Legal Ethics by Atty.

Louie John Lood

Compilednotesfrompowerpointslides RequirementsfortheadmissiontothePracticeofLaw
SY2015-2016 CitizenofthePhilippines
ResidentofthePhilippines
INTRODUCTORY CONCEPTS Atleast21yearsofage
Significance of Legal Ethics Ofgoodmoralcharacter
Guardsagainsttheabusesandillsoftheprofessionsuch ProducebeforetheSCsatisfactoryevidenceofgoodmoral
as dishonesty, deceit, negligence, immorality and other character
formsofmalpractice. Nochargesinvolvingmoralturpitudehavebeenfiledor
Raisesthestandardofthelegalprofession. pending
Encouragesandenhancestherespectofthela Compliedwiththeacademicrequirements
Assuresaneffectiveandefficientadministrationofjustice Passthebarexaminations
Assistsinthekeepingandmaintenanceoflawandorder Takethelawyersoath,and
Providesbasisfortheweedingoutoftheunfitandthe SigntheRollofAttorneys
misfit
SupremeCourtallowedFilipinograduatesofforeignlawschools
Definition of terms totakethePhilippineBar
BarandBench
BarAdmission Filipino citizen who are graduates of foreign law schools are
Lawyer/titutlodeAbogadocounselor-at-law/attorney allowedtotakethebarexaminationsprovidedtheyshowtheff:
TrialLawyer Completion of all courses leading to the degree of
PractisingLawyerr BachelorofLawsoritsequivalentdegree
ProSe Recognition of accreditation of the law school by the
Client properauthority
Attorney-at-law Completionofallthefourthyearsubjectsinalawschool
Attorney-in-fact duly recognizedby the Philippine Government [SC Bar
CounselDeOfficio Matter 1153: RE: Letter of Atty. Estelito Mendoza (2010)]
AttorneyAdHoc
AttorneyofRecord ContinuingRequirementsforthePracticeofLaw
OfCounsel Goodandregularstanding
LeadCounsel MembershipintheIBP
HouseCounsel PaymentofIBPdues
AmicusCuriae Paymentofprofessionaltax
AmicusCuriaeParExcellence CompliancewiththeMCLE
Advocate Possessionofgoodmoralcharacter
Solicitor
ProhibitionsandLimitationsinthePracticeofLaw
Assumpsit
AppearanceofNon-LawyersinCourt
BarAssociation
PracticeofLawbythePublicOfficials
IntegratedBarofthePhilippines

Appearanceofnon-lawyersin Exceptions
PRACTICE OF LAW
court
Regulation of Practice of Law
Before the MTC(Sec.34,
SupremeCourt(Art.VIII,Sec.5(5),1987Constitution GeneralRule:Onlythosewho Rule138,ROC)
Promulgate rules concerning the protection and are licensed to practice law Before any other court
enforcement of constitutional rights, pleading, practice canappearandhandlecases (Ibid.)
andprocedureinallcourts,theadmissiontothepractice incourt. Inacriminalcasebefore
of law, the integrated bar, and legal assistance to the theMtC(Sec.7,Rule116,
under-privileged. ROC)
Law Student Practice
Rule(Rule138-A,ROC)
NatureofthePower Before the NLRC (Art.
Judicialinnature 222,LaborCode)
Judicialdiscretion Before the Cadastral
Court
BasiccharacteristicsofthePracticeofLaw BeforetheDARAB
Notamatterofrightbutamereprivilege Any official or person
Professionnotabusiness appointed or designated
in accordance with the
Impressedwithpublicinterest
law to appear for the
Reservedonlytothosewhoare academicallytrainedin governmentoranyofits
lawANDPossessedofgoodmoralcharacter officials (Sec. 33, Rule
138,ROC)
PersonsentitledtopracticeLaw
Personsadmittedasmembersofthebarandwhoarein
goodandregularstanding(Sec.1,Rule138,ROC)

PracticeofLawbythePublicOfficials

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

 GeneralRule:theappointmentorelectionofanattorney TheLawyerandtheCourts Canons1013CPR
toagovernmentofficedisqualifieshimfromengagingin TheLawyerandtheClient Canons1422CPR
theprivatepracticeoflaw.
Prohibition:(i)absolutelyprohibited;(ii)notabsolutely
prohibited THE LAWYER AND SOCIETY
Canon1DutytoUpholdtheConstitutionandtheLaws
AbsolutelyProhibited NotAbsolutelyProhibited, Rule 1.01 Duty not to engage in unlawful, dishonest,
SpecialRestrictions immoralordeceitfulconduct
Judges and other officials Senators and Rule1.02Dutynottocounselillegalactivities
or employees of the Members of the Rule 1.03 Duty not to encourage lawsuits; duty not to
superiorcourt House of delayanymanscause
Officials/employees of the Representatives Rule1.04Dutytoencourageamicablesettlement
OSG Members of the
Governmentprosecutors Sanggunian
CANON 1 Duty to Uphold the Constitution and the Laws
President,VP,Membersof Retired Justice or
theCabinet,theirdeputies Judge Lawyersprimarydutytosociety
andassistants Civil service Also includes the duty to obey legal orders and
Chairmanandmembersof officers or processesofthecourt
the Constitution employeeswhose
Commission duty does not TheLawyersOathisacondensedCodeofethics
Ombudsman and his require their A solemn affirmation of the lawyers lifetime
deputies entire time to be
commitmenttobe:
Governors, city and atthedisposalof
thegovernment o Aloyalcitizen
municipalmayor
Civil service officers or o Alaw-abidingperson
employees whose duties o Adefenderoftruthandjustice
required them to devote o Anadvocateoftheruleoflaw
their entire time at the o An exemplar of loyalty and fidelity to the
disposal of the
courtsandtoclients
government
Those who are by special o Amodeltoemulatebothinhisprofessional
law are prohibited from andprivatelife
engaginginthepracticeof Byswearingthelawyersoath,anattorneybecomesa
legalprofession guardian of truth and the rule of law, and an
indispensable instrument in the fair and impartial
Proceedingswherelawyersareprohibitedfromappearing administrationofjustice.
InallKatarungangPambarangayproceedings.
(R.A.7169,Sec.415;seealsoMagnov.Jacoba,A.C.No.
DutiesofanAttorney(Section20,Rule138,RulesofCourt)
6296,22November2005) (a) TomaintainallegiancetotheRepublicofthePhilippines
SmallClaimsCases(RulesofProcedureofSmallClaims andtosupporttheConstitutionandobeythelawsof
Cases) thePhilippines
(b) Toobserveandmaintaintherespectduetothecourts
Sanctionsforpracticeorappearancewithoutauthority ofjusticeandjudicialofficers
Contemptofcourt (c) Tocounselormaintainsuchactionsorproceedingsonly
Criminalcomplaintforestafa asappearingtohimtobejust,andsuchdefensesonly
ashebelievestobehonestlydebatableunderthelaw
Suspensionordisbarment
(d) Toemploy,forthepurposeofmaintainingthecauses
Administrative complaint against the government
confidedtohim,suchmeansonlyasareconsistentwith
official truthandhonor,andneverseektomisleadthejudgeor
anyjudicialofficerbyanartificeorsalesstatementof
CODE OF PROFESSIONAL RESPONSIBILITY factorlaw
HistoryandBackgroundoftheCodeofProfessionalResponsibility (e) Tomaintaininviolatetheconfidence,andateveryperil
Initially drafted in 1980 by the IBP Committee on tohimself,topreservethesecretsofhisclient,andto
responsibility,DisciplineandDisbarment acceptnocompensationinconnectionwithhisclients
businessexceptfrom himorwithhisknowledge and
Promulgatedon21June1988bytheSupremeCourt
approval.

CodeofProfessionalResponsibility
EmbodimentintooneCodeofthevariouspertinentand
subsistingrules,guidelinesandstandardsontheruleof Rule 1.01 Duty not to engage in unlawful, dishonest, immoral or
conductofthelawyerssourcedfromtheConstitution, deceitful conduct
RulesofCourt,CanonsofProfessionalEthics,Statutes, Unlawful conduct transgression of any provision of
special laws, treatises and decisions which must be law,neednotbepenallaw.
observedbyallmembersoftheBarintheexerciseof Dishonestactactoflyingorcheating
theirprofessionwhetherinouroutofthecourt,aswell Grosslyimmoralordeceitfulconductaconductwhich
asintheirpublicorprivatelives. is willful, flagrant, or shameless, and which shows a
moral indifference to the opinion of the good and
TheFour-FoldDutiesofaLawyer respectablemembersofthecommunity;involvesmoral
TheLawyerandSociety Canons16CPR turpitude
The Lawyer and the Legal Canons79CPR Moral turpitude an act of baseness, vileness or
Profession
depravity in the duties which one person owes to

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

 anotherortothesocietyingeneralwhichiscontraryto
theusuallyacceptedandcustomary ruleofrightand
dutywhichapersonshouldfollow
Examplesofcrimesinvolvingmoralturpitude
Estafa
Bribery
Murder
Seduction
Abduction
Concubinage
Smuggling
Falsificationofpublicdocument
ViolationofB.P.22
InstancesofgrossImmorality
1. Abandonmentofwifeand
cohabiting with another
woman.
2. Bigamyperpetratedbythe
lawyer.
3. A lawyer who had carnal
knowledge withawoman
through a promise of
marriagewhichhedidnot
fulfill
4. Seduction of a woman
who is the niece of a
married woman with
whom the respondent
lawyer had adulterous
relations.
5. Lawyer arranging the
marriage of his son to a
woman with whom the
lawyerhadillicitrelations.
After the marriage of the
woman to his son, the
lawyer continued his
adulterous relations with
her.
6. Lawyerinveiglingawoman
into believing that they
hadbeenmarriedcivillyto
satisfycarnaldesires.
7. Lawyer taking advantage
ofhispositionaschairman
ofthecollegeofmedicine
and asked a lady student
togowithinManilawhere
he had carnal knowledge
of her under the threat
that if she refused, she
would flunk in all her
subjects.
Rule 1.02 Duty not to counsel illegal activities
Dutytobeperformedwithintheboundsofthelaw
Model in the community insofar as respect for law is
concerned
Rule 1.03 Duty not to encourage lawsuits; duty not to delay any
mans cause
Thelawyerowesittothesocietyandtothecourtthe
dutynottostiruplitigation
The reason for the rule: to prevent BARRATRY and
AMBULANCECHASING
Definition
Barratryactoffomentingsuitsamongindividualsandoffering
his legal services to one of them for monetary motives or
purpose.
Ambulance Chasing act of chasing (figuratively speaking) an
ambulancecarryingthevictimofanaccidentforthepurposeof
talkingtothesaidvictimorrelativesandofferinghislegalservice
forthefilingofacaseagainstthepersonwhocausetheaccident.
EvilsSpawnedbyAmbulanceChasing:
Fomentingoflitigation withresultingburdensonthe
courtsandpublic;
Subordinationofperjury
Mulcting of innocent persons by judgments upon
manufacturedcausesofactions.
CorrespondingPenalty Defraudingofinjuredpersonshavingpropercausesof
DISBARRED
actionbutignorantoflegalrightsandcourtprocedure
by means of contracts which retain exorbitant
DISBARRED percentages of recovery and illegal charges for court
costsandexpensesandbysettlementmadeforquick
DISBARRED returnsoffeesandagainstthejustrightsoftheinjured
persons.
Rule 1.04 Duty to encourage amicable settlement
Wheneverthecontroversywilladmitoffairjudgment,
DISBARRED
the client should be advised to avoid or to end the
litigation. (to avoid litigation expenses and to help
courts in the declogging of cases)
A lawyer cannot compromise case without clients
consent(Sec.23,Rule138,rulesofCourt)
DISBARRED
Effect of compromise without clients authority/
consent: unenforceable, meaning be ratified by the
clientifhe/shesodesires.
CANON 2 Duty to be an Efficient Lawyer
Canon2DutytobeanEfficientLawyer
Rule2.01Dutynottorejectthecauseofthedefenseless
DISBARRED oroppressed
Rule2.02Dutynottorefusetorenderlegaladvicetothe
defenselessoroppressed
Rule2.03Dutynottodoorpermittobedoneanyactto
DISBARRED solicitlegalbusiness
Rule 2.04 Duty not to charge rates lower than those
customarilyprescribed
Rule 2.01 Duty not to reject the cause of the defenseless or
oppressed
Oppressed the victims of cruelty, unlawful exaction,
dominationorexcessiveuseofauthority
Defenselessthosewhoarenotinapositiontodefend
themselvesduetopoverty,weakness,ignoranceorother
similarreasons
Rations: it is the lawyers prime duty to see to it that
justiceisaccordedtoallwithoutdiscrimination
LegalAidisamatterofPublicResponsibility
Itisameansforthecorrectionofsocialimbalancethat
mayandoftendoleatoinjustice.
Rule 2.02 Duty not to refuse to render legal advice to the
defenseless or oppressed
Ifonlytotheextentnecessary tosafeguardthelatters
right
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 Advicemaybeonwhatpreliminarystepstotakeuntilthe nameforafirmname
client has secured the services of counsel. But he shall Rule3.03Dutytowithdrawfromthefirmwhenlawyer
refrain from giving legal advice if the reason for not acceptspublicoffice
accepting the case is that there involves a conflict of Rule3.04Dutynottoseekpublicity
interest between him and the prospective client or
betweenapresentclientandaprospectiveclient. Canon 3.01 Duty not to use or permit use of self-praises or
false claims on qualifications or quality of legal services
Rule 2.03 Duty not to do or permit to be done any act to solicit Use true, honest, fair, dignified and objective
legal business information.
ReasonsfortheProhibition: Theunethicalactmaybedonebythelawyerpersonally
Theprofessionisprimarilyforpublicservice orthroughanotherwithhispermission
Commercializestheprofession
Involvesself-praiseandpuffing ReasonsfortheProhibition
Damagespublicconfidence Theprofessionisprimarilyforpublicservice
Mayincreaselawsuitsandresultinneedlesslitigation Commercializestheprofession
Involvesself-praiseandpuffing
SolicitationofLegalBusiness,WhenPermissible Damagespublicconfidence
Must be compatible with the dignity of the legal Mayincreaselawsuitsandresultinneedlesslitigation
profession
Useofsimplesignsstatingthenameofthelawyer;use In Re: Tagorda, 53 Phil. 42
ofprofessionalcardsbearingthenameofthelawyer, LUISB.TAGORDA
his office/law firm connected, address, telephone Attorney
NotaryPublic
number,specialbranchoflawpracticed.
CANDIDATEFORTHIRDMEMBER
Advertisementsinlegalperiodicals
ProvinceofIsabela
Publicationinreputablelawlists. (NOTE.Asnotarypublic,hecanexecuteforyoutodeedofsale
forthepurchaseoflandasrequiredbythecadastraloffice,can
Primary characteristics which distinguishes the legal profession renewlostdocumentsofyouranimals,canmakeyourapplication
frombusiness andfinalrequisitesforyourhomestead,andcanexecuteanykind
Adutyofpublicservice,ofwhichtheemolumentisa affidavit.Asalawyer,hecanhelpyoucollectyourloansalthough
by-product, an in which one may attain the highest longoverdue,aswellasanycomplaintfororagainstyou.Come
or write to him in his town, Echague, Isabel. He offers free
eminencewithoutmakingmuchmoney.
consultation,andiswillingtohelpandservethepoor.)
Arelationasanofficerofourttotheadministration
ofjusticeinvolvingsincererity,integrity,andreliability. Linsangan v. Atty. Tolentino, A.C. No. 6672
Arelationtoclientsinthehighestdegreeoffiduciary. NICOMEDESTOLENTINO
A relation to colleagues characterized by candor, LAWOFFICE
fairnessandunwillingnesstoresorttocurrentbusiness CONSULTANY&MARITIMESERVICES
methods of advertising and encroachment on their W/FINANCIALASSISTANCE
practiceordealingdirectlywiththeirclients.
Rule 3.02 Duty not to use false, misleading or assumed name
for a firm name.
BestAdvertisementforaLawyer
No name not belonging to any of the partners or
A well-deserved reputation for competence, honesty
associates may be used in the firm name for any
andfidelitytoprivatetrustandpublicduty.
purpose
By his honesty, he gains public confidence and this
Alawyerisnotauthorizedtouseinhispracticeoflawa
publicconfidenceishisgreatestadvertisement.
name other than the one inscribed in the Roll of
Attorneys.
Rule 2.04 Duty not to charge rates lower than those
customarily prescribed
Rationale: to avoid any demeaning and degrading Use of a deceased partners Use of a foreign law firms
name name
competition
Allowed Unethical
Exceptions:(i)relatives;(ii)Indigents/poor
Reason: all of the Reason: Foreign firm
Note: Rule 20.01 the customary chargesforsimilar partners, by their is not authorized to
servicesandthescheduleoffeesoftheIBPchapterto joint efforts, practice law in the
whichhebelongs contributed to the country.
goodwillattachedto
thefirmname.
Use of across after
the name of the
deceasedpartner
CANON 3 Duty of Honest and Dignified Pronouncement of
Rule 3.03 Duty to withdraw from the firm when lawyer
Legal Service
accepts public office
Rationale: to prevent the law firm or partners from
Canon3DutyofHonestandDignifiedPronouncementofLegal
makinguseofthenameofthepublicofficialtoattract
Service
Canon3.01Dutynottouseorpermituseofself-praisesor legal businesses and to avoid suspicion of undue
falseclaimsonqualificationsorqualityoflegalservices influence.
Rule3.02Dutynottousefalse,misleadingorassumed

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

Rule 3.04 Duty not to seek publicity
Rationale: To prevent some lawyers from gaining an
unfairadvantageoverothersthrutheuseofgimmickry,
pressagentry,orotherartificialmeans.
Ifcompetitiveadvertisingisallowed,thismayleadto
self-laudations, encourage lawyers to engage in
overreaching, overcharging, underrepresentation and
misrepresentation.
CANON 4 Duty to support the improvement of the legal
system
Lawyers as officers of the court must assist in the
administrationofjustice
CANON 5 Duty to keep abreast of legal developments
Lawyersmustupdatethemselveswiththelawandmust
participateinthedisseminationthereof
Judgesmustalsokeepabreastofthelaws,rulingsand
doctrinesoftheSupremeCourt
Three-foldobligationofalawyerconcerningtherequirement
ofcontinuinglegaleducation
Firstheowesitto Secondheowesit Thirdheowesitto
himself to to his profession the lay public to
continue to take an active make the law a
improving his interest in the partoftheirsocial
knowledge of the maintenance of consciousness
law high standards of
legaleducation
Mandatory Continuing Legal Education (MCLE)
Section 2, Rule 7: Other parties exempted from the MCLE
Thosewhoarenotinlawpractice,privateorpublic
Those who have retired from law practice with the
approvaloftheIBPBoardofGovernors
Section 3, Rule 7: Good cause for exemption or modification of
requirements
Amembermayfileaverifiedrequestsettingforthgood
cause for exemption from compliance with or
modificationofanyoftherequirements,includingan
extensionoftime forcompliance,inaccordance with
the procedure to be established by the MCLE
Committee.
Section 5, Rule 7: Proof of Exemption
Applicationsforexemptionsfromormodificationofthe
MCLErequirementsshallbeunderoathandsupported
bydocuments.
Section 1, Rule 12: What constitutes non-compliance
Failuretocompletetheeducationalrequirementwithin
thecomplianceperiod.
Failure to provide attestation of compliance or
exemption.
Failuretoprovidesatisfactoryevidenceofcompliance
(including evidence of exempt status) within the
prescribedperiod.
Failure to satisfy the educational requirement and
furnish evidence of such compliance within 60 days
fromreceiptofanon-compliancenotice.
Failuretopaynon-compliancefeewithintheprescribed
period
Any other act or omission analogous to any of the
foregoing or intended to circumvent or evade
compliancewiththeMCLErequirements
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
Section 1, Rule 7: Parties exempted from the MCLE
1. President,VP,theSecretariesandUndersecretariesof
executivedepartments
2. SenatorsandMembersoftheHouseofRepresentatives
3. TheChiefJusticeandAssociateJusticesoftheSupreme
Court,incumbentandretiredmembersofthejudiciary,
incumbentmembersoftheJBC,incumbentmembersof
the MCLE Committee, incumbent court lawyers who
haveavailedofthePhilJAprogramofcontinuinglegal
education.
4. The Chief State Counsel, Chief State Prosecutor and
AssistantSecretariesoftheDOJ
5. TheSolicitorGeneralandtheAssistantSolicitorGeneral
6. The Government Corporate Counsel, Deputy and
AssistantGovernmentCorporateCounsel
7. The Chairmen and Members of the Constitutional
Commission
8. TheOmbudsman,theOverallDeputyOmbudsman,the
DeputyOmbudsmenandtheSpecialProsecutorofthe
OfficeoftheOmbudsman
9. Heads of the government agencies exercising quasi-
judicialfunctions
10. Incumbentdeans,barreviewersandprofessorsoflaw
whohaveteachingexperienceforatleast10yearsin
accreditedlawschool
11. The chancellor, Vice-Chancellor and members of the
Corps of professors and Professional Lectures of the
PhilJA
12. GovernorsandMayors
WhatistherequirementofcompletionofMCLE?
Members of the IBP shall complete, every 3 years, at
least 36 hours of continuing legal education activities
(Section2,Rule2).
WhoarerequiredtocomplywiththeMCLErequirement?
MCLEisrequiredofmembersoftheIntegratedBarofthe
Philippine(IBP),unlessexempted
WhatisthepurposeofMCLE?
Toensurethatthroughouttheircareer,(1)lawyerskeep
abreast with law and jurisprudence, (2) maintain the
ethicsoftheprofession,and(3)enhancethestandards
ofthepracticeoflaw(Section1,Rule1)
WhatareMCLECompliancePeriods?
1stCompliancePeriod:April15,2001April14,2004
2ndCompliancePeriod:April15,2004April14,2007
3rdCompliancePeriod:April15,2007April14,2010
4thCompliancePeriod:April15,2010April14,2013
5thCompliancePeriod:April15,2013April14,2016
OCA Circular No. 79-2014 (May 16, 2014)
Failuretodisclose:PenaltyandDisciplinaryAction
Fine:2k(1st),3k(2nd),4k(3rd);and
Listedasdelinquentmember;and
Discharged from the case and the client allowed to
secure the services of a new counsel with the
concomitant right to demand the return of the fees
alreadypaidtothenon-compliantlawyer
Whatistheruleonnewbarpassers?
MCLE Governing Board Order No. 1, s. 2008,provides:
....lawyerswhopasstheBarwhenonly4monthsor
less remain of the compliance period, are exempted
fromcomplyingwiththeMCLErequirementforthesaid
 compliance period. They shall comply with the MCLE
requirementsforthenextcomplianceperiod.However,
lawyerswhoareadmittedtotheBareitheroneyear
afterthestartofthecurrentcomplianceperiodortwo
yearsafterthestartofthesaidcomplianceperiodare
requiredtocomplywiththeMCLEinaccordancewith
the MCLE Governing Board resolution dated October
20,2004.
Rule 13: Consequence of Non-Compliance
Section1.Non-ComplianceFee
Section2.ListingasDelinquentMember
Section3.AccrualofMembershipFee
B.M. No. 1922 ( 3 June 2008)
Re: Number and Date of MCLE Certificate of
Completion/ExemptionrequiredinallPleadings/Motions
AsofJanuary1,2009,alllawyersarerequiredtoindicate
inallpleadingsfiledbeforethecourtsorquasi-judicial
bodiestheNUMBERandtheDATEofISSUEoftheirMCLE
CertificateofComplianceorCertificateofExemptionfor
theimmediatelyprecedingcomplianceperiod.
CANON 6 The Canons apply to lawyers in government service
CANON6TheCanonsapplytolawyersingovernmentservice
Rule6.01Dutytoseetoitthatjusticeisdone
Rule6.02Dutynottousehispublicpositiontopromote
oradvanceprivateinterest
Rule6.03Restrictionsagainstgovernmentlawyerswho
lefttheservice
Rule 6.01 Duty to see to it that justice is done
PublicProsecutor
aquasi-judicialofficerandassuch,heshouldseekequal
and impartial justice. He should be concerned with
seeingthatnoinnocentmansuffersasinseeingthatno
guiltymanescapes.
is under no compulsion to file a particular criminal
information where he is not convinced that he has
evidencetopropuptheavermentsthereof,orthatthe
evidenceathandpointstoadifferentconclusion.
(People v. Pineda, 20 SCRA 748 [1967])
Rule 6.02 Duty not to use his public position to promote or
advance private interest
Appliesto:
1. lawyers in government service allowed by law to
engageinprivatepracticeconcurrently;and
2. those who, though prohibited from engaging in the
practice of law, have friends, former associates and
relativeswhoareinthepracticeoflaw
Promotionofprivateinterestincludessolicitinggiftsoranything
ofmonetaryvalueinanytransactionsrequiringtheapprovalof
hisofficeorwhichmaybeaffectedbythefunctionsofhisoffice.
Rule 6.03 Restrictions against government lawyers who lef
the service
Rationale:Toavoidconflictofinterest,toprecludethe
lawyerfromusingsecretsorinformationlearnedinhis
official capacity or to prevent the appearance of
impropriety.
Violation of restriction. Tantamount to representing
conflictinginterest.
Code of Conduct and Ethical Standards (RA 6713)
All public officials and employees, whether lawyers or non-
lawyersaregovernedbythiscode
Providesthestandardsofpersonalconductinthedischargeand
executionofofficialduties
Public Office is a Public Trust
Lawyersingovernmentarepublicservantswhoowethe
utmostfidelitytothepublicservice.Thus,theyhaveto
be more sensitive in the performance of their
professionalobligations.
Alawyerinpublicserviceisakeeperofpublicfaithandis
burdened with a high degree of social responsibility,
perhaps higher than his brethren in private practice
(Vitriolo v. Dasig, 400 SCRA 172 [2003])
Canon 6 makes the Code applicable to lawyers in government
service
Rationale: A lawyer does not shed his professional
obligationsuponhisassumingpublicoffice
Misconduct in the Discharge of Official Duties as
GovernmentOfficial
RULE:maynotbedisciplinedasamemberofthebarfor
themisconductinthedischargeofhisofficialduties.
EXCEPTION:Ifthemisconductofagovernmentofficialis
ofsuchcharacterastoaffecthisqualificationasalawyer
orshowmoraldelinquency.
RA 6713, Section 7 (b) (Code of Conduct and Ethical Standards)
(b)Outside employmentandotheractivitiesrelatedthereto.
Publicofficialsandemployeesduringtheirincumbencyshallnot:
1. Own, control, manage or accept employment as
officeemployee,consultant,counsel,broker,agent,
trustee or nominee in any private enterprise
regulated, supervised or licensed by their office
unlessexpresslyallowedbylaw.
2. Engage in the private practice of their profession
unlessauthorizedbytheconstitutionorlaw,provided
thatsuchpracticewillnotconflictortendtoconflict
withtheirofficialfunctions;or
3. Recommendanypersontoanypositioninaprivate
enterprise which has a regular or pending official
transactionwiththeiroffice.
Theseprohibitionsshallcontinuetoapplyforaperiodof1year
after resignation, retirement or separation from public office,
exceptincaseofsubparagraph(2)above,butthe professional
concernedcannotpracticehisprofessioninconnectionwithany
matterbeforetheofficeheusedtobewith,inwhichcasetheone
yearprohibitionshalllikewiseapply.
RA 910 Section 1 (Condition of Pension) An Act to Provide for
the Retirement of Justices as amended by RA 9946
Noretiringjusticeorjudgeduringthetimethatheisreceiving
saidpensionshallappearascounselinanycourtinanycivilcase
wherein the government or any of its subdivision or
instrumentalityisanadverseparty,orinacriminalcasewherein
an officer or employee of the government is accused of an
offenserelatedtohisofficialfunctions,orcollectanyfeeforhis
appearance in any administrative proceedings to maintain an
interestadversetothegovernment.
RA 3019, Section 3 (d) Anti-Graf and Corruption Practices Act
Accepting or having any member of his family accepts
employment in a private enterprise which has pending official
business with him during the pendency thereof or within one
yearafteritstermination.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
THE LAWYER AND THE LEGAL PROFESSION
CANON 7 Duty to uphold the dignity of the legal profession
Canon7Dutytoupholdthedignityofthelegalprofession
Rule 7.01 Duty not to make false statements or
suppressamaterialfactinconnectionwithapplicationfor
admissiontothebar
Rule7.02Dutynottosupportunqualifiedbarapplicant
Rule 7.03 Duty not to engage in conduct adversely
affectingthelegalprofession
Rule 7.01 - Duty not to make false statements or suppress a
material fact in connection with application for admission to the
bar
Alawyerisexpectedtobehonestfromthemomenthe
appliesforadmission tothe bar. However,the falsity
referredinthisCanonmustbeknowinglydone
Consequences of knowingly making a false
statement/suppression of material fact in the
applicationforadmissiontotheBar
o If discovered before the Bar exams, denied
permissiontotaketheexams
o Ifdiscoveredafterthecandidatepassedthe
Bar exams but before having taken the
lawyers oath, not allowed to take the
lawyersoath
o Ifdiscoveredafterthecandidatehadtakenhis
oath,hisnamewill betakenoff theRollof
Attorneys
Effects if what is concealed is a crime not involving
moralturpitude
1. Concealment will be taken against him. The
mere act of concealment and not the
commissionofthecrimemakeshimmorally
unfittobecomealawyer
2. When he made the concealment, he
perpetratedperjury.
3. Astowhatcrimeinvolvesmoralturpitude,is
fortheSupremeCourttodetermine
Rule 7.02 Duty not to support unqualified bar applicant
A lawyer should aid in guarding the Bar against
admissionofunfit/unqualifiedapplicants
TheactofsupportingtheapplicationtotheBarofany
person known to him to be unqualified constitutes
grossmisconductinoffice(Rule138,Sec.27,RRC)
Rule 7.03 Duty not to engage in conduct adversely affecting
the legal profession
Thereisnodistinctionastowhetherthetransgression
iscommittedinthelawyersprofessionalcapacityorin
hisprivatelifeorinhisprivatetransactionbecausea
lawyer may notdividehispersonality so astobe an
attorneyatonetimeandamerecitizenatanother.
The conduct of nobility and uprightness should stay
withhimwhetherinhispublic/privatelife
CANON 8 Duty of Professional Courtesy
Canon8DutyofProfessionalCourtesy
Rule 8.01 Duty not to use abusive and improper
language
Rule8.02Dutynottoencroachupontheprofessional
employmentofanotherlawyer
Rule 8.01 Duty not to use abusive and improper language
Tomaintainthedignityofthelegalprofession,lawyers
mustconductthemselveshonorably,fairlyandcandidly
towardeachother.Respectgeneratesrespect.
Lawyersshouldtreateachotherwithcourtesy,fairness,
candorandcivility.
a. Any kind of language which attacks without
foundation the integrity of the opposing
counsel or the dignity of the court may be
stricken off the records or may subject a
lawyertodisciplinaryaction
b. The lawyersarguments,whetherwrittenor
oral,shouldbegracioustoboththecourtand
theopposingcounselandbeofsuchwordsas
maybeproperlyaddressedbyonegentleman
toanother
c. Lackorwantofintentionisnoexcuseforthe
disrespectful language employed. Counsel
cannotescaperesponsibilitybyclaimingthat
hiswordsdidnotmeanwhatanyreadermust
haveunderstoodthemasmeaning.Atbest,it
extenuatesliability.
Rule 8.02 Duty not to encroach upon the professional
employment of another lawyer
Alawyershouldnotstealanotherlawyersclientnor
induce the latter to retain him by promise of better
service, good results or reduced fees nor should he
disparage another ormake unnecessary comparisons.
Inshort,notoyellowsubmarine.
No encroachment when Lawyer shall not
previuslawyerwasalready negotiate with the
dismissed opposite party who is
representedbycounsel
Lawyermayinterviewany It is but proper to give
witness or prospective advice and assistance to
witness for the opposing victims of unfaithful and
side neglectfulcounsel
CANON 9 Duty to Shun Unauthorized Practice of Law
Z
Canon9Dutytoshununauthorizedpracticeoflaw
Rule9.01Dutynottodelegatelegalworktounqualified
persons
Rule9.02Dutynottodividelegalfeeswithnon-lawyers
Whatistherationalefortheprohibitionagainstthepracticeof
lawbyalayman?
Itisgroundedintheneedofthepublicforintegrityand
competence of those who undertake to render legal
services. Because of the fiduciary and personal
character of the lawyer-client relationship and the
inherently complex nature of our legal system, the
public can better be assured of the requisite
responsibilityandcompetenceifthepracticeoflawis
confinedtothosewhoaresubjecttotherequirements
and regulations imposed upon the members of the
legalprofession.
Rule 9.01 Duty not to delegate legal work to unqualified
persons
Public policy requires that practice of law be limited
only to those individuals found duly qualified in
educationandcharacter.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 Rationale:To protect the public,the court, the client
and the barfrom the incompetence or dishonesty of
thoseunlicensedtopracticelawandnotsubjecttothe
disciplinarycontrolofthecourt

Assuming to be an Indirect Contempt- fine,

attorneyoranofficerof imprisonment or both
a court and acting as (Sections 3 & 7, Rule 71,
suchwithoutauthority RulesofCourt)
Corruptly or willfully Suspension or disbarment
appearingasanattorney (Section27,Rule138,Rules
for a party to a case ofCourt)
without authority to do
so

Unqualified person-notlimitedtonon-lawyersbutalsolawyers
whoaresuspendedordisbarredorwhoseauthoritytopractice
has been withdrawn due to a change in the citizenship or
allegiancetothecountry

Rule 9.02 Duty not to divide legal fees with non-lawyers

GeneralRule-Non-lawyersarenotentitledtoattorneysfees
Rationale: If attorneys fees were allowed to non-
lawyers,itwouldleavethepublicinhopelessconfusion
astowhomtoconsultincaseofnecessityandalsoto
leavethebarinachaoticcondition,asidefromthefact
that non-lawyers are not amendable to disciplinary
measures.

Exceptions:
Wherethereisapre-existingagreementwith
apartnerorassociatethatuponthelatters
death,moneyshallbepaidoverareasonable
period of time to his estate or to persons
specifiedintheagreement
Where a lawyer undertakes to complete
unfinished legal business of a deceased
lawyer
Where a lawyer or law firm includes non-
lawyeremployeesinaretirementplan,evenif
theplanisbasedinthewholeorinpart,ona
profitsharingarrangement
a. Compensationforservices
renderedbythedeceased
lawyer
b. The person who
undertakesisalawyer
c. Notadivisionoffeesbut
a pension representing
additionaldeferredwages
to the employees past
services

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

LAWYER AND THE COURTS
CANON 10 Duty of Candor, Fairness and Good Faith to the
Courts
CANON10DutyofCandor,FairnessandGoodFaithtothe
Courts
Rule10.01Dutynottodoanyfalsehood;dutynotto
mislead
Rule 10.02 Duty not to knowingly misquote or
misrepresent
Rule10.03Dutytoobservetherulesofprocedure;duty
nottomisusetherules
Alawyersconductbeforethecourtshouldbecharacterizedby
candor and fairness. His duty is to uphold the dignity and
authorityofthecourtstowhichheowesfidelity,nottopromote
distrustintheadministrationofjustice
Rationale:Theburdencastonthejudiciarywouldbeintolerableif
itcouldnottakeatfacevaluewhatisassertedbycounsel
Rule 10.01 Duty not to do any falsehood; duty not to mislead
TheLawyersOathmandatesthelawyer:
o Todonofalsehood
o Norconsenttothedoingofthesameincourt
o Toconducthimselfasalawyeraccordingto
thebestofhisknowledgeanddiscretionwith
allgoodfidelitytothecourt
Somecasesoffalsehoodswhichmeriteddiscipline:
Lawyers falsely stating in a deed of sale that
propertyisfreefromallliensandencumbrances
whenitisnotso
(Sevilla v. Zoleta, A.C. No. 31, March 28, 1955)
Lawyersmakingitappearthataperson,longdead,
(Monterey v. Arayata, Per. Rec. Nos. 3527,3408,
August 23, 1935)
Lawyerencashingacheckpayabletoadeceased
cousinbysigningthelattersnameonthecheck
(In re Samaniego, A.C. No. 74, November 20,1959)
Lawyerfalsifyingapowerofattorneyanduseditin
collecting the money due to the principal and
appropriatingthemoneyforhisownbenefit
(In re: Rusina, A.C. No. 270, May 29, 1959)
Lawyerdenyinghavingreceivedthenoticetofile
briefwhichdenialisbeliedbythereturncard
(Ragacejo v. IAC, 153 SCRA 462)
LawyerfalsifyingSheriffsReturnandseekingthe
defaultofthedefendant
(Libit v. Oliva, 237 SCRA 375)
Using in pleadings the IBP number of another
lawyer
(Bongolato v. Castillo, CBD No. 176, Jan. 1, 1995)
Manufacturing,flauntingandusingaspuriousCA
resolutionbeforetheRTC
(Florido v. Florido, A.C. No. 5624, January 20, 2004)
Rule 10.02 Duty not to knowingly misquote or misrepresent
Rationale:Ifnotfaithfullyandexactlyquoted,thedecisionsand
rulingsofthecourtmaylosetheirproperandcorrectmeaning,to
thedetrimentofothercourts,lawyersandthepublicwhomay
therebybemisled.
Alawyerisprohibitedfrom:
Knowinglymisquotingormisrepresentingcontentsofa
paper and language or argument of the opposing
counsel
Knowingly citing as law, a provision already rendered
inoperativebyrepealoramendment
Assertingasafactthatwhichhasnotbeenproved
Quote VERBATIM:IncitingtheSCdecisionsandrulings,itisthe
dutyofthecourts,judgesandlawyerstoreproduceorcopyword
perwordaswellaspunctuations
Rule 10.03 Duty to observe the rules of procedure; duty not to
misuse the rules
Rationale:Proceduresareinstrumentsinthespeedyandefficient
administrationofjustice. Theyshouldbe usedtoachieve such
endandnotderailit.
* A lawyer should always bear in mind that the Rules of
Procedure,liketheRulesofCourt,areintendedtofacilitatethe
deliveryofjusticetothosewhomitisduewithoutunnecessary
expense and waste of time for truly, justice delayed is justice
denied.RulesofProceduremustbeusedtoattainsuchobjective.
Any lawyer who uses them to defeat or frustrate the ends of
justicedeservescondemnation.
CANON 11 Duty to give respect to the Courts
CANON11DutytogiverespecttotheCourts
Rule11.01Dutytoappearincourtproperlyattired
Rule11.02Dutytobepunctualatcourthearings
Rule11.03Dutytoabstainfromscandalous,offensive,
ormenacinglanguageorbehaviorbeforethecourts
Rule11.04Dutynottoattributetoajudgemotivesnot
supportedbytherecordorhavingnomaterialitytothe
case
Rule11.05-Dutytosubmitgrievancesagainstajudgeto
theproperauthorities
Rationale: Disrespect towards the court would necessarily
undermine the confidence of the people in the honesty and
integrityofthemembersofthecourt,andconsequentlytolower
ordegradetheadministrationofjusticebythecourt.
It is one of the bounden duties of an attorney to
observeandmaintaintherespectduetothecourtsof
justice and judicial officers (Rule 138, Section 20 [b],
RRC).TherespectisnotonlytowardtheJusticesand
JudgesbutalsototheotherofficersoftheCourtslike
ClerksofCourt,Sheriffsandotherjudicialofficerswho
takepartinthejudicialwork.
Lawyersmustberespectfulnotonlyintheiractionsbut
alsointheiruseoflanguagewhetherinoralarguments
orpleadings.
Criticisms of Courts must not spill over the walls of
decencyandproperty:
Freedomofspeechisnotabsolute,andmust
occasionally be balanced with the
requirements of equally important public
interests, such as the maintenance of the
integrityofthecourtsandorderlyfunctioning
oftheadministrationofjustice.
Thus, the making of the contemptuous
statements directedagainsttheCourtis not
anexerciseoffreedomofspeech,rather,itis
an abuseofsuchright.Unwarrantedattacks
on the dignity of the courts cannot be
disguisedasfreespeech,fortheexerciseof
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 said right cannot be used to impair the
independence and efficiency of courts or
publicrespectandconfidencetherein.
Rule 11.01 Duty to appear in court properly attired
Asanofficerofthecourtandinordertomaintainthe
dignity and respectability of the legal profession, a
lawyerwhoappearsincourtmustbeproperlyattired.
Consequently,thecourtcanholdalawyerincontempt
of court if he does not appear in proper attire. Any
deviation from the commonly accepted norm of
dressing in court is enough to warrant a citing for
contempt.
Respect begins with the lawyers outward physical
appearanceincourt.
The traditional attires for male lawyers in the
Philippinesarethe long-sleeveBarongTagalog or coat
andtie.Femalelawyersappearin semi-formalattires.
Judges also appear in the same attire in addition to
blackrobes.
Courtshaveorderedamaleattorneytowearanecktie
andhaveprohibitedafemaleattorneyfromwearinga
hat.However,theprohibitionofadresswhosehemline
was five inches above the knee was held to be
acceptableassuchhadbecomeanacceptedmodeof
dresseveninplacesofworship.
Sloppy or informal attire adversely reflects on the
lawyeranddemeansthedignityandsolemnityofcourt
proceedings.
Rule 11.02 Duty to be punctual at court hearings
A lawyer owes the court and his client the duty to
punctuallyappearatcourtproceedings
He shall delay no man for money or malice (Lawyers
oath)
Inexcusable absence from, or repeated tardiness in
attendingapre-trialorhearingmaysubjectthelawyer
todisciplinaryactionashisactionsshowingdisrespect
to the court makes him guilty of contemptuous
behavior.
Rule 11.03 Duty to abstain from scandalous, offensive, or
menacing language or behavior before the courts
Thelawyersdutytorenderrespectfulsubordinationto
thecourtsisessentialtotheorderlyadministrationof
justice. Hence, in the assertion of the clients rights,
lawyerseventhosegiftedwithsuperiorintellect,are
enjoinedtoreinuptheirtempers(Zaldivar v Gonzales,
166 SCRA 316, 1988).
There is nodefense againstthe use in pleadingby a
lawyer of disrespectful, threatening, abusive and
abrasive language. It cannot be justified by the
constitutionalrightsoffreespeechforsuchrightisnot
absoluteanditsexercisemustbewithinthecontextof
afunctioningandorderlysystemofdispensingjustice.
Pleadingcontainingderogatory,offensiveormalicious
statementssubmittedtothecourtsorjudgeinwhich
the proceedings are pending constitutes direct
contempt.
The lawyers disavowal of any offensive
intent-inusingdefamatorywordsisofno
avail.
Lackorwantofintentionisnoexcuseforthe
disrespectful language employed. At best, it
extenuatesliability (Rheem of the Philippines
v Ferrer, 20 SCRA 441; please see also Rule
8.01)
Rule 11.04 Duty not to attribute to a judge motives not
supported by the record or having no materiality to the case
Theruleallowssuchcriticismsolongasitissupported
bytherecordoritismaterialtothecase.Alawyers
right to criticize the acts of courts and judges in a
proper and respectful way and through legitimate
channelsiswellrecognized.The cardinal condition of
all such criticismisthatitshallbe bona fide,andshall
not spill over the walls of decency and propriety.
When public comments and criticisms of a court decision are
permissibleandwhenwoulditbeimproper?
Alawyer,likeeverycitizen,enjoystherighttocomment
onandcriticizethedecisionofacourt.Asanofficerof
thecourt,alawyerisexpectednotonlytoexercisethat
right but also to consider it his duty to expose the
shortcomings and indiscretions of courts and judges.
Butsuchrightissubjecttothelimitationsthatitshall
be bona fide. It is proper to criticize the courts and
judges,butitisimpropertosubjectthemtoabuseand
slander,degradethemordestroypublicconfidencein
them. Moreover, alawyer shall not be attribute to a
judge,motivesnotsupportedbytherecordorhaveno
materialityinthecase.
Whatalawyercanordinarilysayagainstaconcludedlitigation
andthemannerthejudgehandeddownthedecisionthereinmay
notgenerallybesaidtoapendingaction.Thecourt,inapending
litigation, must be shielded from the embarrassment and
influenceinperformingtheimportantdutyofdecidingit.
Ontheotherhand,oncelitigationisconcluded,thejudgewho
decidedonitissubjecttothesamecriticismasanyotherpublic
officialbecausethenhisrulingbecomespublicpropertyandis
throwntopublicconsumption.
Rule 11.05- Duty to submit grievances against a judge to the
proper authorities
Alawyerhasthedutytodefendajudgefromunfoundedcriticism
orgroundlesspersonalattack
The duty to respect does not preclude a lawyer from filing
administrativecomplaintsagainsterringjudges,orfromactingas
counselforclientswhohavelegitimategrievancesagainstthem.
NatureoftheCase WheretoFile
Ifadministrativeinnature ItshallbefiledwiththeOffice
oftheCourtofAdministratorof
theSupremeCourt
If criminal and not purely ItshallbefiledwiththeOffice
administrative oftheOmbudsman
If it involves a Justice of the Itmustbecoursedthroughthe
Supreme Court based on the House of Representative and
impeachableoffenses theSenateinaccordancewith
therulesofimpeachment
Constitution,ArticleVIII,Section6.TheSupremeCourtshallhave
administrative supervision over all courts and the personnel
thereof.
An administrative complaint is not an appropriate
remedywherejudicialrecourseisstillavailable,suchas
amotionforreconsideration,anappeal,orapetition
for certiorari,unless the assailed order ordecision is
taintedwithfraud,maliceordishonesty.(Santiago III v
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 Justice Enriquez, Jr. AM No CA-09-47-J, February 13,
2009)
WhatisthecoverageofRule139-BoftheRulesofCourt?Arethe
judgesandjusticescoveredbythisRule?
Members of the judiciary are excluded from the
coverageofSection1,paragraph2ofRule139
Allcomplaintsagainstjusticesandjudgesarerequired
tobeforwardeddirectlytotheSupremeCourt
CANON 12 Duty to Assist in the Speedy and Efficient
Administration of Justice
CANON 12 Duty to Assist in the Speedy and Efficient
AdministrationofJustice
Rule12.01Dutytoadequatelypreparefortrial
Rule12.02Dutynottoengageinforumshopping
Rule12.03Dutytofilepleadingsontime
Rule12.04Dutynottoundulydelayacase
Rule12.05Dutynottotalktowitness,duringbreakor
recess,whilethelatterisstillunderexamination
Rule12.06Dutynottoknowinglyassistawitnessto
misrepresentorimpersonate
Rule12.08Dutytoavoidtestifyinginbehalfofhisclient
CONSTArtIII,Sec6.Allpersonsshallhavetherighttoaspeedy
disposition of their cases before all judicial, quasi-judicial or
administrativebodies
Rule138,Sec20(g).DutiesofattorneysItisthedutyofan
attorney:(g)Nottoencourageeitherthecommencementorthe
continuanceofanactionorproceeding,ordelayanymanscause,
fromanycorruptmotiveorinterest
Rule 12.01 Duty to adequately prepare for trial
Alawyershallnothandleanylegalmatterwithoutadequate
preparation(Rule18.02)
A lawyer should never come to court unprepared. Most cases
broughttocourtwithoutpreparationarecaseslost.Halfofthe
workofalawyerisdoneintheoffice.Itisspentinstudyand
research.Inadequatepreparationobstructstheadministrationof
justice
Rule 12.02 Duty not to engage in forum shopping
Forum shopping: the institution of two or more actions or
proceedingsgroundedonthe samecause,onthegamble that
oneortheothercourtwouldmakeafavorabledisposition
Theessentialelementsofforumshopping:
a. Twoormorecasesarepending
b. The pending cases involve: same parties, same
causesofaction,samereliefprayedfor
Penaltiesforviolationoftheruleagainstforumshoppingunder
Section5,Rule7oftheRulesofCourt
1. Failuretocomplywiththerequirementshallnot
becurablebymereamendmentofthecomplaint
orotherinitiatorypleadingbutshallbecausefor
dismissal of the case without prejudice, unless
otherwiseprovide,uponmotionandafterhearing.
2. The submission of a false certification of non-
compliancewithanyoftheundertakingstherein
shall constitute indirect contempt of court,
without prejudice to the corresponding
administrative and criminal actions,and
3. If the acts of the party or his counsel clearly
constitute willful and deliberate forum shopping,
thesameshallbegroundforsummarydismissal
with prejudice, and shall constitute direct
contempt, as well as a cause for administrative
sanctions.
Specificinstancesofforumshoppingthatmeritedsanction
1. When, as a result of an adverse opinion in one
forum, a party seeks a favorable opinion (other
thanbyappealorcertiorari)inanother
2. Filinganactionincourtwhilethesamecauseof
action is still pending in an administrative
proceeding
3. Filingasecondsuitinacourtwithoutjurisdiction
4. Whencounselomitstodisclosethependencyof
anappeal,infilingacertioraricase
WhosignstheCertificationagainstforumshopping?
General rule: It must be signed by the client and not by the
counsel.Otherwise,itisequivalenttonon-compliancewiththe
RulesofCourtisdefective.
Exception:Whenthecounsel,clothedwiththespecialpowerof
authority to do so, attests in the certification that her has
personal knowledge of the facts stated and gives justifiable
reasonswhythepartyhimselfcannotsignthesame
Rule 12.03 Duty to file pleadings on time
Thecourtcensuresthepracticeofcounselswhosecuresrepeated
extensions of the time to file their pleadings and thereafter
simplyletthe periodlapse withoutsubmittingthepleadingor
evenanexplanationormanifestationoftheirfailuretodoso
Wherealawyersmotionforextensionoftimetofileapleading,
memorandumorbriefhasremainedunactedbythecourt,the
leastthatisexpectedofhimistofileitwithintheperiodasked
for
Rule 12.04 Duty not to unduly delay a case
It is understandable for a party to make full use of every
conceivable legal defense the law allows it. However, of such
attemptstoevade liability towhichapartyshouldrespond,it
musteverbekeptinmindthatproceduralrulesareintendedas
anaidtojustice,notasmeansforitsfrustration.
Once a judgementbecomes final andexecutory, the prevailing
party should not be denied the fruits of his victory by some
subterfugedevisedbythelosingparty.Unjustifieddelayinthe
enforcementofajudgmentsetsatnaughttheroleofthecourts
indisposingjusticiablecontroversieswithfinality.
Rule 12.05 Duty not to talk to witness, during break or recess,
while the latter is still under examination
Purpose: Topreventthesuspicionthatheiscoachingthewitness
whattosayduringtheresumptionofexamination.Moreover,this
ruleisalsodesignedtoupholdandmaintainfairplaywiththe
other party and to prevent the examining lawyer from being
temptedtocoachhisownwitnesstosuithispurpose.
Rule 12.06 Duty not to knowingly assist a witness to
misrepresent or impersonate
Thewitnesswhocommitsmisrepresentationiscriminallyliable
forfalse testimony eitherunderArt181,182,or183ofthe
RevisedPenalCode,asthecasemaybe.Thelawyerwhoinduces
a witness to commit false testimony is equally guilty as the
witness.
Thelawyerwhopresentedawitnessknowinghimtobeafalse
witness is criminally liable for Offering False Testimony in
EvidenceunderArt184ofRPC.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
The lawyer who is guilty of the above is both criminally and
administrativelyliable.
Rule 12.07 Duty not to abuse, browbeat or harass or
needlessly inconvenience a witness
The lawyer has a duty to always treat adverse witnesses and
suitorswithfairnessanddueconsideration.
Thus,itismisbehaviorincourtforlawyertofrightenorshoutat
witness,toterrorizethemortearthemdownarrogantly,cross
examinethemwithincessantquestionsbeyondwhatisfairand
necessaryormaligningthemwithsuchothersimilaractswhere
disrespectinsteadofrespect,isthetoneoftheaction.
RightsandObligationsofaWitnessunderSection3,Rule132,
RPC
Awitnessmustanswerquestions,althoughhisanswer
maytendtoestablishaclaimagainsthim.However,itistheright
ofawitness:
1. To be protected from irrelevant, improper or
insulting questions and from harsh or insulting
demeanor
2. Not to be detained longer than the interests of
justicerequire;
3. Not to be examined except only as to matter
pertinenttotheissue
4. Nottofiveananswerwhichwilltendtosubject
himtoapenaltyforanoffenseunlessotherwise
providedbylaw;or
5. Nottogiveananswerwhichwilltendtodegrade
hisreputation,unlessitbethefactatissueortoa
factwhichthefactinissue wouldbe presumed.
But a witness must answer to the fact of his
previousfinalconvictionforanoffense.
Rule 12.08 Duty to avoid testifying in behalf of his client
Exceptions:
a. On formal matters, such as the mailing
authenticationorcustodyofaninstrumentandthe
like;or
b. On substantial matters, in cases where his
testimony is essential to the end of justice, in
whicheventhemust,duringtestimony,entrustthe
trialofthecasetoanothercounsel
RationaleoftheRule:
a. Thereisadifferencebetweenrespectivefunctions
ofawitnessandadvocate
b. Thefunctionofawitnessistotellthefactsashe
recallstheminanswertoquestion
c. Thefunctionofanadvocateisthatofapartisan
d. The lawyer will find it hard to dissociate his
relationtohisclientasanattorneyandhisrelation
tothepartyasawitness
InstanceswhenalawyerMAY NOT testifyasawitnessinacase
whichheishandlingforaclient:
1. Whenasanattorney,heistotestifyonthetheory
ofthecase
2. When such would adversely affect any lawful
interest of the client with respect to which
confidencehasbeenreposedonhim
3. Havingacceptedaretainer,hecannotbeawitness
againsthisclient
4. Hecannotserveconflictinginterest
5. Whenheistoviolatetheconfidenceofhisclient
Instanceswhenalawyer MAY testify aswitnessinacasewhich
heishandlingforaclient
1. On formal matters, such as the mailing,
authentication or custody of instrument and the
like
2. Actingasanexpertonhisfee
3. On substantial matters in cases where his
testimony is essential to the ends of justice, in
whicheventhemust,duringhistestimony,entrust
thetrialofthecasetoanothercounsel
CANON 13 Duty to refrain from acts giving appearance of
influencing the court
CANON13Dutytorefrainfromactsgivingappearanceof
influencingthecourt
Rule13.01Dutynottoextendextraordinaryattention
not seek opportunity for cultivating familiarity with
judges
Rule13.02Dutynottomakepublicstatementsinthe
mediaregardingpendingcase
Rule13.03Dutynottoinviteoutsideinterferenceinthe
judicialproceedings
Inprosecutingordefendingcases,thelawyermustbeguidedby
theprinciplesofjustice.Hemustrely on the meritsofhiscases
and should avoid using influence and connections to win his
cases.Hiscasesmustbewonbecausetheyaremeritoriousand
notbecauseofconnection,clout,dominanceorinfluence.Todo
so,thelawyerbreaksthebasicprinciplesofjusticewhichishighly
condemnable.
Courts as impartial administrators of justice are entitled to
disposeoftheirbusinessinanorderlymanner, free from outside
interference obtrusive of their functions and tending to
embarrass the administration of justice, just as litigants are
entitledtohavetheircausestriedfairlybyanimpartialtribunal,
uninfluenced by publication, public clamor, bias, prejudice or
sympathies.
Rule 13.01 Duty not to extend extraordinary attention not
seek opportunity for cultivating familiarity with judges
Rationale: Toprotectthegoodnameandreputationofthejudge
andthelawyer
Theunusualattentionmaysubjectboththejudgeandthelawyer
tosuspicion
Thecommonpracticeofsomelawyersmakingjudges
andprosecutorsgodfathersoftheirchildrentoenhance
theirinfluenceandtheirlawpracticeshouldbeavoided
byjudgesandlawyersalike
Alawyershouldnotseeajudgeinchamberandtalkto
him about a case he is handling and pending in the
judgescourt
A lawyer should not communicate to the judge the
meritsofapendingcase.
Rule 13.02 Duty not to make public statements in the media
regarding pending case
TestwhenpublicstatementiscontemptuousThecharacterof
the act done and its tendency to prevent and obstruct the
discharge of official duty is the test to determine whether a
newspaper publication concerning a pending case is
contemptuous.
Trial bypublicity,whenprejudicial
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 Theremustbeanallegationandproofthatthejudges
have been unduly influenced, not simply that they
mightbe,bybarrageofpublicity

Televising a court trial would amount to a violation of due

process.Acarnivalatmospherewouldbecreated.

Newspaper publications regarding a pending or

anticipated litigation may interfere with fair trial,
prejudice the administration of justice, or subject a
respondent or an accused to a trial by publicity and
createapublicinterferenceofguiltagainsthim

TheSChasthepoweranddiscretiontoallowordisallowalive
mediacoverageofatrial

Resolution dated 22 October 1991theSCprohibited

liveradioandtelevisioncoverageinthelibelcasefiled
by former president Corazon Aquino against then
Philippine StarcolumnistLuisBeltran

Resolution dated 29 June 2001 the SC denied a

petitiontoallowlivemediacoverageoftheanticipated
trial of the plunder and other criminal cases filed
againstformerPresidentJosephE.Estradabeforethe
Sandiganbayan

Resolution dated 13 September 2001 theSCallowed

presstocoverthepromulgationofthedecisionlive

Resolution dated 14 June 2011 theSCallowed pro

hac vice live radio and television coverage of the
Ampatuan (Maguinadanao Massacre trial subject to
guidelinesitspecified)

Resolution dated 23 October 2012 theSCdisallowed

thelivemediabroadcastoftheMaguindanaomassacre
trialsandallowedonlytheaudiovisualrecordingand
streaming of the video coverage both (1) for
documentary purposes, and (2) for transmittal to
specified viewing areas: (i) outside the courtroom,
within the Camp Bagong Diwa premises, and (ii)
selectedtrialcourtsinMaguindanao,Koronadal,South
Cotabato and Gen San City where relatives of the
accusedandvictimsreside.

Rule 13.03 Duty not to invite outside interference in the

judicial proceedings

------No slides on this topic-------

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

THE LAWYER AND THE CLIENT
CANON 14 Duty to render legal service to the needy
Rule 14.01 Duty to make available services regardless of status
Rule 14.02 Duty not to decline appointments as counsel de
officio or amicus curae
Duty 14.03 Duty not to refuse representation of the indigent
clients
Rule 14.04 - Duty to observe same standard of conduct for all
clients
CANON 15 Duty of Candor, Fairness and Loyalty to the Client
Rule 15.01 Duty to ascertain conflict of interest
Rule 15.02 Duty to preserve privileged communication
Rule 15.03 Duty not to represent conflicting interests
Rule 15.04 Duty to acts as mediator, conciliator or arbitrator
Rule 15.05 Duty to give candid, honest advice
Rule 15.06 Duty not to claim influence
Rule 15.07 Duty to impress compliance with laws
Rule 15.08 Duty in case of dual profession
*No slides available for CANONS 14-15
CANON 16- Duty to be a trustee of clients money and property
CANON 16- Duty to be a trustee of clients money and
property
Rule 16.01- Duty to account for all money or property
collectedorreceived
Rule16.02-Dutytokeepclientsfundsseparate
Rule 16.03- Duty to deliver the funds and property;
attorneyslien
Rule 16.04- Duty nottoborrow from norlendmoney to
client
Art. 1491(5) Civil Code.
Thefollowingpersonscannotacquirebypurchase,evenatpublic
auction,whetherinpersonorthoughthemediationofanother:
(5) Justices, judges, prosecuting attorneys, clerks of
superior and inferior court, and other officers and
employeesconnectedwiththeadministrationofjustice,
thepropertyandtherightsinlitigationorleviedupon
anexecutionbeforethecourtwithinwhosejurisdiction
orterritorytheyexercisetheirrespectivefunctions:this
prohibitionincludestheactofacquiringbyassignment
andshallapplytolawyers,withrespecttotheproperty
andrightswhichmaybetheobjectofanylitigationin
whichtheymaytakepartbyvirtueoftheirprofession.
Elements of prohibition against the purchase of property to
litigationunderArticle 1491 of the Civil Code
1. Thereisanattorney-clientrelationship;
2. Thepropertyisinlitigation;
3. Theattorneytakespartascounselinthecase;and
4. Theattorney,byhimselforthroughanagent,purchases
suchpropertyduringthependencyofsaidcase.
Effectsofprohibitedpurchase
1. Aprohibited purchaseisnullandvoidabinitio,public
interest and public policy dictate that its nullity is
definite and permanent and cannot be cured by
ratification. The lawyer will be deemed to hold the
propertyintrustfortheclient.
2. Theclientistherefore entitledtorecover theproperty
andinterestfromhisattorneywiththefruits.Theclient
should, however, return the purchase price and the
legalinterests.
3. Malpracticeonthepartofthelawyerandthe lawyer
maybedisciplinedformisconduct.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
Rule 16.01 - Duty to account for all money or property collected
or received
A lawyer must be scrupulously careful in handling
money entrusted to him in his professional capacity,
becauseofthehighdegreeoffidelityandgoodfaith
expectedonhispart.(Medinav.Bautista,A.C.No.190.
September1964)
Alawyer,underhisoath,pledgeshimselfnottodelay
anymanformoneyormaliceandisboundtoconduct
himself with all good fidelity to his clients. He is
obligatedtoreportpromptlythemoneyofhisclients
thathascometohispossession(otherwiseaviolation
ofSec.25,Rule138ofROC).Heshouldnotcommingle
without his clients consent. He should maintain a
reputationforhonestyandfidelitytoprivatetrust.
Rule 16.02 - Duty to keep clients funds separate
Alawyershouldkeepfundsofeachclientseparateand
apart fromhisown.Heshould notuseclientsmoney
for personal purposes without clients consent. He
should reportpromptly themoneyofhisclientinhis
possession.
Failure of the lawyer to account all the funds and
property of his client which may come into his
possession would amount to misappropriation which
maysubjecthimtodisbarmentonthegroundofgrave
misconductoracriminalprosecutionforestafaunder
Art.315par.1(b)oftheRPC.
Rule 16.03- Duty to deliver the funds and property; attorneys
lien
Alawyerwhoobtainedpossessionsofthe fundsand
propertiesbelongingtohisclientinthecourseofhis
professionalemploymentshalldeliverthesametohis
clientwhen(a)theybecomedue,or(b)upondemand.
Thelawyersfailuretodeliverupondemand givesrise
to the presumption that he has misappropriated the
fundsforhisownusetotheprejudiceoftheclientand
inviolationofthetrustreposedinhim.
Therulegrantsthelawyeralienovertheclientsfundsinhis
possession as well as on all judgments and execution he has
securedforhisclient,tosatisfyhislawfulfeesanddisbursements.
Note:Whilethisruleprovidesthatthelawyerhasthe
right to retain the funds of his client as may be
necessarytosatisfyhislawfulfeesanddisbursements
knowasNote:Whilethisruleprovidesthatthelawyer
hastherighttoretainthefundsofhisclientasmaybe
necessarytosatisfyhislawfulfeesanddisbursements
knowasattorneyslienandhislientothesameextent
onalljudgmentsandexecutionhehassecuredforhis
client called charging liens, he is still duty bound to
renderanaccountingofhisclientsfundsandproperty
whichmaycomeintohispossessioninthecourseofhis
professional employment. In the application of
attorneys liena lawyer shall give notice to hisclient
otherwise, the same might be construed as
misappropriationwhichmaysubjecthimtodisciplinary
action.
(PleaseseealsoSection37,Rule138oftheRulesof
Court)
Rule 16.04 - Duty not to borrow from nor lend money to client
Rationale:TheRuleagainstborrowingofmoneybyalawyerfrom
his client is intended (i) to prevent the former form taking
advantageofhisinfluenceoverthelatter,and(ii) toassurethe
lawyersindependentprofessionaljudgment.
If alawyer acquires afinancial interest inthe outcome of the
case,thefreeexerciseofhisjudgmentmaybeadverselyaffected.
Exceptionstotheruleagainstborrowingorlendingofmoney
Thelawyerisallowedtoborrowmoneyfromhisclient
providedtheinterestsoftheclientarefullyprotected
bythenatureofthecaseorbyindependentadvice.
The lawyermay lend money to a client, whenit is
necessaryintheinterestofjusticetoadvancenecessary
expensesinalegalmatterheishandlingfortheclient.
The advances made shall be subject to
reimbursement.
CANON 17 Duty of Fidelity to the Cause of the Client
Lawyers duty of fidelity commences from the receipt of his
retainer until his effective release from the case or final
dispositionofthewholesubjectmattersofthelitigation.During
that period, he isexpected to take such reasonable steps and
suchordinarycaseashisclientsinterestmayrequire.
Whenalawyertakesaclientscause,hetherebycovenantsthat
hewillexertalleffortforitsprosecutionuntilitsfinalconclusion.
The failure toexercise due diligence ortheabandonmentofa
clientscasemakessuchlawyerunworthyofthetrustwhichthe
clienthadreposedonhim.Alawyerhasthedutytoprotectwith
utmost dedicationthe interest of hisclient and of the fidelity,
trustandconfidencewhichheoweshisclient.
CANON 18 Duty to serve with competence and due diligence
CANON18Dutytoservewithcompetenceandduediligence
Rule 18.01- Duty not to undertake legal services if not
qualified;collaboratingcounsel
Rule18.02-Dutytoadequatelyprepareforcases
Rule18.03-Dutynottoneglectlegalmatters
Rule18.04-Dutytoinformclientofstatusofthecase
Competencereferstothesufficiencyoflawyersqualificationsto
dealwiththematterinquestionandincludesknowledgeandskill
andtheabilitytousethemeffectivelyintheinterestoftheclient.
Diligenceistheattentionandcarerequiredofapersoninagiven
situationandistheoppositeofnegligence,itisaxiomaticinthe
practiceoflawthatthepriceofsuccessiseternaldiligencetothe
causeoftheclient.
Lawyerimpliedlyrepresentsthathepossessesrequisitedegreeof
learning, skill, ability which is necessary to the practice of his
profession and which other similarly situated possess, he will
exert his best judgment in the prosecution or defense of the
litigation entrusted to him, he will exercise reasonable and
ordinary care and diligence in the use of his skill and in the
applicationofhisknowledgetohisclientscause,hewilltakesuch
stepsaswill adequatelysafeguardhisclientsinterest. Aclient
may reasonably expect that counsel will make good his
representation.
Rule 18.01 - Duty not to undertake legal services if not qualified;
collaborating counsel
Somecasesinvolvespecializedfieldsoflawandrequire
special training. A lawyer should not accept an
undertakinginspecificareaoflawwhichheknowsor
shouldknowheisnotqualifiedtoenter.
Exception:Ifhisclientconsents,helawyercantakeas
collaboratingcounselanotherlawyerwhoiscompetent
onthematter.
Collaboratingcounsel-onewhoissubsequentlyengagedtoassist
alawyeralreadyhandlingaparticularcaseforclient.
Thehandlinglawyercannotjusttakeanothercounsel
withouttheconsentoftheclient.Thenewlawyer,on
the other hand, cannot just enter his appearance as
collaboratingcounselwithouttheconformityofthefirst
counsel.
The same diligence required of the first counsel is
requiredofthecollaboratingcounsel.
Rule 18.02 - Duty to adequately prepare for cases
Lawyershouldsafeguardhisclientsrightandinterests
by thorough study and preparation, mastering
applicablelawandfactsinvolvedinacase,regardlessof
thenatureoftheassignment,andkeepingconstantly
abreastofthelatestjurisprudenceanddevelopmentsin
allbranchesofthelaw.
Alawyershouldpreparehispleadingswithgreatcare
and circumspection. He should refrain from using
abrasiveandoffensivelanguage,foritmerelyweakens
ratherthanstrengthenstheforceoflegalreasoningand
detractsfromitspersuasiveness.
Rule 18.03 - Duty not to neglect legal matters
Thestandardofdiligencerequiredofalawyeristhatof
a goodfatherofafamily.Heisnotboundtoexercise
extraordinarydiligence.
Itshouldberememberedthatthemomentthelawyer
takesaclientscause,hecovenantsthathewillexertall
effort for its prosecution until its final conclusion. A
lawyerwhofailstoexerciseduediligenceorabandons
hisclientscausemakeshimunworthyofthetrustand
confidencereposedonhimbythelatter.(Legarda v. CA,
209 SCRA 722 (1992)).
Instancesofnegligenceofattorneys
1. Failure to ask for additional time to answer which
resultedinadefaultjudgmentagainsthisclient.
2. Failuretofilebriefwithinthereglementaryperiodto
file.
3. Failure to attend to trial without filing a motion for
postponementorforresetting.
4. Failure to take action to have the adverse decision
reconsidered.
5. Failuretonotifythecourtofchangeofaddressresulting
infailuretoreceivejudicialorderstotheprejudiceof
client.
6. Failuretopresentevidence.
7. Failuretopayappellatedocketfeeafterreceivingthe
amountforthepurpose.
Rule 18.04- Duty to inform client of status of the case
The client has the right to be fully informed of the
status of the case particularly on the important
movements or developments therein, Vis--vis this
right,thelawyerhasthecorrespondingdutytonotify
hisclientoftheimportantordersordecisionsnotyet
knowntotheclient.
Alawyershouldnotify hisclientoftheadversedecisionwhile
within the period to appeal to enable the client to decide
whether to seek an appellate review. He should communicate
withhimconcerningthewithdrawalofappealwithallitsadverse
circumstances.
The client is entitled to the fullest disclosure of the mode or
mannerbywhichhisinterestisdefendedorwhycertainstepsare
takenoromitted.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
Itisthedutyofapartylitiganttobeincontactwithhiscounsel
fromtimetotieinordertobeinformedoftheprogressofthe
case.
CANON 19 Duty to serve only within the bounds of law
CANON19Dutytoserveonlywithintheboundsoflaw
Rule19.01-Dutytoemployonlyfairandhonestmeans
Rule19.02-Dutytorectifyclientsfraud
Rule19.03-Dutytocontrolproceedings
Theclientisentitledtothebenefitofanyandeveryremedyand
defensethatisauthorizedbythelaw oftheland,andhemay
expecthislawyertoasserteverysuchremedyordefense.
Theadvocacyfortheclientistobeperformed within
andnotwithouttheboundsofthelaw.Theofficeofan
attorneydoesnotpermit,muchlessdoesitdemandof
himforany client,violationoflaworanymannerof
fraud.
A lawyers duty is not to his client but to the
administrationofjustice.Hisconductoughttoandmust
alwaysbescrupulouslyobservantoflawandethics.
Rule 19.01 - Duty to employ only fair and honest means
In civil case- it is the lawyers duty to counsel or
maintain such actions or maintain such actions or
proceedingsonlyasappeartohimtobejust,andsuch
defensesonlyashebelievestobehonestlydebatable
underthelaw(Section20(C),Rule138,RPC).
Incriminalcases-thelawyershoulddefendtheaccused
byallfairandreasonablemeansthatthelawpermits
regardlessofhispersonalopinionastotheguiltofthe
accused.
Onlyhonorable,fair,andhonestmeansshallbeemployedinthe
maintenanceofcases
1. Alawyermustnotpresentandofferinevidenceany
documentwhichheknowsisfalse.
2. Alawyershouldnotpresentafalsewitnesswhomhe
knowswillperjure.
3. Alawyershallnotfileorthreatentofileanyunfounded
orbaselesscasesagainstadversariesofhisclient.
4. Alawyershallnotdoanyfalse,norconsenttothedoing
foranyincourtnorshallhemisleadorallowthecourt
tobemisledbyanyartifice.
5. Alawyershallnotknowinglymisquotethecontentsofa
paper,thetextofadecisionorauthoritynorshallhe
knowingly cite as law a provision already rendered
inoperativebecauseofrepealoramendment,norshall
beassertasafactsomethingwhichhasnotyetbeen
established.
6. Alawyershallnotbribeorattempttobribeajudgeto
winhiscase.
Rule 19.02 - Duty to rectify clients fraud
Alawyershoulddohisbesteffortstorestrainandto
prevent his client from perpetrating acts which he
himselfoughtnottodo,particularlywithreferenceto
their conduct toward courts, judicial officers and
witnesses.Iftheclientpersistsinsuchwrongdoings,the
lawyershouldterminatetheirrelation.
This rule requires the lawyer to terminate his
relationshipwiththeclientintheeventthelatterfails
orrefusestorectifythefraud.
Note: The lawyer shall not volunteer the information
abouttheclientscommissionofthefraudtoanyone
forthatwillruncountertohisdutytomaintainatall
timestheclientsconfidencesandsecrets.
Rule 19.03 - Duty to control proceedings
Rule:Inmattersoflaw,itistheclientwhoshouldyield
tothelawyerandnottheotherwayaround.
Reason:Thelawyeristrainedandskilledinthelaw.The
clienthasnotknowledgeofprocedureandnecessarily
entruststhistotheattorneyheemploys.
Authorityofanattorneyintheconductoflitigation
1.Alawyerhasauthoritytobindtheclientinallmatters
ofordinaryjudicialprocedure.Thelawyer,andnotthe
client,isassumedtohaveknowledgeofthelawandthe
rulesofprocedure.
2.Onthesubjectmatterofthecase,itistheclientwho
willhavefinaldecision.
Lawyersauthoritytocompromise
General Rule: The lawyer has no authority to
compromisehisclientscase.
Reason: The client, even if represented by counsel,
retainsexclusivecontroloverthesubjectmatterofthe
litigation.
Exception: The client can authorize his lawyer to
compromisehiscase,andthesettlementmadebythe
lawyerwillbundtheclient.
Mistakesornegligenceoflawyerbindinguponclient
GeneralRule:Clientsboundbyattorneysconduct,negligence
andmistakeinhandlingacaseorinmanagementoflitigationand
inproceduraltechnique,andhecannotbeheardtocomplainthat
result might have been different had his lawyer proceeded
differently.
Exceptions:
1) Where adherence thereto results in outright
deprivation of clients liberty or property or where
interestofjusticesorequires.
2) Ignorance,incompetence orinexperience oflawyeris
sogreatanderrorsoseriousthatclient,whohasgood
causeisprejudicedanddeniedadayincourt.
3) Grossnegligenceoflawyer.
CANON 20. Duty to charge only fair and reasonable fees
CANON20.Dutytochargeonlyfairandreasonablefees
Rule20.01-Guideindeterminingattorneysfees
Rule 20.02- Division of fees in proportion to the work
performedandresponsibilityassumed
Rule 20.03- Duty not to accept any fee or other
compensation whatsoever related to his professional
employmentfromanyoneotherthantheclient
Rule20.04-Dutytoavoidcompensationcontroversieswith
client
Legal basis for attorneys fees
The fact of employment as lawyer by the client
constitutes the legal basis of the lawyers right to
demandpaymentforhisservices.Noformalcontractis
necessarytoeffectuateemployment.
Requisites for the right to attorneys fees:
1. Existenceofattorney-clientrelationship.
2. Renditionbythelawyerofservicetotheclient.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
Reason for adequate compensation:
A lawyer like all other human beings has a right to
livelihood.
That the practice of law is a profession and not a
money-makingtradedoesnotoperatetodenyalawyer
therighttoattorneysfeesforhisprofessionalservices.
Hehastherighttohaveandrecoverfromhisclienta
fair and reasonable compensation for his services,
exceptincaseswherehehasagreedtorenderservice
gratuitously.
Itisnecessaryinordertoenablethelawyertoservehis
clients effectively and to preserve the integrity and
independence of the profession. The legal profession
cannotremainaviableforceinfulfillingitsroleinour
society unless the lawyer receives adequate
compensationforhisservices.
Written agreement
Notnecessarytoestablishaclientsobligationtopay
attorneysfees
Aslongasthelawyerishonestlyandingoodfaithtrying
to serve and represent the interest of his client, an
absence of express undertaking does not defeat
recoveryoffees
It is advisable for the benefit of both the lawyer and
the clients: thatassoonastheyhaveagreedonthe
engagementoftheformerbythelatter,theattorneys
feesareimmediatelydeterminedandfixed.
Reason: to avoid future misunderstandings which usually arise
when the clientthinks lowofthe value ofthe servicesofthe
counsel,andthelatterthinkshighofhisservices,andnooneis
expressingwhatisinhismind.
Advantages of a written contract for attorneys fees:
1. An express valid contract stipulating for the
compensationwhichtheattorneyistoreceiveforhis
servicesisgenerallyheldconclusiveastotheamountof
compensation.
2. Incaseofunjustifieddismissalofattorney,heshallbe
entitled to recover from the client full compensation
stipulated in the contract. The law seeks to protect
lawyersfromunscrupulousandungratefulclientswho
dismisslawyerstoavoidpaymentofattorneysfees
Two concepts of attorneys fees:
1. Ordinary
the reasonable compensation paid to the
lawyerforthelegalserviceshehadrendered
infavourofhisclient.
The basis of this compensation: the fact of
employmentbytheclient.
2. Extraordinary-
an indemnity for damages ordered by the
court to be paid by the losing party to the
prevailingpartyinalitigation.
Thebasis:anyofthecasesauthorizedbylaw
(Art.2208,CivilCode)andispayablenotto
thelawyerbuttotheclientunlessthereisan
agreementthattheawardshallpertaintothe
lawyer as an additional compensation or as
partthereof.
Attorneys fees as damages:
General rule: Attorneys fees as damages is not
recoverablebecauseitisnotthefactofwinningthat
ipso facto justifiestheawardbuttheattendanceofany
ofthespecialcircumstances
Exceptions:Article2208oftheNewCivilCode
Kinds of retainer agreement
1. General Retainer
Itisthefeepaidtoalawyertosecurehisfutureservices
asgeneralcounselforanyordinarylegalproblemthat
may arise in the ordinary business of the client and
referredtohimforlegalaction.
The client pays fixed retainer fees, which could be
monthlyorotherwise.
The fees are paid whether or not there are cases
referredtothelawyer.
2. Special Retainer
feeforaspecificcaseorservicerenderedbythelawyer
fortheclient
Kinds of payments that may be stipulated upon
1. Fixed or Absolute Fee
Payableregardlessoftheresultofthecase
2. Contingent Fee
That which is conditioned on the securing of a
favourable judgment and recovery of money or
property and the amount of which may be on a
percentagebasis
3. Fixed fee payable per appearance
4. Fixed fee computed by the number of hours spent
5. Fixed fee based on piece of work
6. A combination of the above arrangements or an
entirely different agreement not contrary to law,
public morals, or public policy
Rule 20.01. Guide in determining attorneys fees
a. Time spent and extent of services rendered or
required.;
b. Noveltyanddifficultyofquestionsinvolved.;
c. Importanceofsubjectmatter.;
d. Skilldemandedofthelawyer.;
e. Probabilityoflosingotheremployment.;
f. Customarychargesforsimilarservicesandscheduleof
feesofIBP.;
g. Amount involved in the controversy and benefits
resultingtotheclientfromtheservice
h. Contingencyorcertaintyofcompensation.
i. Character of the employment, whether occasional or
established.;
j. Professionalstandingofthelawyer.
Noneofthefactorsiscontrollingbutareguidesonly.
Themerefactthatanagreementhadbeenreachedbetweenthe
attorneyandtheclientfixingtheamountoftheattorneysfees
doesnotinsulatesuchagreementfromreviewandmodification
by the Courtwhere the feesclearly appeartobeexcessiveor
unreasonable.
Situations when counsel cannot recover full amount despite a
written contract for attorneys fees
1. Servicesarenotperformed.
2. Justifieddismissaloftheattorney.
3. Stipulatedattorneysfeesareunconscionable.
4. Stipulated attorneys fees are in excess of what is
expresslyfixedbylaw.
5. Whenthelawyerisguiltyofbadfaithorfraudtoward
hisclientinthematterofhisemployment.
6. Counsels services were worthless because of his
negligence.
7. Contract of employment is illegal, against morals or
publicpolicy.
8. Serving adverse interest, unless he acted with the
consentofbothparties.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
QUANTUM MERUIT Exception:
This means as much as the lawyer deserves or such a. topreventinjustice
amountashisservicesmerit. b. topreventfraud
itisfixedbythecourt
Some instances of recovery of attorneys fees on the Where and how may attorneys fees be claimed by the lawyer?
basisofQuantumMeruit: 1. In the same case-Itmaybeassertedeitherinthevery
a. Noexpresscontractforpaymentofattorneysfees. action in which the services of a lawyer had been
b. Amountstipulatedisunconscionable. rendered
c. Lawyer, without fault, was unable to conclude 2. In a separate civil action - Apetitionforattorneysfees
litigation. maybefiledbeforethejudgmentinfavoroftheclientis
d. Lawyer,forjustifiablecause,wasnotabletofinish satisfiedortheproceedsthereofdeliveredtotheclient
thecase.
e. Lawyer and client disregarded the contract for
fees.

CONTINGENT CONTRACT CHAMPERTOUS CONTRACT

1.Itisonewherethelawyeris 1. It is one where the lawyer
paid for his services stipulateswithhisclientinthe
depending on the success of prosecutionofthecasethathe
thecase. will bear all the expenses for
the recovery of things or
property being claimed by the
client,andthelatteragreesto
paytheformeraportionofthe
thing or properly recovered as
compensation. It is void for
beingagainstpublicpolicy.
2.Itmaybepaidincash. 2.Itispayableinkindonly.
3. Lawyers do not undertake 3.Lawyersundertaketopayall
to pay all expenses of expensesoflitigation.
litigation.
4.Itisavalidcontract. 4.Itisavoidcontract.
Rule 20.2 - Division of fees in proportion to the work performed
and responsibility assumed.
Thisisnotinthenatureofabrokerscommission.
Lawyer- referral system
Under this system, if another counsel is referred to the
client, and the latter agrees to take him as collaborating
counsel,andthereisnoexpressagreementonthepayment
of attorneys fees, the said counsel will receive attorneys
feesinproportiontotheworkperformedandresponsibility
assumed. The lawyersand the clientmay agree uponthe
proportionbutincaseofdisagreement,thecourtmayfixthe
proportionaldivisionoffees.
Rule 20.03 - Duty not to accept any fee or other compensation
whatsoever related to his professional employment from
anyone other than the client
Rationale: Itisintended to secure the fidelity of the
lawyertohisclientscauseandtopreventasituationin
which the receipt of him of a rebate or commission
fromanotherwiththeclientscasemayinterferewith
thefulldischargeofhisdutytohisclient.
Exception:Alawyermayreceivecompensationfroma
person other than his client when the latter has full
knowledgeandapprovalthereof.(Section20(e),Rule
138,RRC).
Rule 20.04. Duty to avoid compensation controversies with
client
General Rule:Alawyershouldavoidthe filingofany
caseagainstaclientfortheenforcementofaattorneys
fees.
[Filingofcasesagainstaclientisunwisebecauseinthe
process, the lawyer loses the clients aside from
sufferingabrokenreputationbeingmoney-oriented.
CANON 21. Duty to preserve the clients confidence and secrets
CANON21.Dutytopreservetheclientsconfidenceand
secrets
Rule21.01-Dutynottorevealtheconfidencesorsecrets,
exceptions
Rule 21.02-Duty nottouse informationreceivedinthe
courseofemployment
Rule21.03-Dutynottogiveinformationtooutsideagency
Rule21.04and21.05-Dutytoprotectfromdisclosure
Rule21.06-Dutytoavoidindiscreetconversation
Rule21.07-Dutynottorevealthathewasconsulted
Confidential- theprotectiongiventotheclientisperpetual
anddoesnotceasewiththeterminationofthelitigationnor
isaffectedbythepartyceasingtoemploytheattorneyand
employanotheroranyotherchangeofrelationsbetween
them.Itevensurvivesthedeathoftheclient.
Rationale behind this prohibition:
Not only to prevent the dishonest practitioner from
fraudulent conduct, but also to protect the honest
lawyer from unfounded suspicion of unprofessional
practice.Itisfoundedonprinciplesofpublicpolicy,on
goodtaste.Thequestionisnotnecessarilyoneofthe
rightsoftheparties,butastowhethertheattorneyhas
adheredtoproperprofessionalstandard.
Confidence -Itreferstotheinformationprotectedby
theattorney-clientprivilege
Secret - It refers to other information gained in the
professionalrelationshipthattheclienthasrequested
tobeheldinviolateorthedisclosureofwhichwouldbe
embarrassinglyordetrimentaltotheclient.
Confidential communication Information -transmitted
through voluntary actof disclosure between attorney
andclientinconfidence,andbymeansofwhich,sofar
astotheclientisaware,disclosestheinformationtono
thirdpersonotherthanonereasonablenecessaryfor
the transmission of the information or the
accomplishmentofthepurposeforwhichitwasgiven
Requisitesfortheattorney-clientprivilege
1. Thereexistsanattorney-clientrelationshiporakindof
consultancyrelationshipwithaprospectiveclient.That
is,legaladviceiswhatissought.Thisincludespersons
appointedascounseldeoficio.
2. Thecommunicationwasmadebytheclienttothelawyer
inthecourseofthelawyersprofessionalemployment.
3. Thecommunicationmustbeintendedtobeconfidential.
Rule 21.01. Duty not to reveal the confidences or secrets,
exceptions

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

 General Rule:Alawyershallnotrevealtheconfidences
andsecretsofhisclient.
Exceptions:
1. When authorized by the client after acquainting
himoftheconsequencesofthedisclosure.
2. Whenrequiredbylaw.
3. When necessary to collect his fees or to defend
himself,hisemployeesorassociatesorbyjudicial
action. In case client files complaint against his
lawyer or unreasonably refuses to pay his fees,
lawyer may disclose so much of clients
confidences as may be necessary to protect
himselfortocollectfees.
4. Incasesofcontemplatedcrimesorperpetuationof
fraud.
Rule 21.02. Duty not to use information received in the course
of employment
General Rule:Alawyer,whoacquiredinformationfrom
a client I the course of his legal employment, is
prohibited from making use of such information,
whetheritisprivilegedornot,tothe(a)disadvantage
ofhisclient,or(b)tothelawyersownadvantage,or(c)
totheadvantageofathirdperson.
Exception :Iftheclientwithfullknowledgeof
thecircumstancestotheusethereof.
Exception to the exception:Inmattersofunprivileged
information,thelawyermaybejudiciallycompelledto
makeadisclosureeveniftheclientobjects.
Rule 21.03. Duty not to give information to outside agency
Rationale:Theworkandproductofalawyer,suchas
hiseffort,research,andthought,andtherecordsofhis
client,containedinhisfilesareprivilegedmatters.
Exception:Iftheclientgiveshiswrittenconsent.
Rule 21.04 and 21.05. Duty to protect from disclosure
Rule: The professional employment of a law firm is
equivalenttotheretainerofthemembersthereofeven
thoughonlyoneofthemisconsulted;conversely,the
employment of one member of law firm is generally
consideredasemploymentofthelawfirm.
Thelawyerisobligedtoexercisecareinselectingand
training his employees so that the sanctity of all
confidencesandsecretsofhisclientsmaybepreserved.
Rule 21.06. Duty to avoid indiscreet conversation
Alawyermustnotonlypreservetheconfidencesand
secretsofhisclientsinhislawofficebutalsooutside
including his home. He should avoid committing
calculatedindiscretion,thatis,accidentalrevelationof
secrets obtained in his professional employment.
Reckless or imprudent disclosure of the affairs of his
clientsmayjeopardizethem.Noteverymemberofthe
lawyersfamilyhastheproperorientationandtraining
forkeepingclientsconfidencesandsecrets.
Rule 21.07. Duty not to reveal that he was consulted
General Rule: If a lawyer was consulted about a
particularcase,andirrespectiveofwhetherornothe
wasthereafterhiredascounsel,heshouldnotrevealto
othersthematterofsubjectofconsultation.
Exception:Whenthelawyerwillbeplacedinasituation
of representing conflicting interests if he does not
disclosetheconsultationtothenextpersonconsulting
himonthesamematter.Otherwise,ifheremainssilent,
he may be violating the rule against representing
conflictinginterests.
See Canon 14, Rule 14.03; see also: Canon 15, Rule 15.01
CANON 22. Duty to withdraw services only for good cause and
upon notice
CANON22.Dutytowithdrawservicesonlyforgoodcauseand
uponnotice
Rule22.01-Goodcausesforwithdrawalofservices
Rule22.02-Dutiesoflawyerswhowithdrew;retaininglien
Termination of attorney- client relationship
1. WithdrawalofthelawyerunderRule22.01.
2. Deathofthelawyer,unlessitisalawfirm,inwhich
case,theotherpartners/lawyersmaycontinuewiththe
case.
3. Deathoftheclient.
4. Dischargeordismissalofthelawyerbytheclient.
5. Appointmentorelectionofalawyertoagovernment
positionwhichprohibitsprivatepracticeoflaw.
6. Fullterminationofthecase.
7. Disbarment or suspension of the lawyer from the
practiceoflaw.
8. Intervening capacity or incompetency of the client
during the pendency of the case, for then the client
loseshiscapacitytocontract,ortocontrolthesubject
matteroftheaction.
9. Declarationofthepresumptivedeathofthelawyer;and
10. Convictionforacrimeandimprisonmentofthelawyer
forquitesometime.
Rightoftheclienttoterminaterelationwithcounselisabsolute;
butnotviceversa.
Whiletherightoftheclienttoterminatetherelationis
absolute, the right of an attorney to withdraw or
terminatetherelationotherthanforasufficientcause,
isconsiderablyrestricted.
Amongthefundamentalrulesofethicsistheprinciple
thatanattorneywhoundertakestoconductanaction
impliedlystipulatestocarryittoitstermination.Heis
notatlibertytoabandonwithoutreasonablecause.
Rule 22.01. Good causes for withdrawal of services
a. Clientpursuinganillegalorimmoralcourseofconduct.
b. Clientsinsistencethatlawyerpursuesactsviolativeof
thecanonsandrules.
c. Inabilityoflawyertoworkwithco-counsel.
d. Mentalandphysicalinabilityofcounseltohandlecase
effectively.
e. Clients deliberate failure to pay attorneys fees as
agreedupom.
f. Electionorappointmentoflawyertopublicoffice.
g. Othersimilarcases.
Change of Counsel
1. Client discharges attorney with or without cause: no
consentornoticetolawyerneeded,norcourtapproval.
2. Attorney may initiate move by withdrawing his
appearancewithwrittenconsentofclientorwithleave
ofconductonsomejustifiableground.
3. Substitutionofcounsel inthe form ofapplication for
that purpose constitutes an appearance of the
substituting counsel and is a polite way of effecting
change;compliancewithformalitiesisnecessarysince
itinvolvesethicalconsiderations.
Requirements for Substitution
1. writtenapplicationforsubstitution
2. writtenconsentofclient
3. writtenconsentofattorneytobesubstituted
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
**Incasewrittenconsentofattorneycannotbesecured,proofof
serviceofnoticeofapplicationuponattorneytobesubstituted.
**Incaseofdeathoforiginalattorney,additionalrequirement:
verifiedproofofdeath(necessary)

Rule 22.02. Duties of lawyer who withdraws; retaining lien

1. Immediatelyturn-overallpapersandpropertytowhich
theclientisentitled;and
2. Tocooperatewithhissuccessorintheorderlytransfer
ofthecase

Lawyerswithdrawalordischargeshallbewithoutprejudicetohis
attorneys lien: Purpose of Rule 22.02 (lawyer entitled to
retaining lien) andRule 16. 03 (lawyer entitled to retaining and
charging lien)
Toinsurepaymentoflawyersprofessionalfeesandthe RETAINING LIEN CHARGING LIEN
reimbursementofhislawfuldisbursementsinkeeping 1. Nature Passivelien. ActiveLien.
withhisdignityasanofficerofthecourt It cannot be actively It can be enforced
enforced. byexecution.
Kinds of liens Agenerallien. Aspeciallien
1. Retaining Lien (General Lien) 2. Basis Lawful possession of Securing of a
Therightsofanattorneytoretainthefunds,documents papers, documents, favourable money
andpapersofhisclientwhichhavelawfullycomeinto property belonging to judgment for the
hispossessionuntilhislawfulfeesanddisbursements client. client.
have been paid and to apply such funds to the 3. Coverage Covers only papers, Coversalljudgments
satisfactionthereof. documents, and for the payment of
2. Charging Lien (Special Lien) propertyinthelawful money and
Arightwhichtheattorneyhasuponalljudgmentsfor possession of the executions issued in
the payment of money and executions issued in attorney by reason of pursuance of such
pursuance thereof, secured in favour of his client. his professional judgement.
Coversonlyservicesrenderedbyattorneyintheaction employment
inwhichthe judgmentwasobtainedandtakeseffect 4. Effectivity As soon as the Assoonastheclaim
onlyafterastatementofclaimhasbeenenteredupon attorney gets for attorneys fees
recordoftheparticularactionwithwrittennoticetohis possession of the had been entered
clientandadverseparty. papers,documentsor into the records of
property. thecase.
Requisites for validity of retaining liens 5. Notice Client need not be Client and adverse
1. attorney-clientrelationship notified to make it party must be
2. lawful possession by lawyer of the clients funds, effective. notified to make it
documentsandpapersinhisprofessionalcapacity effective.
3. unsatisfiedclaimforattorneysfeesordisbursements 6. Applicability May be exercised Generally, It is
before judgment or exercisable only
Requisites for validity of charging liens execution or when the attorney
1. attorney-clientrelationship regardlessthereof. hadalreadysecured
2. attorneyhasrenderedservices favourablejudgment
3. money judgment favourable to the client has been forhisclient.
securedintheaction
4. attorneyhasaclaimforattorneysfeesoradvances
5. statementofhisclaimhasbeendulyrecordedinthe
case with notice thereof served upon the client and
adverseparty

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

E. SUSPENSION, DISBARMENT AND DISCIPLINE OF LAWYERS
F. READMISSION TO THE BAR
------------- No slides for these topics
G. NOTARIAL PRACTICE
Q: What must one possess to qualify as a notary public?
Tobeeligibleforcommissioningasnotarypublic,thepetitioner
mustbe:
1. AcitizenofthePhilippines
2. Over21yearsofage
3. A resident in the Philippines for at least 1 year and
maintainsaregularplaceofworkorbusinessinthecity
orprovincewherethecommissionistobeissued.
4. AmemberofthePhilippineBaringoodstandingwith
clearancesfromtheOfficeoftheBarConfidantofthe
SupremeCourtandtheIBP;and
5. Hasnotbeenconvictedinthefirstinstanceofanycrime
involvingmoralturpitude.
(second par., Sec.1, Rule III, 2004 Rules on Notarial Practice, A.M.
No. 02-8-13-SC)
Q: of the petition and supporting documents for a notarial
commission
Everypetitionforanotarialcommissionshallbeinwriting,
verified,andshallincludethefollowing:
1. A statement containing the petitioners personal
qualifications, including the petitioners date of birth,
residence,telephonenumber,professionaltax,receipt,
rollofattorneysnumberandIBPmembershipnumber.
2. Certificationofgoodmoralcharacterofthepetitioner
byatleast2executiveofficersofthelocalchapterof
theIBPwhereheisapplyingforcommission.
3. Proof of payment for the filing of the petition as
requiredbytheRulesonNotarialPractice;and
4. Three passport size color, photographs with light
backgroundtakenwithin30daysoftheapplication.The
photograph should not be retouched. The petitioner
shall sign his name at the bottom part of the
photographs.
(Section 2, Rule III, A.M. No. 02-8-13-SC)
Note:Everypetitionerforanotarialcommissionshallpaythe
applicationfeeasprescribedintheRulesofCourt.
(sec. 3, Rule III, A.M. No. 02-8-13-SC)
Summary Hearing on the Petition
1. TheExecutiveJudgeshallconductasummaryhearingonthe
petitionandshallgrantthesameif:
a) Thepetitionerissufficientinformandsubstance;
b) Thepetitionerprovestheallegationscontainedin
thepetition;and
c) Thepetitionerestablishestothesatisfactionofthe
Executive Judge that he has read and fully
understoodtheseRules.
2. The Exec. Judge shall forthwith issue a commission and a
Certificate of Authorization to purchase a Notarial Seal in
favorofthepetitioner. (Sec. 4, Rule III, A.M. No. 02-8-13-SC)
Note: Anypersonwhohasanycauseorreasontoobjecttothe
grant of the petition may file a verified written opposition
thereto. The opposition must be received by the Exec. Judge
beforethedateofthesummaryhearing.
(Sec. 6, Rule III, A.M. No. 02-8-13-SC)
Commission
referstothegrantofauthoritytoperformnotarialacts
andtothewrittenevidenceoftheauthority.(Sec. 3,
Rule II, A.M. 02-8-13-SC)
AnotarialcommissionmaybeissuedbyanExecutive
Judgetoanyqualified
personwhosubmitsapetitioninaccordancewiththe
RulesonNotarialPractice.
(first par., Sec. 1, Rule III, A.M. No. 02-8-13-SC).
Jurisdiction and Term
Apersoncommissionedasnotarypublicmayperform
notarial acts in any place within the territorial
jurisdictionofthecommissioningcourtforaperiodof
two(2)years commencingthefirstdayofJanuaryof
the yearin whichthe commissioningismade,unless
earlierrevokedorthenotarypublichasresignedunder
theseRulesandtheRulesofCourt.
(Sec.11,RuleIII,A.M.No.02-8-13-SC)
Q: May the term be renewed?
A:Yes
Anotarypublicmayfileawrittenapplicationwiththe
Executive Judge for the renewal of his commission
within45daysbeforetheexpiration thereof.Amark,
image or impression of the seal of the notary public
shallbeattachedtotheapplication.
Failuretofilesaidapplicationwillresultinthedeletion
of the name of the notary public in the register of
notariespublic.
The notary publicthusremovedfrom the Registerof
NotaryPublicmayonlybereinstatedthereinafterheis
issued a new commission in accordance with these
Rules.(sec.13,RuleIII,A.M.No.02-8-13-SC)
What are the powers of a notary public?
Anotarypublicisempoweredtoperformthefollowingnotarial
acts:
1. Acknowledgements;
2. Oathsandaffirmations;
3. Jurats;
4. Signaturewitnessing;
5. Copycertifications;and
6. Anyotheractauthorizedbytheserules
(Section 1 (a), Rule IV, A.M. No. 02-8-13-SC)
What is an acknowledgement?
Referstoanactinwhichanindividualonasingleoccasion:
a) Appears in person before the notary public and
presents an integrally complete instrument or
document.
b) Isattestedtobepersonallyknowntothenotarypublic
oridentifiedby thenotary publicthroughcompetent
evidenceofidentityasdefinedbytheRulesonNotarial
Practice;and
c) Representstothenotarypublicthatthesignatureson
theinstrumentordocumentwasvoluntarilyaffixedby
him for the purposes stated in the instrument or
document, declares that he has executed the
instrument/documentashisfreeandvoluntaryactand
deed, and if he acts in a particular representative
capacity, that he has the authority to sign in that
capacity.
(Sec. 1, Rule II, A.M. No. 02-8-13-SC)
What is affirmation or oath?
Referstoanactinwhichanindividualonasingleoccasion:
1) Appearsinpersonbeforethenotarypublic
2) Ispersonallyknowntothenotarypublicoridentifiedby
the notary public through competent evidence or
identity asdefined by the Ruleson Notarial Practice;
and
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 3) Avowsunderpenaltyoflawtothewholetruthofthe
contentsoftheinstrumentordocument.
(Sec. 2, Rule II, A.M. No. 02-8-13-SC)
What is a jurat?
Referstoanactinwhichanindividualonasingleoccasion:
1. Appears in person before the notary public and
presentsaninstrumentordocument
2. Ispersonallyknowntothenotarypublicoridentifiedby
the notary public through competent evidence of
identityasdefinedbytheRulesonNotarialPractice.
3. Signstheinstrument/documentinthepresenceofthe
notary;and
4. Takesanoathoraffirmationbeforethenotarypublicas
tosuchinstrument/document
(Sec. 6, Rule II, A.M. No. 02-8-13-SC)
What is signature witnessing?
Referstoanactinwhichanindividualonasingleoccasion:
1. Appears in person before the notary public and
presentsaninstrumentordocument
2. Ispersonallyknowntothenotarypublicoridentifiedby
the notary public through competent evidence of
identity asdefined by the Ruleson Notarial Practice;
and
3. Signstheinstrument/documentinthepresenceofthe
notarypublic
(Sec. 14, Rule II, A.M. No. 02-8-13-SC)
What is copy certification?
Referstoanactinwhichanotarypublic:
1. Is presented with an instrument/document that is
neither a vital record, a public record, nor publicly
recordable;
2. Copies or supervises the copying of the
instrument/document
3. Comparesthedocumentwiththecopy;and
4. Determinesthatthecopyisaccurateandcomplete
(Sec. 4, Rule II, A.M. 02-8-13-SC)
Note: The document copied must be an original document. It
cannotbeacopyitself.
Is a notary public authorized to certify the affixing of a signature
by thumb or other mark on an instrument/document presented
for notarization?
Yes.itisalsowithinthepowersofanotarypublic,provided:
1. Thethumborothermarksisaffixedinthepresenceof
the notary public and of two (2) disinterested and
unaffectedwitnessestotheinstrument/ddocument
2. Bothwitnessessigntheirownnamesinadditiontothe
thumborothermark
3. The notary public writes below the mark:thumb or
other mark affixed by (name of signatory) in the
presence of (names and addresses of witnesses) and
undersignednotarypublic;and
4. Thenotarypublicnotarizesthesignaturebythumbor
other mark through an acknowledgement, jurat or
signaturewitnessing.
(sec.1(b),RuleIV,A.M.No.02-8-13-SC)
Is a notary public authorized to sign on behalf of a person who is
physically unable to sign or make a mark on an
instrument/document?
Yes. It likewise falls within the powers of a notary public,
provided:
1. Thenotarypublicisdirectedbythepersonunableto
signormakeamarktosignonhisbehalf;
2. The signature of the notary public is affixed in the
presenceof2disinterestedandunaffectedwitnessesto
theinstrument/document;
3. Bothwitnessessigntheirownnames;
4. The notary public writes below his signature:
Signatureaffixedbynotaryinthepresenceof(names
andaddressesofpersonand2witnesses);and
5. The notary public notarizes his signature by
acknowledgementorjurat.
How should a notary public notarize an instrument or
document?
Innotarizinganinstrumentordocument,anotarypublicshall:
1. Signbyhandonthenotarialcertificateonlythename
indicatedandasappearingonthenotaryscommission;
2. Notsignusingafacsimilestamporprintingdevice;and
3. Affixhisofficialsignatureonlyatthetimethenotarial
actisperformed.
(Sec. 1, Rule VII, AM.No. 02-8-13-SC)
PROHIBITIONS
A. A notary public shall not perform a notarial act outside his
regular place of work or business, provided, however, that on
certain exceptional occasions or situations, a notarial act mnay
be performed at the request of the parties in the following sites
located within his territorial jurisdiction:
1) Public offices, convention halls, and similar places
whereoathsofofficemaybeadministered;
2) Publicfunctionareasinhotelsandsimilarplacesforthe
signing of instruments or documents requiring
notarization;
3) Hospitalsandothermedicalinstitutionswhereaparty
to an instrument or document is confined for
treatment;and
4) Anyplacewhereapartytoaninstrumentordocument
requiringnotarizationisunderdetention.
(Sec2(a),RuleIV,A.M.No.02-8-13-SC)
What is the phrase regular place of work or business of a
notary public means?
Theregularplaceofworkorbusinessreferstoa
stationaryofficeinthecityorprovincewhereinthe
notarypublicrenderslegalandnotarialservices.
(Sec.11,RuleII,A.M.No.02-8-13-SC)
Can a notary public perform a notarial act outside his
jurisdiction and his regular place of work or business?
RULE:Anotarypublicshallnotperformanotarial
actoutsidehisjurisdictionandhisregularplaceof
workorbusiness.
EXCEPTION: A notarial act may be performed at
therequestofthepartiesfollowingsites(provided
under Sec. 2 (a) Rule IV, A.M. No. 02-8-13-SC),
other than his regular place of work orbusiness,
locatedwithinhisterritorialjurisdiction.
B. A notary public shall not perform a notarial act if the person
involved as signatory to the instrument or document is:
1) Notinthenotaryspresencepersonallyatthetimeof
thenotarization;and
2) Notpersonallyknowntothenotarypublicorotherwise
identified by the notary public through competent
evidenceofidentityasdefinedbytheseRules.
(Sec.2(b),RuleIV,A.M.02-8-13-SC)
What is competent evidence of identity?
Referstotheidentificationofanindividualbasedon:
1. Atleastonecurrentidentificationdocumentissuedby
an official agency bearing the photograph and
signatureoftheindividualsuchasbutnotlimitedto:
a. Passport
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 b.
Driverslicense
c.
ProfessionalRegulationCommissionID
d.
NationalBureauofInvestigationClearance
e.
PoliceClearance
f.
PostalID
g.
VotersID
h.
BaranggayCertfication
i.
Government Service Insurance System e-
card
j. SocialSecuritySystemcard
k. Philhealthcard
l. SeniorCitizencard
m. Overseas Workers Welfare Administration
(OWWA)ID
n. OFWID
o. Seamansbook
p. Aliencertificateofregistration
q. GovernmentofficeID
r. Certification from the National Council for
theWelfareofDisabledPersons(NCWDP)
s. DepartmentofSocialWelfareDevelopment
(DSWD)certification
(Amendment to sec. 12(a), _____ 2004 Rules on Notarial Practice,
Feb. 19, 2008).
2. The oath or affirmation ofone credible witness nor
privytotheinstrument,documentortransactionwho
is personally known to the notary public and who
personallyknowntotheindividual,oroftwocredible
witnessesneitherofwhomisprivytotheinstrument,
documentortransactionwhoeachpersonallyknows
the individual and shows to the notary public
documentaryidentification.
(Sec. 12 (b), Rule II of the 2004 Rules on Notarial Practice)
Note:Thereareinadditiontothepresentationofthesignatories
CommunityTaxCertificate(CTC)
(section 163 of the Local Government Code)
(a)Whenanindividualsubjecttothecommunitytax
acknowledgesanydocumentbeforeanotarypublic...it
shallbethedutyofanyperson,officer,corporationwith
whom such transaction is made... to require such
individualtoexhibitthecommunitytaxcertificate.
DISQUALIFICATIONS
Anotarypublicisdisqualifiedfromperforminganotarialactifhe:
a) isapartytotheinstrumentordocumentthatistobe
notarized.
b) will receive, as a direct or indirect result, any
commission, fee, advantage, right, title interest,cash,
property,orotherconsideration,exceptasprovidedby
theseRulesandlaw;or
c) isaspouse,common-lawpartner,ancestor,descendant,
orrelativebyaffinityorconsanguinityoftheprincipal
withinthefourthcivildegree
(sec. 1, Rule IV, A.M. No. 02-8-13-SC)
Note:Thefunctionofanotarypublicis,amongothers,toguard
againstanyillegalorimmoralarrangements,thatfunctionwould
bedefeatedifthenotarypublicisoneofthesignatoriestothe
instrument. For then he would be interested in sustaining the
validitythereofasitdirectlyinvolveshimselfandthevalidityof
hisownact.Itwouldplacehiminaninconsistentposition,and
theverypurposeoftheacknowledgement,whichistominimize
fraud,wouldbethwarted.(Villarinv.Sabate,A.C.No.3224,Feb.
9,2000)
When may a notary public refuse to notarize even if the
appropriate fee is rendered?
a. Thenotaryknowsorhasgoodreasontobelievethat
thenotarialactortransactionisunlawfulorimmoral
b. The signatory showsademeanorwhichengendersin
themindofthenotarypublicreasonabledoubtasto
the formers knowledge of the consequences of the
transactionrequiringanotarialact;and
c. Intheattorneysjudgment,thesignatoryisnotactingof
hisorherownfreewill.(sec.4,RuleV,A.M.02-8-13-SC)
d. If the document or instrument to be notarized is
consideredasanimproperdocumentbytheRuleson
NotarialPractice.
Note: Improperinstrument/documentisablank orincomplete
instrumentoraninstrumentor document withoutappropriate
notarialcertification.(Sec. 6, Rule V, A.M. No. 02-8-13-SC)
What is a notarial certificate?
Referstothepartof,orattachmenttoanotarized
instrumentordocumentthatiscompletedbythe
notary public which bears the notarys signature
andseal,andstatesthe factsattestedtoby the
notary public in a particular notarization as
providedforbytheRulesonNotarialPractice.
(Sec. 8, Rule II, A.M. No. 02-8-13-SC)
What must the notarial certificate contain?
1. Thenameofthenotarypublicasexactlyindicatedin
thecommission;
2. The serial number of the commission of the notary
public
3. The words Notary Public and the province or city
where the notary public is commissioned, the
expirationdateofthecommission,theofficeaddressof
thenotarypublic;and
4. The roll of attorneys number, the professional tax
receipt number and the place and date of issuance
thereof,andtheIBPmembershipnumber.
(Sec. 2, Rule VIII, A.M. 02-8-13-SC)
What are the effects of notarization?
1. Thenotary,ineffect,proclaimstotheworldthat:
a. All the parties therein personally
appearedbeforehim;
b. Theyarepersonallyknowntohim;
c. Theyarethesamepersonwhoexecuted
theinstrument;
d. Heinquiredintothevoluntarinessofthe
executionoftheinstrument;
e. Theyacknowledgepersonallybeforehim
thattheyvoluntarilyandfreelyexecuted
thesame.
2. Convertsaprivatedocumentintoapubliconeand
rendersitadmissibleincourtwithoutfurtherproof
ofitsauthenticity.
3. Document enjoy a presumption of regularity. It
constitutesprimafacieevidenceofthefactswhich
givesrisetotheirexecutionandofthedateofsaid
execution, but not of the truthfulness of the
statement.
Who can revoke a notarial commission?
Thenotarialcommissionmayberevokedby:
1) The Executive Judge of the RTC who issued the
commission (Sec. 1, Rule XI, A.M. No. 02-8-13-SC);
or
2) The Supreme Court itself in the exercise of its
generalsupervisorypowersoverlawyers.
Grounds for Revocation of Notarial Commission
(Sec. 1, Rule XI, Rule on Notarial Practice)
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
1. TheExecutiveJudgeshallrevokeanotarialcommission
for any ground on which an application for a
commissionmaybedenied
2. In addition, the Executive Judge may revoke the
commission of, or impose appropriate administrative
sanctionsupon,anynotarypublicwho:

a. Failstokeepanotarialregister
b. Failstomaketheproperentryorentriesinhis
notarialregisterconcerninghisnotarialacts
c. Failstosendthe copy ofthe entriestothe
ExecutiveJudgewithinthefirstten(10)days
ofthemonthfollowing
d. Failstoaffixtoacknowledgementsthedateof
expirationofhiscommission
e. Fails to submit his notarial register, when
filed,totheExecutiveJudge
f. Failstomakehisreport,withinareasonable
time,totheExecutiveJudge concerningthe
performanceofhisduties,asmayberequired
bythejudge.
g. Failstorequirethepresenceofaprincipalat
thetimeofthenotarialact
h. Fails to identify a principal on the basis of
personalknowledgeorcompetentevidence
i. Executes a false or incomplete certificate
underSec.5,RuleIV
j. Knowingly performs or fails to perform any
other act prohibited or mandated by these
Rules;
k. Commitsanyotherderelictionoractwhichin
the judgement of the Executive Judge
constitutes good cause for revocation of
commission or imposition of administrative
sanction.

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

 JUDICIAL ETHICS
Sources of Judicial Ethics: Supreme Court and Court of Appeals Justices
1. New Code of Judicial Conduct for the Philippine Natural-borncitizenofthePhilippines;
JudiciaryeffectiveJune1,2004.
Atleast40yearsofage;
2. Code of Judicial Conduct which became effective on
Musthavebeenfor15yearsormoreajudgeofalower
October20,1989.
courtorengagedinthepracticeoflaw;and
3. 1987 Constitution (Art. VIII [Judicial Dept.] Art XI
Must be a person of proven competence, integrity,
[Accountability of Public Officers], and Art III [Bill of
probityandindependence.
Rights])
4. NewCivilCodeofthePhilippines(Art.9,20,27,32,35,
Municipal Trial Court Judges
739,1491,2005,2029to2035and2046)
Regional Trial Court Judges
5. RulesofCourt(Rules71,135,137,139-8and140)
6. RevisedPenalCode(Articles204,205,206,and207) Natural-born citizen of Natural-born citizen of
7. Anti-GraftandCorruptionPracticesAct(RANo.3019) thePhilippines; thePhilippines;
8. CanonsofJudicialEthics(Adm.OrderNo.162) Atleast35yearsofage; Atleast30yearsofage;
9. Code of Professional Responsibility (with respect to For at least 10 years, Foratleast5years,has
judgesrelationwithlawyers) has been engaged in been engaged in the
the practice of law in practice of law in the
10. JudiciaryActof1948(RANo.296)
the Philippines or has Philippines of has held
11. JudiciaryReorganizationActor1980(BPBlg.129)
held a public office in public office in the
12. SupremeCourtDecision the Philippines, Philippines, requiring
13. ForeignDecisionon judicial ethicswhich are relevant requiring admission to admission to the
andpersuasive the practice as an practice of law as an
14. OpinionsofAuthoritiesinLegalandJudicialEthics indispensablerequisite. indispensablerequisite;
15. OtherStatutes Must be a person of Must be a person of
16. AdministrativeOrdersandSupremeCourtCirculars proven competence, proven competence,
integrity, probity and integrity, probity and
Importance of Judicial Ethics independence. independence.
Withoutit,nojudicialsystemcanwork.Itispreventive
ofanarchyandtyrannyforitisbothalegalandmoral
mechanism that keeps and maintains the trust and
confidence of the people in the judicial system and New Code of Judicial Conduct for the Philippine Judiciary (A.M.
ultimatelykeepsthepeaceandorderinthecommunity. No. 03-05-01-SC, 1 June 2004)
Iftheadministrationofjusticeisliberatedfromethical tookeffecton1June2004;
and moral rules, and isleft freewheeling, judges and inspired by the revised Bangalore Draft of the Code of
magistrates cannot be expected to be free, Judicial Conduct adopted by the Judicial Group on
independent,honest,diligent,andimpartial.Corollary, Strengthening Judicial Integrity in the Round Table
litigantswill notfindnorenjoy the cold neutrality of MeetingofChiefJusticesheldatthePeacePalace,inThe
independent, wholly-free, disinterested and impartial Hague,onNovember25-25,2002.
tribunals.
The Bangalore Draf is founded on the following principles
Definition: (a) A competent, independent and impartial judiciary is
Court - is a board or other tribunal which decides a essential if the courts are to fulfill their role in
litigationorcontest. upholdingconstitutionalismandtheruleoflaw;
Judge-isapublicofficerwho,byvirtueofhisoffice,is (b) Publicconfidenceinthejudicialsystemandinthemoral
clothedwithjudicialauthority. authority and integrity of the judiciary is of utmost
De Jure Judge importanceinamoderndemocraticsociety.
- anofficerofacourtwhohasbeenduly (c) Itisessentialthatjudges,individuallyandcollectively,
andlegallyelectedorappointed. respectandhonorjudicialofficeasapublictrustand
- Anofficerofthelawfullyvestedwithall strive to enhance and maintain confidence in the
of the powers and functions conceded judicialsystem.
underthelawtoajudge,whichrelateto
the administration of justice within the Significance of the New Code
jurisdictionoverwhichhepresides. itupdatesandcorrelatestheCodeofJudicialConductand
De Facto Judge theCanonsofJudicialEthicsandstressesthePhilippines
- anofficerwhoisnotfullyinvestedwithall solidaritywiththeuniversalclamorforauniversalcodeof
of the powers and duties conceded to judicialethics.
judges,butisexercisingtheofficeofjudge
undersomecolorofright. Superseding effect of the New Code on the Canons of Judicial
- Ajudgewhoinfoodfaithcontinuestoact Ethics and the Code of Judicial Conduct
andisrecognizedbycommonerrorafter Did not completely repeal the old Canons of Judicial
the abolition of his court by statute is Ethics (Administrative Order No. 162) adopted in the
deemedjudgedefactoofthenewcourt PhilippinesandtheCodeofJudicialConduct1989;
whichsucceedstothejurisdictionofthat Only when the New Code has specific provisions or
presidedoverhim. conceptscoveringthosefoundintheCanonsofJudicial
EthicsandtheCodeofJudicialConductthatthelatter
areconsideredsupersededtothatextent.
Inthe absence of specificprovisions, ordeficiency in
thenewCodethatcanbeappliedtoagivensituation,

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

 theCanonsofJudicialEthicsandtheCodeofJudicial Q: May a judge decide case son the basis of is personal beliefs or
Conductshallapplysuppletorily. what he considers to be substantial justice in a particular case
before him?
The New Code Of Judicial Conduct for the Philippines A: No. A judge should always apply the law in deciding cases
Judiciary is divided into 6 canons beforehim.Hemaynotsubstitutehispersonalbeliefsforwhat
(1)CANON1Independence; thelawstatesanddisregardthelatter,evenifhedisagreeswitha
(2)CANON2Integrity; particularlawordoctrineenunciatedbytheSupremeCourt.
(3)CANON3Impartiality;
(4)CANON4Propriety; Q: May a judge, in deciding a case, be guided by popular opinion
(5)CANON5Equality; for fear that his judgment might be criticized should he decide
(6)CANON6CompetenceandDiligence the other way?

CANON 1. INDEPENDENCE. A:No.Ajudgeisexpectedtodecidecasesonlyonthebasisof

applicablelawonthematter,notonanyotherextraneousfactors,
Judicialindependence isaprerequisite to the ruleof such as public opinion, personal convictions and partisan
lawandafundamentalguaranteeofafairtrial.Ajudge interests.
shall therefore uphold and exemplify judicial
independence in both its individual and institutional
aspects.(new provision) SECTION 2. In performing judicial duties, Judges shall be
Independence means freedom from the influence, independent from judicial colleagues in respect of decisions
guidanceorcontrolofothers.Appliedtolegalethics,it which the judge is obliged to make independently. (partly based
isreferredtoasjudicialindependence. on Canon 1 and Rule 1.03 of the Old Code)
The independence required of a judge covers both Lawyers are expected to lawfully influence/convince
individual independence and institutional judges by their pleadings and arguments. But for
independence. judges, they must not interfere or intervene in the
worksoftheirfellowjudges.
Everyjudgemustdecideindependently.
Individual Judicial Institutional Judicial Incollegialcourts,whiletheremaybediscussionand
Independence Independence exchangeofideasamongjusticeswhichideasmaysway
Asaperson,thejudge Asthecourt,nobranch one or the other, at the end of such discussion the
must be free from the of the government or judge must decide on the basis of his own sole
influences of other agencies thereof could judgment.
persons like members dictate upon it in the
of the family and performance of its SECTION 3. Judges shall refrain from influencing in any manner
friends. judicialduties. the outcome of litigation or dispute pending before another
No personal Mustmaintainandfight court or administrative agency. (taken from Rule 2.04 of the Old
relationship shall fortheinstitutionaland Code)
influence him todoor operational Ajudgewhotriestoinfluencetheoutcomeoflitigation
not to do what is independenceofcourts pending before another court not only subverts the
requested of him from the extraneous independenceofthejudiciarybutalsounderminesthe
whetherrightorwrong. influences or pressures peoplesfaithinitsintegrityandimpartiality.
Focuses on each arising from other Any attempt, whether successful or not, to influence
particular case and branchesoragenciesof the decision-making process of another judge,
seeks to insure the the government especiallyonewhoisoflowerrankandoverwhichhe
judgesabilitytodecide whether local or exercisessupervisoryauthority,isseriousmisconduct.
cases with autonomy foreign.
within the constraints Focuses on the SECTION 4. Judges shall not allow family, social, or other
ofthelaw. independence of the relationships to influence judicial conduct or judgment. The
judiciaryasabranchof prestige of judicial office shall not be used or lent to advance the
government and private interests of others, nor convey or permit others to
protects judges as a convey the impression that they are in a special position to
class. influence the judge. (Taken from Rule 2.03 of the Old Code
similar to Canon 1.2 of the Canons of Judicial Ethics)
Judges should ensure that their family members,
friends,associatesrefrainfromcreatingtheimpression
SECTION 1. Judges shall exercise the judicial function thattheyareinapositiontoinfluencethejudge.
independently on the basis of their assessment of the facts in Judgeshallnotlendtheprestigeofhisofficetoothers.
accordance wit ha conscientious understanding of the law, free
of any extraneous influence, inducement, pressure, threat or Judges family includes:
interference, direct or indirect, from any quarter of any reason Spouse;
(based on Rule 3.02 of the Old Code) Son/Daughter-in-Law;
Judgesshouldnotbeswayedbythepressureofpublic Anyotherrelativebyconsanguinityoraffinitywithinthe6 th
opinion. civildegree;
A judge who gives in to pressure loses his Anypersonwhoisacompanionoremployeeofthejudge
independence. andwholivesinthejudgeshousehold.
A judge is expected to be fearless in the pursuit of
renderingjustice,toresisttemptations. Judges should ensure that their family members, friends and
associatesrefrainfromcreatingtheimpressionthattheyareina
positiontoinfluencethejudge.Judgesshould,therefore,atall

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

 timesremindthemselvesthattheyarenotinthejudiciaryto
giveoutfavorsbuttodispensejustice.Theyshouldalsomakeit
cleartothemembersoftheirfamily,friendsandassociatesthat
theywillneitherbeinfluencedbyanyone,norwouldtheyallow
anyonetointerfereintheirwork.
SECTION 5. Judges shall not only be free from inappropriate
connections with, and influence by, the executive and legislative
branches of government, but must also appear to be free
therefrom to a reasonable observer. (new section based on
jurisprudence)
Rationale:toprotecttheindependenceandseparation
of the judiciary from the two other branches of
government.
SECTION 6. Judges shall be independent in relation to society in
general and in relation to the particular parties to a dispute
which he or she has to adjudicate. (new section inspired by
Canon 30 of the Code of Judicial Ethics)
Itisdesirablethatthejudgeshould,asfarasreasonably
possible,refrainfromallrelationswhichwouldnormally
tend to arouse suspicion that such relations warp or
biashisjudgment,andpreventanimpartialattitudeof
mind in the administration of judicial duties. Judges
shouldnotfraternize with litigantsand theircounsel;
theyshouldmakeaconsciousefforttoavoidthemin
ordertoavoidperceptionthattheirindependencehas
beencompromised.
It is not however necessary that they totally live in
seclusion like hermits. They may still commingle in
societybutwithlimitations.Theymustnotcompromise
theirindependence.
SECTION 7. Judges shall encourage and uphold safeguards for
the discharge of judicial duties in order to maintain and enhance
the institutional and operational independence of the judiciary.
(new provision, based on jurisprudence)
SECTION 8. Judges shall exhibit and promote high standards of
judicial conduct in order to reinforce public confidence in the
judiciary which is fundamental to the maintenance. (partly
taken from Rule 2.01 of the Old Code)
Therecanbenosureguaranteeofjudicialindependencethatthe
characterofthoseappointedtotheBench.
Thejudgeshouldalwaysbeimbuedwithahighsenseofdutyand
responsibilityinthedischargeofhisobligationtopromptlyand
properlyadministerjustice.Hemustviewhimselfasapriestfor
the administration of justice is akin to a religious crusade.
(Dimatulac v Villon, GR No. 127107, Oct 12, 1998)
THE JUDGES
Who are good judges?
Goodjudgesaredescribedasthosewho:
1. Havethemasteryoftheprinciplesoflaw;
2. Dischargetheirdutiesinaccordancewithlaw;
3. Arepermittedtoperformthedutiesoftheoffice
undeterredbyoutsideinfluence;and
4. Areindependentandself-respecting,humanunits
inajudicialsystemequalandcoordinatewiththe
other two departments of the government.
(Borromeo v Mariano GR No. 16808 Jan 3, 1921)
CANON 2. INTEGRITY
Integrityisessentialnotonlytotheproperdischargeof
thejudicialofficebutalsotothepersonaldemeanorof
judges.(based on Rule 1.01 of the Old Code)
Integrity isa steadfastadherencetoastrictmoralor
ethicalcode.Itismoral uprightness.
Judgesshouldendeavorto conductthemselvesstrictly
inaccordancewiththemandateoftheexistinglawsand
CodeofJudicialEthics thattheybeexemplarsintheir
communities and the living personification of justice
andRuleofLaw.
Bothinhispublicandprivatelife, thejudgemustlive
honestlyanduprightlybeingthevisiblerepresentation
ofthelaw.
Judgesmustnotonlybegoodjudgesbutmustappear
asgoodpersons.
Judges are presumed to be honest and men of integrity unless
proven otherwise.
Thehighqualificationrequiredoflawyerstobecomejudges
explainsthegoodandfavorablepresumption.
Whenajudgehasintegrity,itispresumedthathehasthe
virtues of impartiality, propriety, equality and
independence.
SECTION 1. Judges shall ensure that not only is their conduct
above reproach, but that it is perceived to be so in the view of a
reasonable observer. (new provision impaired by Canon 31 of
the Old Code)
A judges official conduct and behavior in the
performanceofjudicialdutiesshouldbefreefromthe
appearance of impropriety and must be beyond
reproach.Evenhispersonalbehaviorinhiseverydaylife
shouldbebeyondreproach.
Ajudgesconductshouldbefreefromtheappearance
ofimproprietynotonlyinhisofficialdutiesbutinhis
everydaylife.Onewholivesbythepreceptthatmight
isrightisunworthytobeajudicialofficer.
SECTION 2. The behavior and conduct of judges must reaffirm
the peoples faith in the integrity of the judiciary. Justice must
not merely be done but must also be seen to be done. (based
partly on Rule 2.01 of the Old Code)
Because appearance is as important as reality in the
performanceofjudicialfunctions,likeCeasarswife,a
judgemustnotonlybepurebutbeyondsuspicion.A
judge has the duty not only to render a just and
impartialdecision,butalsorenderitinsuchamanner
astobefreefromanysuspicionastoitsfairnessand
impartialityandalsoastothejudgesintegrity.
Judgesandjusticesmustnotonlybeproficientinboth
thesubstantiveandproceduralaspectsofthelaw,but
more importantly, they must possess the highest
integrity, probity and unquestionable moral
uprightness,bothintheirpublicandprivatelives.
Some instances of Improprieties
a. Conducting in-chambers sessions with one party
withoutthepresenceoftheotherpartyofhiscounsel.
b. Makingthecourtroomasagamblingplace.
c. Practicinglawbyacceptingcasesofindividuals.
d. Maliciouslykissingafemalesubordinate.
e. Habitually tardiness which amount to serious
misconductandinefficiency.
f. Slappingofcourtpersonnel.
g. Non-paymentofjustdebt.
SECTION 3. Judges should or initiate appropriate disciplinary
measures against lawyers or court personnel for unprofessional
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
conduct of which the judge may have become aware. (taken
from Rule 3.10 of the Old Code)
Judgesmaydisciplinelawyersandcourtpersonnelfor
unprofessionalconduct.
Thejudgemaysummarilypunishanypersonincluding
lawyers and court personnel, for direct contempt for
misbehaviorcommittedinthepresenceoforsoneara
court or a judge as to obstruct or interrupt the
proceedingsbeforethesame.(Rule71,ROC)
The judge may also punish any person from indirect
contemptafterappropriatechargeandhearingwhois
guiltyoftheactsenumeratedunderSection12,Rule71
oftheRulesofCourt.
CANON 3. IMPARTIALITY
Impartialityisessentialtotheproperdischargeofthe
judicialoffice.Itappliesnotonlytothedecisionitself
butalsototheprocessbywhichthedecisionismade.
(based on Rule 2.01 and Canon 3 of the Old Code)
Impartialityisastateofmindofthejudgewherethere
is no consciousness or sense of favor for, bias or
prejudiceagainstanypartyinacase.
Whenajudgeisimpartial,hedecideswithoutregardto
thepersonalitiesinvolved,hetreatspartiesequallyand
fairlyheresolvesthecasesbasedontheweightofthe
evidencepresentedandadmittedandappliesthelaw
applicable to the facts established and not by the
influenceorlackofinfluenceofthepartiesinvolved.
Q: Impartiality applicable only to the decision rendered by the
judge?
A: No. Impartiality is essential to the proper discharge of the
judicialoffice.Itappliesnotonlytothedecisionitselfbutalsoto
theprocessbywhichthedecisionismade.
Q: What is the principle of cold neutrality of an impartial judge?
A:
A judge should not only render just, correct, and
impartial decisionbutshoulddosoinamannerfree
from suspicion as to his fairness, impartiality and
integrity. This is an indispensable requisite of due
process.(Rallos v Gako, A.M. No. RTJ-98-1484, Mar. 17,
2000)
Note: A judge has both the duty of rendering a just
decision and the duty of doing it in a manner
completelyfreefromsuspicionastohisfairnessandas
tohisintegrity.
SECTION 1. Judges shall perform their judicial duties without
favor, bias or prejudice (based on jurisprudence)
Justliketheladywhosymbolizesthestatuetteofjustice
who is blindfolded, the judge does not look at the
persons of the parties but only on the weight of
evidenceonthescaleandtheapplicablelawhemust
evincethecodneutralityofadisinterestedmagistrate
with a duty to apply the law without fear or favor,
maliceorprejudicetoanyone.
Note:Notatudignumisthepresumptionofregularityin
the performance of a judges functions, hence, bias,
prejudiceandevenundueinterestcannotbepresumed,
especially weighedagainstajudgesscared obligation
under oath of office to administer justice without
respecttoanypersonanddoequalrighttothepoor
andtherich.
Q: Who has the burden of proof to show bias prejudice?
A:
Theburdenofprooflieswiththecomplainanttoshowthat
thereisbiassufficienttobeagroundforinhibition.
Note:thereisbiasorprejudicewhentheresultingopinion
is based upon an extrajudicial source: that is, some
influence other than the facts and law presented in the
courtroom.
Q: What is the degree of proof required to prove bias and
prejudice on the part of the judge?
A:Thecomplainantmustprovethesamebyclearandconvincing
evidence since allegations of bias are quite serious. Mere
allegationsarenotsufficienttoconstituteaviolationoftherule.
SECTION 2. Judges shall ensure that his or her conduct both in
and out of court, maintains and enhances the confidence of the
public, the legal profession and litigants in the impartiality of
the judge and of the judiciary. (partly based on Canon 2 of the
Old Code.)
Tomaintainandenhancetheimpartialityofthejudge
whichgiveshimthecredibilityandmoralascendancyto
dispensejusticefairlytothepeople,hemustalwaysact
bothinhispublicandprivatelifewithdignity,honesty,
competence,andindependence.
Ajudgeshouldnotonlypossessproficiencyinlaw,but
shouldlikewisepossessmoralintegrityforthepeople
lookuptohimasavirtuousanduprightman.
The people who run the judiciary, particularly
judgesandjustices,mustnotonlybeproficientin
boththesubstantiveandproceduralaspectsofthe
law, butmoreimportantly,they mustpossessthe
highest integrity, probity, and unquestionable
moraluprightness,bothintheirpublicandprivate
lives. Onlythencanthepeoplebereassuredthat
the wheels of justice in this county run with
fairnessandequity,thuscreatingconfidenceinthe
judicialsystem.
SECTION 3. Judges shall, so far as is reasonable, so conduct
themselves as to minimize the occasions on which it will be
necessary for them to be disqualified from hearing or deciding
cases. (based on Canon 5 and Rule 5.02)
Judgesshouldavoidactivitiesonoccasionswhich
willincreasepossibilityofbeingdisqualifiedfrom
hearingordecidingcases.
Fraternizationwithpracticinglawyersandlitigants
is replete with detriments and drawbacks in the
administrationofjustice.Evenwhenthejudgehas
rendereddecisionhappentowin,thejudgewillbe
underheavysuspicionthatheactedwithpartiality
or unfairly. The suspicion becomes a seed of
distrust in the mind of the public ultimately
erodingthepublicconfidenceinthejudgeandin
thejudicialsystemitself.
SECTION 4. Judges shall not knowingly, while a proceeding is
before, or could come before, them make any comment that
might reasonably be expected to affect the outcome of such
proceeding or impair the manifest fairness of the process. Nor
shall judges make nay comment in public or otherwise that
might affect the fair trial of any person or issue. (based on rule
2.02 and 1.07 of the Old Code.)
Ajudgeslanguagebothwrittenandspoken,mustbe
guardedandmeasured,lestthebestofintentionsbe
misconstrued. (Fecundo v Barjamen, GR No. 88105,
December18,1989)
ThisSectionwarnsjudgesagainstmakinganycomment
that might reasonably be expected to affect the
outcomeoftheproceedingsbeforethemofthosethat
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 thejudgemaylaterdecidebutnotyetbeforehimor unsubstantial, the judge may then participate in the proceeding.
impairthemanifestfairnessoftheprocess. The agreement, signed by all parties and lawyers, shall be
incorporated in the record of the proceedings. (based on Rule
Public comment or statement by judges, which might affect fair 3.13 of the Old Code)
trial of cases, must be avoided.
DISQUALIFICATION INHIBITION
Judgesshouldavoidsideremarks,hastyconclusions,loose 1. There are specific grounds 1. The rule only provides
statementsorgratuitousutterancesthatsuggesttheyare enumerated under the Rules of broadbasisforinhibition.
prejudgingacase.Judgesshouldbeawarethatthemedia Courtfordisqualification.
mightconsiderthemagoodandcrediblesourceofopinion 2. Judicial officer has no 2. The matter is left to the
or ideas, and therefore should refrain from making any discretiontositortrythecase. sound discretion of the
commentonapendingcase.Notonlyistheredangerof judge.
beingmisquoted,butalsoofcompromisingtherightofthe
litigantsinthecase. Mandatory or Compulsory Voluntary Inhibition
Disqualification
SECTION 5. Judges shall disqualify themselves from participating a. Whenheorhiswifeor A judge may, in the
in any proceedings in which they are unable to decide the his child is pecuniarily exercise of his sound
matter impartially or in which it may appear to a reasonably interested as heir, discretion disqualify
observer that they are unable to decide the matter impartially. legatee, creditor or himself, for just and
Such proceedings include, but are not limited to, instances otherwise; valid reasons other
where: (based on Rule 3.12 of the Old Code) b. When he is related to thanthosementioned
a) Thejudgehasactualbiasorprejudiceconcerninga either party within the above.
partorpersonalknowledgeofdisputedevidentiary 6th degree of
factsconcerningtheproceedings; consanguinityoraffinity
b) Thejudgepreviouslyservesasalawyerorwasa ortothecounselwithin
materialwitnessinthematterincontroversy. the4thcivildegree.
c) Thejudge,oramemberofhisorherfamily,hasan c. When he has been an
economicinterestintheoutcomeofthematterin executor, guardian,
controversy. administrator, trustee
d) The judges served as executor, administrator, orcounsel.
guardian,trusteeorlawyerinthecaseormatterin d. When he has presided
controversy, or a former associate of the judge in an inferior court
servedascounselduringtheirassociationorthe where his ruling or
judgeorlawyerwasamaterialwitnesstherein; decision is subject to
e) Thejudgesrulinginalowercourtisthesubjectof review.
review.
f) Thejudgeisrelatedbyconsanguinityoraffinityto
apartylitigantwithinthesixthcivildegreeorto Q: What is the procedure for disqualification/inhibition?
counselwithinthefourthcivildegree;or A:Section2,Rule137oftheRulesofCourtprovides:
g) Thejudgeknowsthathisorherspouseorchildhas Sec.2Objection that judge disqualifies, how made and effect.- If
financial interest, as heir, legatee, creditor, itbeclaimedthatanofficialisdisqualifiedfromsittingasabove
fiduciary, or otherwise, in the subject matter in provided,thepartyobjectingtohiscompetencymay,inwriting,
controversyorinapartytotheproceeding,orany filewiththeofficialhisobjection,statingthegroundstherefor,
otherinterestthatcouldbesubstantiallyaffected and the official shall thereupon proceed with the trial, or
bytheoutcomeoftheproceedings. withdrawtherefrom,inaccordancewithhisdeterminationofthe
question of his disqualification. His decision shall be forthwith
The Rule on inhibition and disqualification of judges is laid down madeinwritingandfiledwiththeotherpapersinthecase,but
in Section 1, Rule 1.37 of the Rules of Court. no appeal or stay shall be allowed from, or by reason of, his
Section1.Disqualification of judges- Nojudgeorjudicial decisioninfavorofhisowncompetency,untilafterfinaljudgment
officershallsitinanycaseinwhichhe,orhiswifeor inthecase.
child,ispecuniarilyinterestedasheir,legatee,creditor
orotherwise,orinwhichheisrelatedtoeitherparty Times when Petition for Disqualifications should be filed.
withinthesixthdegreeofconsanguinityoraffinity,orto The petition to disqualify a judge must be filed
counselwithinthefourthdegree,computedaccording beforerenditionofthejudgment,andcannotbe
totherulesofthecivillaw,orinwhichhehasbeen raised on appeal. Otherwise, the parties are
executor,administrator,guardian,trusteeorcounsel,or deemedtohavewaiveanyobjectionregardingthe
inwhichhehaspresidedinanyinferiorcourtwhenhis impartialityofthejudge.
ruingordecisionisthesubjectofreview,withoutthe
writtenconsentofallpartiesininterest,signedbythem Q: What is remittal of disqualification?
andenteredupontherecord. Ajudgedisqualifiedmay,insteadofwithdrawingfromthe
A judge may, in the exercise of his sound discretion, proceeding, disclose in the records the basis of
disqualifyhimselffromsittinginacase,forjustorvalid disqualification. If, based on such disclosure, the parties
reasonsotherthanthosementionedabove. andlawyers,independentlyofthejudgesparticipation,all
agree in writing that the reason for the inhibition is
SECTION 6. A judge disqualified as stated above may, instead of immaterialorinsubstantial;thejudgemaythenparticipate
withdrawing from the proceeding, disclose on the records the intheproceeding.Theagreement,signedbyallpartiesand
basis of disqualification. If, based on such disclosure, the parties lawyers, shall be incorporated in the record of the
and lawyers independently of the judges participation, all agree proceedings.
in writing that the reason for the inhibition is immaterial or

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015


CANON 4. PROPRIETY
Proprietyandtheappearanceofproprietyareessentialtothe
performanceofalltheactivitiesofajudge. (based on Canon 3 of
the Canons of Judicial Ethics)
Proprietymeansappropriateness
Itmustbeopenandmanifesttoareasonableobserver
Itisrequiredinalloftheactivitiesofasjudge
Section 1. Judges shall avoid impropriety and the appearance of
impropriety in all of their activities. (based on Canon 3 of the
Canons of Judicial Ethics)
Thepubicholdsjudgestohigherstandardsofintegrity
andethicalconductthanlawyersandotherpersonsnot
investedwithpublictrust.
Being the visible representation of law and justice,
judges should always conduct themselves within the
confinesofproperjudicialdeportmentandbehaveina
mannershortofreproach.
It prohibits not only actual impropriety but even the
mereappearanceofimpropriety.
Instances of Improprieties Committed by Judges
1. JudgegettingoutfromaprivateroominaResortwith
oneofhisladysubordinates
2. Judgepokinghisguntoanotherinarestaurantwhilein
astateofintoxication.
3. Fraternizingwithlitigants
4. HearingofaMotionwhileajudgewasonavacationin
hisroomaninimproperattire.
5. Judgeboxingadriver.
6. Maliciouslykissingapersonnelofthecourt
7. Borrowingmoneyfromalitigantwithoutintentionto
pay
8. Hurlingintemperatelanguageunbecomingofajudge
Section 2. As a subject of constant public scrutiny, judges must
accept personal restrictions that might be viewed as
burdensome by the ordinary citizen and should do so freely and
willingly. In particular, judges shall conduct themselves in a way
that is consistent with the dignity of the judicial office. (based
on jurisprudence)
Membership in the judiciary circumscribes ones
personal conduct and imposes upon him certain
restrictions,thefaithfulobservanceofwhich,isthe
price one has to pay for holding such a
distinguishedposition.Accordingly,amagistrateof
thelawmustcomporthimselfinamannerthathis
conductmustbefreeofawhiffofimpropriety,not
onlywithrespecttotheperformanceofhisofficial
duties,butalsotohisbehavioroutsidehissalaand
asaprivateindividual.Hisconductmustbeableto
withstandthemostsearchingpublicscrutiny,for
theethicalprinciplesandsenseofproprietyofa
judge.
Section 3. Judges shall in their personal relations with individual
members of the legal professions who practice regularly in their
court, avoid situations which might reasonably give rise to the
suspicion of appearance of favoritism or partiality.
Thissectionisdirectedatbolsteringtheprinciple
of cold neutrality of an impartial judge as it
requiresjudgestoscrupulouslyguardagainstany
act that may be construed as an expression of
basisinfavorofalitigant.
Note: Constant company with lawyer tends to
breedintimacyandcamaraderietothepointthat
favorstothefuturemaybeaskedfromthejudge
whichhemayfindithardtoresist.
Section 4. Judges shall not participate in the determination of a
case in which any member of their family represents a litigant or
is associated in any manner with the case.
This rule rests on the principle that no judge should
presideinacaseinwhichthejudgeisnotwhollyfree,
disinterested,impartialandindependent.
Section 5. Judges shall not allow the use of their residence by a
member of the legal professions to receive clients of the latter
or of other members of the legal professions.
Itisimproperforjudgetoallowapractitionertoreceive
hisclientsinhis(judges)residence.
Such ascenariowillcreatethewrongimpressionthat
thejudgeandthelawyerarepartnersinpracticeof
law
Thereasonisthatjudgesarerequiredtoalwaysexhibit
coldneutralityofanimpartialjudge.
Section 6. Judges, like any other citizen, are entitled, to freedom
of expression, belief, association and assembly, but in exercising
such rights, they shall always conduct themselves in such a
manner as to preserve the dignity of the judiciary.
Judgesintheexerciseoftheircivilliberties,shouldbe
circumspect and ever mindful of their continuing
commitment to uphold the judiciary and as values
places upon them certain implied restraints to their
freedom.Ajudgewasadmonishedfortheappearance
ofengaginginpartisanpoliticswhenheparticipatedin
apoliticalrallysponsoredbyoneparty,eventhoughhe
only explained the mechanics of block voting to the
audience.
Section 7. Judges shall inform themselves about their personal
fiduciary financial interest and shall make reasonable efforts to
be informed about the financial interests of members of their
family.
A judge shall refrain from financial and business
dealings that tend to reflect adversely on the courts
impartiality,interfere withtheproperperformance of
judicialactivities,orincreaseinvolvementwithlawyers
orpersonslikelytocomebeforethecourt.
TheycanbetterobservethedirectivesinSection4(A)
(h)ofRA6713(CodeofConductandEthicalstandards
for public officials and Employee) that public officials
andtheirfamiliesshallleadmodestlives.Publicofficials
and employees and their families shall lead modest
lives,appropriatetotheirpositionsandincome.They
shallnotindulgeinextravagantorostentatiousdisplay
ofwealthinanyform.
Section 8. Judges shall not use or lend the prestige of the judicial
office their private interests, or those of a member of their
family or of anyone else, nor shall they convey or permit others
to convey to influence them in the performance of judicial
duties.
The acts prohibited by the rule
a. Judges act of using judicial office to advance private
interests
b. Judges act of giving impression that he can be
influenced to use the judicial office to advance the
privateinterestofothers.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
Section 9. Confidential information acquired by judges in their
judicial capacity shall not be used or disclosed by for any other
purpose related to their judicial duties.
Theprohibitionwilldiscourageifnotstopjudgefrom
making business speculations in some business
ventures,thesecretsofwhichtheylearnedbyreasonof
theirpositionasjudges.
Section 10. Subject to the proper performance of judicial duties,
judges may:
a) Write,lecture,teachandparticipateinactivities
concerning the law, the legal system, the
administrationofjusticeorrelatedmatters;
b) Appearatapublichearingbeforeanofficialbody
concerned with matters relating to the law, the
legalsystem,andtheadministrationofjusticeor
relatedmatters.
c) Engageinotheractivitiesifsuchactivitiesdonot
detract from the dignity of the judicial office or
otherwise interfere with the performance of
judicialduties.
Thissectionallowsthejudgetoparticipateinlegalacademiaand
publicdiscourseonlegalmatterswiththeprovisothatthereshall
be no interference in the performance of the judges primary
functionswithrespecttohisorherjurisdiction.Indealingwith
themediahowever,theacrimoniousdebatewithreportersand
thepublic,forakneejerkreactionfromthecourtorjudgemay
onlyprovokenegativefollow-upreportsandarticles.
Thissectionstoleranceofjudicially-relatedactivitiesislimitedby
Sec. 12,Article VIII of the Constitution, which prohibitsjudges
frombeingdesignatedtoanyagencyperformingquasi-judicialor
administrativefunctions.
Section 11. Judges shall not practice law while the holder of
judicial office.
Thisprohibitionisbasedontheinherentincompatibility
oftherights,dutiesandfunctionsoftheofficeofan
attorneywithpowers,dutiesandfunctionsofajudge.
Note: Sec.35ofRule 1.38 of the Rulesofthe Court
prohibitsjudgesfromengaginginthepracticeoflawor
givingprofessionaladvicetoclients.
Philippinecourtsnotonlyprohibitjudgesfromovertly
representingclientsascounselofrecord,butalsofrom
actingmoresubtlyinawaymorebefittinganadvocate
thanajudge.
Section 12. Judges may form or join associations of judges or
participate in other organizations representing the interests of
judges.
This rule recognizes the difference between
membershipinassociationsofjudgesandmembership
in associations of other legal professionals. While
attendance at lavish events hosted by lawyers might
create an appearance of impropriety, participation in
judges-onlyorganizationsdoesnot.
Section 13. Judges and members of their families shall neither
ask for, nor accept, any gif, bequest, loan or favor in relation to
anything done or to be done or omitted to be done by him or
her in connection with the performance of judicial duties.
Gif-referstoathingorrighttodisposeofgratuitously,or
anyactofliberality,infavorofanotherwhoacceptsit,and
shall include a simulated sale or ostensibly onerous
dispositionthereof. Itshallnotincludeunsolicitedgiftof
nominalorinsignificantvaluenotgiveninanticipationof,or
inexchangefor,afavorfromapublicofficialoremployee.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
Loan -Coversbothsimpleloanandcommodatumaswellas
guarantees, financing arrangements or accommodations
intendedtoensureitsapproval.
Favor -refertoanybenefitoradvantagereceivedfroma
personnotrelatedtothejudgewhichisnotincludedinthe
conceptofagiftorloan.
Section13shouldbereadinconnectionwithSection7(d)ofRA
6713(CodeofConductandEthicalStandardsforPublicofficials
and Employee0 which provides that public officials and
employeesshallnotsolicitoraccept,directlyorindirectly,any
gift, gratuity, favor, entertainment, loan or anything of money
valuefromanypersoninthecourseoftheirofficialdutiesorin
connection with any operation being regulated by, or any
transactionmaybeaffirmedbythefunctionsoftheiroffice.
Acceptance of Gifs, Bequests, Loans or Favors From Anyone is
Prohibited
There are many laws which prohibit a judge or any
publicofficerforthatmatter,toacceptgifts,bequests
orfavorsorloansfromanyone,exceptwhenprovided
bylaw.
o Bribery,IndirectandDirect(Articles210and
211oftheRVP)
o Anti-GraftandCorruptPracticesAct(RANo.
3019)
o VoidDonations(Article739oftheNewCivil
Code)
o Loans prohibited under the Constitution
(ArticleXI,Section16,1987Constitution)
Section 14. Judges shall not knowingly permit court staff or
others subject to their influence, direction or authority, to ask
for, or accept, any gif, bequest, loan or favor in relation to
anything done or to be done or omitted to be done in
connection with their duties or functions.
Thejudgecannotbeallowedtodoindirectlywhatheis
notallowedtododirectlybypermittingotherpersons
likehissubordinatesorstafftodoornottodooromit
todocertainactsinconsiderationofagift,bequest,
loanorfavor.Allwillbeliableunderthelaw.
Section 15. Subject to law and to any legal requirements of
public disclosure, judges may receive a token gif, award or
benefit as appropriate to the occasion on which it is made
provided that such gif, award or benefit might not reasonably
be perceived as intended to influence the judge in the
performance of judicial duties or otherwise give to an
appearance of partiality.
Judges are allowed to accept token gifts, awards, or
benefits when given as a consequence of a special
occasion.
To avoid misinterpretation, the Section describes the
gift as token gift to include that it is just a symbolic
gesture, it is not something of value given as
compensationorbribe.
CANON 5. EQUALITY
Ensuringequalityoftreatmenttoallbeforethecourtsis
essentialtothedueperformanceofthejudicialoffice.
Equality of Treatment.Thejudgemusttreatalllitigants
withequalityregardlessoftheirrace,nationality,sexor
religion. He should not play favorite. He cannot be
respectfultotherichbutdisrespectfultothepoor.
TheCanonrequiresequaltreatmenttoALLwhohave
legalbusinesstodowiththecourts.
Section 1. Judges shall be aware of and understand diversity in
society and differences arising from various sources, including,
but not limited to, race, color, sex, religion, national origin,
caste, disability, age, marital status, sexual orientation, social
and economic status and other like causes.
Byadheringtotheprincipleofequalitytoall,judges
shallnotentertainbiasorprejudicebyreasonofthe
race, color, sex, religion, age, marital status, sexual
orientation, social and economic status of litigants
seekingjusticeincourt.
Judges must treat all fairly and equally despite their stinking
diversitiesanddifferenceinmanyaspectsoftheirlifestatusand
experience.
Torendersubstantial justiceandmaintainpublicconfidencein
the judicial system, judges are expected to be aware of the
diversity in society that results from an increased worldwide
exchangeofpeopleandideas.
Ajudgemustbeabletorendersubstantialjusticeand
maintain public confidence in the judicial system, by
being aware of the diversity in society. With that
awareness,ajudgeshouldnotyieldtofirstimpression,
reachhastyconclusionsorprejudgematters.
Section 2. Judges shall not, in the performance of judicial duties,
by words or conduct, manifest bias or prejudice towards any
person or group on irrelevant grounds.
Magistrates of law must comport themselves at all
times in such a manner that their conduct, can
withstandthehighestlevelofpublicscrutiny.
Judges should avoid private remarks, hasty conclusions, or
distasteful jokes that may give even erroneous impressions of
prejudiceandleadthepublictobelievethatcasesbeforethem
arebeingprejudged.
Litigantsareentitledtonolessthanthecoldneutrality
ofanimpartialjudge.
Section 3. Judges shall carry out judicial duties with appropriate
consideration for all persons, such as the parties, witnesses,
lawyers, court staff and judicial colleagues, without
differentiation on any irrelevant ground, immaterial to the
proper performance of such duties.
Asarbitersofthelaw,judgesshouldbeconscientious,
studios, courteous, patient and punctual in the
dischargeoftheirjudicialdutiesrecognizingthattimeof
litigants,witnessesandcounselisofvalue.
Right attitude of judges to lawyers, litigants, witnesses and all
otherappearingbeforethecourt.
Judges should act with decorum toward lawyers,
parties,courtstaff,spectators,andalike.
Inaddressingcounsel,litigants,orwitnesses,thejudge
shouldavoidatonethatcreatesanimosity.
Judges should always be aware that disrespect to
lawyersgeneratesdisrespecttothem.There mustbe
mutualconcessionofrespect.
Respect is not a one-way ticket where the judge should be
respectedbutfreetoinsultlawyersandotherswhoappearinhis
court.
If the judge indulges in intemperate language, the
lawyer can return the attack on his person and
character through an administrative case against the
judge.
Patience, attention and courtesy to inexperienced lawyers is
speciallydirected.
Judgesmustmusterallthepatienceandattentionthey
couldinordernottodiscouragethebeginnersinthe
practice of law. Rather than battering them with
insultingremarksandembarrassingquestionssuchas
askingthemwhentheypassedthebarexaminations,or
from what schools they came from, the good judge
would rather courteously guide the youthful or
inexperienced lawyers withkind words of advice and
encouragement,inspiringthemintheprocesstostudy
harderandexcelinthefieldoflawyering.
Arroganceofjudgesmustberepressed
Judgesmustnoteventhinkorbelievethatlitigantsare
madeforthecourtsandnotthecourtsforthelitigants
It is a fundamental principle in our democratic system of
governancethatnoofficial,nomatterhowhighabovethelaw.
Section 4. Judge shall not knowingly permit court staff or others
subject to his or her influence, direction or control to
differentiate between persons concerned, in a matter before the
judge on any irrelevant ground.
Dutiesofjudgesunderthissection
1. To ensure that court personnel under their
supervision do not discriminate by dispensing
specialfavorsordisclosingconfidentialinformation
toanyunauthorizedperson,regardlessofwhether
such information came from authorized or
unauthorizedsources;and
2. Toorganizetheircourtstoensurethepromoteand
convenient dispatch of business and should not
tolerate misconduct by clerks, sheriffs and other
assistants who are sometimes prone to expect
favors or special treatment due to their
professionalrelationshipwiththejudge.
All personnel involved in the dispensation of justice should
conductthemselveswithahighdegreeofresponsibility.
Ajudgewhoknowinglypermithiscourtpersonnelor
otherssubjecttohiscontrol todothe above actsof
discrimination or differentiation will be committing a
breachoftheNewCode.
Section 5. Judges shall require lawyers in proceedings before the
court to refrain from manifesting, by words or conduct, bias or
prejudice based on irrelevant grounds, except such as are legally
relevant to an issue in proceedings and may be the subject of
legitimate advocacy.
Judgesshouldconductproceedingsincourtwithdignity
and in manner that reflects the importance and
seriousnessofproceedings.Theyshouldmaintainorder
andproperdecoruminthecourt.
Everycourthastheinherentpoweramongtheothers,
to preserve and enforce orders in its immediate
presence, to compel obedience to its judgements,
ordersandprocessesandtocontrol,infurtheranceof
justicetheconductofitsofficers.
ContemptofCourt
Judgesshouldtakeorinitiateappropriatedisciplinarymeasures
againstlawyersorcourtpersonnelforunprofessionalconductof
whichthejudgemayhavebecomeaware.
Judgescanorderlawyerstostopfromabusing,brow
beatingorharassingofunnecessarilyinconveniencing
witnesses.
Judgescanadmonishorevenholdincontemptofcourt
lawyers who persist in making disturbing acts or
mouthinglibelousstatementsincourt.
LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015
 Everyone,especiallyajudge,ispresumedtoknowthe
CANON 6- COMPETENCE AND DILIGENCE law-whenthelawissoelementary,nottobeawareof
itsconstitutesgrossignoranceofthelaw.
A judge upon assumption to office, becomes the visible
Note:Tomakejudgesliableforgrossignoranceofthelaw,itis
representation of law and of justice, hence, the Constitution
notenoughtoprovethattheyarereallynon-knowledgeableof
(Section7(3)ArticleVIII),prescribesthathemustbeapersonof
thelaw,itmustalsobeprovedthattheyweremotivatedbybad
proven competence as a requisite of his membership in the
faith, dishonesty, fraud, corruption and some other similar
judiciary.
motives.
Asmembersofthejudiciary,judgesoughttoknowthe
fundamental legal principles; otherwise, they are
susceptible to administrative sanction for gross
ignoranceofthelaw. (Heirs of Piedad v. Estrella, A.M.
No. RTJ- 09-2170, Dec. 16 2009)
Defenses in Charges of Gross Ignorance of the Law
Good faith, absence of malice, corrupt motives or
Section 1. The judicial duties of a judge take precedence over all
improperconsiderationaresufficientdefensesinwhich
other activities.
ajudgechargedwithignoranceoflawcanfindrefuge.
Primary duty of judges- to hear and decide cases
Rationale: As a matter of policy, in the absence of fraud,
broughttothemfortrialandadjudication
dishonesty and corruption, the acts of a judge in his official
Judges cannot malinger or refrain from their duty to
capacityarenotsubjecttodisciplinaryaction.
decidecomplicatedorcontroversialcases.Unlessthere
aeclearandvalidgroundsfortheirdisqualificationor
Serviceinthejudiciarymeansacontinuousstudyandresearchon
inhibition,theymustnotrecuseformsuchcases.
thelawfrombeginningtoend.Judgesareregulatedaspersons
learnedinthelaw.Ignoranceofthelawexcusesnoonehas
What are the duties of a judge under this section?
spreadapplicationtojudges.
1. Ajudgemustperformhisjudicialdutieswithregardtoa
Thoughgoodfaithandabsenceofmaliceorcorruption
casewhereheisnotdisqualifiedtodosoand,maynot
aresufficientdefense,suchdoesnotapplywherethe
divesthimselfofsuchcaseifheisnotsodisqualified;
issuesaresosimpleandtheapplicablelegalprinciples
and
evidentandbasicastobebeyondpossiblemarginof
2. Ajudgeshallnotinhibithimselfsimplytoavoidsitting
error.
ondifficultorcontroversialcases.

Section 4. Judges shall keep themselves informed about

Section 2. Judges shall devote their professional activity to
relevant developments of international law, including
judicial duties, which include not only the performance of
international conventions and other instruments establishing
judicial functions and responsibilities in court and the making of
human rights norms.
decisions, but also another tasks relevant to the judicial office or
The competence of Philippine judges must not be
the courts operations
confinedtodomesticlawsandjurisprudence.
Ajudgedoesnotonlyhearanddecidecases,butalso
Norms of the international Law has become the
performs other important tasks like the management
concern of judges because they form part of legal
andsupervisionofcourtpersonnelandoperations.
standards by which then competence and diligence
Keepingofrecordsofcaseswhichisnotaneasytaskis
requiredbytheNewCodeofJudicialConductaretobe
underhissupervision.Lossofrecordsmaybeattributed
measured.
tohisnegligenceandlackofmanagerialskillforwhich
hemaybeliableadministratively.
Section 5. Judges shall perform judicial duties, including the
delivery of reserved decisions efficiently, fairly and with
Asanadministrativeofficerofthecourt,ajudgeshouldorganize
reasonable promptness.
andsupervisethecourtpersonneltoensurepromptandefficient
dispatchofbusinessandrequireatalltimestheobservanceof
PurposeoftheCanon
highstandardsofpublicserviceandfidelity.
It is intended to implement the provision of the
Ajudgeisexpectedtoensurethattherecordsofthe
Constitutionwhichmakesitthejudgesdutytodecide
cases assigned to his sala are intact. There is no
cases promptly and to gibe parties to a suit the
justificationformissingrecordssavefortuitousevents.
enjoyment oftheirrightto the speedy dispositionof
theircases.
Section 3. Judges shall take reasonable steps to maintain and
enhance their knowledge, skills and personal qualities necessary
Constitutional Provision on Period of Adjudication of Cases-
for the proper performance of judicial duties, taking advantage
Section 15, Article VIII of the Constitution
for the purpose of the training and other facilities which should
Section15
be made available, under judicial control, to judges.
(1)Allcasesormattersfiledaftertheeffectivityofthis
Onewhoacceptstheexaltedpositionofajudgeowes
Constitution must be decided or resolved within 24
the public and the Court the duty to maintain
monthsfromdateofsubmissionfortheSupremeCourt,
professional competence at all times. When a judge
andunlessreducedbytheSC,12monthsforalllower
display an utter lack of familiarity with the rules, he
collegiatecourts,andthreemonthsforallotherlower
erodes the confidence of the public in the courts. A
courts.
judge owes the public and the Court the duty to be
(2) A case or matter shall be deemed submitted for
proficientinthelawandisexpectedtokeepabreastof
decision or resolution upon the filing of the last
lawsandprevailingjurisprudence.Ignoranceoflawbya
pleading,brief,ormemorandumrequiredbytheRules
judgeeasilybethemainspringofinjustice.
oftheCourtorbytheCourtitself.
(3)Upontheexpirationofthecorrespondingperiod,a
IgnoranceoftheLawexcusesnoone-Ignoranceoftheawwhich
certificationtotheeffectsignedbytheChiefJusticeor
everyoneisboundtoknow,excusesnoone-muchmoresojudges

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

 thepresidingjudgeshallforthwithbeissuedandacopy
thereofattachedtotherecordofthecaseormatter,
andservedupontheparties.Thecertificationshallstate
whyadecisionorresolutionhasnotbeenrenderedor
issuedwithinsaidperiod.
(4)Despitetheexpirationoftheapplicablemandatory
period, the court, without prejudice to such
responsibility as may have been incurred in
consequencethereof,shalldecideorresolvethecaseor
matter submitted thereto for determination without
furtherdelay.

Judgesmustcomplywiththereglementaryperiodwithinwhich
todecidecases.
NolessthantheConstitutionmandateslowercourtsto
resolveordecidecaseswithinthreemonthsafterthey
havebeensubmittedfordecision.
Therequirementthatjudgesmustdecidecaseswithin
thespecifiedperiodisintendedtopreventdelayinthe
administrationofjustice.Forjusticedelayedisjustice
denied.
Delayinthedispositionofcasesimpairsthefaithand
confidenceofthepeople,specificallythelow-income
group,inthejudiciary.

Remedy if cases could not be resolved within the prescribed

period
Upon proper application, and in meritorious cases,
especiallythoseinvolvingdifficultquestionsoflawor
complex issues, the SC allows lower court judges
additionaltimetodecidebeyondtheninety-dayperiod.
Inshort,anapplicationorrequestforextensionoftime
isnecessary.
Judges by themselves cannot extend the period for
deciding cases beyond that authorized by law- the
extensionmustfirstbeapprovedbytheSC.

Section 6. Judges shall maintain order and decorum in all

proceedings before the court and be patient, dignifies and
courteous in relation to litigants, witnesses, lawyers and others
with whom the judge deals in an official capacity. Judges shall
require similar conduct of legal representatives, court staff and
others subject to their influence, direction or control.
Theidealjudgeisonewholooks,talksanddresseslike
onewithdecencyandrespectability.Heisacomplete
gentleman proficient in law, upright, fearless, honest
and dedicated to the cause of law as dispenser of
justice.

Section 7. Judges shall not engage in conduct incompatible with

the diligent discharge of judicial duties.
Thissectionisanall-encompassingrulewhichwillcover
allformsofconductofjudgesnotcoveredexplicitlyby
theOldorNewCodewhichmustbeavoided.Someacts
arenotillegal,butiftheywillruninconflictwiththe
efficient discharge of judicial duties, they must be
avoided.

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015

March 5 Bea

LEGAL ETHICS BY Atty. Louie John Lood|CompiledbyLSGEH4102015