag, 91 SCRA 416)
Should abstain from making public comments on any
Judges should avoid indiscreet remarks (Juqueta pending or impending case and should require similar restraint
vs. Boncaros, 60 SCRA 27) on the part of court personnel. (Rule3.0 7)
Should dispose of the courts business promptly and Reason:

decide cases within the required periods. (Rule 3.05) There is danger in the fact that the judges are among the
quotable public officials by reason of their exalted position. And
Purpose of the rule: the media, many times, misquote people, wittingly or unwittingly.
The rule is intended to implement the provision of the What is worse, in great probability, the judge may express a
constitution which makes it the judges duty to decide cases prejudgment of the case and that makes it difficult for him to
promptly, and to give parties to a suit the enjoyment of their right change his opinion in the decision without impairing his
to the speedy disposition of their cases. credibility. An impaired credibility cannot project any image of
impartiality. And prejudgment is a ground for the inhibition of the
A judge should be prompted in disposing of all matters judge in a case. Thus, in exposing himself to an attack of
submitted to him remembering that justice delayed is often inhibition, he merely serves to delay the administration of
justice denied. justice.
The judge is in a no-win situation.
Upon proper application and in meritorious
cases, especially those involving difficult questions of law The following are the ADMINISTRATIVE
or complex issues, the Supreme Court allows lower court RESPONSIBILITIES of a judge:
judges additional time to decide beyond the 90-day period
(Celino vs. Abrogar, 245 SCRA 304). Maintain professional competence in court
management, and facilitate the performance of the
In the case Municipality of Jimenez vs. Baz, Jr, administrative functions of other judges and court
265 SCRA 182, it was held that the failure of a court to personnel. (Rule 3.08)
decide within the period prescribed by law does not divest it
of its jurisdiction to decide the case but only makes the The judge is the administrator of his court. He is responsible for
judge thereof liable for possible administrative sanction. the administrative management thereof. He supervises the court
personnel to ensure prompt and efficient dispatch of business in
Judges should not dismiss with precipitate haste, complaints or his court. It is an undesirable trait for a judge to be lenient in the
petitions filed before them just so they can comply with the administrative supervision of his employees.
administrative duty to dispose cases within 90 days at the
expense of their judicial responsibility. Organize and supervise the court personnel to
ensure the prompt and efficient dispatch of business, and
While a judge may, to promote justice, prevent waste require at all times the observance of high standards of
of time or clear up some obscurity, properly intervene in the public service and fidelity. (Rule 3.09)
presentation of evidence during the trial, it should always be
borne in mind that undue interference may prevent the proper Loss of records is an indication of gross negligence for which
presentation of the cause or the ascertainment of the truth. the judge could be dismissed from the service. The only excuse
(Rule 3.06) is loss due to fortuitous event.
In People vs. Adora, 275 SCRA 441, it was held A judge cannot take refuge behind the inefficiency of court
that under our system of legal procedure where he is judge personnel because the latter are not the guardians of the judges
of both the law and the facts, it is often expedient or even responsibilities.
necessary in the due and faithful administration of justice
for the presiding judge, in the exercise of sound discretion,
Take or initiate appropriate disciplinary measures A judge should take no part in a proceeding where the judges
against lawyers or court personnel for unprofessional impartiality might reasonably be questioned.
conduct of which the judge may have become aware. (Rule
3.10) Grounds for disqualification
A judge may not summarily suspend a lawyer from indirect (a) personal knowledge of disputed evidentiary facts
contempt. concerning the proceeding;
Although a judge has the power to recommend for appointment (b) The judge served as executor, administrator, guardian,
court personnel, however, he has no power to dismiss them. trustee or lawyer in the case or matters in controversy,
The power to dismiss a court employee is vested in the or a former associate of the judge served as counsel
Supreme Court. during their association, or the judge or lawyer was a
material witness therein;
Q: Judge EJ failed to act on a motion to dismiss a case. He
contends that the delay was brought about by the failure of (c) The judges ruling in a lower court is the subject of
his staff to present to him the ex-parte motion to resolve. Is review;
the contention of Judge EJ valid?
(d) The judge is related by consanguinity or affinity to a
A: NO. A judge cannot take refuge behind the inefficiency or party within the sixth degree or to counsel within the
mismanagement by court personnel. Proper and efficient fourth degree;
court management is as much as his responsibility. It is
also his duty to organize and supervise the court personnel (e) The judge knows that the judges spouse or child has a
to ensure the prompt and efficient dispatch of business. financial interest, as heir, legatee, creditor, fiduciary, or
otherwise, in the subject matter in controversy or in a
The CA or RTC may suspend an attorney who party to the proceeding, or any other interest that
appears before them from practice for any of the causes could be substantially affected by the outcome of the
named in Rule 138, sec. 27 RRC, until further action of the proceeding.
Supreme Court. (Rule 139 B, sec. 16.) But they cannot
disbar a lawyer. (f) Other just and valid reasons, in the exercise of his
sound discretion. (Rule 137, sec. 1 RRC)
Appoint commissioners, receivers, guardians, In every instance the judge shall indicate the legal reason
administrators and others strictly on the basis of merit and for inhibition. (Rule 3.12)
qualifications, avoiding nepotism and favoritism. Unless
otherwise allowed by law, the same criteria should be But a judge may still hear the case
observed in recommending appointment of court notwithstanding the presence of the any of the foregoing
personnel. Where the payment of compensation is allowed, grounds as long as it has the written consent of all parties
in interest , signed by them and entered upon the record.
DISQUALIFICATION INHIBITION (see Rule 137, sec. 1)
i) Rule on disqualification i) Rule does not expressly
enumerates the grounds under enumerate the specific Rationale behind the rule on disqualification:
which any judge or judicial grounds for inhibition but
officer is disqualified from merely gives a broad The underlying principle of the rule for the disqualification of
acting as such on the express basis thereof, i.e., good, judges is that no judge should preside in a case in which he is
enumeration therein of such sound or ethical grounds. not wholly free, disinterested, impartial, and independent.
grounds exclude the others.
A Judge, Who Testified In The Case Before He Was Appointed,
ii) Rule gives the judicial officer ii) Rule leaves the matter Is Not Necessarily Disqualified.
no discretion to try or sit in a of inhibition to the sound
case. discretion of the judge. DISQUALIFICATION vs. INHIBITION
it should be reasonable and commensurate with the fair
value of services rendered. (Rule 3.11)
Nepotism is a grave offense punishable by The fact that the judge, when still a clerk of court,
dismissal (Sulu Islamic Association, Etc. vs. Malik, 226 testified for the prosecution in regard to certain facts
SCRA 193). directly connected with or arising from the performance of
his official duties as clerk of court, without any reference to
Any public officer who shall knowingly nominate or pronouncement as to the innocence or guilt of the
or appoint to any public office any person lacking the legal accused, does not render him legally disqualified from
qualification thereof shall be guilty of unlawful appointment sitting and deciding the case (Maliwat vs. CA, 256 SCRA
punishable with imprisonment and fine (Art.244, Revised 718).
Penal Code).
In Evangelista vs. Baes, the judge was
reprimanded for hearing a case where his nephew-in-law
DISQUALIFICATIONS acted as counsel for one of the parties.
In Ubarra vs. Mapalad (1993), the judge was 5. Giving ground for reasonable suspicion that he is utilizing
DISMISSED in not inhibiting herself from the criminal case power or prestige to patronize success of private business
where her BROTHER-IN-LAW was the accused and whom ventures or charitable enterprises.
she acquitted. 6. Incurring obligations, pecuniary or otherwise, which will
interfere with his devotion to expeditious & proper
Similarly, a judge was dismissed for taking administration of official functions.
cognizance of his BROTHERS case (Garcia vs. Dela
Pena, 229scra766).
GROUNDS FOR ADMINISTRATIVE SANCTIONS AGAINST
The judge who conducted a preliminary JUDGES:[Section 1, Rule 140, Revised Rules of Court]
investigation and issued a warrant of arrest against the
accused should have inhibited himself from the case 1. Serious misconduct
considering that the complainant is his nephew. (Perez vs. 2. Inefficiency
Suller, 249 SCRA 482).
Misconduct -- Implies malice or a wrongful intent, not a mere
The judge should have inhibited herself from the error of judgment. For serious conduct to exist there must be
case of her grandson, who seeks to correct the entry in his reliable evidence showing that the judicial acts complained of
birth certificate, his citizenship from Filipino to American, were corrupt or inspired by an intention to violate the law or
even if the judge has no pecuniary interest in the case were in persistent disregard of well- known legal rules.
(Villaluz vs. MIjares, April 3, 1998).
Inefficiency Implies negligence, incompetence, ignorance
Mere friendship between a judge and counsel is and carelessness. A judge would be inexcusably negligent if he
NOT a ground for disqualification (Vda. De Bonifacio vs. failed to observe in the performance of his duties that diligence,
BLT Bus. Co.). However, if there is a natural inclination to prudence and circumspection which the law requires in the
prejudice the case, the judge should be disqualified in order rendition of any public service.
to guarantee fair trial (Masadao vs. Elisaga, 155 scra72).
In Re; Leaves Of Absence Without Approval Of Judge
Q: When should a petition for disqualification be filed? Eric Calderon [A>M> 98-8-105 MTC, January 26, 1999]
A: A petition to disqualify a judge must be filed before Judge Calderon was found guilty of gross misconduct,
rendition of judgment by the judge (Lao vs. CA, April 18, abandonment of office and was dismissed due to his
1997). frequent leave of absence totaling to 3 years which were
It must be presented to him for his determination. It cannot not approved and his explanations were inexcusable. He
be raised for the first time on appeal (supra). has caused great disservice to many litigants and has
denied them speedy justice.
The rule on disqualification (Sec. 1 Rule 137, Rules of Court) is
MANDATORYstrict compliance with the rule on In the case of In Re: Judge Danilo [255 SCRA 184]
disqualification is required. The failure of a judge to decide even a single case within
the 9o-day period was considered gross inefficiency
Q: What is the remedy of the prejudiced party if the judge warranting the imposition of fine equivalent to hi one
denies petition for disqualification? months salary.
A: The remedy of the prejudiced party is to seek for a new
trial. To constitute gross ignorance of law, the acts
complained of must not only be contrary to existing law and
Mere divergence of Opinion as to applicable jurisprudence, but were motivated by bad faith, fraud,
Laws and Jurisprudence between a judge and partys dishonesty and corruption. But, when the law is so
counsel is NOT a ground for disqualification. (Parades, Jr. elementary, not to be aware of it constitutes gross
vs. Sandiganbayan, 252 SCRA 541). ignorance of law. (see Espino vs. Salubre, 352 SCRA 668,
[2001])
Mere filing of Administrative case against a judge
by one of the parties before him is not a ground for Q: A judge figured in a vehicular accident alighted from his car
disqualifying him from hearing a case (Mantaring vs. and boxed EJ. Is the judge guilty of any misconduct even
Roman, Jr., 254 SCRA 158). not in the performance of his duties?
A: YES. The judge is guilty of misconduct. His personal
If a judge disqualified himself, the order of self-disqualification behavior, not only while in the performance of official duties
CANNOT be reviewed or annulled by the judge to whom the but also outside the court, must be beyond reproach, for he
case was transferred. However, the appellate court can review is, as he is aptly perceived to be, the visible personification
the order if elevated to it. of law & justice. [Marcelino vs. Judge Singson].
Q: What is the effect of the resignation or retirement of a judge

PROHIBITION AGAINST JUDGES when there is an administrative case against him?
A: The retirement or resignation of a judge may or may not
1 Engaging in private practice of law render the administrative complaint moot & academic.
2. Permitting a law firm of which he was a formerly active Each case will be determined according to its surrounding
member to continue carrying his name in the firm. circumstances.
3. Entering in private business.
4. Accepting inconsistent duties. According to Pesolo vs. Rodriguez [81 SCRA
208], the acceptance by the President of the resignation
does not necessarily render the case moot or deprive the

SC of the authority to investigate the charges. The court b) Appear at a public hearing before a legislative
retains its jurisdiction either to pronounce the respondent or executive body on matters concerning the law, the
official innocent of the charges or declare him guilty legal system or the administration of justice and
thereof. A contrary rule will be fraught with injustice and otherwise consult with them on matters concerning the
pregnant with dreadful and dangerous implications. administration of justice;
Q: Will an administrative case against a judge be dismissed by c) Serve on any organization devoted to the
the withdrawal by or desistance of the complaint? improvement of law, the legal system or the
A: NO. In the case of Anguluan vs. Taguba [93 SCRA 179], the administration of justice. [Rule 4.01]
withdrawal of the case by the complainant or the filing of an
affidavit of desistance or the complainants loss of interest If the foregoing activities will impair the efficiency of the judge in
does not necessarily cause the dismissal thereof. the performance of his judicial duties or will affect his image of
impartiality as a judge, then the judge must not engage in such
Reason: to condition administrative sanctions upon the will of activities. Ultimately, the decision to engage in the
every complainant who for one reason or another condones a aforementioned activities will depend upon the sound judgment
detestable act is to strip the SC of its supervisory power to of the judge as he is in the best position to know his ability,
discipline erring members of the judiciary. competence and weaknesses.
Q: What is the nature of administrative proceedings against 5. A JUDGE SHOULD REGULATE EXTRAJUDICIAL
judges? ACTIVITIES TO MINIMIZE THE RISK OF CONFLICT WITH
A: Just like disbarment proceedings against lawyers, JUDICIAL DUTIES. (Canon 5)
proceedings against judges are private and confidential
until the final determination thereof [Sec. 6, Rule 140 of the A judge may engage in the following activities provided that
Rules of Court]. This is to protect their reputation, or it is they do not interfere with the performance of judicial duties
possible that the cause or charges may be unfounded and or detract from the dignity of the court:
malicious. Once the reputation of a judge is impaired or
stained, the people will lose their trust and confidence on a) Write, lecture, teach and speak on non-legal
his integrity and impartiality. Ultimately, it is the subjects;
administration of justice that suffers.
b) Engage in the arts, sports, and other special
recreational activities;
REMITTAL OF DISQUALIFICATION RULE:
c) Participate in civic and charitable activities;
A judge disqualified by the terms of Rule 3.12 may, instead
of withdrawing from the proceeding, disclose on the record d) Serve as an officer, director, trustee, or non-
the basis of disqualification. If, based on such disclosure, legal advisor of a non-profit or non-political,
the parties and lawyers independently of the judges educational, religious, charitable, fraternal, or civic
participation all agree in writing that the reason for the organization. [Rule 5.01]
inhibition is immaterial or insubstantial; the judge may then
participate in the proceeding. The agreement, signed by all In Office Of the Court Administrator vs. Judge De
the parties and lawyers, shall be incorporated in the record Guia, march 1,1993, it was held that: Judge De Guia
of the proceeding. [Rule 3.13] would be present in her sala and conduct hearings only 3
and a half days in a week, from Monday to Thursday.
In the case Gutang vs. CA, July 8, 1988, It was We can empathize with Judge de Guias urge to be
held that: At the very first sign of lack of faith and trust in with her family in their home in Paranaque which is quite
his actions, whether well grounded or not, the judge has no some distance from her detail in Balangga, Bataan. Yet, we
other alternative but to inhibit himself from the case. must remind her and all judges I the same situation that
when one accepts his or her appointment as a member of
Q: What is the effect of the judges inhibition? the judiciary, he or she embraces all the responsibilities
A: After the judge inhibits himself from a case, he loses attached to that office. One of these responsibilities is to
jurisdiction over said case [Alcantara vs. Tamin, RTJ-95- render 8 hours of service every working day, 5 hours of
1305, April 21, 1995]. which are devoted to trial. As a judge and as a public officer
duty-bound to render public service, nothing less is
expected of Judge de Guia. Indeed, Canon 5 of the Code
4. A JUDGE MAY, WITH DUE REGARD TO OFFICIAL DUTIES of Judicial Conduct explicitly states that a judge should
ENGAGE IN ACTIVITIES TO IMPROVE THE LAW, THE regulate extrajudicial activities to minimize the risk of
LEGAL SYSTEM AND ADMINISTRATION OF JUSTICE. conflict with judicial duties.
(Canon 4)
Judges cannot serve as officers and advisers of political
A judge may, to the extent that the following activities do aggrupations and organizations established for profit.
not impair the performance of judicial duties or cast doubt
on the judges impartiality: While judges may participate in civic and charitable
activities, they are not allowed to solicit donations for such
a) Speak, write lecture, teach or participate in activities.
activities concerning the law, the legal system and the
administration of justice;
A judge cannot even solicit donations for office Loans Prohibited under the Constitution:
equipment and furniture from entities and private citizens. Under section 16 Article XI No loan, guarantee or other form of
This is misconduct violative of the proper norm of judicial financial accommodation for any business purpose may be
behavior (Lecaroz vs. Garcia, 107 SCRA 557). granted directly or indirectly by any government- owned or
controlled bank or financial institution to XXX members of the
A judge shall refrain from financial and business Supreme Court XXX during their tenure.
dealings:
Taking or Receiving Loans from Litigants:
a) That tend to reflect adversely on the courts It is a serious misconduct for a judge to receive money from a
impartiality; litigant in the form of loans which he never intended to payit is
an act of impropriety to take a loan from a party-litigant. The
b) That interfere with the proper performance with judge could not be wholly free from bias in deciding a case
judicial activities; where his lender is a party. A judge should always strive to be
free from suspicion and all forms of improprieties.
c) That increase involvement with lawyers or
persons likely to come before the court. PROHIBITION TO DISCLOSE INFORMATION
No information acquired in a judicial
A judge should so manage investments capacity shall be used or disclosed by a judge in any
and other financial interests as to minimize the number of financial dealing or for any other purpose not related to
cases giving grounds for disqualification. [Rule 5.02] judicial activities. [Rule 5.05]
Subject to the provisions of the The prohibition will discourage if not stop judges from making
proceeding rule, a judge may hold and manage investments business speculations in some business ventures, the secrets of
but should not serve as an officer, director, advisor, or which he learned by reason of his position as a judge.
employee of any business except as director of a family
business of the judge. [Rule 5.03] The judge may be liable for violation of section 3(k) of RA 3019
divulging valuable information of a confidential character,
In Re: Inhibition of Judge acquired by his office or by him on account of his official position
to unauthorized persons or releasing such information in
Estrada, July 29,1998, A judge was found guilty of
advance of its authorized release due.
misconduct for not resigning as Director of a rural bank
when appointed as judge, which is a violation of circular no.
Violation of the rule may also lead to revelation of secrets by an
6, dated June 10,1987.
officer or to revelation of the secrets of a private individual
punishable by article 229 & 230 of the Revised Penal Code
PROHIBITION AGAINST ACCEPTING GIFTS, DONATIONS
respectively.
OR LOANS
PROHIBITION TO SERVE AS EXECUTOR, ADMINISTRATOR,
A judge or any immediate member of the
ETC...
family shall not accept a gift, bequest, favor or loan from
anyone except as may be allowed by law. [Rule 5.04] General Rule: The judge shall not serve as:
Bribery; Direct or Indirect: a) Executor;
Acceptance of gifts given by reason of the office of the judge is b) Administrator;
indirect bribery [Art.211, Revised Penal Code] and when he c) Trustee;
agrees to perform an act constituting a crime in connection with d) Guardian;
the performance of his official duties in consideration of any e) Fiduciary.
offer, promise, gift or present received by such officer, he is
guilty of direct bribery.[Art. 210,Revised Penal Code]. Exception:
when the estate, trust, ward or person for whom he will act as
Anti- graft and Corrupt Practices Act: executor, trustee, guardian, or fiduciary is a member of the
Under RA 3019, the judge is liable criminally for directly, or immediate familywhich is limited to the spouse and relatives
indirectly receiving gifts, present or other pecuniary or material within the 2nd degree of consanguinity; provided, that the judges
benefit for himself or for another under conditions provided in services as fiduciary shall not interfere with the performance of
Section 2, b and c of the law. his judicial functions [Rule 5.06].
Exception: Excepted are unsolicited gifts or presents of A judge SHALL NOT:
small value offered or given as a mere ordinary token of
gratitude or friendship according to local custom or usage a) Serve in proceeding that might come before the court
[Section 14, RA 3019]. of said judge;
b) Act as such contrary to Rules 5.02 to 5.05.
Void Donations under the Civil Code:
Donations given to a judge or to his wife, descendants or NOTE: the relationship mentioned is by consanguinity and not
ascendants by reason of his office are void [Art. 739, Civil by affinity.
Code]. Ownership does not pass to the donee. Money or
property donated is recoverable by the donor, his heirs or PROHIBITION TO PRACTICE LAW
creditors.
A judge shall not engage in the private

practice of law. Unless prohibited by the constitution or law,
a judge may engage in the practice of any other profession PROHIBITION TO ENGAGE IN POLITICAL ACTIVITIES
provided that such practice will not conflict or tend to
conflict with judicial functions. [Rule 5.07]. A judge is entitled to entertain personal
views on political questions. But to avoid suspicion of
Section 35 of Rule 138 of the Rules of Court political partisanship, a judge shall not make political
speeches, contribute to party funds, publicly endorse
prohibits judges, officials or employees of superior courts
candidates for political office or participate in other partisan
from engaging in private practice as members of the bar
political activities. [Rule 5.10]
and in giving professional advice to clients.
The reason for the prohibition has been

explained in Dia-Anonuevo vs. Bercacio [68 SCRA 81]. The
SC held that the rule disqualifying a municipal judge from
engaging in the practice of law seeks to avoid the evil of
possible use of the power and influence of his office to
affect the outcome of litigation where he is retained as
counsel. Compelling reasons of public policy lie behind this
prohibition, and judges are expected to conduct themselves
in such manner as to preclude any suspicion that they are
representing the interest of party litigant.
In De Castro vs. Capulong[ 118

SCRA 52] a judge who merely acted as a witness to a
document and who explained to the party waiving his right
of redemption over the mortgaged properties and the
consequences thereof does not engage himself I the
practice of law.
In Tabao vs. Asis, January 30,

1996, it was held that no judge or other official or
employee of the superior courts shall engage in private
practice as a member of the bar or give professional advice
to clients. Furthermore, it as held that a judge acted in the
spirit of Christian charity is not a valid excuse for him
acting as a private counsel and notary public.
In Naval vs. Panday [275 SCRA

654], it was held that a municipal judge may not engage in
notarial work except as notary public ex-officio.
FINANCIAL DISCLOSURE
A judge shall make full disclosure as

required by law. [Rule 5.08]
PROHIBITION TO BE APPOINTED IN QUASI-JUDICIAL AND

ADMINISTRATIVE AGENCIES
A judge shall not accept appointment or

designation to any agency performing quasi-judicial or
administrative functions. [Rule 5.09]
The prohibition is based on Section 12, Art. VIII of the

Constitution which provides: The members of the Supreme
Court and of other courts established by the law shall not be
designated to any agency performing quasi-judicial or
administrative functions.
The appointment to such position will likely interfere with the

performance of the judicial functions of a judge hence, the
prohibition.

Legal Ethics Notes 2003

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LEGAL ETHICS REVIEWER

1 SAINT LOUIS UNIVERSITY BAR OPERATIONS

LEGAL ETHICS Q: What constitutes practice of law?

2. In a criminal case wherein an officer or employee of

not by that circumstance alone become counsel of

Kinds of retainer contract: It is the duty of an attorney in the

To keep the client informed of the status of his case and

a. time spent and the extent of the services rendered

CLIENT MAY DISMISS THE ACTION.

On the other hand, the attorneys fee which a client pays

Shall adopt such measures as may be required to prevent

Under the Code of Professional Responsibility, the Hence:

CHANGE OR SUBSTITUTION OF COUNSEL:

a. written application for substitution; Disbarment, Concept:

The Court of Appeals and the Regional Trial Courts

6. It is conducted confidentially being confidential in

recommendation. The order may be appealed to the Supreme

Step 7. B. CODE OF JUDICIAL CONDUCT

NOTE: As part of this duty, a judge should be:

Upon his assumption in office, a judge

Should dispose of the courts business promptly and Reason:

Q: What is the effect of the resignation or retirement of a judge

does not necessarily render the case moot or deprive the

A judge shall not engage in the private

The reason for the prohibition has been

In De Castro vs. Capulong[ 118

In Tabao vs. Asis, January 30,

In Naval vs. Panday [275 SCRA

A judge shall make full disclosure as

PROHIBITION TO BE APPOINTED IN QUASI-JUDICIAL AND

A judge shall not accept appointment or

The prohibition is based on Section 12, Art. VIII of the

The appointment to such position will likely interfere with the

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