Legal and Judicial Ethics Proper, Index, Biblio

Legal Ethics - practice of law
Q: What constitutes practice of law?

L E G A L E T H I C S.
A: Practice of law means any activity, in or out of
court, which requires the application of law, legal
Q: What is legal ethics? procedure, knowledge, training, and experience.
“To engage in the practice of law is to perform
A: It is a branch of moral science which treats of those acts which are characteristics of the
the duties which an attorney owes to the court, profession. Generally, to practice law is to give
to his client, to his colleagues in the profession notice or render any kind of service, which device
and to the public as embodied in the Constitution, or service requires the use in any degree of legal
Rules of Court, the Code of Professional knowledge or skill.” (Cayetano v. Monsod, G.R.
Responsibilities, Canons of Professional Ethics, No. 100113, Sept. 3, 1991)
jurisprudence, moral laws and special laws.
(Justice George Malcolm) (1993, 1996 Bar Q: Who is a practicing lawyer?
Question)
A: A practicing lawyer is one engaged in the
Q: What are the sources of ethical standards in practice of law, who by license is an officer of the
the Philippine judiciary? court and is empowered to appear, prosecute and
defend a client’s cause.
A:
1. Primary A practicing lawyer is a member of the Philippine
a. Bar Bar who appears for and in behalf of parties in
i. Canons of Professional Ethics courts of law and quasi-judicial agencies.
ii. Code of Professional Responsibility
Q: What does the term “practicing lawyer”
b. Bench include?
i. Canons of Judicial Ethics
ii. Code of Judicial Ethics A: It includes:
iii. New Code of Judicial Conduct for
the Philippine Judiciary 1. Government employees and incumbent
elective officials not allowed by law to
c. Other personnel – Code of Conduct practice.
for Court Personnel 2. Lawyers who by law are not allowed to
appear in court;
2. Secondary 3. Supervising lawyers of students enrolled in
a. Decisions/resolution of the Supreme law student practice in duly accredited
Court legal clinics of law schools and lawyers of
b. Supreme Court Circulars Non-Government Organizations (NGOs)
c. Order/resolution of other courts and People’s Organizations (POs) who by
d. IBP Issuances the nature of their work already render
free legal aid to indigent and pauper
Q: “What is legal is moral.” State your comment litigants; and
on the correctness or incorrectness of this 4. Lawyers not covered under subparagraphs
proposition. (i) to (iii) (of Sec. 4, B.M. 2012) including
those who are employees in the private
A: The statement is not necessarily correct. There sector but do not appear for and in behalf
are several acts of a lawyer, which may be legal of parties in courts of law and quasi-
but not necessarily moral. This is precisely the judicial agencies.
purpose of the legal ethics, which governs the
ethical and moral behavior of a lawyer. (1993 Bar Q: Differentiate bar from bench.
Question)
A:
Bar refers to the whole Bench refers to the
I. PRACTICE OF LAW body of attorneys and whole body of
counselors, judges.
collectively, the
A. CONCEPTS members of the legal
profession
1
ACADEMICS CHAIR: LESTER JAY ALAN E. FLORES II
VICE CHAIRS FOR ACADEMICS: KAREN JOY G. SABUGO & JOHN HENRY C. MENDOZA U N I V E R S I T Y O F S A N T O T O M A S
VICE CHAIR FOR MANAGEMENT AND FINANCE: JEANELLE C. LEE Facultad de Derecho Civil
VICE CHAIRS FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN & THEENA C. MARTINEZ
UST Golden Notes 2011
Q: What is a bar association? appointing him. His authority is provided in a

special power of attorney or general power of
A: It is an association of the members of the legal attorney or letter of attorney. He is not
profession like the IBP where membership is necessarily a lawyer.
integrated or compulsory.
Q: Who is an attorney of record?
Q: Who is an amicus curiae?
A: Attorney of record is an attorney whose name
A: An amicus curiae is an experienced and is entered in the records of an action or suit as
impartial attorney invited by the court to appear the lawyer of a designated party thereto.
and help in the disposition of the issues
submitted to it. It implies friendly intervention of Q: Who is a counsel/attorney de officio?
counsel to call the attention of the court to some
matters of law or facts which might otherwise A: A counsel/attorney de officio is an attorney
escape its notice and in regard to which it might appointed by the court to defend an indigent
be wrong. Amicus curiae appears in court not to defendant in a criminal action. (1998 Bar
represent any particular party but only to assist Question)
the court. (plural: Amici Curiae) (1993, 1996, 1998
Bar Question) Note: In a criminal action, if the defendant appears
without an attorney, he must be informed by the
Q: What is amicus curiae par excellence? court that it is his right to have an attorney before
being arraigned and must be asked if he desires the
A: It is a bar association who appears in court as aid of an attorney. If he desires and is unable to
amicus curiae or a friend of the court. It acts employ an attorney, the court must assign a counsel
merely as a consultant to guide the court in a de officio to defend him. He is also designated as
doubtful question or issue pending before it. counsel of indigent litigants. The appointment of a
counsel de officio in that instance is a matter of right
on the part of the defendant.
Q: What is assumpsit?
On appeal in criminal cases, the appellate court must
A: Literally means “he has undertaken”. It is an also appoint a counsel de officio if, as shown by the
action for the recovery of damages by reason of certificate of the clerk of court of the trial court, a
the breach or non performance of a simple defendant is confined in prison or without means to
contract, either express or implied, or whether employ an attorney or desires to be defended de
made orally or in writing. Assumpsit was the word officio. (Secs. 6-8, Rule 116 and Sec. 13, Rule 122)
always used in pleadings by the plaintiff to set
forth the defendant’s undertaking or promise. Q: Who is a counsel de parte?
(2006 Bar Question)
A: Private counsel of a party, secured by him,
Note: Claims in action of assumpsit were ordinarily without intervention from the government.
divided into (a) common or indebitatus assumpsit,
brought usually on an implied promise, and (b) Q: Who is an in-house or house counsel?
special assumpsit, founded on an express promise.
A: He is one who acts as attorney for business
Q: Who is an attorney ad hoc? though carried as an employee of that business
and not as an independent lawyer.
A: Attorney ad hoc is a person appointed by the
court to defend an absentee defendant in the suit Q: Who is a lead counsel?
in which the appointment was made.
A: A lead counsel is a lawyer on either side of a
Q: Distinguish attorney-at-law from attorney in litigated action who is charged with the principal
Fact. management and direction of a party’s case, as
distinguished from his juniors or subordinates.
A: Attorney-at-law is that class of persons who
are licensed officers of the court empowered to Q: Who is an Of Counsel?
appear, prosecute and defend, and upon whom
peculiar duties, responsibilities and liabilities are A: He is an experienced lawyer, usually a retired
developed by law as consequence, while an member of the judiciary, employed by law firms
attorney in fact is simply an agent whose as consultants.
authority is strictly limited by the instrument
2
LEGAL ETHICS TEAM:
ADVISER: JUDGE PHILIP A. AGUINALDO & ATTY. MARIAN JOANNE K. CO- PUA
SUBJECT HEAD: THEENA C. MARTINEZ; ASST. SUBJECT HEADS: JEANELLE C. LEE; DIVINE C. TEE
MEMBERS: MARINETH EASTER AN D. AYOS, MARC ROBY G. DE CHAVEZ, JOANNA PENADA, GRETCHEN C. SY
Q: What is pro se? lawyer for legal advice for purposes of

prosecuting or defending a suit in behalf and
A: It is an appearance by a lawyer in his own usually for a fee.
behalf. (1995 Bar Question)
Q: What is the nature of the practice of law?
Q: Who is a trial lawyer?
A: The practice of law is not a natural property or
A: A trial lawyer is one who personally handles constitutional right but a mere privilege. It is not a
cases in court, administrative agencies or boards right granted to anyone who demands it but a
and engages in actual trial work, either for the privilege to be extended or withheld in the
prosecution or for the defense of cases of clients. exercise of sound judicial discretion. It is in the
(2006 Bar Question) nature of a franchise conferred only for merit
which must be earned by hard study, learning and
Q: Who is a public prosecutor? good conduct. It is a privilege accorded only to
those who measure up to certain rigid standards
A: He is a quasi-judicial officer and as such, he of mental and moral fitness. Those standards are
should seek equal and impartial justice. He neither dispensed with nor lowered after
should be as much concerned with seeing that no admission. The attorney’s continued enjoyment
innocent man suffers as in seeing that no guilty of the privilege conferred depends upon his
man escapes. His primary duty is not to convict complying with the ethics and rules of the
but to see to it that justice is done. He should see profession.
to it that the accused is given fair and partial trial
and not deprived of any of his statutory or Q: Can the practice of law be a business?
constitutional rights. Consequently, the
suppression of facts or the concealment of A: No. The practice of law is a profession and not
witnesses capable of establishing the innocence a business as it is an essential part in the
of the accused is highly reprehensible and is administration of justice, a profession in pursuit
cause for disciplinary action. He should of which pecuniary reward is considered merely
recommend the acquittal of the accused whose incidental; it is a pursuit of learned art in the
conviction is on appeal, if he finds no legal basis interest of public service.
to sustain the conviction.
Q: Why is law a profession and not a trade?
Q: Who is a private prosecutor?
A: Law is a profession and not a trade because its
A: A private prosecutor may intervene in the basic ideal is to render public service and secure
prosecution of a criminal action when the justice for those who seek its aid. The gaining of a
offended party is entitled to indemnity and has livelihood is only a secondary consideration.
not waived expressly, reserved or instituted the (2006 Bar Question)
civil action for damages. All criminal actions
commenced by complaint or information shall be Note: But while the practice of law is a privilege, a
prosecuted under the direction and control of the lawyer cannot be prevented from practicing law
prosecutor. In case of heavy work schedule of the except for valid reasons, the practice of law not
public prosecutor or in the event of lack of public being a matter or State’s grace of favor. He holds
prosecutors, the private prosecutor may be office during good behavior and can only be
authorized in writing by the Chief of the deprived of it for misconduct ascertained and
Prosecution Office or the Regional State declared by judgment of the Supreme Court after
opportunity to be heard has been afforded him.
Prosecutor to prosecute the case subject to the
approval of the Court. Once so authorized to
prosecute the criminal action, the private Q: May a corporation practice law?
prosecutor shall continue to prosecute the case
up to the end of the trial even in the absence of A: No. It is well-settled rule that a corporation
the public prosecutor, unless the authority is cannot engage in the practice of law. It may,
revoked or otherwise withdrawn (Sec. 5 Rule 110 however, hire an attorney to attend to and
RRC as amended, May 1, 2002). conduct its own legal business or affairs. But it
cannot practice law directly or indirectly by
Q: Who is a client? employing a lawyer to practice for it or to appear
for others for its benefit because of the following
A: A client is one who engages the services of a reasons:
3
1. Nature of the privilege and on the B. QUALIFICATIONS

confidential and trust relation between
attorney and client. Q: Who may practice law?
2. A corporation cannot perform the A: Any person heretofore duly admitted as a

conditions required for membership in the member of the bar, or hereafter admitted as such
Bar, such as the possession of good moral in accordance with the provisions of the rule, and
character and other special who is in good and regular standing, is entitled to
disqualifications, the taking of an oath and practice law. [Sec. 1, Rule 138, Revised Rules of
becoming an officer of the court, subject Court (RRC)]
to its discipline, suspension or removal.
Q: A criminal case was filed against Atty.
3. The relation of trust and confidence Javellana which resulted to his arrest and
cannot arise where the attorney is temporary detention at the house of the clerk of
employed by a corporation to practice for court where his case was pending. Despite his
it, his employer and him owing, at best, a detention, Atty. Javellana continues with his
secondary and divided loyalty to the normal activities including his practice of law, in
clientele of his corporate employer. appearing as counsel for certain cases.
4. The intervention of the corporation is Can Atty. Javellana still engage in the practice of
destructive of that confidential and trust law despite his arrest and detention?
relation and is obnoxious to the law.
A: As a detention prisoner, Javellana is not
Q: State the essential criteria in determining allowed to practice his profession as a necessary
engagement in the practice of law. consequence of his status as a detention prisoner.
The trial court's order was clear that Javellana "is
A: C A H A not to be allowed liberty to roam around but is to
be held as a detention prisoner." The prohibition
1. Compensation – implies that one must to practice law referred to all other cases, except
have presented himself to be in the active in cases where Javellana would appear in court to
practice and that his professional services defend himself. (Pro Se)
are available to the public for
compensation, as a source of livelihood or All prisoners whether under preventive detention
in consideration of his said services. or serving final sentence can not practice their
profession nor engage in any business or
2. Application of law, legal principle, practice occupation, or hold office, elective or appointive,
or procedure which calls for legal while in detention. This is a necessary
knowledge, training and experience; consequence of arrest and detention. (People v.
Maceda, G.R. Nos. 89591-96, Jan. 24, 2000)
3. Habituality – implies customary or
habitually holding oneself out to the Q: Is a clerk of court allowed to practice law?
public as a lawyer. Practice of law is more
than an isolated appearance for it consists A: No, except if it is an isolated practice.
in frequent or customary action; and
Q: What are the requisites if a clerk of court
4. Attorney-Client relationship - engaging in wishes to practice law?
the practice of law presupposes the
existence of a lawyer-client relationship. A:
Thus, activities like teaching of law or 1. Written permission which must be
writing law books or articles which involve approved by the Supreme Court; and
no attorney-client relationship do not 2. Approved leave of absence with justifiable
qualify a lawyer as being engaged in the reasons.
practice of his profession as a lawyer.
Note: Notarial act is practice of law. Notarization of
a single document is not an isolated transaction
therefore a permit must be secured in order to
prevent the violation of law.
4
LEGAL ETHICS TEAM:
Q: Atty. Ladaga, a Clerk of Court, appeared as Q: What are the powers of the Supreme Court in
counsel for and in behalf of his cousin in a relation to regulating the practice of law?
criminal case for falsification of public
documents before the METC of Quezon City. The A: DPD-DRO-PEE
appearance of Atty. Ladaga in said case was 1. Define them;
without the previous permission of the Court. 2. Prescribe the qualifications of a candidate
and the subjects of the bar examinations;
Did Atty. Ladaga violate the Code of Conduct and 3. Decide who will be admitted to practice;
Ethical Standards for Public Officials and 4. Discipline, suspend or disbar any unfit and
Employees by engaging in private practice? unworthy member of the bar;
5. Reinstate any disbarred or indefinitely
A: Yes. "Private practice" of a profession, which is suspended attorney;
prohibited, does not pertain to an isolated court 6. Ordain the integration of the Philippine
appearance; rather, it contemplates a succession Bar;
of acts of the same nature habitually or 7. Punish for contempt any person for
customarily holding one's self to the public as a unauthorized practice of law;
lawyer. It is true that he filed leave applications 8. Exercise overall supervision of the legal
corresponding to the dates he appeared in court profession; and
but he failed to obtain a prior permission from 9. Exercise any other power as may be
the head of the Department. (Oca v. Atty. Ladaga, necessary to elevate the standards of the
A.M. No. P-99-1287, Jan. 26, 2001) bar and preserve its integrity.
Q: What branch of the government has the Q: Can the legislature enact laws to regulate the
power to admit persons in the practice of law? practice of the law?
A: The Constitution vests the power of control A: No. It is noteworthy that unlike the 1935 and
and regulation in the Supreme Court. The 1973 Constitution, the 1987 Constitution no
constitutional power to admit candidates to the longer provides for the power of the legislature to
legal profession is a judicial function and involves repeal, alter and supplement the Rules
the exercise of discretion. Petition to that end is promulgated by the Supreme Court.
filed with the Supreme Court as are other
proceedings invoking judicial function. (In Re: However, the legislature, in the exercise of police
Almacen, G.R. No. L-27654, Feb. 18, 1970) (1995 power may enact laws regulating the practice of
Bar Question) law to protect the public and promote public
welfare.
Note: Art VIII Sec. 5 (5) of the Constitution provides
that the authority to decide who may be admitted to Note: The legislature may not pass a law that will
the bar naturally and logically belongs to the control the SC in the performance of its functions to
judiciary represented by the Supreme Court in view decide who may enjoy the privilege of practicing law
of the nature of its judicial function and in the role and any law of that kind is unconstitutional being an
played by attorneys in the administration of justice. invalid exercise of legislative power. (In Re:
Cunanan, Resolution, Mar. 18, 1954)
Note: The SC acts through a Bar Examination
Committee in the exercise of its judicial function to Q: Can Senate pass a law lowering the passing
admit candidates to the legal profession. The rate for candidates?
committee is composed of a member of the court
who acts as a chairman and 8 members of the bar
A: No, the admission, suspension, disbarment and
who act as examiners in the 8 bar subjects with one
subject assigned to each examiner.
reinstatement of attorney at law in the practice of
the profession and the supervision have been
Acting as a sort of liaison officer between the Court indisputably a judicial function and responsibility
and the Bar Chairman, on one hand, and the and remains vested with the Supreme Court. The
individual members of the committee, on the other, Constitution has not conferred on Congress equal
is the Bar Confidant who is at the same time a responsibility which the Constitution recognizes
deputy clerk of the Court. He does not possess any as to be continuously residing in the Supreme
discretion with respect to the matter of admission of Court. (Ibid)
examinees to the Bar. (In Re: Lanuevo, A.C. No. 1162,
Aug. 29, 1975)
5
Q: Enumerate the initial requirements for A: Bar Matter (B.M.) 1161 which regulates the
admission to the bar. conduct of the bar examinations, limits the
examination up to five times only.
A: Under Sections 2, 5 and 6 of Rule 138, the
applicant must be: (C21GRENAPOS) Note: B.M. 1161 – also requires submission of the
dean of a certification that the candidate has no
1. Citizen of the Philippines; derogatory record in school and if any in detail and
2. At least 21 years of age; status thereof.
3. Of Good moral character;
4. Resident of the Philippines; Q: Ching was born on April 1964 of Filipino
5. Must produce before the SC satisfactory mother and Chinese father. He was conditionally
Evidence of good moral character; admitted to take the bar examination because of
6. No charges against him, involving moral questions arising to his citizenship. Upon
turpitude, have been filed or are pending passing the bar he was required to take further
in any court in the Philippines (Sec. 2, Rule proof of citizenship and was not allowed to take
138, RRC); the oath.
7. Must have complied with the Academic
requirements; Can he elect Philippine citizenship, 14 years after
8. Must Pass the bar examinations reaching the age of majority (required under the
9. Take the lawyer’s Oath; and 1935 Constitution)?
10. Sign the Roll of Attorneys.
A: No, Ching is not qualified to be a lawyer for
Note: Section 5 of Rule 138, RRC, now provides that having elected Philippine citizenship 14 years
before being admitted to the examination, all after reaching the age of majority. Ching offered
applicants for admission to the bar shall satisfactorily no reason why he delayed the election of
show that they have successfully completed all the Philippine citizenship. The procedure is not a
prescribed courses for the degree of Bachelor of tedious process. All that is required is to execute
Laws or its equivalent degree in a law school or an affidavit and file the same in the nearest
university officially recognized by the Philippine registry. (In Re: Application for Admission to the
Government or by the proper authority in the foreign Philippine Bar of Vicente Ching, B.M. 914, Oct. 1,
jurisdiction where the degree has been granted. 1999)
Section 5 now also provides that a Filipino citizen
Q: Atty. Melendrez filed a petition to disqualify
“who graduated from a foreign law school shall be
Meling from taking the bar exams and to impose
admitted to the bar examination only upon
submission to the Supreme Court of certifications
disciplinary penalty as a member of the
showing: (a) completion of all courses leading to the Philippine Shari'a Bar. He alleges that Meling, in
degree of Bachelor of Laws or its equivalent degree; his application to take the bar, failed to disclose
(b) recognition or accreditation of the law school by the fact that he has 3 pending criminal cases.
the proper authority; and (c) completion of all fourth Also, Meling has been using the title “Attorney"
year subjects in the Bachelor of Laws academic in his communications as secretary to the
program in a law school duly recognized by the Mayor.
Philippine Government.”
Should Meling be disqualified from admission to
A Filipino citizen who completed and obtained his or the bar?
her degree in Bachelor of Laws or its equivalent in a
foreign law school must also present proof of A: Meling's deliberate silence and non-revelation
completion of a separate bachelor’s degree. of his pending criminal cases constitute
concealment. The disclosure requirement is
The Supreme Court has directed the Clerk of Court, imposed to determine whether there is
through the Office of the Bar Confidant, to
satisfactory evidence of good moral character of
circularize its resolution approving the said
the applicant. By concealing the existence of such
amendments among all law schools in the country.
(Bar Matter No. 1153, Re: Letter of Atty. Estelito P.
cases, the applicant flunks the test of fitness even
Mendoza Proposing Reforms in the Bar Examinations if the cases are ultimately proven unwarranted or
through Amendments to Rule 138 of the Rules of insufficient to impugn or affect the good moral
Court, Mar. 9, 2010) character of the applicant.
Q: How many times can a law graduate take up Note: The issue of Meiling’s disqualification from
the bar? admission to the bar is rendered moot since he did
not pass the bar.
6
LEGAL ETHICS TEAM:
Q: May sanctions be imposed on Meling as Q: While the examination was in progress, the
member of the Philippine Shari'a Bar? headwatcher, Lilian Mendigorin, reported that
examinee Amparo was found reading a piece of
A: It was highly improper for Meling, as member paper containing notes in Criminal Law. He at
of the Shari'a Bar, to use the title "Attorney". first refused to surrender the paper, but later
Only members of the Philippine bar, who have gave it to Mendigorin when she threatened to
obtained the necessary degree in the study of law report the matter to the authorities. A verbal
and successfully passed the bar exams, been report was relayed to the Bar Chairman who
admitted to the IBP and remain members in good forthwith gave instructions that no investigation
standing are authorized to practice law and thus be then made in order to forestall any
use the title. Meling was suspended from commotion that might disturb the other
membership in the Philippine Shari'a Bar. (In the candidates. Amparo was permitted to continue
Matter of the Disqualification of Bar Examinee answering the questions. Headwatcher
Haron S. Meling, B.M. No. 1154, June 8, 2004) Mendigorin thereafter submitted a special
report on the incident. He was still allowed to
Q: Alauya, a member of Shari’a Bar and a clerk take the exams for the last Sunday of the Bar.
of court in Shari’a District Court, wrote a letter
to a corporation claiming to be a lawyer, affixing Amparo did not pass the 1974 Bar Exams. Should
“Attorney” before his name. Can a member of Amparo be allowed to take the 1975 Bar Exams?
the Shari’a Bar affix the designation lawyer
before their name? A: No. It is clear that Amparo, in the course of the
examination in Criminal Law, had possession of
A: The Court reprimanded him for claiming to be the piece of paper containing notes on the
a lawyer since persons who pass the Shari'a Bar durations of penalties and that he knew that it is
are not full-fledged members of the Philippine contrary to the rules to bring notes and books
Bar. The title of "attorney" is reserved to those inside the examination room. It thus results that
who are admitted to the Integrated Bar of the he knowingly violated Section 10, Rule 138 of the
Philippines and remain members thereof in good Rules of Court, which pertinently provides that
standing. (Alawi v. Alauya, A.M. No. SDC-97-2-P, "Persons taking the examination shall not bring
Feb. 24, 1997) papers, books or notes into the examination
rooms."
Q: Telesforo Diao was admitted to the Bar in
1953, after two years, Severino Martinez Amparo's impression that the notes had no
charged him with having falsely represented in "material use" to him is correct, in the sense that
his application for such Bar examination that he they bore no reference to any question asked in
had the requisite academic qualifications. The the examination in Criminal Law; even so he
SolGen recommended that Diao’s name be committed an overt act indicative of an attempt
erased from the Roll of Attorneys because Diao to cheat by reading the notes. His refusal to
had not completed the prescribed pre-legal surrender the paper containing the notes when
education, to wit: Diao did not complete his high first demanded; his eventual surrender of it only
school training and Diao never attended after he was informed that he would be reported;
Quisumbing College, and never obtained his A.A. and the facts that the notes pertained to Criminal
Diploma therefrom. Law and the examination then in Criminal Law, all
these override and rebut his explanation that he
Should Diao’s name be erased from the Roll of merely read the notes to find out what they were
Attorneys? as he had forgotten about them.
A: Yes. Passing the bar examination is not the Amparo is guilty of (1) bringing notes into the
only qualification to become an attorney-at-law. examination room and (2) attempted cheating. (In
Taking the prescribed courses of legal study is Re: Pedro Amparo, G.R. No. 000, July 18, 1975)
equally essential. Where it is found that the (1974 Bar Question)
requirement was not complied with, the one who
has been admitted to the bar after successfully Q: Mike Adelantado, an aspiring lawyer,
passing the bar may be stricken of record on the disclosed in his petition to take the 2003 bar
ground that his admission was obtained under examinations that there were two civil cases
false pretenses. (Diao v. Martinez, A.C. No. 244, pending against him for nullification of contract
Mar. 29, 1963) and damages. He was thus allowed to
7
conditionally take the bar, and subsequently 5. Faithfully observe the rules and Ethics of
placed third in the said exams. the legal profession; and
6. Be continually subject to Judicial
In 2004, after the two civil cases had been disciplinary control.
resolved, Mike Adelantado filed his petition to
take the Lawyer’s Oath and sign the Roll of Q: What are the obligations of a newly
Attorneys before the Supreme Court. The Office constituted lawyer?
of the Bar Confidant, however, had received two
anonymous letters: the first alleged that at the A:
time Mike Adelantado filed his petition to take 1. Pay the full annual membership dues;
the bar, he had two other civil cases pending
against him, as well as a criminal case for Note: Lawyers who are senior citizens are
violation of B.P. 22; the other letter alleged that not exempt from payment of IBP dues, since
Mike Adelantado, as Sangguniang Kabataan the Senior Citizens Act which exempts senior
chairperson, had been signing the attendance citizens from payment of taxes does not
sheets of SK meetings as “Atty. Mike include exemption from payment of
Adelantado.” Having passed the bar, can Mike membership and association fees.
already use the appellation “attorney”? Explain
your answer. 2. Undergo Mandatory Continuing Legal
Education or MCLE;
A: No. Only those who have been admitted to the 3. Undergo Mandatory Legal Aid Service;
Philippine Bar can be called “Attorney” (Alawi v. 4. Pay Professional Tax Receipt; and
Alauya, A.M. No. SDC-97-2-P, Feb. 24, 1997). 5. Prove that he is a person of good moral
Passing the Bar examination is not sufficient for character.
admission of a person to the Philippine Bar. He
still has to take the oath of office and sign the C. APPEARANCE OF NON-LAWYERS IN COURTS
Attorney’s Roll as prerequisites to admission.
Q: May a non-lawyer appear in court?
Q: Should Mike be allowed to take his oath as a
lawyer and sign the Roll of Attorneys? Explain A:
your answer. GR: No. Only those who are licensed to practice
law can appear and handle cases in court.
A: No, he should not be allowed to take his oath
and sign the Attorney’s Roll. Rule 7.01 of the XPN:
Code of Professional Responsibility provides that 1. Law Student Practice
“a lawyer shall be answerable for knowingly 2. Non-lawyers in Court
making a false statement or suppressing a 3. Non-lawyers in Administrative Tribunal
material fact in connection with his application
for admission to the bar”. Mr. Adelantado made a 1. LAW STUDENT PRACTICE
false statement in his application to take the bar
by revealing only that there were two civil cases Law student practice rule – A law student who has
pending against him. This is sufficient ground to successfully completed 3rd year of the regular
deny him admission to the bar (In Re: Galang, 66 four-year prescribed law curriculum and is
SCRA 245 [1975]). He also showed lack of good enrolled in a recognized law school's clinical legal
moral character in using the title “attorney” education program approved by the Supreme
before admission to the Bar (Aguirre v. Rana, 403 Court, may appear without compensation in any
SCRA 342 [2003]). (2005 Bar Question) civil, criminal or administrative case before any
trial court, tribunal, board or officer, to represent
Q: Enumerate the continuing requirements for indigent clients accepted by the legal clinic of the
the practice of law after admission to the Bar. law school (Sec. 1, Rule 138-A).
A: He must: MIP-MEJ The appearance of the law student authorized by

1. Remain a Member of the Bar; this rule, shall be under the direct supervision and
2. Regularly pay all IBP membership dues; control of a member of the Integrated Bar of the
3. Regularly pay the Professional Tax Receipt Philippines duly accredited by the law school.
(PTR); Any and all pleadings, motions, briefs,
4. Comply with the Mandatory Continuing memoranda or other papers to be filed, must be
Legal Education (MCLE); signed by the supervising attorney for and in
behalf of the legal clinic. (Sec. 2, Rule 138-A)
8
LEGAL ETHICS TEAM:
Note: The law student shall comply with the be convicted not because he is guilty but because he
standards of professional conduct governing does not know how to establish his innocence.
members of the Bar. Failure of an attorney to Where an accused was not duly represented by a
provide adequate supervision of student practice member of the bar during trial, the judgment should
may be a ground for disciplinary action (Circular be set aside, and the case remanded to the trial
No.19, dated December 19, 1986). court for a new trial. (People v. Santocildes, Jr., G.R.
No. 109149, Dec. 21, 1999)
2. NON-LAWYERS IN COURT
With regard to a juridical person, it must always
a. Cases before the MTC: A party to the appear in court through a duly licensed member of
litigation, may conduct his own case or the bar, except before MTC where it may be
litigation in person, with the aid of an agent represented by its agent or officer who need not be
or friend appointed by him for that purpose a lawyer.
(Sec. 34, Rule 138, RRC);
Note: Partnership with a non-lawyer is VOID. In the
formation of partnership for the practice of law, no
b. Before any other court, a party may conduct
person should be admitted or held out as a
his litigation personally. But if he gets practitioner or member who is not a member of the
someone to aid him, that someone must be legal profession duly authorized to practice, and
authorized member of the Bar (Sec. 34, Rule amenable to professional discipline.
138, RRC)
Q: A, a mere high school graduate, with the aid
Note: A non-lawyer conducting his own of a friend who is a college undergraduate, filed
litigation is bound by the same rules in
a complaint for recovery of a sum of money in
conducting the trial case. He cannot after
the amount of Four Thousand (P4,000.00) Pesos
judgment, claim that he was not properly
represented.
in the Metropolitan Trial Court of his town. The
Clerk of Court told A that his complaint might be
c. Criminal case before the MTC in a locality dismissed for insufficiency as to form because
where a duly licensed member of the Bar is neither he nor his friend who is assisting him is a
not available, the judge may appoint a non- lawyer. Is the Clerk of Court correct?
lawyer who is a:
A: The Clerk of Court is not correct. In the Justice
i. Resident of the province; AND of the Peace courts (now known as Municipal
Trial Court or Municipal Circuit Trial Courts or
ii. Of good repute for probity and ability to Metropolitan Trial Court), a party may conduct his
aid the accused in his defense; (Sec. 7,
litigation in person, with the aid of an agent or
Rule 116 RRC)
friend appointed by him for that purpose, or with
the aid of an attorney. (Sec. 34, Rule 138, Rules of
d. Any official or other person appointed or
Court). (1999 Bar Question)
designated to appear for the Government of
the Philippines in accordance with law. (Sec.
3. NON-LAWYERS IN ADMINISTRATIVE TRIBUNAL
33, Rule 138 RRC)
a. Under the Labor Code, non-lawyers may
Note: Such person shall have all the rights of a
duly authorized member of the bar to appear in
appear before the NLRC or any Labor Arbiter,
any case in which said government has an if:
interest direct or indirect. (Sec. 33,Rule 138, i. They represent themselves; OR
RRC) ii. They represent their organization or
members thereof; (Art 222, PD 442,
Q: May a party represent himself? as amended) (2002 Bar Question)
iii. If they are duly accredited members
A: In civil cases, an individual litigant has the right of any legal aid office duly recognized
to conduct his litigation personally. In criminal by the Department of Justice, or the
cases, in grave and less grave offenses, an Integrated Bar of the Philippines in
accused who is a layman must always appear by cases referred to by the latter.
counsel; he cannot conduct his own defense (Lapena, 2009)
without violating his right to due process of law.
Note: He is not, however, entitled to attorney’s
Note: Even the most intelligent of the educated men fees under Article 222 of the Labor Code for not
may have no skill in the science of law, particularly in being a lawyer. (Five J. Taxi v. NLRC, G.R. No.
the rules of procedure and without counsel; he may 111474, August 22, 1994)
9
b. Under the Cadastral Act, a non-lawyer can Pro Se (Section 34, Rule 138)
represent a claimant before the Cadastral
Court. (Sec. 9, Act no. 2259) Q: Maderada filed charges against Judge
Mediodea for "gross ignorance of the law
Q: Kanlaon Construction and Reluya’s, et al. case amounting to grave misconduct" for failing "to
were assigned before two labor arbiters. The observe and apply the Revised Rule on Summary
Engineers as co-defendant, without written Procedure" in the civil case. On the other hand,
authority to represent Kanlaon Construction, Judge Mediodea maintained that Maderada, in
admitted the complaints against them. By virtue appearing as counsel on her own behalf, failed
of such, the labor arbiters adjudicated the case to secure authority from the Court and to file her
in favor of Reluya and the others. leave of absence every time she appeared in
court.
Can an engineer represent a co-defendant in a
case before the labor arbiter? Can Maderada appear as counsel for herself and
her co-plaintiff even if she is not a lawyer?
A: No, the appearance of the engineer on behalf
of Kanlaon Construction required written proof of A: Section 34 of Rule 138 of the Rules of Court
authorization. It was incumbent upon the arbiters allows persons who are not lawyers by profession
to ascertain this authority especially since both to litigate their own case in court. The right of
engineers were named co-respondents in the complainant to litigate her case personally cannot
cases before the arbiters. Absent this authority, be taken away from her. Her being an employee
whatever statements and declarations the of the judiciary does not remove from her the
engineers made before the arbiters could not right to proceedings in propria persona or to self-
bind Kanlaon. representation. Clearly, in appearing for herself,
complainant was not customarily or habitually
Nevertheless, even assuming that the engineers holding herself out to the public as a lawyer.
were authorized to appear as representatives of Neither was she demanding payment for such
Kanlaon, they could bind the latter only in services. Hence, she cannot be said to be in the
procedural matters before the arbiters and the practice of law.
Commission. Kanlaon's liability arose from
engineer’s alleged promise to pay. A promise to However, it was also clearly established that
pay amounts to an offer to compromise and complainant had appeared on behalf of her co-
requires a special power of attorney or the plaintiff in the aforementioned case, for which act
express consent of Kanlaon. The authority to the former cannot be completely exonerated.
compromise cannot be lightly presumed and Obviously, because she was already defending
should be duly established by evidence. (Kanlaon the rights of another person when she appeared
Construction v. NLRC, G.R. No. 126625, Sept. 18, for her co-plaintiff, it cannot be argued that
1997) complainant was merely protecting her rights.
That their rights may be interrelated will not give
Q: What are the limitations on appearance of complainant authority to appear in court. The
non-lawyers before the courts? undeniable fact remains that she and her co-
plaintiff are two distinct individuals. The former
A: may be impairing the efficiency of public service
1. He should confine his work to non- once she appears for the latter without
adversary contentions; permission from the Court. (Maderada v. Judge
Mediodea, A.M. No. MTJ-02-1459, Oct. 14, 2003)
2. He should not undertake purely legal
work, such as the examination or cross- Q: Ferdinand Cruz sought permission to enter his
examination of witnesses, or the appearance for and on his behalf before the RTC
presentation of evidence; and as the plaintiff in a Civil Case for Abatement of
Nuisance. Cruz, a fourth year law student,
3. His services should not be habitually anchors his claim on Section 34 of Rule 138 of
rendered. He should not charge or collect the Rules of Court that a non-lawyer may appear
attorney’s fees. (PAFLU v. Binalbagan before any court and conduct his litigation
Isabela Sugar Co. L-23959, November personally.
1971)
Judge Mijares denied the motion with finality. In
the same Order, the trial court held that for the
10
LEGAL ETHICS TEAM:
failure of Cruz to submit the promised document Note: If the court determines that a party
and jurisprudence and for his failure to satisfy cannot properly present his/her claim or
the requirements or conditions under Rule 138-A defense and needs assistance, the court
of the Rules of Court, his appearance was may, in its discretion, allow another
denied. individual who is not an attorney to assist
that party upon the latter’s consent (Sec. 17,
Did the court act with grave abuse of discretion Rule of Procedure for Small Claims Cases).
amounting to lack or excess of jurisdiction when
it denied the appearance of Cruz as party 2. Proceedings before the Katarungang
litigant? Pambarangay - during the pre-trial
conference under the Rules of Court,
A: Yes. The law recognizes the right of an lawyers are prohibited from appearing for
individual to represent himself in any case to the parties. Parties must appear in
which he is a party. The Rules state that a party person only except minors or
may conduct his litigation personally or with the incompetents who may be assisted by
aid of an attorney, and that his appearance must their next of kin who are not lawyers.
either be personal or by a duly authorized (Formerly Sec. 9, P.D. No. 1508; Sec. 415,
member of the Bar. The individual litigant may Local Government Code of 1991, R.A.
personally do everything in the course of 7160)
proceedings from commencement to the
termination of the litigation. Considering that a D. SANCTIONS FOR PRACTICE OR APPEARANCE
party personally conducting his litigation is WITHOUT AUTHORITY
restricted to the same rules of evidence and
procedure as those qualified to practice law, Cruz, 1. SANCTIONS AGAINST UNAUTHORIZED
not being a lawyer himself, runs the risk of falling PRACTICE OF LAW OF LAWYERS
into the snares and hazards of his own ignorance.
Q: What are the remedies against unauthorized
Therefore, Cruz as plaintiff, at his own instance, practice of law of lawyers?
can personally conduct the litigation of his Case.
He would then be acting not as a counsel or A: DICEDA
lawyer, but as a party exercising his right to 1. Declaratory relief;
represent himself. 2. Petition for Injuction;
3. Contempt of court;
The trial court must have been misled by the fact 4. Criminal complaint for Estafa against a
that Cruz is a law student and must, therefore, be person who falsely represented himself to
subject to the conditions of the Law Student be an attorney to the damage of a party;
Practice Rule. It erred in applying Rule 138-A, 5. Disqualification and complaints for
when the basis of Cruz's claim is Section 34 of disbarment; or
Rule 138. The former rule provides for conditions 6. Administrative complaint against the
when a law student may appear in courts, while erring lawyer or government official.
the latter rule allows the appearance of a non-
lawyer as a party representing himself. (Cruz v. Q: KWD, a GOCC, hired respondent, Atty. I, as
Mijares, et al., G.R. No. 154464, Sept. 11, 2008) private legal counsel for one (1) year effective
with the consent of the Office of the
4. PROCEEDINGS WHERE LAWYERS ARE Government Corporate Counsel (OGCC) and the
PROHIBITED FROM APPEARING Commission on Audit (COA). The controversy
erupted when two (2) different groups, herein
Q: What are the proceedings to which lawyers referred to as the Dela Peña board and
are prohibited from appearing? Yaphockun board, laid claim as the legitimate
A: Board of Directors of KWD. Dela Peña board
appointed respondents Atty. N, V and M as
1. Proceedings before the Small Claims Court private collaborating counsels for all cases of
-No attorney shall appear in behalf of or KWD and its Board of Directors, under the direct
represent a party at the hearing, unless supervision and control of Atty. I. Meanwhile,
the attorney is the plaintiff or defendant the OGCC had approved the retainership
(Sec. 17, Rule of Procedure for Small contract of atty. C as new legal counsel of KWD
Claims Cases) and stated that the retainership contract of Atty.
I had expired. The termination of Atty. I’s
11
contract was said to be justified by the fact that Q. What are the remedies against unauthorized
the Local Water Utilities Administration had practice of law of persons who are not lawyers?
confirmed the Yaphockun board as the new
Board of Directors of KWD and that said board A:
had terminated Atty. I’s services and requested 1. Declaratory relief;
to hire another counsel. Complainants then filed 2. Petition for Injunction;
a disbarment complaint against counsels V and 3. Contempt of court;
M alleging that respondents acted as counsel for 4. Criminal complaint for Estafa against a
KWD without legal authority. Are respondents person who falsely represented himself to
validly authorized to appear as counsels of be an attorney to the damage of a party;
KWD?
Q. what are the sanctions against unauthorized
A: No. Attys. N, V and M had no valid authority to practice of law of persons who are not lawyers?
appear as collaborating counsels of KWD. Nothing
in the records shows that Atty. N was engaged by A: He may be punished with contempt of court,
KWD as collaborating counsel. While the 4th severe censure and three (3) months
Whereas Clause of Resolution appointing Atty. N imprisonment because of the highly fraudulent
partly states that he and Atty. I "presently stand and improper conduct tending directly to impede,
as KWD legal counsels," there is no proof that the obstruct, degrade, and make a mockery of the
OGCC and COA approved Atty. N’s engagement as administration of justice. (Manangan v. CFI, G.R.
legal counsel or collaborating counsel. Insofar as No. 82760, August 30,1990; Lapena, 2009)
Attys. V, Jr. and M are concerned, their
appointment as collaborating counsels of KWD Note: A disbarred lawyer has no more authority to
under Resolution No. 009 has no approval from appear in Court as a lawyer. A lawyer who was
the OGCC and COA. In the case of Atty. I, he also previously disbarred but continued to represent
appeared as counsel of KWD without authority, himself as a lawyer was found guilty of indirect
after his authority as its counsel had expired. contempt and fine with imprisonment in case of
failure to pay within five (5) days. (Lemoine v. Atty.
Under Section 27, Rule 138 of the Rules of Court, Balon, Jr., A.C. No. 5829, October 28,2003)
a member of the bar may be disbarred or
suspended from his office as attorney by the Contempt of Court
Supreme Court for xxx corruptly or willfully
appearing as an attorney for a party to a case Q: What is the nature of the power of contempt?
without authority to do so. Disbarment, however,
is the most severe form of disciplinary sanction, A: It is exercised on the preservative and not on
and, as such, the power to disbar must always be the vindictive principle and on corrective rather
exercised with great caution, and should be than the retaliatory idea of punishment, for
imposed only for the most imperative reasons purposes that are impersonal. It is criminal in
and in clear cases of misconduct affecting the nature. The power to punish for contempt is
standing and moral character of the lawyer as an inherent in all courts. It is essential in the
officer of the court and member of the bar. observance of order in judicial proceedings and to
Accordingly, disbarment should not be decreed enforcement of judgment orders and writs.
where any punishment less severe such as a
reprimand, suspension or fine, would accomplish Q: What are the kinds of contempt?
the end desired. (Vargas v. Atty. Ignes, Atty.
Mann, Atty. Viajar and Atty. Nadua, A.C. No. A:
8096, July 5, 2010) 1. Direct – Consists of misbehavior in the
presence of or so near a court or judge as
to interrupt or obstruct the proceedings
Note: In any case, an unauthorized appearance of an
before the court or the administration of
attorney may be ratified by the client either
justice; punished summarily.
expressly or impliedly. Ratification retroacts to the
date of the lawyer’s first appearance and validates
the action taken by him. (Sps. Agbulos v. Gutierrez, 2. Indirect – One committed away from the
G.R. No. 176530, June 16, 2009) court involving disobedience of or
resistance to a lawful writ, process, order,
judgment or command of the court, or
2. SANCTIONS AGAINST UNAUTHORIZED
tending to belittle, degrade, obstruct,
PRACTICE OF LAW OF PERSONS WHO ARE NOT
interrupt or embarrass the court; not
LAWYERS
summary in nature.
12
LEGAL ETHICS TEAM:
3. Civil – Is the failure to do something 7. Aiding in unauthorized practice of law

ordered to be done by a court or a judge (suspended or disbarred)
for the benefit of the opposing party 8. Unlawful retention of client’s funds; and
therein. It is remedial in nature. 9. Advise client to commit contemptuous
acts.
4. Criminal – Conduct directed against the
authority and dignity of a court or of a Note: "A practicing lawyer and officer of the court
judge, as in unlawfully assailing or facing contempt proceedings cannot just be allowed
discrediting the authority or dignity of a to voluntarily retire from the practice of law which
court or of a judge, or in doing a duly would negate the inherent power of the court to
forbidden act. Intent is necessary. punish him for contempt" (Montecillo v. Gica, 60
SCRA 234). (1998 Bar Question)
Note: Where the punishment imposed,
whether against a party to a suit or a Q: A judge cited complainant, a driver at the
stranger, is wholly or primarily to protect or Engineering Department of the Makati City Hall,
vindicate the dignity and power, either by in contempt for using the former’s parking
fine payable to the government or by space, and refused to accept the driver’s
imprisonment, or both, it is deemed a apology. He sentenced the driver to five (5) days
judgment in criminal case. imprisonment and a fine of (P1, 000.00). Is the
judge administratively liable for grave abuse of
Where the punishment is by fine directed to authority in citing the driver for contempt of
be paid to a party in the nature of damages court?
for the wrong inflicted, or by imprisonment
as coercive measure to enforce the A: Yes. The Court does not see how the improper
performance of some act for the benefit of parking by the driver could even in the remotest
the party or in aid of the final judgment or manner, disrupt the speedy administration of
decree rendered in his behalf, the contempt
justice, as claimed by the judge. At most, it would
judgment will, if made before final decree,
cause the Judge inconvenience or annoyance, but
be treated as in the nature of an
interlocutory order.
still, this does not fall under any of the acts for
which a person could be cited for contempt.
Q: What are the two-fold aspects of the exercise Neither does it appear from the records, nor from
of the power of contempt? the evidence presented, that the complainant
intended any disrespect toward respondent
A: Judge. In fact, upon being summoned, the driver
1. The proper punishment of the guilty party immediately apologized for his mistake. Worse,
for his disrespect to the court or its order; the Judge immediately detained the driver,
and thereby preventing him from resorting to the
remedies provided under the Rules of Court. Such
2. To compel his performance of some act or abusive behavior on the part of respondent judge
duty required of him by the court which fails to show his integrity, which is essential not
he refuses to perform. only to the proper discharge of the judicial office,
but also to his personal demeanor. (Nunez v. Ibay,
Note: The question of whether the contempt
A.M. No. RTJ-06-1984, June 30, 2009)
committed is civil or criminal, does not affect the
jurisdiction or the power of a court to punish the Q: Dela Cruz misrepresented himself as a lawyer
same. (Halili v. CIR, G.R. No. L-24864, Nov. 19, 1985) in the application for habeas corpus of Gamido.
What punishment should the court impose on
Q: Enumerate the acts of a lawyer that Dela Cruz?
constitutes contempt?
A: The Court declared him guilty of indirect
A: contempt for maliciously and falsely portraying
1. Misbehavior as officer of court himself as a member of the bar, appearing in
2. Disobedience or resistance to court order court and filing pleadings. (In the Matter of the
3. Abuse or interference with judicial Application for Habeas Corpus of Maximino
proceedings Gamido; Gamido v. New Bilibid Prison, G.R.
4. Obstruction in administration of justice 146783, July 29, 2002)
5. Misleading the courts
6. Making false allegations, criticisms, insults, Q: Are the power to hold a person in contempt
veiled threats against the court and the power to disbar the same?
13
A: No. The power to punish for contempt and the statement referred to the person of Atty. Aquino
power to disbar are separate and distinct, and and his law office address.
that the exercise of one does not exclude the
exercise of the other. (People v. Godoy, G.R. Nos. Is Balajadia liable for indirect contempt?
115908-09, Mar. 29, 1995)
A: No. Respondent Balajadia never intended to
Q: In the course of the testimony of an almost project himself as a lawyer to the public. It was a
illiterate victim of swindling travel syndicate, the clear inadvertence on the part of the secretary of
trial judge addressed these words to the Atty. Aquino. The allegation that he is a practicing
witness: “You have no business coming to court lawyer cannot, by itself, establish intent as to
without being sure of your facts; the way I look make him liable for indirect contempt.
at it, you are here to blackmail these
businessman into giving you free airplane In several cases, the Court ruled that the
travel”. The private prosecutor stood up to move unauthorized practice of law by assuming to be
that the remarks of the court regarding the an attorney and acting as such without authority
alleged blackmail be made of record for constitutes indirect contempt which is punishable
purposes of an appeal or other future by fine or imprisonment or both. The liability for
proceedings. The trial judge countered with an the unauthorized practice of law under Section
order directing the lawyer to show cause why he 3(e), Rule 71 of the Rules of Court is in the nature
should not be held in direct contempt, for of criminal contempt and the acts are punished
allegedly “threatening the court” with possible because they are an affront to the dignity and
future action. May the contempt citation be authority of the court, and obstruct the orderly
upheld? Explain. administration of justice. (Tan v. Balajadia, G.R.
No. 169517, March 14, 2006)
A: The contempt citation may not be sustained. A
judge should exercise proper judicial decorum. He Q: An administrative complaint was filed against
should be considerate of witness and others in Malinao, court interpreter of the CFI of
attendance upon his court. He should be Catbalogan Samar. He was charged with illegal
courteous and civil, for it is unbecoming of a practice of law for appearing in court as attorney
judge to utter intemperate language during the when he is not and collecting fees from his client
hearing of a case (Retuya v. Equipilog; Santos v. as a means of livelihood; grave misconduct in
Cruz) office for instigating persons in his barrio to grab
land, rob or coerce and incite them telling them
It was the right of counsel to put on record said not to be afraid as he is a court employee and
remarks for the protection of his witness and has influence over judges; falsification for
client. (In Re: Aguas). (1987 Bar Question) unfaithfully filing his time record in the CFI as he
made it appear that he is present on certain
Q: Balajadia filed a criminal case against dates but in truth, he was appearing as counsel
petitioners. In paragraph 5 of the complaint- in front of certain judges. He was also charged
affidavit, Balajadia appeared to have asserted with violation of executive order and civil service
that he is a "practicing lawyer”. However, law as it is prohibited for a civil service employee
certifications issued by the Office of the Bar like him to engage in private practice of any
Confidant and the Integrated Bar of the profession without permission from the
Philippines showed that he has never been Department Head.
admitted to the Philippine Bar. Hence,
petitioners filed a case against him claiming that Malinao defended that “his participation for
he is liable for indirect contempt for defendant’s cause (in the cases where he
misrepresenting himself as a lawyer. appeared as counsel) was gratuitous as they
could not engage the services of counsel by
Balajadia, on his defense, claimed that the reason of poverty and absence of one in the
allegation that he is a practicing lawyer was an locality”. Is Malinao guilty of the charges filed
honest mistake. He stated that the secretary of against him?
Atty. Aquino prepared the subject complaint-
affidavit copying in verbatim paragraph 5 of A: Yes. The SC held that Malinao, by appearing as
Atty. Aquino’s complaint-affidavit. Hence, it was counsel without being a member of the bar
inadvertently alleged that respondent is a constitutes illegal practice of law.
“practicing lawyer in Baguio City” which
14
LEGAL ETHICS TEAM:
He also did not secure the permission from his 3. Government Prosecutors. (People v.
superiors and, worse, he falsified his time record Villanueva, G.R. No. L-19450, May 27,
of service to conceal his absence from his office 1965)
on the dates in question. The number of times 4. President, Vice-President, members of the
that Malinao acted as counsel under the above cabinet, their deputies and assistants.
circumstances would indicate that he was doing it (Sec. 13, Art VII, 1987 Constitution)
as a regular practice obviously for considerations 5. Members of the Constitutional
other than pure love of justice. He was dismissed Commission. (Sec. 2, Art IX-A, 1987
from his position as court interpreter with Constitution)
prejudice to reemployment in the judicial branch 6. Ombudsman and his deputies. (Sec. 8 [2nd
of the government. (Zeta v Malinao, A.M. No. P- par], Art. IX, 1987 Constitution)
220 , December 20, 1978) 7. All governors, city and municipal Mayors.
(R.A. No. 7160, Sec. 90)
E. PUBLIC OFFICIALS AND THE PRACTICE OF LAW 8. Those prohibited by Special law. (1990 Bar
Question)
Q: Who are the public officials?
Q: Who are the public officials who are restricted
A: Public officials include elective and appointive from engaging in the practice of law in the
officials and employees, permanent or Philippines?
temporary, whether in the career or non-career
service, including military and police personnel, 1. No Senator or member of the House of
whether or not they receive compensation, Representatives may personally “appear”
regardless of amount (Sec. 3[b], RA 6713) as counsel before any court of justice or
before the Electoral Tribunals, or quasi-
Q: What are the prohibited acts or omissions of judicial and other administration bodies.
public officers? (Sec. 14, Art. VI, 1987 Constitution)
A: Note: The word “appearance” includes not

1. Accepting or having any member of his only arguing a case before any such body but
family accept employment in a private also filing a pleading on behalf of a client as
enterprise which has pending official “by simply filing a formal motion, plea or
business with him during the pendency answer”. (Ramos v. Manalac, G.R. No. L-
thereof or within one year after 2610, June 16, 1951)
termination. (Sec. 3[d], RA 3019)
Neither can he allow his name to appear in
such pleading by itself or as part of a firm
2. Own, control, manage or accept
name under the signature of another
employment as officer, employee, qualified lawyer because the signature of an
consultant, counsel, broker, agent, trustee agent amounts to a signing of a non-qualified
or nominee in any private enterprise senator or congressman, the office of an
regulated, supervised or licensed by their attorney being originally of agency, and
office unless expressly allowed by law. because he will, by such act, be appearing in
(Sec. 7[b], RA 6713) court or quasi-judicial or administrative body
in violation of the constitutional restriction.
Note: These prohibitions shall continue to (In re: David, Adm Case No. 98, July 13, 1953)
apply for a period of 1 year after resignation,
or separation from public office. The 1 year 2. Under the Local Government Code (Sec.
prohibition shall also apply in connection 91, R.A. 7160,) Sanggunian members may
with any matter before the office he used to practice their professions provided that if
be with.
they are members of the Bar, they shall
not:
Q: Who are the public officials who cannot
a. Appear as counsel before any court in
engage in the private practice of law in the
any civil case wherein a local
Philippines?
government unit or any office,
agency, or instrumentality of the
A: JOPPCOMS
government is the adverse party
1. Judges and other officials as employees of
b. Appear as counsel in any criminal
the Supreme Court. (Rule 148, Sec. 35,
case wherein an officer or employee
RRC)
of the national or local government is
2. Officials and employees of the OSG. (Ibid.)
15
accused of an offense committed in PROHIBITION OR DISQUALIFICATION OF FORMER

relation to his office GOVERNMENT ATTORNEYS
c. Collect any fee for their appearance (Refer to Rule 6.03, Canon 6, CPR)
in administrative proceedings
involving the local government unit Note: The restriction against a public official from
of which he is an official using his public position as a vehicle to promote or
d. Use property and personnel of the advance his private interests extends beyond his
tenure on certain matters in which intervened as a
government except when the
public official. (Agpalo, 2004).
Sanggunian member concerned is
defending the interest of the
F. LAWYERS AUTHORIZED TO REPRESENT THE
government. (1992, 2000 Bar
GOVERNMENT
Questions)
Q: Who are persons authorized to represent the
Note: while certain local elective officials (like
governors, mayors, provincial board members and government?
councilors) are expressly subjected to a total or
partial proscription to practice their profession or A:
engage in any occupation, no such interdiction is 1. Solicitor General
made on punong barangay and the members of the
Sangguniang Barangay. Expressio unius est Q: What are the possible actions that the
exclusion alterius. Since they are excluded from Sol Gen may undertake in the discharge of
any prohibition, the presumption is that they are his duties?
allowed to practice their profession. However, he
should procure prior permission or authorization A: The Sol Gen, in his discretion, may pursue
from the head of his Department, as required by any of the following actions:
the Civil Service Regulations. (Catu v. Rellosa, A.C.
No. 5738, February 19, 2008) 1. Prosecute
2. Not to prosecute
3. Under Sec. 1, R.A. 910, as amended, a 3. To abandon a prosecution already
retired justice or judge receiving pension started; or
from the government, cannot act as 4. To take a position adverse to the
counsel: people of the Philippines in a criminal
case or to that of a government
a. In any civil case in which the agency or official, when he believes
Government, or any of its subdivision that justice will be served by taking a
or agencies is the adverse party; or different stand.
b. In a criminal case wherein an officer
or employee of the Government is Q: In a case between two government
accused of an offense in relation to agencies, should the Sol Gen refrain from
his office; nor performing his duty?
c. Collect any fees for his appearance in
any administrative proceedings to A: No. It is incumbent upon him to present
maintain an interest adverse to the to the court what he considers as would
government, provincial or municipal, legally uphold the best interest of the
or to any of its legally constituted government.
officers. (Sec. 1, R.A. 910)
Q: In the above question, what is the
4. Civil service officers and employees remedy of the government office adversely
without permit from their respective affected by the position taken by the Sol
department heads. (Noriega v. Sison, G.R. Gen?
No. L- 24548, Oct. 27, 1983)
A: The government agency adversely
Note: Misconduct in office as a public official may be
affected, if it still believes in the merits of its
a ground for disciplinary action if it is of such
case, may appear on its own behalf through
character as to affect his qualification as lawyer or
its legal officer or representative.
show moral delinquency.
2. Any person appointed to appear for the

government of the Philippines in accordance
with law. (Sec. 33, Rule 138 RRC)
16
LEGAL ETHICS TEAM:
G. LAWYER’S OATH retained her husband, Atty. Samuel C. Occeña,

as her lawyer. The settlement of the estate have
Q: State the lawyer’s oath. been pending for thirteen (13) years when it was
transferred under the sala of Judge Ruiz who
A: found out that the principal cause of delay was
“I, __________________, do solemnly swear that the failure of Atty. Occeña to obey lawful court
I will maintain allegiance to the Republic of the orders such as the submission of the latest
Philippines; I will support its Constitution and inventory of all securities of the estate, take
obey the laws as well as the legal orders of the possession of all certificates of stocks or their
duly constituted authorities therein; I will do no replacements belonging to the estate and as well
falsehood, nor consent to the doing of any in as its inventory, and by willfully prolonging the
court; I will not willingly nor wittingly promote or litigation through his various maneuvers, such as
sue any groundless, false or unlawful suit, or give instituting actions for Atty. Occeña’s claim for
aid nor consent to the same; I will delay no man attorney’s fee and filing other cases before the
for money or malice, and will conduct myself as a court thus prolonging the settlement of the case.
lawyer according to the best of my knowledge Did Occeña’s acts constitute a gross violation of
and discretion, with all good fidelity as well to the his oath as a lawyer?
court as to my clients; and I impose upon myself
this voluntary obligations without any mental A: Atty. Occeña’s acts of disobeying lawful court
reservation or purpose of evasion. So help me orders and willfully prolonging the litigation
God.” (Form 28, RRC) through his maneuvers constitute a gross
violation of his lawyer’s oath that he will not
Q: What is the importance of the lawyer’s oath? willingly sue any groundless, false or unlawful suit
or delay no man for money of malice. (Re:
A: By taking the lawyer’s oath, a lawyer becomes Administrative Case against Samuel Occena, A. C.
the guardian of truth and the rule of law and an No. 2841, July 3, 2002)
indispensable instrument in the fair and impartial
administration of justice. Good moral character Q: Argosino passed the bar examinations held in
includes, at least, common honesty. Deception 1993. The Court however deferred his oath-
and other fraudulent acts are not merely taking due to his previous conviction for
unacceptable practices that are disgraceful and Reckless Imprudence Resulting in Homicide. The
dishonorable; they reveal a basic moral flaw. criminal case which resulted in Argosino’s
(Olbes v. Deciembre, A.C. No. 5365, Apr. 27, 2005) conviction arose from the death of a neophyte
during fraternity initiation rites. Various
Note: The lawyer’s oath is not a mere ceremony or certifications show that he is a devout Catholic
formality for practicing law to be forgotten with a genuine concern for civic duties and
afterwards nor is it mere words, drift and hollow, public service. Also, it has been proved that Mr.
but a sacred trust that every lawyer must uphold and Argosino has exerted all efforts to atone for the
keep inviolable at all times. death of Raul. Should Argosino be allowed to
take his lawyer's oath?
Q: State the significance of the lawyer's oath.
What, in effect, does a lawyer represent to a A: The practice of law is a privilege granted
client when he accepts a professional only to those who possess the strict intellectual
employment for his services? and moral qualifications required of lawyers who
are instruments in the effective and efficient
A: "The significance of the oath is that it not only administration of justice. The SC recognizes that
impresses upon the attorney his responsibilities Mr. Argosino is not inherently of bad moral fiber
but it also stamps him as an officer of the court given the various certifications that he is a devout
with rights, powers and duties as important as Catholic with a genuine concern for civic duties
those of the judges themselves. It is a source of and public service and that it has been proved
his obligations and its violation is a ground for his that he has exerted all efforts to atone for the
suspension, disbarment or other disciplinary death of Raul and the court gave him the benefit
action." (Agpalo, Legal Ethics, 1992 ed., p. 59). of the doubt, taking judicial notice of the general
tendency of youth to be rash, temerarious and
Q: Under the terms of the Last Will and uncalculating. (Re: Petition of Al Argosino to Take
Testament of the late Ogan, his residuary estate the Lawyer’s Oath, B.M. No. 712, Mar. 19, 1997)
was divided among his seven children. One of
them, Necitas Ogan-Occeña, was named in the
will as executrix of the estate. As such, she
17
Q: Grande was the private offended party in a

criminal case while Atty. De Silva was the
counsel for the accused. During the course of the
proceedings, Atty. De Silva tendered a check in
favor of Grande in order for the latter to desist
from participating as a witness against her client.
Eventually, Grande accepted the check and
refused to participate as a complaining witness
thereby leading to the dismissal of the case.
However, to Grande’s consternation, the check
bounced because Atty. De Silva’s account was
already closed. When the court ordered Atty. De
Silva to comment on the charges against her, she
deliberately refused to accept all the notices
coming from the court. Is Atty. De Silva guilty of
breach of trust? Did she violate her oath as a
lawyer by issuing a bouncing check and by
refusing to accept the notices sent to her coming
from the court?
A: Yes, Atty. De Silva had committed a breach of

trust in issuing a bouncing check which amounted
to deceit and violation of the lawyer’s oath. The
nature of the office of an attorney requires that a
lawyer shall be a person of good moral character.
Since this qualification is a condition precedent to
a license to enter upon the practice of law, the
maintenance thereof is equally essential during
the continuance of the practice and the exercise
of the privilege. Gross misconduct which puts the
lawyer's moral character in serious doubt may
render her unfit to continue in the practice of
law. The loss of moral character of a lawyer for
any reasons whatsoever shall warrant her
suspension or disbarment, because it is important
that members of the legal brotherhood must
conform to the highest standards of morality. Any
wrongdoing which indicates moral unfitness for
the profession, whether it is professional or non-
professional justifies disciplinary action.
Moreover, the attitude of Atty. De Silva in

deliberately refusing to accept the notices served
on her betrays a deplorably willful character or
disposition which stains the nobility of the legal
profession. Her conduct not only underscores her
utter lack of respect for authority; it also brings to
the fore a darker and more sinister character flaw
in her psyche which renders highly questionable
her moral fitness to continue in the practice of
law: a defiance for law and order which is at the
very core of her profession. (Grande v. Atty. De
Silva, A.C. No. 4838, July 29, 2003)
18
LEGAL ETHICS TEAM:
Legal Ethics – Duties and Responsibilities of Lawyers
Canons 1-6
II. DUTIES AND RESPONSIBILITIES OF A
LAWYER 1. Uphold the Constitution and obey the
laws of the land and legal processes
2. Make legal services available in an
Q: What are the four-fold duties of a lawyer? efficient and convenient manner
3. Use of true, honest, fair, dignified and
A: objective information in making known
1. Public/Society – He must not undertake legal services
any action which violates his responsibility 4. Participate in the improvement of the
to the society as a whole, he must be an legal system
example in the community for his 5. Keep abreast of legal development and
uprightness as a member of the society. participate in continuing legal education
The lawyer must be ready to render legal program and assist in disseminating
aid, foster legal reforms, be guardian of information regarding the law and
due process, and aware of his special role jurisprudence
in the solution of special problems and be 6. Applicability of the CPR to lawyers in the
always ready to lend assistance in the government service
study and solution of social problems.
(Canon 1-6, CPR) Chapter 2.
The lawyer and the legal profession.
2. Bar/Legal Profession – Observe candor,
fairness, courtesy and truthfulness in his Canons 7-9
conduct towards other lawyers, avoid
encroachment in the business of other 7. At all times uphold integrity and dignity of
lawyers and uphold the honor of the the profession and support the activities
profession. (Canon 7-9, CPR) of the IBP
8. Conduct himself with courtesy, fairness
and candor toward his colleagues and
3. Courts – A lawyer must maintain towards avoid harassing tactics against opposing
the court a respectful attitude, defend counsel
against unjust criticisms, uphold the 9. Not to directly or indirectly assist in the
court’s authority and dignity, obey court unauthorized practice of law
orders and processes, assists in the
administration of justice. (Canon 10-13, Chapter 3.
CPR) The lawyer and the courts.
4. Clients – The lawyer owes entire devotion Canons 10-13

to the interest of his client, warm and zeal
in the maintenance of the defense of his 10. Owes candor, fairness and good faith to
rights and exertion of utmost learning the court
ability to the end that nothing be taken or 11. Observe and maintain the respect due to
withheld from his client except in the courts and judicial officers and insist in
accordance with law. He owes a duty of similar conduct
competent and zealous representation to 12. Duty to assist in the speedy and efficient
the client, and should preserve his client’s administration of justice
secrets, preserve his funds and property 13. Rely upon the merits of his cause, refrain
and avoid conflicts of interest. (Canon 14- from any impropriety which tends to
22, CPR) influence courts, or give the appearance
of influencing the courts
CANONS OF PROFESSIONAL.
RESPONSIBILITY Chapter 4.
(Overview). The lawyer and the client.
Chapter 1. Canons 14-22

Lawyer and Society.
14. Not to refuse his services to the needy;
19
15. Observe candor, fairness and loyalty in all and regulations enforcing or implementing existing
his dealings and transactions with clients laws. (CPR Annotated, PhilJA)
16. Hold in trust all the moneys and property
of his client that may come to his Legal processes pertain to all the proceedings in an
possession action or proceeding. (CPR Annotated, PhilJA)
17. Owes fidelity to client’s cause and be
mindful of the trust and confidence CANON 1, CPR
reposed in him - A LAWYER SHALL UPHOLD THE
18. Serve client with competence and CONSTITUTION, OBEY THE LAWS OF THE
diligence LAND, AND PROMOTE RESPECT FOR LAW
19. Represent client with zeal and within the AND FOR LEGAL PROCESSES.
bounds of law
20. Charge only fair and reasonable fees;
21. Preserve the confidence and secrets of Q: What is the two-fold duty imposed by the
client even after the attorney-client Canon 1 of the Canons of Professional
relation is terminated Responsibility?
22. Withdraw services only for good cause
and upon notice A:
1. Personally obey the laws and the legal
Q: What is the first and most important duty of processes; and
an attorney? Why? 2. Inspire respect and obedience thereto.
(CPR Annotated, PhilJA)
A: The first and most important duty of the
lawyer is his duty to the court. The reason is that Note: The portion of Canon 1 which calls for lawyers
the attorney is an officer of the court. He is an to “promote respect for law and for legal processes”
officer of the court in the sense that his main is a call to uphold the ‘Rule of Law’. (Funan, 2009)
mission is to assist the court in the administering
of justice. His public duties take precedence over Q. What is the Rule of Law?
his private duties.
A: “The supremacy of the law”. It provides
Q: How should a lawyer view representation of that decisions should be made by the
the poor, the marginalized, and the oppressed application of known legal principles or laws
before our courts of justice? without the intervention of discretion in
their application. (Black’s Law Dictionary)
A: As an officer of the court, the lawyer has the
Note: The lawyer’s duty to uphold the Constitution,
duty of representing the poor, the marginalized
the laws and the rule of law is imposed upon him at
and the oppressed without expecting to be
the very moment he becomes a lawyer after reciting
compensated for his services. One of the main the lawyer’s oath of office. All lawyers therefore are
duties of the lawyer is to maintain the rule of law. sworn constitutionalists. (Funa, 2009)
The rule of law cannot be maintained if the poor,
the marginalized or the oppressed are not A lawyer’s oath to uphold the cause of justice is
afforded legal services to protect their rights superior to his duty to his client; its primacy is
against the rich and the privileged. The lawyer indisputable. (Cobb-Perez v. Lantin, No. L-22320, July
should consider it as a duty and not as a 29, 1968)
charitable work. (1988 Bar Question)
Q. Peter Donton filed a complaint against Atty.
Note: The duty of a counsel de oficio is to render Emmanuel Tansingco and others, as the notary
effective service and to exert his best efforts on public who notarized the Occupancy Agreement,
behalf of an indigent accused. He has a high duty to for estafa thru falsification of public document.
a poor litigant as to a paying client. (1991, 1993,
1994, 1996, 1998, 2001, 2002, 2004 Bar Questions) Atty. Tansingco in his complaint stated that he
prepared and notarized the Occupancy
A. LAWYER AND THE SOCIETY Agreement at the request of Mr. Stier, an owner
and long-time resident of a real property located
1. RESPECT FOR LAW AND LEGAL PROCESSES at Cubao, Quezon City. Since Mr. Stier is a U.S.
Citizen and thereby disqualified to own real
Note: Laws refers to all laws, and not just those of property in his name, he agreed that the
general application. Thus, they include presidential
decrees, executive orders, and administrative rules
20
LEGAL ETHICS TEAM:
property be transferred in the name of Mr. Q: What are the acts punishable under this Rule?
Donton, a Filipino.
A: Act which are unlawful, dishonest, immoral or
Donton averred that Atty. Tansingco’s act of deceitful.
preparing the Occupancy Agreement, despite
knowledge that Stier is a foreign national, Q: Define Unlawful Conduct.
constitutes serious misconduct and is a
deliberate violation of the Code. Donton prayed A: It refers to a transgression of any provision of
that Atty. Tansingco be disbarred. Is Atty. law which need not be a penal law. The presence
Tansingco guilty of serious misconduct? of evil intent on the part of the lawyer is not
essential in order to bring his act or omission
A. Yes. Atty. Tansingco is liable for violation of within the terms of this Rule.
Canon 1 and Rule 1.02 of the Code.
Q: Define Dishonest Conduct.
A lawyer should not render any service or give
advice to any client which will involve defiance of A: Dishonest conduct refers to the disposition to
the laws which he is bound to uphold and obey. lie, cheat, deceive, defraud, or betray; be
untrustworthy; lacking in integrity, honesty,
Atty. Tansingco had sworn to uphold the probity, integrity in principle, fairness and
Constitution. Thus, he violated his oath and the straightforwardness.
Code when he prepared and notarized the
Occupancy Agreement to evade the law against Q: Define Immoral Conduct.
foreign ownership of lands. Atty. Tansingco used
his knowledge of the law to achieve an unlawful A: Immoral Conduct refers to a conduct which is
end. Such an act amounts to malpractice in his willful, flagrant, or shameless, and which shows a
office, for which he may be suspended. (Donton v. moral indifference to the opinion of the good and
Atty. Tansingco, A.C. No. 6057, June 27, 2006) respectable members of the community. To
warrant disciplinary action, the act must not only
Q: Prosecutor Coronel entered his appearance be merely immoral but GROSSLY IMMORAL.
on behalf of the State before a Family Court in a
case for declaration of nullity of marriage, but he Note: Grossly immoral conduct is one that is so
failed to appear in all the subsequent corrupt and false as to constitute a criminal act or so
proceedings. When required by the Department unprincipled or disgraceful as to be reprehensible to
of Justice to explain, he argued that the parties a high degree. (Figueroa v. Barranco, SBC Case No.
in the case were ably represented by their 519, July 31, 1997)
respective counsels and that his time would be
better employed in more substantial Q: What are the instances of Gross Immorality
prosecutorial functions, such as investigations, and the resulting consequences?
inquests and appearances in court hearings. Is
Atty. Coronel’s explanation tenable? A:
1. Abandonment of wife and cohabiting with
A: Atty. Coronel’s explanation is not tenable. The another woman. DISBARRED. (Obusan v.
role of the State’s lawyer in nullification of Obusan, Jr., Adm. Case No. 1392 April 2,
marriage cases is that of protector of the 1984)
institution of marriage (Art 48, FC). “The task of 2. A lawyer who had carnal knowledge with a
protecting marriage as an inviolable social woman through a promise of marriage
institution requires vigilant and zealous which he did not fulfill. DISBARRED. (In re:
participation and not mere pro forma Disbarment of Armando Puno, A.C. No.
compliance” (Malcampo-Sin v. Sin, G.R. No. 389,February 28, 1967)
137590, Mar. 26, 2001). This role could not be left 3. Seduction of a woman who is the niece of
to the private counsels who have been engaged a married woman with whom respondent
to protect the private interest of the parties. lawyer had an adulterous relation.
(2006 Bar Question) DISBARRED. (Royong v. Oblena, A.C. No.
376, April 30, 1963)
4. Lawyer arranging marriage of his son to a
Rule 1.01, Canon 1, CPR: A lawyer shall not woman with whom the lawyer had illicit
engage in unlawful, dishonest, immoral or relations. DISBARRED. (Mortel v.
deceitful conduct. Aspiras,A.M. No. 145, December 28, 1956)
21
5. Lawyer inveigling a woman into believing A: Yes. A member of the bar may be removed or
that they have been married civilly to suspended from office as an attorney for any
satisfy his carnal desires. DISBARRED. deceit, malpractice, or misconduct in office. The
(Terre v. Terre, A.M. No. 2349 July 3, 1992) word "conduct" used in the rules is not limited to
6. Lawyer taking advantage of his position as conduct exhibited in connection with the
chairman of the college of medicine and performance of the lawyer's professional duties
asked a lady student to go with him to but it also refers to any misconduct, although not
Manila where he had carnal knowledge of connected with his professional duties, that would
her under threat that if she refused, she show him to be unfit for the office and unworthy
would flunk in all her subjects. of the privileges which his license and the law
DISBARRED. (Delos Reyes v. Aznar, A.M. confer upon him. The grounds expressed in
No. 1334 November 28, 1989) Section 27, Rule 138, of the Rules of Court are not
7. Bigamy perpetrated by the lawyer. limitative and are broad enough to cover any
DISQUALIFIED FROM ADMISSION TO THE misconduct, including dishonesty, of a lawyer in
BAR. (Royong vs. Oblena, A.C. No. 376, his professional or private capacity. Such
April 30, 1963) misdeed puts his moral fiber, as well as his fitness
8. Concubinage coupled with failure to to continue in the advocacy of law, in serious
support illegitimate children. SUSPENDED doubt. Atty.Adaza's issuance of worthless checks
INDEFINITELY. (Laguitan v. Tinio, A.M. No. and his contumacious refusal to comply with his
3049, December 4, 1989) just obligation for nearly eight years is appalling
9. Maintaining adulterous relationship with a and hardly deserves compassion from the Court.
married woman. SUSPENDED (Orbe v. Atty. Adaza, A.C. No. 5252, May 20,
INDEFINITELY. (Cordova v. Cordova, A.M. 2004)
No. 3249, November 29, 1989)
10. A retired judge who penned a decision 7 Q: Atty. Danilo Velasquez was charged before
months after he retired, antedating the IBP Committee on Bar Discipline with Gross
decision and forcing his former court staff Misconduct and Gross Immoral Conduct by
to include it in the expediente of the case. complainant Mecaral. Complainant Mecaral was
DISBARRED. (Radjaie v. Alovera, A.C. No. his secretary and she became his lover and
4748, August 4,2000) common-law wife. Atty. Velasquez then brought
11. Forging a Special Power of Attorney. her to the mountainous Upper San Agustin in
SUSPENDED FOR 3 YEARS. (Rural Bank of Caibiran, Biliran where he left her with a
Silay, Inc. v. Pilla, A.C. No. 3637, January religious group known as the Faith Healers
24,2001) Association of the Philippines, of which he was
12. Attempting to engage in an opium deal the leader. Although he visited her daily, his
SUSPENDED FOR 1 YEAR. ( Piatt v. Abordo, visits became scarce, prompting her to return
58 Phil. 350, September 1, 1933) home to Naval, Biliran. Furious, Atty. Velasquez
13. Facilitating the travel of a person to the brought her back to San Agustin where, on his
U.S. using spurious travel documents. instruction, his followers tortured, brainwashed
DISBARRED. (Sebastian v. Calis, A.C. No. and injected her with drugs. When she tried to
5118, September 9, 1999) escape, the members of the group tied her
spread-eagled to a bed. Made to wear only a T-
Q: Atty. Adaza obtained a loan from Orbe with shirt and diapers and fed stale food, she was
interest. He then issued two checks as guarded 24 hours a day by the women members.
installment. However, the first check was Her mother sought the help of the Provincial
dishonored. The other check was not accepted Social Welfare Department which immediately
for being a stale check. Efforts were exerted by dispatched two women volunteers to rescue her.
Orbe to see him but her efforts turned to be The religious group refused to release her,
futile. however, without the instruction of Atty.
Velasquez. Is Atty. Velasquez guilty of gross
After a criminal case was filed, Atty. Adaza went immoral conduct and violated Canon 1 of the
to Orbe’s house and promised to pay the checks. Code of Professional Responsibility?
Orbe then agreed to have the service of the
warrant of arrest withheld but, again, Atty. A: Yes. Atty. Velasquez’ act of converting his
Adaza failed to make good of his promise. Did secretary into a mistress is grossly immoral which
the act of Atty. Adaza’s in issuing worthless no civilized society in the world can countenance.
checks constitute gross misconduct? The subsequent detention and torture of the
complainant is gross misconduct [which] only a
22
LEGAL ETHICS TEAM:
beast may be able to do. Certainly, the Atty. embodied in man’s shows a moral
Velasquez had violated Canon 1 of the Code of conscience and indifference to the
Professional Responsibility. which guides him to opinion of the good
do good and avoid and respectable
When a lawyer’s moral character is assailed, such evil. members of the
that his right to continue practicing his cherished community (Arciga v.
profession is imperiled, it behooves him to meet Maniwang, A.M. No.
the charges squarely and present evidence, to the 1608, Aug. 14, 1981).
satisfaction of the investigating body and this
Court, that he is morally fit to keep his name in Q: Define deceitful conduct.
the Roll of Attorneys. Atty. Velasquez has not
discharged the burden. (Mecaral v. Velasquez, A: An act that has the proclivity for fraudulent
A.C. No. 8392, June 29, 2010) and deceptive misrepresentation, artifice or
device that is used upon another who is ignorant
Q: What are the acts which do not constitute of the fact, to the prejudice and damage of the
gross immorality? party imposed upon. (CPR Annotated, PhilJA)
A: Note: By indicating “IBP Rizal 259060” in his

1. Stealing a kiss from a client (Advincula v. pleadings and thereby misrepresenting to the public
Macabata, A.C. No. 7204, March 7, 2007) and the courts that he had paid his IBP dues to the
2. Live-in relationship involving two Rizal Chapter, Atty. Llamas is guilty of violating the
unmarried persons Code of Professional Responsibility which provides:
3. Failure to pay a loan Rule 1.01 – A lawyer shall not engage in unlawful,
dishonest, immoral or deceitful conduct. His act is
- A lawyer may not be disciplined for also a violation of Rule 10.01 which provides that: A
lawyer shall not do any falsehood, nor consent to the
failure to pay a loan. The proper remedy
doing of any in court; nor mislead or allow the court
is the filing of an action for collection of a
to be misled by any artifice. (Santos Jr. v. Atty.
sum of money in regular courts (Toledo v.
Llamas, A.C. No. 4749, Jan. 20, 2000)
Abalos, A.C. No. 5141, September 29,
1999) Q: Atty. Limon was Docena’s lawyer in a civil
case. During that case, he asked Docena to post
Exception: A deliberate failure to pay just
a supersedeas bond to stay execution of the
debts and the issuance of worthless checks
appealed decision. Docena forwarded the
(Lao v. Medel, A.C. No. 5916 July 1, 2003)
money to Atty. Limon. Later, the case was
Having incurred just debts, a lawyer has the decided in their favor. They were unable to
moral duty and legal responsibility to settle recover the money because the clerk of court
them when they become due. He should said no such bond had ever been filed. IBP
comply with his just contractual obligations, suspended Atty. Limon for one year.
act fairly and adhere to high ethical
standards to preserve the court’s integrity, Is disbarment warranted?
since he is an employee thereof. (Cham v.
Paita-Moya, A.C. No.7494, June 27, 2008). A: Yes. Atty. Limon’s allegation that the money
was payment of his fees was overcome by other
Note: Just debts include unpaid rentals, evidence. The law is not a trade nor craft but a
electric bills, claims adjudicated by a court of profession. Its basic ideal is to render public
law, and claims the existence and justness service and to secure justice for those who seek
which are admitted by the debtor (Cham v. its aid. If it has to remain an honorable
Paita-Moya, A.C. No.7494 June 27, 2008) profession and attain its basic ideal, lawyers
should not only master its tenets and principles
Q: Differentiate morality from immoral conduct but should also, by their lives, accord continuing
and grossly immoral conduct. fidelity to them. By extorting money from his
client through deceit, Limon has sullied the
A: integrity of his brethren in the law and has
Morality as Immoral conduct has indirectly eroded the people’s confidence in the
understood in law is been defined as that judicial system. He is disbarred for immoral,
a human standard conduct which is deceitful and unlawful conduct. (Docena v. Atty.
based on natural willful, flagrant, or Limon, A.C. No. 2387, Sept. 10, 1998)
moral law which is shameless and which
23
Q: Atty. Llorente and Atty. Salayon were election warrant disciplinary action, the same must be
officers of the COMELEC. They helped conduct “grossly immoral”, that is it must be so corrupt
and oversee the 1995 elections. Then Senatorial and false as to constitute a criminal act or so
candidate Pimentel, Jr. alleged that Atty. unprincipled as to be reprehensible to a high
Llorente and Atty. Salayon tampered with the degree. Atty. Iris’ act of immediately distancing
votes received by him. Pimentel Jr. filed an herself from Carlos upon discovering his true civil
administrative complaint for their disbarment. status belies that alleged moral indifference and
The two lawyers argued that the discrepancies proves that she had no intention of flaunting the
were due to honest mistake, oversight and law and the high moral standard of the legal
fatigue. They also argued that the IBP Board of profession. (Ui v. Atty Bonifacio, A.C. No. 3319,
Governors had already exonerated them from June 8, 2000)
any offense and that the motion for
reconsideration filed by Pimentel Jr. was not Q: Catherine and Atty. Rongcal maintained an
filed in time. Are Attys. Llorente and Salayon illicit affair. Catherine filed a case for
guilty of violating the Code of Professional disbarment against Atty. Rongcal based on gross
Responsibilities? immoral conduct alleging that he
misrepresented himself to be single when he
A: Yes. Atty. Llorente and Atty. Salayon do not was in fact married, and due to the false
dispute the fact that massive irregularities pretenses she succumbed to his sexual
attended the canvassing of the Pasig City election advances. Will her petition prosper?
returns. The only explanation they could offer for
such irregularities is that the same could be due A: Yes. Good moral character is a continuing
to honest mistake, human error, and/or fatigue condition in a privilege of law practice. The mere
on the part of the members of the canvassing fact of sexual relation between two unmarried
committees who prepared the Statements of adults is not sufficient to warrant administrative
Votes (SOVs). There is a limit, we believe, to what sanction for such illicit behavior, it is not with
can be construed as an honest mistake or respect to betrayal of the marital vow of fidelity.
oversight due to fatigue, in the performance of Atty. Rongcal is guilty of immorality in violation of
official duty. Rule 1.01 that a lawyer should not engage in
unlawful, dishonest, immoral or deceitful
Here, by certifying as true and correct the SoVs in conduct. But his remorse over his indiscretion and
question, Atty. Llorente and Atty. Salayon the fact of ending the illicit relationship mitigates
committed a breach of Rule 1.01 of the Code the liability. Hence a penalty of imposing a fine
which stipulates that a lawyer shall not engage in will suffice with a warning that the same will be
“unlawful, dishonest, immoral or deceitful dealt more severely. (Vitug v. Rongcal, A.C. No.
conduct.” By express provision of Canon 6, this is 6313, Sept. 7, 2006)
made applicable to lawyers in the government
service. In addition, they likewise violated their Q: Patricia and Simeon were teen sweethearts. It
oath of office as lawyers to “do no falsehood.” was after their child was born that Simeon first
(Pimentel, Jr. v. Atty. Llorente and Atty. Salayon, promised he would marry her after he passes
A.C. No. 4680, Aug. 29, 2000) the bar examinations. Their relationship
continued and Simeon allegedly made more
Q: An administrative complaint for disbarment than twenty or thirty promises of marriage.
against Atty. Iris was filed for allegedly carrying Patricia learned that Simeon married another
an immoral relationship with Carlos, husband of woman. Meanwhile, Simeon successfully passed
complainant Leslie. Atty. Iris contended that the 1970 bar examinations after four attempts.
her relationship with Carlos is licit because they But before he could take his oath, Patricia filed a
were married. And when she discovered Carlos’ petition to disqualify Simeon to take the
true civil status she cut off all her ties with him. Lawyer’s Oath on the ground of gross immoral
Is Atty. Iris guilty of committing gross immoral conduct. Does the act of Simeon in engaging in
conduct warranting her disbarment? premarital relations with Patricia and making
promises to marry her constitute gross immoral
A: No, her relationship with Carlos, clothed as it conduct?
was with what Atty. Iris believed was a valid
marriage, cannot be considered immoral. A: SC ruled that the facts do not constitute gross
Immorality connotes conduct that shows immoral conduct warranting a permanent
indifference to the moral norms of the exclusion of Simeon from the legal profession.
community. Moreover for such conduct to His engaging in premarital sexual relations with
24
LEGAL ETHICS TEAM:
complainant and promises to marry suggests a 6. Conviction of falsification of public

doubtful moral character on his part but the same document. REMOVED FROM HIS
does not constitute grossly immoral conduct. The OFFICE/NAME ERASED FROM ROLL OF
Court has held that to justify suspension or ATTORNEYS. (Ledesma de Jesus-Paras v.
disbarment the act complained of must not only Quinciano Vailoces,A.C. No. 439, April
be immoral, but grossly immoral. A grossly 12,1961)
immoral act is one that is so corrupt and false as 7. Conviction of estafa through falsification
to constitute a criminal act or so unprincipled or of public document. DISBARRED.
disgraceful as to be reprehensible to a high (Villanueva v. Sta. Ana, CBD Case No. 251,
degree. It is willful, flagrant, or shameless act, July 11, 1995)
which shows a moral indifference to the opinion 8. Conviction of abduction. SUSPENDED
of respectable members of the community. FROM OFFICE FOR 1 YEAR. (In Re Basa, 41
(Figueroa v. Barranco, Jr., G.R. No. 97369, July 31, Phil. 275, December 7,1920)
1997) 9. Conviction of concubinage. SUSPENDED
FROM OFFICE FOR 1 YEAR. (In re Isada, 60
Note: Mere intimacy between a man and woman, Phil. 915, November 16,1934)
both of whom possess no impediment to marry, 10. Conviction of smuggling. DISBARRED. (In
voluntarily carried on and devoid of any deceit on re Rovero, A.C. No. 126, October 24,1952)
the part of the former, is neither so corrupt nor so
unprincipled as to warrant the imposition of Note: Moral turpitude implies something immoral
disciplinary sanction against him, even if as a result regardless of the fact that it is punishable by law or
of such relationship a child was born out of wedlock. not. It must not merely be mala prohibita, but the
(CPR Annotated, PhilJA) act itself must be inherently immoral. The doing of
the act itself, and not the its prohibition by statute
Q: Define moral turpitude. fixes the moral turpitude. (Zari v. Flores, Adm.
Matter No. 2170-MC P-1356)
A: Moral turpitude imports an act of baseness,
vileness or depravity in the duties which one Q: Resurreccion as defendant delivered to Atty.
person owes to another or to society in general Sayson an amount representing the
which is contrary to the usual accepted and compensation or settlement money in a case for
customary rule of right and duty which a person homicide thru reckless imprudence. However,
should follow. The question as to whether an Atty. Sayson did not turn over the amount to his
offense involves moral turpitude is for the client, forcing Resurreccion to pay the same
Supreme Court to decide. (1992, 1993, 1997, amount again. Atty. Sayson was later convicted
2004 Bar Questions) for estafa. Should Atty. Sayson be disbarred?
Q: What are examples of acts that involve moral A: Yes. Good moral character is not only a
turpitude and their consequences? condition precedent to admission to the legal
profession, but it must also remain extant in
A: order to maintain one’s good standing in that
1. Conviction of estafa and/or BP 22. exclusive and honored fraternity. Act of moral
DISBARRED. (In the Matter of Disbarment turpitude (i.e. done contrary to justice, honesty &
Proceedings v. Narciso N. Jaramillo, A.C. good morals) such as estafa or falsification
No. 229, April 30,1957) renders one unfit to be a member of the legal
2. Conviction of bribery/ attempted bribery. profession. (Resurreccion v. Atty. Sayson, G.R. No.
DISBARRED. (In Re: Dalmacio De los 88202, Dec. 14, 1998)
Angeles, A.C. No. L-350, Angust 7,1959); 7
C.J.S., p. 736;5 Am. Jur. P. 428) Note: When lawyers are convicted of frustrated
3. Conviction of murder. DISBARRED. (In Re: homicide, the attending circumstances, not the mere
Disbarment Proceedings Against Atty. fact of their conviction would demonstrate their
Diosdado Q. Gutierrez,A.C. No.L- 363, July fitness to remain in the legal profession. (Soriano v.
31,1962) Dizon, A.C. No. 6792, Jan. 25, 2006)
4. Conviction of homicide. DISBARRED.
(Soriano v. Dizon, A.C. No. 6792, January Rule 1.02, Canon 1, CPR – A lawyer shall not
25,2006) counsel or abet activities aimed at defiance
5. Conviction of illegal marriage before of the law or at lessening confidence in the
admission to the bar. DISQUALIFIED FROM legal system. (1994, 1998 Bar Questions)
BEING ADMITTED TO THE BAR. (Villasanta
v. Peralta, 101 Phil.313, April 30, 1957)
25
Note: A lawyer should not promote nor hold an 4. Paying direct or indirect reward to those
organization known to be violating the law nor assist who bring or influence the bringing of
it in a scheme which is dishonest. He should not such cases to his office
allow his services to be engaged by an organization 5. Searching for unknown heirs and soliciting
whose members are violating the law and defend their employment of him
them should they get caught. 6. Initiating a meeting of a club and inducing
them to organize and contest legislation
Q: Atty. Asilo, a lawyer and a notary public, under his guidance
notarized a document already prepared by 7. Purchasing notes to collect them by
spouses Roger and Luisa when they approached litigation at a profit
him. It is stated in the document that Roger and
Luisa formally agreed to live separately from Q: What is crime of maintenance?
each other and either one can have a live-in
partner with full consent of the other. What is A: A lawyer owes to society and to the court the
the liability of Atty. Asilo, if any? duty not to stir up litigation.
A: Atty. Asilo may be held administratively liable Q: What is the difference between barratry and
for violating Rule 1.02 of the CPR - a lawyer shall ambulance chasing?
not counsel or abet activities aimed at defiance of
the law or at lessening confidence in the legal A: Barratry is an offense of frequently exciting
system. An agreement between two spouses to and stirring up quarrels and suits, either at law or
live separately from each other and either one otherwise; lawyer’s act of fomenting suits among
could have a live-in partner with full consent of individuals and offering his legal services to one
the other, is contrary to law and morals. The of them.
ratification by a notary public who is a lawyer of
such illegal or immoral contract or document Note: Barratry is not a crime under the
constitutes malpractice or gross misconduct in Philippine laws. However, it is proscribed by the
office. He should at least refrain from its rules of legal ethics. (CPR Annotated, PhilJA)
consummation. (In Re: Santiago, A.C. No. 923,
June 21, 1940; Panganiban v. Borromeo, 58 Phil. Ambulance chasing is an act of chasing victims of
367; In Re: Bucana, A.C. No. 1637, July 6, 1976) accidents for the purpose of talking to the said
(1998 Bar Question) victims (or relatives) and offering his legal
services for the filing of a case against the
Rule 1.03, Canon 1, CPR – A lawyer shall not, person(s) who caused the accident(s) (1993 Bar
for any corrupt motive or interest, encourage Question). It has spawned a number of
any suit or proceeding or delay any man’s recognized evils such as (FSMD):
cause.
1. Fomenting of litigation with resulting
burdens on the courts and the public;
Note: Aimed against the practice of “barratry”, 2. Subordination of perjury;
“stirring up litigation” and “ambulance chasing”. 3. Mulcting of innocent persons by
judgments, upon manufactured causes of
Q: Enumerate the unprofessional acts prohibited action; and
by Rule 1.03. 4. Defrauding of injured persons having
proper causes of action but ignorant of
A: legal rights and court procedures by
1. Volunteering advice to bring lawsuit means of contracts which retain
except where ties of blood, relationship exorbitant percentages of recovery and
and trust make it a duty to do so illegal charges for court costs and
2. Hunting up defects in titles or other expenses and by settlement made for
causes of action and informing thereof to quick returns of fees and against just
be employed to bring suit or collect rights of the injured persons (Hightower v.
judgment, or to breed litigation by seeking Detroit Edison Co. 247 NW 97, 1993)
out claims for personal injuries or any
other grounds to secure them as clients Note: Volunteer advice to bring lawsuit comes within
3. Employing agents or runners for like the prohibition, except where ties of blood,
purposes relationship and trust make it a duty to do so.
26
LEGAL ETHICS TEAM:
Q: Does the rule absolutely prohibit all forms of however, the final decision to settle a claim rests
voluntary giving of advice? upon the client. (CPR Annotated, PhilJA)
A: No. It may be allowed when the giving of Q: Jon de Ysasi III was employed by his father, in
advice is motivated by a desire to protect one their farm in Negros Occidental. During the
who does not recognize that he may have legal entire period of Jon de Ysasi III's illnesses, his
problems or who is ignorant of his legal rights or father took care of his medical expenses and Jon
obligations. (CPR Annotated, PhilJA) de Ysasi III continued to receive compensation.
However, later on, without due notice, his father
Q: When does voluntary giving of advice become ceased to pay Jon de Ysasi III’s salary. Jon de
improper? Ysasi III made oral and written demands from
Atty. Sumbingco (Jon de Ysasi's auditor and legal
A: When it is motivated by a desire to obtain adviser) for an explanation for the sudden
personal benefit, secure personal publicity, or withholding of his salary, as well as for the
cause legal action to be taken merely to harass or remittance of his salary. Both demands,
injure another. (CPR Annotated, PhilJA) however, were not acted upon. Jon de Ysasi III
filed a case in court. Can the lawyers who have
Q: While Atty. Ambo Lancia was on his way to been employed by the parties be admonished
office in Makati, he chanced upon a vehicular for not trying to reconcile the parties before the
accident involving a wayward bus and a small filing of suit?
Kia whose driver, a Mr. Malas, suffered serious
physical injuries. Coming to the succor of the A: Yes. The conduct of the respective counsel of
badly injured Mr. Malas, Atty. Lancia drove him the parties, as revealed by the records, sorely
to the nearest hospital. On their way to the disappoints the Court and invites reproof. Both
hospital, Mr. Malas found out that Atty, Lancia counsels may well be reminded that their ethical
was a practicing lawyer. In gratitude for his help, duty as lawyers to represent their clients with
Mr. Malas retained Atty. Lancia to file suit zeal goes beyond merely presenting their clients'
against the bus company and its driver. respective causes in court. It is just as much their
responsibility, if not more importantly, to exert all
If you were Atty. Lancia, would you accept the reasonable efforts to smooth over legal conflicts,
case? preferably out of court and especially in
consideration of the direct and immediate
A: I will not accept the case if I were Atty. Lancia consanguineous ties between their clients. Once
because it is difficult to dismiss the suspicion that again, the useful function of a lawyer is not only
Atty. Lancia had assisted Mr. Malas for the to conduct litigation but to avoid it whenever
purpose of soliciting legal business. It is not clear possible by advising settlement or withholding
from the facts how Mr. Malas learned that Atty. suit. He is often called upon less for dramatic
Lancia was a practicing lawyer. This could have forensic exploits than for wise counsel in every
happen only if Atty. Lancia introduced himself as phase of life. He should be a mediator for concord
a lawyer. Moreover, Atty. Lancia may be utilized and a conciliator for compromise, rather than a
as a witness. (1994 Bar Question) virtuoso of technicality in the conduct of litigation.
Rule 1.04 of the Code of Professional

Rule 1.04, Canon 1, CPR – A lawyer shall Responsibility explicitly provides that "a lawyer
encourage his clients to avoid, end or settle a shall encourage his client to avoid, end or settle
controversy if it will admit of a fair the controversy if it will admit of a fair
settlement. (2004 Bar Question) settlement." (De Ysasi v. NLRC, G.R. No. 104599,
Mar. 11, 1994)
Note: It is the duty of the lawyer to temper his
client’s propensity to litigate and resist his client’s 2. EFFICIENT AND CONVENIENT LEGAL
whims and caprices for the lawyer also owes duty to PROCESSES
the court. Lawyer should be a mediator for concord
and a conciliator for compromise rather than an CANON 2, CPR
initiator of controversy and a predator of conflict. - A LAWYER SHALL MAKE HIS LEGAL
SERVICES AVAILABLE IN AN EFFICIENT AND
The rule requires that lawyers encourage settlement CONVENIENT MANNER COMPATIBLE WITH
only when the same is fair. It should be noted that THE INDEPENDENCE, INTEGRITY AND
the duty and the right of the lawyer is limited to EFFECTIVENESS OF THE PROFESSION.
encouraging the client to settle. Ultimately,
27
Rationale: It is the lawyer’s prime duty to see to it Proposed Rule of Mandatory Legal Aid Service for
that justice is accorded to all without discrimination. Practicing Lawyers, the Court Resolved to
approve the same.
Rule 2.01, Canon 2, CPR – A lawyer shall not
reject, except for valid reasons, the cause of This Resolution shall take effect on July 1, 2009
the defenseless or the oppressed. following publication of the said Rule and its
implementing regulations in at least two (2)
newspapers of general circulation.
Q: Who are considered Defenseless? Q: What is the rule on Mandatory Legal Aid
Service?
A: Defenseless are those are not in a position to
defend themselves due to poverty, weakness, A: The mandatory Legal Aid Service mandates
ignorance or other similar reasons. every practicing lawyer to render a minimum of
60 hours of free legal aid services to indigent
Q: Who are considered Oppressed? litigants yearly.
A: Oppressed are those who are the victims of the Note: Rule on Mandatory Legal Aid Service (B.M. No.
cruelty, unlawful, exaction, domination or 2012): Pursuant to an en banc Resolution of the
excessive use of authority. Supreme Court, this Rule took effect on January 1,
2010, provided its implementing regulations have
Note: By specific authority the court may appoint an been published prior to the said date.
attorney to render professional aid to a destitute
appellant in a criminal case who is unable to employ Q: What is the purpose of the rule?
an attorney. Correspondingly a duty is imposed upon
a lawyer so assigned to “render the required A: The rule seeks to enhance the duty of lawyers
service”. A lawyer so appointed as counsel for an
to society as agents of social change and to the
indigent prisoner, the Canons of Professional Ethics
courts as officers thereof by helping improve
demands, should always “exert his best efforts” in
the indigent’s behalf. (People v. Estebia, G.R. No. L-
access to justice by the less privileged members
26868, Feb. 27, 1969) of society and expedite the resolution of cases
involving them. Mandatory free legal service by
The inability to pay for legal services is not a valid members of the bar and their active support
reason to refuse acceptance of a case. This is thereof will aid the efficient and effective
because the profession is a branch of the administration of justice especially in cases
administration of justice and not a mere money- involving indigent and pauper litigants. (Sec. 2,
getting trade. (CPR Annotated, PhilJA) B.M. No. 2012)
Note: A lawyer who accepts the cause of a person Q: What is the scope of the rule?
unable to pay his professional fees shall observe the
same standard of conduct governing his relation A: It shall govern the mandatory requirement for
with paying client. practicing lawyers to render free legal aid services
in all cases (whether, civil, criminal or
LEGAL AID IS NOT A MATTER OF CHARITY, BUT A administrative) involving indigent and pauper
PUBLIC RESPONSIBILITY. It is a means for the litigants where the assistance of a lawyer is
correction of social imbalance that may and often do needed. It shall also govern the duty of other
lead to injustice, for which reason it is the public members of the legal profession to support the
responsibility of the Bar. legal aid program of the Integrated Bar of the
Philippines. (Sec 3, B.M. No. 2012)
Rule on Mandatory Legal Aid Service.
BM No. 2012 Q: Who are the practicing lawyers for the
PROPOSED RULE ON MANDATORY. purpose of this rule?
LEGAL AID SERVICE FOR PRACTICING.
LAWYERS. A: Practicing lawyers are members of the
RESOLUTION. Philippine Bar who appear for and in behalf of
(February 10, 2009). parties in courts of law and quasi-judicial
agencies, including but not limited to the National
Acting on the Memorandum dated January 27, Labor Relations Commission, National
2009 of Justice (now Chief Justice) Renato C. Conciliation and Mediation Board, Department of
Corona re: Comment of the Integrated Bar of the Labor and Employment Regional Offices,
Philippines on our Suggested Revisions to the Department of Agrarian Reform Adjudication
28
LEGAL ETHICS TEAM:
Board and National Commission for Indigenous Q: What are free legal aid services?
Peoples.
A: Free legal aid services refer to appearance in
The term “practicing lawyers” shall exclude: court or quasi-judicial body for and in behalf of an
indigent or pauper litigant and the preparation of
1. Government employees and incumbent pleadings or motions. It shall also cover assistance
elective officials not allowed by law to by a practicing lawyer to indigent or poor litigants
practice; in court-annexed mediation and in other modes
2. Lawyers who by law are not allowed to of alternative dispute resolution (ADR). Services
appear in court; rendered when a practicing lawyer is appointed
3. Supervising lawyers of students enrolled in counsel de oficio shall also be considered as free
law student practice in duly accredited legal aid services and credited as compliance
legal clinics of law schools and lawyers of under the Rule. (Sec. 4[d], B.M. 2012)
non-governmental organizations (NGOs)
and peoples’ organizations (POs) like the Q: What are the requirements for mandatory
Free Legal Assistance Group who by the legal aid service?
nature of their work already render free
legal aid to indigent and pauper litigants; A: Under the Rule, a practicing lawyer, among
and others, shall coordinate with the Clerk of Court or
4. Lawyers not covered under subparagraphs the Legal Aid Chairperson of one’s Integrated Bar
1 to 3 including those who are employed of the Philippines (IBP) Chapter for cases where
in the private sector but do not appear for the lawyer may render free legal aid service.
and in behalf of parties in courts of law
and quasi-judicial agencies.(Sec. 4[a], B.M. 1. Every practicing lawyer is required to
2012) render a minimum of 60 hours of free
legal aid services to indigent litigants in a
Q: Who are these indigent and pauper litigants? year. Said 60 hours shall be spread within
the period of 12 months, with a minimum
A: Under Section 19, Rule 141, Rules of Court, of 5 hours of free legal aid services each
Indigent litigants are those: month. However, where it is necessary
for the practicing lawyer to render legal
1. Whose gross income and that of their aid service for more than 5 hours in one
immediate family do not exceed an month, the excess hours may be credited
amount double the monthly minimum to the said lawyer for the succeeding
wage of an employee; and periods. (Sec. 5[a] first par., B.M. 2012)
2. Who do not own real property with a fair Note: For this purpose, a practicing lawyer
market value as stated in the current tax shall coordinate with the Clerk of Court for
declaration of more than three hundred cases where he may render free legal aid
thousand (P300,000.00) pesos shall be service. He may also coordinate with the IBP
exempt from the payment of legal fees Legal Aid Chairperson of the IBP Chapter to
inquire about cases where he may render
Note: A party may be authorized to litigate his free legal aid service. In this connection, the
action, claim or defense as an indigent if the court IBP Legal Aid Chairperson of the IBP Chapter
upon an ex-parte application and hearing, is satisfied shall regularly and actively coordinate with
that the party is one who has no money or property the Clerk of Court. (Sec. 5[a] second par.,
sufficient and available for food, shelter and basic B.M. 2012)
necessities for himself and his family. (Section 21,
Rule 3, RRC) 2. The practicing lawyer shall report
compliance with the requirement within
Q: What does legal aid cases include? 10 days of the last month of each quarter
of the year. (Sec. 5[a] third par., B.M.
A: It includes actions, disputes, and controversies 2012)
that are criminal, civil and administrative in
nature in whatever stage wherein indigent and 3. A practicing lawyer shall be required to
pauper litigants need legal representation. (Sec. secure and obtain a certificate from the
4[c], B. M.2012) Clerk of Court attesting to the number of
hours spent rendering free legal aid
services in a case. (Sec. 5[b] B.M. 2012)
29
4. Said compliance report shall be submitted compliance period under the Rules on MCLE shall
to the Legal Aid Chairperson of the IBP be credited the following:
Chapter within the Court’s jurisdiction.
(Sec. 5[c] B.M. 2012) 1. Two (2) credit units for legal ethics
2. Two (2) credit units for trial and pretrial
5. The IBP chapter shall, after verification, skills
issue a compliance certificate to the 3. Two (2) credit units for alternative dispute
concerned lawyer. The IBP Chapter shall resolution
also submit compliance reports to the 4. Four (4) credit units for legal writing and
IBP’s National Committee on Legal Aid oral advocacy
(NCLA) for recording and documentation. 5. Four (4) credit units for substantive and
The submission shall be made within procedural laws and jurisprudence
forty-five (45) days after the mandatory 6. Six (6) credit units for such subjects as may
submission of compliance reports by the be prescribed by the MCLE Committee
practicing lawyers. (Sec. 5[d] B.M. 2012) under Section 2(g), Rule 2 of the Rules on
MCLE
6. Practicing lawyers shall indicate in all
pleadings filed before the courts or quasi- A lawyer who renders mandatory legal aid service
judicial bodies the number and date of for the required number of hours in a year for at
issue of their certificate of compliance for least two consecutive years within the three year-
the immediately preceding compliance period covered by a compliance period under the
period. (Sec 5[e] B.M. 2012) Rules on MCLE shall be credited the following:
Q: What should the certificate from the Clerk of 1. One (1) credit unit for legal ethics
Court, attesting the number of hours spent 2. One (1) credit unit for trial and pretrial
rendering free legal services, contain? skills
3. One (1) credit unit for alternative dispute
A: The certificate shall contain the following resolution
information: 4. Two (2) credit units for legal writing and
1. The case or cases where the legal aid oral advocacy
service was rendered, the party or parties 5. Two (2) credit units for substantive and
in the said case(s), the docket number of procedural laws and jurisprudence
the said case(s) and the date(s) the service 6. Three (3) credit units for such subjects as
was rendered may be prescribed by the MCLE
2. The number of hours actually spent Committee under Section 2(g), Rule 2 of
3. The number of hours actually spent the Rules on MCLE. (Sec. 8, B.M. 2012)
attending mediation, conciliation or any
other mode of ADR on a particular case Q: What is the sanction in case of non-
4. A motion (except a motion for extension compliance of the rule on mandatory legal aid
of time to file a pleading or for service?
postponement of hearing or conference)
or pleading filed on a particular case shall A:
be considered as one (1) hour of service. 1. At the end of every calendar year, any
(Sec 5[b] B.M. 2012) practicing lawyer who fails to meet the
minimum prescribed 60 hours of legal aid
Note: The Clerk of Court shall issue the certificate in service each year shall be required by the
triplicate, one (1) copy to be retained by the IBP, through the National Committee on
practicing lawyer, one (1) copy to be retained by the Legal Aid (NCLA), to explain why he was
Clerk of Court and one (1) copy to be attached to the unable to render the minimum prescribed
lawyer's compliance report. (Sec 5[b][iv]second number of hours.
par., B.M. 2012) 2. If no explanation has been given or if the
NCLA finds the explanation unsatisfactory,
Q: What credits should be given to a lawyer who the NCLA shall make a report and
renders mandatory legal aid service? recommendation to the IBP Board of
Governors that the erring lawyer be
A: A lawyer who renders mandatory legal aid declared a member of the IBP who is not
service for the required number of hours in a year in good standing.
for the three year-period covered by a
30
LEGAL ETHICS TEAM:
3. Upon approval of the NCLA’s 3. Provide relief to the Public Attorney’s

recommendation, the IBP Board of Office (PAO) and other associations
Governors shall declare the erring lawyer accredited by the Supreme Court from the
as a member not in good standing. numerous cases it handles
4. The notice to the lawyer shall include a 4. Provide indigent litigants the opportunity
directive to pay P4,000.00 penalty which to acquire the services of the
shall accrue to the special find for the legal distinguished law firms and legal
aid program of the IBP. practitioners of the country for free
5. The “not in good standing” declaration 5. Ensure that the right of every individual to
shall be effective for a period of 3 months counsel as mandated in the Constitution is
from the receipt of the erring lawyer of protected and observed 2
the notice from the IBP Board of
Governors. Q: How are the services availed of?
6. During the said period, the lawyer cannot
appear in court or any quasi-judicial body A: PAO, Department of Justice (DOJ) and other
as counsel. legal aid clinics accredited by the Supreme Court
7. Provided, however, that the “not in good shall refer pauper litigants to identified lawyers
standing” status shall subsist even after and professional partnerships.
the lapse of the 3-month period until and
unless the penalty shall have been paid. PAO, DOJ or the accredited legal aid clinic shall
8. Any lawyer who fails to comply with his issue a certification that services were rendered
duties under this Rule for at least 3 by the lawyer or the professional partnership
consecutive shall be the subject of under this act. The certification shall include the
disciplinary proceedings to be instituted cost of the actual services given.
motu proprio by the Committee on Bar
Discipline.(Sec. 7, B.M. 2012) Q: What are the incentives given to lawyers
rendering free legal services?
Note: The falsification of a certificate or any
contents thereof by any Clerk of Court or by any A: A lawyer or professional partnerships
Chairperson of the Legal Aid Committee of the IBP rendering actual free legal services, as defined by
local chapter where the case is pending or by the the Supreme Court, shall be entitled to an
Director of a legal clinic or responsible officer of an allowable deduction from the gross income, the
NGO (non-governmental organizations) or PO amount that could have been collected for the
(people’s organizations) shall be a ground for an actual free legal services rendered or up to ten
administrative case against the said Clerk of Court or
percent (10%) of the gross income derived from
Chairperson. This is without prejudice to the filing of
the actual performance of the legal profession,
the criminal and administrative charges against the
malfeasor. (Sec. 7[e] B.M. 2012)
whichever is lower: Provided, That the actual free
legal services herein contemplated shall be
AN ACT PROVIDING A MECHANISM FOR FREE exclusive of the minimum sixty (60)-hour
LEGAL ASSISTANCE AND FOR OTHER PURPOSES mandatory legal aid services rendered to indigent
R.A. NO. 9999 litigants as required under the Rule on Mandatory
FEB. 23, 2010 Legal Aid Services for Practicing Lawyers, under
BAR Matter No. 2012, issued by the Supreme
Note: Otherwise known as the “Free Legal Court. (Sec. 5, R.A. 9999)
Assistance Act of 2010”. (Sec. 1, R.A. 9999)
Q: What are the salient features of R.A. No.
Q: What are the purposes of R.A. No. 9999? 9999?
A: To: A:
1. Encourage lawyers and professional 1. The law will allow indigent litigants to
partnerships to provide free legal acquire the services of renowned lawyers
assistance and law firms for free
2. Solicit the assistance of lawyers and 2. In exchange for the services rendered by
professional partnerships in the private the lawyer or the law firm, they will be
practice of law in providing quality legal given tax incentives equivalent to the cost
assistance to indigent litigants through a of the services rendered to the indigent
system of tax incentives litigant
31
3. It will help relieve the Public Attorney’s A: It is not a business because it is a:

Office (PAO) of its numerous case load
involving indigent litigants who shall be 1. Relation, as an “officer of the court”, to
referred to lawyers or law firms in the the administration of justice involving
private practice thorough sincerity, integrity and reliability
4. It should entice renowned and 2. Duty of public service
distinguished firms and lawyers in the 3. Relation to clients with the highest degree
practice as their services shall still be of fiduciary
compensated commensurately through 4. Relation to the colleagues at the bar
the tax incentives characterized by candor, fairness, and
unwillingness to resort to current business
Note: The DOJ, in cooperation with the methods of advertising and encroachment
Philippine Information Agency (PIA), is on their practice, or dealing directly with
hereby mandated to conduct an annual their clients. (2006 Bar Question)
Information, Education and Communication
(IEC) campaign in order to inform the Note: The best type of advertisement for a lawyer is
lawyers of the procedures and guidelines in a well-deserved reputation for competence,
availing tax deductions and inform the honestly and fidelity to private trust and public duty.
general public that a free legal assistance to
those who cannot afford counsel is being Q: Atty. David agreed to give ½ of his
provided by the State. (Sec. 6, R.A. 9999)
professional fees to an intermediary or
commission agent and he also bound himself not
Rule 2.02, Canon 2, CPR – In such cases, to deal directly with the clients. Can he be
even if the lawyer does not accept a case, subject to disciplinary action?
he shall not refuse to render legal advice to
the person concerned if only to the extent A: Yes. The agreement is void because it was
necessary to safeguard the latter’s rights. tantamount to malpractice which is the practice
of soliciting cases of law for the purpose of gain
either personally or through paid agents or
Q: What does rendering of legal advice include?
brokers. Malpractice ordinarily refers to any
malfeasance or dereliction of duty committed by a
A: It shall include preliminary steps that should be
lawyer. The meaning of malpractice is in
taken, at least, until the person concerned has
consonance with the notion that the practice of
obtained the services of a proper counsel’s
law is a profession not a business. The lawyer
representation. Even though no attorney-client
may not seek or obtain employment by himself or
relationship is created between the parties, the
through others, to do so would be unprofessional.
lawyer, by providing interim advice, preserves the
(Tan Tek Beng v. David, A. C. No. 1261, Dec. 29,
dignity of the profession by inspiring public faith
1983)
in the profession. (CPR Annotated, PhilJA)
Q: Are advertisements of lawyers and law firms
Note: If only to the extent necessary to safeguard
the latter’s right means such as advising him what
allowed in Philippine jurisdiction?
preliminary steps to take until he shall have secured
the services of counsel. However, he shall refrain A:
from giving this preliminary advice if there is a GR: No advertisements allowed. The most
conflict of interest between a present client and a worthy and effective advertisement possible is
prospective one. Extending such legal advice will the establishment of a well-merited reputation
create and establish an attorney-client relationship for professional capacity and fidelity to trust.
between them and may involve a violation of the
rule prohibiting a lawyer from representing Note: Lawyers may not advertise their services or
conflicting interest. expertise nor should they resort to indirect
advertisements for professional employment,
such as furnishing or inspiring newspaper
Rule 2.03, Canon 2, CPR – A lawyer shall not comments, or procuring his photograph to be
do or permit to be done any act designated published in connection with causes in which the
primarily to solicit legal business. (1997 Bar lawyer has been engaged or concerning the
Question) manner of their conduct, the magnitude of the
interest involved, the importance of the lawyer's
Q: Why is legal profession not considered as a position, and all other self-laudation.
business?
32
LEGAL ETHICS TEAM:
Note: Advertising is NOT malum in se and what A:

the prohibition tries to prevent is advertising that 1. The profession is primarily for public
tends to degrade the dignity of the profession. service;
2. Commercializes the profession
XPN: LEPO-LABAN-PD 3. Involves self-praise and puffing
4. Damages public confidence
1. Reputable Law lists, in a manner 5. May increase lawsuits and result in
consistent with the standards of needless litigation
conduct imposed by the canons, of brief
biographical and informative data, are Note: It is highly unethical for an attorney to
allowed. advertise his talents or skill as a merchant advertises
2. Advertisements or simple his wares. (In re: Tagorda, 53 Phil 42, Mar. 23, 1929)
announcement of the Existence of a
lawyer or his law firm posted anywhere Q: What activities constitute indirect
it is proper such as his place of business solicitation?
or residence except courtrooms and
government buildings. A:
3. Ordinary simple Professional Card. It 1. Writing and selling for publication articles
may contain only a statement of his of general nature on legal subjects
name, the name of the law firm which 2. Writing unsolicited article on a legal
he is connected with, address, subject.
telephone number and the special
branch of law practiced. Note: If engaged in another profession or occupation
4. A simple announcement of the Opening concurrently with the practice of law, the lawyer
of a law firm or of changes in the shall make clear to his client whether he is acting as
partnership, associates, firm name or a lawyer or in another capacity.
office address, being for the
convenience of the profession, is not Q: Atty. Dulcinea writes a regular column in a
objectionable. newspaper of general circulation and articles on
5. Advertisements or announcement in unforgettable legal stories in a leading magazine.
any Legal publication, including books, Her by-line always includes the name of her firm
journals, and legal magazines and in where she is a name partner. Would you
telephone directories. (Ulep v. Legal consider this as improper advertising? Explain
Clinic, Inc., B.M. No. 553, June 17, 1993) your answer.
6. Writing legal Articles
7. Engaging in Business and other A: Atty. Dulcinea’s by-line including the firm name
occupations except when such could be where she belongs is improper because it is an
deemed improper, be seen as indirect indirect way of solicitation or is an advertisement
solicitation or would be the equivalent of the law firm.
of a law practice
8. Activity of an association for the Q: A paid advertisement appeared in the July 5,
purpose of legal representation. 2000 issue of Philippine Daily Inquirer, which
9. Notice to other local lawyers and reads: "ANNULMENT' OF MARRIAGE Specialist
publishing in a legal journal of one’s 532-4333/521-2667." Similar advertisements
availability to act as an associate for were published in the August 2 and 6, 2000
them issues of the Manila Bulletin and August 5, 2000
10. Seeking a Public office, which can only issue of The Philippine Star.
be held by a lawyer or, in a dignified
manner, a position as a full time A staff member of the SC called up the published
corporate counsel telephone number and pretended to be an
11. Listing in a phone Directory, but not interested party. She spoke to Mrs. Simbillo,
under a designation of a special branch who claimed that her husband, Atty. Simbillo,
of law. (Atty. Khan Jr. v. Atty. Simbillo, was an expert in handling annulment cases and
A.C. No. 5299, Aug. 19, 2003) can guarantee a court decree within four to six
months, provided the case will not involve
Q: What is the rationale for the prohibition on separation of property or custody of children.
advertisements? Mrs. Simbillo also said that her husband charges
a fee of P48,000.00, half of which is payable at
33
the time of filing of the case and the other half conference at the lawyer’s office, an amicable
after a decision thereon has been rendered. settlement was actually reached by the parties.
Did the lawyer commit an infraction of
Does the appearance of the following: professional ethics? Explain.
"ANNULMENT' OF MARRIAGE Specialist 532-
4333/521-2667", in a newspaper, amount to A: There is no infraction of professional ethics. It
advertising and solicitation of legal services does not appear from the facts that the lawyer
prohibited by the Code of Professional who helped to settle the matter amicably had in
Responsibility and the Rules of Court? view the retention of his services for a possible
litigation or payment, promise or discharge of
A: Yes. It has been repeatedly stressed that the consideration in his favor. If all that the lawyer did
practice of law is not a business. It is a profession was to help settle the matter amicably, then he
in which duty to public service, not money, is the should even be commended for helping
primary consideration. Lawyering is not primarily contending parties avoid a lawsuit.
meant to be a money-making venture, and law
advocacy is not a capital that necessarily yields But if the purpose of the lawyer in helping to
profits. The gaining of a livelihood should be a settle the matter amicably is to charge a fee or to
secondary consideration. The duty to public carry favor by judging one side against the other,
service and to the administration of justice should then he is guilty of improper solicitation, which is
be the primary consideration of lawyers, who unethical. (1986 Bar Question)
must subordinate their personal interests or what
they owe to themselves. (Atty. Khan Jr. v. Atty.
Rule 2.04, Canon 2,CPR – A lawyer shall not
Simbillo, A.C. No. 5299, Aug. 19, 2003)
charge rates lower than those customarily
prescribed unless the circumstances so
Note: The rule against solicitation applies to a lawyer
who offers monetary reward to those who can serve warrant. (1997, 2005 Bar Questions)
as witness/es in the case, which he is handling. (CPR
Annotated, PhilJA) Q: Dante wants to file a case against his wife for
support; he secured the services of Atty. Reyes,
Note: Solicitation of employment is a ground for
his cousin and a private practitioner. However,
suspension or disbarment.
Dante does not have sufficient money to pay for
Q: Facing disciplinary charges for advertising as a legal services. Nevertheless, Atty. Reyes
lawyer, Atty. A argues that although the calling accepted the case and promised to charge a
card of his businessman friend indicates his law lower rate. Did Atty. Reyes violate the Code of
office and his legal specialty, the law office is Professional Responsibilities?
located in his friend’s store. Decide.
A: No, Atty. Reyes did not violate the CPR.
A: This appears to be a circumvention of the
prohibition on improper advertising. There is no GR: A lawyer shall not charge rates lower than
valid reason why the lawyer’s businessman friend those customarily prescribed.
should be handling out calling cards which
contains the lawyer’s law office and legal XPN: When clients are relatives, co-lawyers, or
specialty, even if his office is located in his friend’s are indigents. These are the valid
store. What makes it more objectionable is the justifications.
statement of his supposed legal specialty. (2001
Bar Question) The case of Dante falls under the valid
justifications, so Atty. Reyes did not commit any
Q: A lawyer who had just paid his bill at a unethical act.
respectable car repair shop noticed that another
Note: What the rule prohibits is a competition in
customer was having a heated argument with
the matter of charging professional fees for the
the shop manager. It turned out that the purpose of attracting clients in favor of the lawyer
customer’s car which was undergoing repair had who offers lower rates. The rule does not prohibit a
been driven by one of the shop employees and lawyer from charging a reduced fee or none at all to
had crashed against another car which was also an indigent. (Comments of the IBP Committee)
being repaired. The lawyer approached the two
who are arguing, identified himself as a
practicing lawyer, and volunteered to help settle
the matter amicably. At a subsequent
34
LEGAL ETHICS TEAM:
3. TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE A:

INFORMATION ON LEGAL SERVICES 1. Misstatements of fact
2. Suggestions that the ingenuity or prior
CANON 3, CPR record of a lawyer rather than the justice
- A LAWYER IN MAKING KNOWN HIS LEGAL of the claim are the principal factors
SERVICES SHALL USE ONLY TRUE, HONEST, likely to determine the result
FAIR, DIGNIFIED AND OBJECTIVE 3. Inclusion of information irrelevant on
INFORMATION OR STATEMENT OF FACTS selecting a lawyer
(1993,1997,1998,2001,2002,2003 Bar 4. Representations concerning the quality
Questions) of service, which cannot be measured or
verified. (CPR Annotated, PhilJA)
Rationale: The practice of law is not a trade like the
sale of commodities to the general public where Q: Atty. Lana a famous family lawyer, asked his
‘the usual exaggerations in trade, when the proper secretary to draft the contents of his new calling
party had the opportunity to know the facts, are card. The secretary inserted in such draft the
not in themselves fraudulent.” phrase, the “best family lawyer in the
Philippines”. The draft was checked by Atty.
Q: Is giving of advice on legal matters through Lana and approved it. The new calling cards
the medium of a newspaper column or radio or were then made and Atty. Lana gave it to
television broadcast improper? prospective clients. Did Atty. Lana commit any
A: Yes, as giving of legal advice through such unethical act?
medium cannot be undertaken by a layman
because that service constitutes practice of law. A: Yes, under Rule 3.01 of CPR, violation of Rule
Nor can it be undertaken by a lawyer because 3.01 is unethical, whether done by him personally
that work involve indirect advertising, violation or through another with his permission.
of the confidential relation of attorney and
client, and a breach of the traditional standards Rule 3.02, Canon 3, CPR – In the choice of a
of the profession. (Agpalo, Legal and Judicial firm name, no false, misleading or assumed
Ethics) name shall be used. The continued use of the
name of a deceased partner is permissible
Q: Atty. E has a daily 10-minute radio program provided that the firm indicates in all its
billed as a “Court of Common Troubles.” The communications that said partner is
program is advertised by the radio station as a deceased. (1994, 1996, 2001 Bar Questions)
public service feature for those who seek but
cannot afford to pay for legal advice. Its
sponsors include a food processing company and Q: What is the reason in allowing a firm to use
a detergent manufacturing firm which share the name of a deceased partner?
with the radio station the monthly remuneration
of Atty. E. Is there any impropriety in Atty. E’s A: All the partners have by their joint and several
role under the above arrangement? efforts over a period of years contributed to the
good will attached to the firm name. In the case
A: Giving advice on legal matters through the of a firm having widespread connections, this
medium of a newspaper column or radio station good will is disturbed by a change in firm name
or television broadcast is improper. It would every time a partner dies, and that reflects a loss
involve indirect advertising and violation of the in some degree of the good will to the building up
confidential relation between the lawyer and the of which the surviving partners have contributed
client. (Agpalo, Legal Ethics) (1997 Bar Question) their time, skill and labor through a period of
years. (CPR Annotated, PhilJA)
Note: The doctrine in, “In the matter of the petition
use or permit the use of any false,
for authority to continue use of the firm Ozaeta,
fraudulent, misleading, deceptive,
Romulo, De Leon etc., and petition for authority to
undignified, self-laudatory or unfair continue use of firm name – Sycip, Salazar, Feliciano,
statement or claim regarding his etc.” (July 30, 1979) that a law firm cannot continue
qualifications or legal services. (1997 Bar using the name of a deceased partner due to the
Question) possibility of deception upon the public, is
abandoned by Rule 3.02.
Q: Cite some examples of information in lawyer
advertising, that could be considered deceptive.
35
Note: No name not belonging to any of the partners the RTC Branch 220 issued an order granting the
or associates may be used in the firm name for any preliminary injunction as threatened by Atty.
purpose. Gatdula despite the fact that the MTC, Branch 37
Continued use of the name of a deceased partner is had issued an Order directing the execution of
permissible provided that the firm indicates in all its the Decision in Civil Case No. 37-14552.
communications that said partner is deceased. The
use of a cross after the name of the deceased Samonte filed an administrative case for
partner is sufficient indication. It is advisable though
misconduct, alleging that Atty. Gatdula is
that the year of the death be also indicated.
engaged in the private practice of law. Did Atty.
Note: At the hearing, the respondent admitted that
Gatdula violate the Code of Conduct and Ethical
the letterhead of the Cristal-Tenorio Law Office Standards for the Public Officials and
listed Felicismo R. Tenorio Jr., Gerardo A. Panghulan, Employees?
and Maricris D. Battung as senior partners. She
admitted that the first two are not lawyers but A: Yes. Samonte by her failure to appear at the
paralegals. They are listed in the letterhead of her hearings, failed to substantiate her allegation that
law office as senior partners because they have it was Atty. Gatdula who gave her calling card
investments in her law office. That is a blatant "Baligod, Gatdula, Tacardon, Dimailig and Celera
misrepresentation. (Cambaliza v. Atty. Cristal- Law Offices" and that he tried to convince her to
Tenorio, A.C. No. 6290, July 14, 2004) change counsels. However, that while Atty.
Gatdula vehemently denies Samonte's
Rule 3.03, Canon 3, CPR – Where a partner allegations, he does not deny that his name
accepts public office, he shall withdraw from appears on the calling card attached to the
the firm and his name shall be dropped from complaint, which admittedly came into the hands
the firm name unless the law allows him to of Samonte.
practice law concurrently.
The card clearly gives the impression that he is
connected with the said law firm. The
Q: Is a Filipino lawyer allowed to practice under
inclusion/retention of his name in the
a name of a foreign law firm?
professional card constitutes an act of solicitation
which violates Section 7 sub-par. (b) (2) of R.A.
A: Filipino lawyers cannot practice law under the
6713, otherwise known as "Code of Conduct and
name of a foreign law firm, as the latter cannot
Ethical Standards for the Public Officials and
practice law in the Philippines and the use of a
Employees" which declares it unlawful for a
foreign law firm in the country is unethical.
public official or employee to, among others:
(Dacanay v. Baker and McKenzie, A.C. No. 2131,
May 10, 1985)
(2) Engage in the private practice of their
profession unless authorized by the Constitution
Rationale: To prevent the law firm or partners from
or law, provided that such practice will not
making use of the name of the public official to
attract business and to avoid suspicion of undue
conflict or tend to conflict with official functions.
influence. (Samonte v. Gatdula, A.M. No. 99-1292, Feb. 26,
1999)
Q: Samonte alleges that when she went to
Branch 220, RTC, Quezon City, to inquire about Rule 3.04, Canon 3, CPR - A lawyer shall not
the reason for the issuance of the temporary pay or give anything of value to
restraining order, Atty. Rolando Gatdula (Clerk representatives of the mass media in
of Court) blamed her lawyer for writing the anticipation of, or in return for, publicity to
wrong address in the complaint for ejectment, attract legal business.
and told her that if she wanted the execution to
proceed, she should change her lawyer and
retain the law office of Atty. Gatdula, at the Note: The purpose of the rule is to prevent some
same time giving his calling card with the name lawyers from gaining an unfair advantage over
"Baligod, Gatdula, Tacardon, Dimailig and others through the use of gimmickry, press agentry
Celera" with office at Rm. 220 Mariwasa Bldg., or other artificial means.
717 Aurora Blvd., Cubao, Quezon City, otherwise
she will not be able to eject the defendant Dave Q: Fiscal Salva conducted the investigation of the
Knope. Samonte told Atty. Gatdula that she case concerning the killing of Monroy, in the
could not decide because she was only session hall of the Municipal Court of Pasay City
representing her sister. To her consternation, to accommodate the public and members of the
press. Also, he told the press that “if you want
36
LEGAL ETHICS TEAM:
to ask question, I am allowing you to do so and opposing candidate is better qualified. (ABA Opinion
the questions will be reproduced as my own”. Is 189 (1938); Funa, 2009)
the act of the fiscal in sensationalizing the case
unethical? 5. PARTICIPATION IN LEGAL EDUCATION
A: Yes. Fiscal Salva should be publicly CANON 5, CPR

reprehended and censured for the uncalled and - A LAWYER SHALL KEEP ABREAST OF LEGAL
wide publicity and sensationalism that he had DEVELOPMENTS, PARTICIPATE IN
given to and allowed in connection with his CONTINUING LEGAL EDUCATION
investigation, whatever be his motive, which is PROGRAMS, SUPPORT EFFORTS TO
considered and found to be contempt of court ACHIEVE HIGH STANDARDS IN LAW
(Cruz v Salva, G.R. No. L-12871, July 25, 1959) SCHOOLS AS WELL AS IN THE PRACTICAL
TRAINING OF LAW STUDENTS AND ASSIST
4. PARTICIPATE IN THE IMPROVEMENT IN DISSEMINATING INFORMATION
OF THE LEGAL SYSTEM REGARDING THE LAW AND
JURISPRUDENCE
CANON 4, CPR (2003,2006,2008 Bar Questions).
- A LAWYER SHALL PARTICIPATE IN THE
DEVELOPMENT OF THE LEGAL SYSTEM BY
Note: This duty carries with it the obligation to be
INITIATING OR SUPPORTING EFFORTS IN
well informed of the existing laws, and to keep
LAW REFORM AND IN THE
abreast with legal developments, recent enactment
ADMINISTRATION OF JUSTICE
and jurisprudence. It is imperative that they be
(2008 BAR QUESTION). conversant with basic legal principles. Unless they
faithfully comply with such duty, they may not be
Note: By reason of education and experience, able to discharge competently and diligently their
lawyers are especially qualified to recognize obligations as members of the Bar. Worse, they may
deficiencies in the legal system and to initiate become susceptible to committing mistakes. (Dulalai
corrective measures therein. Thus they should Jr. v. Cruz, A.C. No. 6854, Apr. 27, 2007, citing
participate in proposing and supporting legislation Santiago v. Rafanan, A.C. No. 6252 Oct. 5, 2004)
and programs to improve the system, without regard
to the general interests or desires of clients or Q: What is the three-fold obligation of a lawyer?
former clients. (Ethical Consideration 8-1, 1978,
Model Code of Professional Responsibility, American A:
Bar Association) 1. He owes it to himself to continue
improving his knowledge of the laws
E.g.: 2. He owes it to his profession to take an
1. Presenting position papers or resolutions active interest in the maintenance of high
for the introduction of pertinent bills in standards of legal education
Congress; or 3. He owes it to the lay public to make the
2. Petitions with the SC for the amendment law a part of their social consciousness.
of the Rules of Court.
CANON 6, CPR
Note: Every man owes some of his time to the up
-THESE CANONS SHALL APPLY TO LAWYERS
building of the profession to which he belongs.
IN GOVERNMENT SERVICES IN THE
(Report of the IBP Committee)
DISCHARGE OF THEIR TASKS
Note: Lawyers also have the duty to assist the (1992,1993,2000,2001,2006 BAR
Judicial and Bar Council (JBC) is appraising accurately QUESTIONS).
the qualifications of candidates for judicial office.
Note: Canons shall apply to lawyers in government
A lawyer may with propriety endorse a candidate service in the discharge of their tasks. Lawyers
and seek that endorsement from other lawyers. A should be more sensitive in the performance of their
lawyer should not use or attempt to use the power professional obligations as their conduct is subject to
or prestige of the judicial office to secure such constant scrutiny of the public.
endorsement. On the other hand, the lawyer whose
endorsement is sought should have the courage and
moral stamina to refuse the request for
endorsement if he believes the candidate lacks the
essential qualifications for the office or believes the
37
Rule 6.01, Canon 6, CPR – The primary duty 1. Engage in the Private practice of their
of a lawyer engaged in public prosecution is profession unless authorized by the
not to convict but to see to it that justice is constitution or law, provided that such
done. The suppression of facts or the practice will not conflict or tend to conflict
with their official functions;
concealment of witnesses capable of
establishing the innocence of the accused is 2. Own, control, manage or accept
highly reprehensible and is cause for Employment as officer, employee,
disciplinary action. (1992, 1993 Bar consultant, counsel, broker, agent, trustee
Questions) or nominee in any private enterprise
regulated, supervised or licensed by their
office unless expressly allowed by law;
Q: What is the foremost duty of a lawyer? 3. Recommend any person to any position in
a private enterprise which has a regular or
A: The foremost duty of a lawyer is not to his pending official transaction with their
client but to the administration of justice. To this office;
end, his client’s success is wholly subordinate. 4. Use or divulge confidential or classified
information officially known to them by
Note: His conduct ought to and must always be reason of their office and not available to
scrupulously observant of law and ethics, while a the public.
lawyer must advocate his clients cause in utmost
earnestness and with the maximum skill he can Q: What is the difference between rule 6.02 and
marshal; he is not at liberty to resort to illegal means 6.01?
for his client’s interest. It is the duty of an attorney
to employ for the purpose of maintaining the causes A: Unlike rule 6.01, 6.02 is not limited to public
confided in him such means as are consistent with
prosecutors, or public lawyers engaged principally
truth and honor. (Valencia v. Cabanting, A.M. Nos.
in criminal prosecution cases. The restriction
1302, 1391, 1543; Apr. 26, 1991)
applies particularly to lawyers in government
service, who are allowed by law to engage in
Q: From the viewpoint of legal ethics, why
private law practice, and those who, though
should it be mandatory that the public
prohibited from engaging in the practice of law,
prosecutor be present at the trial of a criminal
have friends, former associates and relatives who
case despite the presence of a private
are in the active practice of law. (CPR Annotated,
prosecutor?
PhilJA) prohibits lawyers from representing a
private client even if the interests of the former
A: The public prosecutor must be present at the
government client and the new client are entirely
trial of the criminal case despite the presence of a
parallel.
private prosecutor in order to see to it that the
interest of the State is well-guarded and
protected, should the private prosecutor be Rule 6.03, Canon 6, CPR – A lawyer shall
found lacking in competence in prosecuting the not, after leaving government service,
case. Moreover, the primary duty of a public accept engagement or employment in
prosecutor is not to convict but to see to it that connection with any matter in which he had
justice is done (Rule 6.01, CPR). A private intervened while in said service. (1992,
prosecutor would be naturally interested only in 1993, 2001 Bar Questions)
the conviction of the accused. (2001 Bar
Question) Note: The intervention must be substantial.
Rule 6.02, Canon 6, CPR – A lawyer in the Q: Atty. Madrigal worked in the Supreme Court,
government service shall not use his public under the division which handles the case of Mr.
position to promote or advance his private Roxas. Before the promulgation of the decision
interests, nor allow the latter to interfere of the case, Atty. Madrigal resigned and started
with his public duties. to work in the law firm which handles the case
of Mr. Roxas. Is Atty. Madrigal allowed to use
the information he got to help in the case
Q: What are the restrictions on lawyers who are handled by the firm?
also public officials and employees during their
incumbency? A: No, such act is unethical and is violative of Rule
6.03 of the CPR.
A: They must not: PERU
38
LEGAL ETHICS TEAM:
Note: Sec. 7(b) of R.A. 6713 prohibits former public It is submitted that the court should apply Rule
official or employee for a period of 1 year after 6.03 in all its strictness for it correctly disfavors
retirement or separation from office to practice his lawyers who “switch sides”. It is claimed that
profession in connection with any other matter “switching sides” carries the danger that former
before the office he used to be with. government employee may compromise
confidential official information in the process.
Q: What is the meaning of “any matter” and
“intervene”? However, this concern does not cast shadow in
the case at bar. The act of Mendoza in informing
A: “Any matter”, according to the American Bar the Central Bank on the procedure on how to
Association formal opinion, is any discrete liquidate the GenBank is a different matter from
isolatable act, as well as identifiable transaction the subject matter of the civil case which is about
or conduct involving a particular situation and the sequestration of the shares of Tan et. al. in
specific party, and not merely an act of drafting, Allied Bank.
enforcing or interpreting government or agency
proceeding, regulations or laws or briefing Consequently, the danger that confidential official
abstract principles of law. information might be divulged is still nil, if not
inexistent. To be sure, there are no inconsistent
“Intervene” includes an act of a person who has sides to be bothered about in this case. For there
the power to influence the subject proceedings. is no question that in lawyering for Tan et. al.,
(PCGG v. Sandiganbayan, G.R. Nos. 151809-12, Mendoza is indirectly defending the validity of the
Apr. 12, 2005) action of the Central Bank in liquidating GenBank
and selling it later to Allied Bank. Their interests
Q: Former Solicitor General Estelito Mendoza coincide instead of colliding. (PCGG v.
filed a petition with the CFI praying for the Sandiganbayan, G.R. Nos. 151809-12, April 12,
assistance and supervision of the court in the 2005)
GenBank’s liquidation. Mendoza gave advice on
the procedure to liquidate the GenBank.
Q: Distinguish adverse-interest conflicts and
congruent-interest representation conflicts?
Subsequently, President Aquino established the
PCGG to recover alleged ill-gotten wealth of
A:
former President Marcos, his families and
cronies. The PCGG filed with Adverse-interest Congruent-interest
the Sandiganbayan a complaint for reversion, conflicts Exist where representation
reconveyance, restitution, accounting and the matter in which conflicts are unique to
damages against Tan, et al. and issued several the former government lawyers
writs of sequestration on properties they government lawyer and apply primarily to
allegedly acquired. Tan, et al. were represented represents a client in former government
by former SolGen Mendoza, who has then private practice is lawyers. (CPR
resumed his private practice of law. The PCGG substantially related Annotated, PhilJA)
filed motions to disqualify Mendoza as counsel to the matter that the
for Tan, et al. The motions alleged that lawyer dealt with
Mendoza, as then SolGen and counsel to Central while employed by
Bank, “actively intervened” in the liquidation of the government and
GenBank, which was subsequently acquired by the interests of the
Tan, et al. government and the
interests of the
Is Rule 6.03 of the CPR applicable to Mendoza? current and former
are adverse
A: No. The advice given by Mendoza on the
Note: The restriction provided under the rule covers
procedure to liquidate the GenBank is not the
engagement or employment which means that he
“matter” contemplated by Rule 6.03 of the CPR.
cannot accept any work or employment from
anyone that will involve or relate to the matter in
ABA Formal Opinion No. 342 is clear in stressing which he intervened as a public official, except on
that the “drafting, enforcing or interpreting behalf of the body or authority which he served
government or agency procedures, regulations or during his public employment. (CPR Annotated,
aws, or briefing abstract principles of law” are PhilJA)
acts which do not fall within the scope of the
term “matter” and cannot disqualify.
39
B. THE LAWYER AND. Note: The Philippines is divided into 9 Regions of the
THE LEGAL PROFESSION Integrated Bar. (Sec.3, Rule 139-A, RRC)
Note: A Chapter of the Integrated Bar shall be

CANON 7, CPR organized in every province. (Sec. 4, Rule 139-A, RRC)
- A LAWYER SHALL AT ALL TIMES UPHOLD
THE INTEGRITY AND DIGNITY OF THE LEGAL Each Chapter shall have its own local government as
PROFESSION AND SUPPORT THE ACTIVITIES provided for by uniform rules to be prescribed by
OF THE INTEGRATED BAR. the Board of Governors and approved by the
Supreme Court. (Sec. 4, Rule 139-A, RRC)
1. INTEGRATED BAR OF THE PHILIPPINES Note: The Integrated Bar shall have a House of
Delegates of not more than one hundred twenty
Q: What is Integrated Bar of the Philippines? members who shall be apportioned among all the
Chapters as nearly as may be according to the
A: It is an official national body composed of all number of their respective members, but each
persons whose names now appear or may Chapter shall have at least one Delegate.
hereafter be included in the Roll of Attorneys of
the Supreme Court. (Sec. 1, Rule 139-A, RRC) The term of the office of Delegate shall begin on the
date of the opening of the annual convention of the
Note: IBP is a national organization of lawyers House and shall end on the day immediately
created on 16 January 1973 under Rule 139-A, Rules preceding the date of the opening of the next
of Court, and constituted on 4 May 1973 into a body succeeding annual convention. No person may be a
corporate by Presidential Decree No. 181. Delegate for more than two terms. (Sec. 5,Rule 139 -
A, RRC)
Note: Integrated bar is a State-organized Bar, to
which every lawyer must belong as distinguished Q: Is the integration of the IBP constitutional?
from bar associations organized by individual
lawyers themselves, membership in which is A: Yes, the practice of law is not a vested right but
voluntary. a privilege clothed with public interest. Hence, it
is far and just that the exercise of that privilege be
Q: What is Integration of the Bar? regulated to assure compliance with the lawyer's
public responsibilities. Given existing Bar
A: The Integration of the Philippine Bar means conditions, the most efficient means of doing so is
the official unification of the entire lawyer by integrating the Bar through a rule of court that
population, and this requires membership and requires all lawyers to pay annual dues to the
financial support of every attorney as condition Integrated Bar. (In the Matter of the Integration
sine qua non to the practice of law and the of the Bar of the Philippines, 49 SCRA 22, Jan. 9,
retention of his name in the Roll of Attorneys of 1973)
the Supreme Court (Pineda,1999).
a. The Board of Governors
Note: Integration of the bar is essentially a process
by which every member of the bar is afforded an Q: Who governs the IBP?
opportunity to do his share in carrying out the
objectives of the bar as well as obliged to bear his A: The Integrated Bar shall be governed by
portion of its responsibilities. (CPR Annotated, a Board of Governors. (Sec. 6, Rule 139-A, RRC)
PhilJA)
Q: How many and what is the procedure in the
Q: What are the fundamental purposes of the selection of the Board of governors?
IBP?
A: Nine Governors shall be elected by the House
A: of Delegates from the nine Regions on the
1. To elevate the standards of the legal representation basis of one Governor from each
profession; Region. Each Governor shall be chosen from a list
2. Improve the administration of justice; and of nominees submitted by the Delegates from the
3. Enable the Bar to discharge its public Region, provided that not more than one
responsibility more effectively. (Sec. 2, nominee shall come from any Chapter. The
Rule 139-A, RRC) President and the Executive Vice President, if
chosen by the Governors from outside of
themselves as provided in section 7 of this Rule,
40
LEGAL ETHICS TEAM:
shall ipso facto become members of the Board. need not be members of the Integrated
(Sec. 6, Rule 139-A, RRC) Bar. (Sec. 7, Rule 139-A, RRC)
Q: What is the term of the members of the Q: What is the officers’ term of office?
Board?
A: The President and the Executive Vice President
A: The members of the Board shall hold office for shall hold office for a term of one year from the
a term of one year from the date of their election date of their election and until their successors
and until their successors shall have been duly shall have duly qualified. The Executive Vice
elected and qualified. No person may be a President shall automatically become the
Governor for more than two terms. (Sec. 6, Rule President for the next succeeding full term.
139-A, RRC) The Presidency shall rotate from year to year
among all the nine Regions in such order of
Q: When is the regular meeting of the Board? rotation as the Board of Governors shall
prescribe. No persons shall be President or
A: The Board shall meet regularly once every Executive Vice President of the Integrated Bar for
three months, on such date and at such time and more than one term. (Sec. 7, Rule 139-A, RRC)
place as it shall designate. A majority of all the
members of the Board shall constitute a quorum Q: What are the basic qualifications for one who
to do business. Special meetings may be called by wishes to be elected governor for a particular
the president or by five members of the Board. region?
(Sec. 6, Rule 139-A, RRC)
A:
Note: Subject to the approval of the Supreme Court, 1. He is a member in good standing of the
the Board shall adopt By-Laws and promulgate IBP
Canons of Professional Responsibility for all 2. He is included in the voters list of his
members of the Integrated Bar. The By-Laws and chapter or he is not disqualified by the
the Canons may be amended by the Supreme Court
Integration Rule, by the By-Laws of the
motu proprio or upon the recommendation of the
Integrated Bar, or by the By-Laws of the
Board of Governors.
Chapter to which he belongs
The Board shall prescribe such other rules and 3. He does not belong to a chapter from
regulations as may be necessary and proper to carry which a regional governor has already
out the purposes of the Integrated Bar as well as the been elected, unless the election is the
provisions of this Rule. (Sec. 6, Rule 139-A, RRC) start of a new season or cycle
4. He is not in the government service. (In
Re: Petition to disqualify Atty. De Vera,
Q: Who are the officers of the IBP? How are they
A.C. No. 6052, Dec. 11, 2003)
selected?
Q: Is a candidate required to be morally fit in
A: The Integrated Bar shall have a/an:
order to be qualified to run as an officer?
1. President
A: There is nothing in the by-laws which explicitly
2. Executive Vice President who shall be
provides that one must be morally fit before he
chosen by the Governors immediately
can run for IBP governorship. For one, this is so
after the latter’s election either from
because the determination of moral fitness of a
among themselves or from other
candidate lies in the individual judgment of the
members of the Integrated Bar, by the
members of the House of Delegates. Indeed,
vote of at least five Governors. Each of
based on each member’s standard of morality, he
the regional members of the Board shall
is free to nominate and elect any member, so
be ex officio Vice President for the Region
long as the latter possesses the basic
which he represents.
requirements under the law. For another,
3. Secretary
basically the disqualification of a candidate
4. Treasurer
involving lack of moral fitness should emanate
5. Such other officers and employees as may
from his disbarment or suspension from the
be required by the Board of Governors, to
practice of law by the Court, or conviction by final
be appointed by the President with the
judgment of an offense which involves moral
consent of the Board, and to hold office at
turpitude. (Ibid.)
the pleasure of the Board or for such term
as it may fix. Said officers and employees
41
Q: In the event of vacancy, who performs candidate for any elective office in the Integrated
the duties of the President? Bar or by any other member, directly or
indirectly, in any form or manner, by himself or
A: through another person:
a. In the event the President is absent or
unable to act, his duties shall be 1. Distribution, except on election day, of
performed by the Executive Vice President election campaign materials;
2. Distribution, on election day, of election
b. In the event of the death, resignation, or campaign materials other than a
removal of the President, the Executive statement of the bio data of the candidate
Vice President shall serve as Acting on not more than one page of a legal size
President during the remainder of the sheet of paper; or causing the distribution
term of the office thus vacated of such statement to be done by persons
other than those authorized by the officer
c. In the event of the death, resignation, presiding at the elections;
removal or disability of both the President 3. Campaigning for or against any candidate,
and the Executive Vice President, the while holding an elective, judicial, quasi-
Board of Governors shall elect an Acting judicial or prosecutory office in the
President to hold office until the next Government or any political subdivision,
succeeding election or during the period agency or instrumentality thereof;
of disability. (Sec. 8, Rule 139-A, RRC) 4. Formation of tickets, single slates, or
combinations of candidates as well as the
Note: The filling of vacancies in the House of advertising thereof; and
Delegates, Board of Governors, and all other 5. For the purpose of inducing or influencing
positions of Officers of the Integrated Bar shall be as a member to withhold his vote, or to vote
provided in the By-Laws. Whenever the term of an for or against a candidate:
office or position is for a fixed period, the person
chosen to fill a vacancy therein shall serve only for a. Payment of the dues or other
the unexpired term. (Sec. 8, Rule 139-A, RRC) indebtedness of any member;
b. Giving of food, drink, entertainment,
Q: How is the mandate in Sec. 13 of Rule 139-A transportation or any article of value,
of the Rules of Court stating that the IBP is non- or any similar consideration to any
politically manifested? person; or
c. Making a promise or causing an
A: By strictly providing that every activity tending expenditure to be made, offered or
to impair this basic feature is strictly prohibited promise to any person. (Sec. 4, IBP
and shall be penalized accordingly. No lawyer By-Laws; In the Matter of the Inquiry
holding an elective, judicial, quasi-judicial or into the 1989 Elections of the
prosecutory office in the Government or any Integrated Bar of the Philippines,
political subdivision or instrumentality thereof A.M. No. 491, October 6, 1989)
shall be eligible for election or appointment to
any position in the Integrated Bar or any Chapter Q: In the election of national officers of the IBP,
thereof. A Delegate, Governor, Officer or the Supreme Court received reports of
employee of the Integrated Bar, or an officer or electioneering and extravagance that
employee of any Chapter thereof shall be characterized the campaign conducted by the 3
considered ipso facto resigned from his position candidates (Paculdo, Nisce and Mrs. Drilon) for
as of the moment he files his certificate of President of the IBP. It is alleged that they used
candidacy for any elective public office or accepts government planes, give free accommodations
appointment to any judicial, quasi judicial, or to voters to expensive hotels and there has been
prosecutory office in the Government or any intervention of public officials to influence the
political subdivision or instrumentality thereof. voting. Is there a violation of the IBP by-laws? Is
(Sec. 13, Rule 139-A, RRC) there sufficient ground for the Supreme Court to
suspend the oath taking of the officials?
Q: What are the prohibited acts and practices
relative to the elections of IBP officers? A: Yes. The candidates for the national positions
in the IBP conducted their campaign preparatory
A: The following acts and practices relative to to the election on June 3, 1989 in violation of
elections are prohibited, whether committed by a
42
LEGAL ETHICS TEAM:
Section 14 of the IBP by-laws and the Rules of A lawyer does not automatically become a member
Court, that the IBP shall be strictly non-political. of the IBP chapter where he resides or works after
Also the ethics of the legal profession imposed on becoming a full-fledged member of the Bar. He has
all lawyers has been violated corollary to their the discretion to choose the IBP Chapter he wants to
obligation to obey and uphold the constitution join. (Garcia v. De Vera, A.C. 6052, December
and the laws, the duty to promote respect for law 11,2003)
and legal processes and to abstain activities
Note: Unless he otherwise registers his preference
aimed at the defiance of the law or at lessening
for a particular Chapter, a lawyer shall be considered
confidence in the legal system. (In Re: IBP
a member of the Chapter of the Province, city,
Elections, B.M. 491, Oct. 6, 1989) political subdivision or area where his office or, in
the absence thereof, his residence is located. In no
Q: A presidential aspirant was the guest of honor case shall any lawyer be a member of more than one
at a testimonial dinner for the officers and new Chapter. (Sec. 4,Rule 139-A, RRC)
members of a provincial chapter of the IBP. In
his speech, the presidential aspirant announced Q: Is the requirement of good moral character a
that the IBP would play a major role in his continuing requirement?
administration. The officers of the chapter, after
the speech, declared their unqualified support A: Yes. Well settled is the rule that good moral
for the “presidentiable’s candidacy” and character is not only a condition precedent for
enjoined all members to do likewise. Comment admission to the legal profession, but it must also
on this announcement of support of the IBP remain intact in order to maintain one’s good
chapter. standing in that exclusive and honored fraternity.
(Tapucar v. Tapucar, A.C. No. 4148, July 30, 1998)
A: The announcement of support of the IBP
chapter is not proper. The Integrated Bar of the Note: The nature of the office of any attorney at law
Philippines is strictly non-political. A delegate, requires that he shall be a person of good moral
governor, officer or employee of the IBP or any character. This qualification is not only a condition
chapter thereof shall be considered ipso facto precedent to the admission to the practice of law; its
resigned from his position as of the moment he continued possession is also essential for remaining
files his certificate of candidacy for any elective in the practice of law. (People vs. Tuanda, Adm.
public office (Sec. 4, Art. 1, By Laws of the Case No. 3360, Jan. 30, 1990)
Intergrated Bar of the Philippines). The IBP
chapter’s announcement of support for a Note: The requirement of good moral character has
presidential aspirant is engaging in a partisan four general purposes, namely:
political activity. (1997 Bar Question)
1. To protect the public
Q: May a delegate or governor or any national or 2. To protect the public image of lawyers
3. To protect prospective clients
local officer of the IBP receive any
4. To protect errant lawyers from themselves.
compensation, allowance or emolument from
Each purpose is as important as the other.
the funds of the Integrated Bar? (Garrido v. Attys. Garrido and Valencia, A.C.
No. 6593, Feb. 4, 2010)
A: No. Except as may be specifically authorized or
allowed by the Supreme Court, no Delegate or Note: There is no such thing as retirement in the IBP
Governor and no national or local Officer or as understood in labor law. A lawyer, however, may
committee member shall receive any voluntary terminate his bar membership. (In Re:
compensation, allowance or emolument from Atty. Jose Principe, Bar Matter No. 543, September
the funds of the Integrated Bar for any service 20,1990)
rendered therein or be entitled to reimbursement
for any expense incurred in the discharge of his Q: What is the procedure for voluntary
functions.(Sec. 14, Rule 139-A, RRC) termination of membership in the IBP?
b. Membership and Dues A: A member may terminate his membership by

filing a written notice to that effect with the
Membership Secretary of the Integrated Bar, who shall
immediately bring the matter to the attention of
Note: Membership in the National IBP is integrated the Supreme Court. Forthwith he shall cease to be
or compulsory (Santos-Ong, 2009; Pineda, 1999). a member and his name shall be stricken by the
Court from the Roll of Attorneys. (Sec.11, Rule
139-A, RRC)
43
Note: Re-instatement may be made by the Court in without power to compel him to become a
accordance with rules and regulations prescribed by member of the IBP, hence, Sec. 1 of Rule 139-A
the Board of Governors and approved by the Court. of the Rules of Court is unconstitutional for it
(Sec.11, Rule 139-A, RRC) impinges on his constitutional right of freedom
to associate (and not to associate)?
Membership Dues
A: No. To compel a member of the Integrated Bar
Note: Every member of the Integrated shall pay such is not violative of his constitutional freedom to
annual dues as the Board of Governors shall associate. Integration does not make a lawyer a
determine with the approval of the Supreme Court. member of any group of which he is not already a
A fixed sum equivalent to ten percent (10%) of the
member. He became a member of the Bar when
collections from each Chapter shall be set aside as a
he passed the Bar Examinations. All that
Welfare Fund for disabled members of the Chapter
and the compulsory heirs of deceased members
integration actually does is to provide an official
thereof. (Sec. 9,Rule 139-A, RRC) national organization for the well-defined but
unorganized and incohesive group of which every
Q: Who determines the amount of annual dues lawyer is already a member.
to be paid by members?
Assuming that the questioned provision does in a
A: Every member of the Integrated Bar shall pay sense compel a lawyer to be a member of the
such annual dues as the Board of Governors shall Integrated Bar, such compulsion is justified as an
determine with the approval of the Supreme exercise of the police power of the State. (In the
Court. (Sec. 9, Rule 139-A, RRC) Matter of IBP Membership Dues Delinquency of
Atty. Edillon, A.C. No. 1928,December 19, 1980)
Q: Is the provision requiring payment of a
membership fee void? Q: Atty. Llamas, for a number of years, has not
indicated the proper PTR and IBP OR Nos. and
A: No. It is quite apparent that the fee is indeed data in his pleadings. He only indicated “IBP
imposed as a regulatory measure, designed to Rizal 259060” but he has been using this for at
raise funds for carrying out the purposes and least 3 years already. Atty. Llamas averred that
objectives of the integration. There is nothing in he is only engaged in a “limited” practice of law
the Constitution that prohibits the court, under and under R.A. 7432, as a senior citizen, he is
its constitutional power and duty to promulgate exempted from payment of income taxes and
rules concerning the admission to the practice of included in this exemption, is the payment of
law and the integration of the Philippine bar. (In membership dues. Is Atty. Llamas correct?
the Matter of IBP Membership dues delinquency
of Atty. Marcial Edillon, A.M. No. 1928, Aug. 3, A: Rule 139-A requires that every member of the
1978) Integrated Bar shall pay annual dues and default
thereof for six months shall warrant suspension
Q: What is the effect of non-payment of IBP of membership and if nonpayment covers a
dues? period of 1-year, default shall be a ground for
removal of the delinquent’s name from the Roll of
A: Default in the payment of annual dues for six Attorneys. It does not matter whether or not
months shall warrant suspension of membership Atty. Llamas is only engaged in “limited” practice
in the Integrated Bar, and default in such of law. Moreover, the exemption invoked by Atty.
payment for one year shall be a ground for the Llamas does not include exemption from
removal of the name of the delinquent member payment of membership or association dues.
from the Roll of Attorneys (Sec. 10, Rule 139-A, (Santos Jr. v. Atty. Llamas, A.C. No. 4749, Jan. 20,
RRC) subject to the requirement of due process. 2000)
(Funa, 2009)
Note: The exemption granted by R.A. 7432 to senior
Q: The Integrated Bar of the Philippines adopted citizens from paying individual income tax does not
exempt lawyers who are likewise senior citizens
a resolution recommending to the court the
from paying IBP dues and privilege tax. (Ibid) As
removal of the name Marcial A. Edillon, a duly
regards dues, they are not entitled to 20% discount.
licensed practicing attorney, from its Roll of (Pineda, 1999)
Attorneys for stubborn refusal to pay his
membership dues to the IBP since its Q: Atty. Arevalo sought exemption from
constitution, notwithstanding due notice. payment of IBP dues for the alleged unpaid
Is Edillon correct in his objection that the court is accountability for the years 1977-2005. He
44
LEGAL ETHICS TEAM:
alleged that after being admitted to the Q: Is honest mistake a valid excuse?
Philippine Bar in 1961, he became part of the
Philippine Civil Service then migrated to, and A: An honest mistake in making false statement
worked in, the USA in December 1986 until his may be a valid excuse but the burden of proof lies
retirement in the year 2003. He maintained that on the one who alleges it.
he cannot be assessed IBP dues for the years
that he was working in the Philippine Civil On the other hand, to be liable for suppressing a
Service since the Civil Service law prohibits the fact or information in the application, the
practice of one’s profession while in government suppression must be:
service, and neither can he be assessed for the
years when he was working in the USA. 1. Deliberately or knowingly made; and
2. The fact or information suppressed must
Is Atty. Arevalo entitled to exemption from be material. (CPR Annotated, PhilJA)
payment of his dues during the time that he
was inactive in the practice of law? Note: In order to determine whether or not a factual
declaration is material or not, reference should be
A: No. The Integration of the Philippine Bar made to the requirements in applying for admission
means the official unification of the entire lawyer to the bar. (CPR Annotated, PhilJA)
population. This requires membership and
financial support of every attorney as condition Q: What are the consequences of knowingly
sine qua non to the practice of law and the making a false statement or suppression of a
retention of his name in the Roll of Attorneys of material fact in the application for admission to
the Supreme Court. the Bar?
Payment of dues is a necessary consequence of A: Consequences of knowingly making a false

membership in the IBP, of which no one is statement or suppression of a material fact in the
exempt. This means that the compulsory nature application for admission to the Bar:
of payment of dues subsists for as long as one’s
membership in the IBP remains regardless of the 1. If the false statement or suppression of
lack of practice of, or the type of practice, the material fact is discovered before the
member is engaged in. There is nothing in the law candidate could take the bar
or rules which allow exemption from payment of examinations, he will be denied
membership dues. At most, as correctly observed permission to take the examinations.
by the IBP, he could have informed the Secretary 2. If the false statement or suppression of
of the Integrated Bar of his intention to stay material fact was discovered after the
abroad before he left. In such case, his candidate had passed the examinations
membership in the IBP could have been but before having been taken his oath, he
terminated and his obligation to pay dues could will not be allowed to take his oath as a
have been discontinued. (Letter of Atty. Arevalo, lawyer.
Jr. Requesting Exemption from Payment of Dues, 3. If the discovery was made after the
B.M. No. 1370, May 9, 2005) candidate had taken his oath as a lawyer,
his name will be stricken from the Roll of
2. UPHOLDING THE DIGNITY Attorneys.
AND INTEGRITY OF THE PROFESSION
Q: What is the effect if what is concealed is a
crime NOT involving moral turpitude?
Rule 7.01, Canon 7, CPR – A lawyer shall be
answerable for knowingly making a false A: Concealment will be taken against him. It is
statement or suppressing a material fact in the fact of concealment and not the commission
connection with his application for of the crime itself that makes him morally unfit to
admission to the bar. (1995, 1997, 2004, become a lawyer. When he made concealment
2005 Bar Questions) he perpetrated perjury.
Note: The concealment of an attorney in his

application to take the bar exams of the fact that he
had been charged with or indicted for an alleged support the application for admission to the
crime, is ground for revocation of his license to bar of any person known by him to be
practice law. unqualified in respect to character,
education or other relevant attribute.
45
Note: The rationale behind the rule goes beyond the the sanctity of marriage and the marital vows
personal responsibility to be upright and honest. It protected by the Constitution and affirmed by our
further extends to the lawyer’s responsibility to laws. (Vitug v. Roncal, A.C. No. 6313, Sept. 7, 2006)
uphold the integrity and dignity of the profession, by
not blindly issuing certifications in support of It is not important that the acts complained of were
applications for admission to the bar of persons committed before a lawyer was admitted to the
known to him or her to have questionable character, practice of law. Parenthetically, Sec. 5(5), Art. VIII of
inadequate education or other relevant attributes the 1987 Constitution recognizes the disciplinary
not consistent with any or all of the requirements for authority of the Court over the members of the Bar
admission. (CPR Annotated, PhilJA) to be merely incidental to the Court's exclusive
power to admit applicants to the practice of law.
Public policy requires that the practice of law be Reinforcing the implementation of this constitutional
limited to those individuals found duly qualified in authority is Section 27, Rule 138 of the Rules of
education and character. The permissive right Court which expressly states that a member of the
conferred on the lawyer is an INDIVIDUAL AND bar may be disbarred or suspended from his office as
LIMITED PRIVILEGE subject to withdrawal if he fails attorney by the Supreme Court for, among others,
to maintain proper standards of moral and any deceit, grossly immoral conduct, or violation of
professional conduct. the oath that he is required to take before admission
to the practice of law. (Garrido v. Attys. Garrido and
Valencia, A.C. No. 6593, Feb. 4, 2010)
Rule 7.03, Canon 7, CPR- A lawyer shall not
engage in a conduct that adversely reflects Q: Atty. Kuripot was one of Town Bank’s valued
on his fitness to practice law, nor shall he, clients. In recognition of his loyalty to the bank,
whether in public or private life, behave in a he was issued a gold credit card with a credit
scandalous manner to the discredit of the limit of P250,000.00. After two months, Atty.
legal profession. (2004 Bar Question) Kuripot exceeded his credit limit, and refused to
pay the monthly charges as they fell due. Aside
Q: What constitutes fitness to practice law? from a collection suit, Town Bank also filed a
disbarment case against Atty. Kuripot.
A: It is not to be determined only by the specific
qualifications for admission into the bar but In his comment on the disbarment case, Atty.
encompasses practically all aspects of a lawyer’s Kuripot insisted that he did not violate the Code
public or private life that could actually or of Professional Responsibility, since his
potentially tarnish the integrity and dignity of the obligation to the bank was personal in nature
legal profession. (CPR Annotated, PhilJA) and had no relation to his being a lawyer. Is Atty.
Kuripot correct? Explain your answer.
Q: Atty. Perenia got married in 2005. Then he
met another woman, Helen; they fell in love and A: Atty. Kuripot is not correct. Section 7.03 of the
started living together. Atty. Perenia would even Code of Professional Responsibility provides that
bring her along social functions and introduce “a lawyer shall not engage in conduct that
her as his second wife. Is such act unethical? adversely affects his fitness to practice law, nor
shall he, whether in public or private life, behave
A: Yes, it violates Rule 7.03 of CPR. in a scandalous manner to the discredit of the
legal profession.”
The fact that he shamelessly flaunts his mistress
constitutes act which embarrass and discredit the Q: Explain whether Atty. Kuripot should be held
law profession since it is his duty and obligation administratively liable for his refusal to settle his
to uphold the dignity and integrity of the credit card bill.
profession. The actuation of Atty. Perenia is
contrary to good morals. A: He may not be held administratively liable. The
Supreme Court has held that it does not take
Note: While it has been held in disbarment cases original jurisdiction of complaints for collection of
that the mere fact of sexual relations between two debts. The creditor’s course of action is civil, not
unmarried adults is not sufficient to warrant administrative in nature and proper reliefs may
administrative sanction for such illicit behavior, it is be obtained from the regular courts (Litigio v.
not so with respect to betrayals of the marital vow Dicon, A.M. No. MTJ-93-806, July 13, 1995).
of fidelity. Even if not all forms of extra-marital Although lawyers have been held administratively
relations are punishable under penal law, sexual liable for obstinacy in evading payment of a debt
relations outside marriage is considered disgraceful (Constantino v. Saludares, A.C. No. 2029, Dec. 7,
and immoral as it manifests deliberate disregard of 1993; Lao v. Medel, A.C. No. 5916, July 1, 2003),
46
LEGAL ETHICS TEAM:
there is no obstinacy shown in this case. (2005 honor, and never seek to mislead the
Bar Question) judge or any judicial officer by an artifice
or false statement of fact or law;
a. Privileges and Duties of a Lawyer 6. To maintain inviolate the Confidence and
at every peril to himself, to preserve the
Q: What are the privileges of a lawyer? secrets in connection with his client and to
accept no compensation in connection
A: PSP-IS-12 with his client’s business except from him
1. To Practice law during good behavior or with his knowledge and approval;
before any judicial, quasi-judicial, or 7. To abstain from all Offensive personality
administrative agency; and to advance no fact prejudicial to the
2. First one to Sit in judgment on every case, honor and reputation of a party or witness
to set the judicial machinery in motion; unless required by the justice of the cause
3. Enjoys the Presumption of regularity in with which he is charged;
the discharge of his duty; 8. Never to Reject, for any consideration
4. He is Immune, in the performance of his personal to himself, the cause of the
obligations to his client, from liability to defenseless or oppressed; and
third persons, insofar as he does not 9. In the Defense of a person accused of a
materially depart from his character as a crime, by all fair and reasonable means,
quasi-judicial officer; regardless of his personal opinion as to
5. His Statements, if relevant, pertinent or the guilt of the accused, to present every
material to the subject of judicial inquiry defense that the law permits to the end
are absolutely privileged regardless of that no person may be deprived of life,
their defamatory tenor and of the liberty, but by due process of law. (Sec. 20,
presence of malice; Rule 138, RRC) (2006 Bar Question)
6. 1st grade civil service eligibility for any
position in the classified service in the 3. COURTESY, FAIRNESS AND CANDOR
government the duties of which require TOWARDS PROFESSIONAL COLLEAGUES
knowledge of law; and
7. 2nd grade civil service eligibility for any
other governmental position, which does CANON 8, CPR
not prescribe proficiency in law as a - A LAWYER SHALL CONDUCT HIMSELF WITH
qualification. COURTESY, FAIRNESS AND CANDOR
TOWARD HIS PROFESSIONAL COLLEAGUES,
Q: What are the duties of attorneys under the
AND SHALL AVOID HARASSING TACTICS
Revised Rules of Court?
AGAINST OPPOSING COUNSEL.
A: ADA- RECORD
1. To maintain Allegiance to the Republic of Q: Gretel’s residence in Makati Village was

the Philippines and to support the foreclosed by Joli Bank. Armed with a writ of
Constitution and obey the laws of the possession issued by the lower court, the sheriff
Philippines; and Joli Bank’s lawyers evicted Gretel and
2. Not to encourage either the padlocked the house. A restraining order issued
commencement or the continuance of an by the Court of Appeals which Gretel showed
action or proceeding, or Delay any man’s the sheriff was disregarded. Gretel requested
cause, from any corrupt motive or Hansel, an attorney who lives in the same
interest; village, to assist her in explaining the restraining
3. To counsel and maintain such Actions or order, since Gretel’s counsel of record was out of
proceedings only as appear to him to be town. The discussion on the restraining order
just, and such defenses only as he believes was conducted in the sidewalk along Gretel’s
to be honestly debatable under the law; house. The village security guards were attracted
4. To observe and maintain the Respect due by the commotion brought about by the
to the courts of justice and judicial discussion, so they called the Makati Police and
officers; the CAPCOM who responded immediately. The
5. To Employ, for the purpose of maintaining CAPCOM colonel, who arrived at the scene with
the causes confided to him, such means his troop, took it upon himself to open the house
only as are consistent with truth and and declare Gretel as the rightful possessor. The
colonel invited Gretel and Hansel to enter the
47
house. Five days later, Hansel was made a co- demeanor toward each other. While lawyers owe
respondent (together with Gretel) in a complaint entire devotion to the interests of their clients, their
for trespass to dwelling filed by the Joli Bank’s office does not permit violation of the laws or any
lawyers before the Makati Fiscal’s Office. manner of fraud or chicanery. (Reyes v. Chiong, Jr.,
A.C. No. 5148, July 2003)
Discuss the propriety of the act of Joli Bank’s
lawyers, considering that all lawyers are Any kind of language which attacks without
foundation the integrity of the opposing counsel or
mandated to conduct themselves with courtesy,
the dignity of the court may be stricken off the
fairness and candor toward their professional
record or may subject a lawyer to disciplinary action.
colleagues and to avoid harassing tactics against
opposing counsel. A lawyer who uses intemperate, abusive, abrasive or
threatening language portrays disrespect to the
A: Considering that there was a restraining order court, disgraces the Bar and invites the exercise by
issued by the Court of Appeals, it was proper for the court of its disciplinary poers. (In re: Gomez, 43
Gretel to take steps to maintain possession of his Phil. 376, 1922).
residence with the assistance of Hansel as a
lawyer. The lawyer’s arguments, whether written or oral,
should be gracious to both the court and opposing
It was not proper for Joli Bank’s lawyer to file an counsel and be of such words as may be properly
action for trespass to dwelling against Gretel and addressed by one gentleman to another. (National
lawyer Hansel. Canon 8 of the CPR provides that a Security Co. v. Jarvis, 278 U.S. 610)
lawyer shall conduct himself with fairness and
candor towards his professional colleagues and Q: In the pleadings and motions filed by Tiongco,
shall avoid harassing tactics against opposing he described Atty. Deguma as a love crazed
counsel. (1989 Bar Question) Apache, a horned spinster, man-hungry virago
and female bull of an Amazon who would stop at
nothing to injure defendant if only to please and
Rule 8.01, Canon 8,CPR – A lawyer shall not, attract her client. Tiongco claims that she, as a
in his professional dealings, use language lawyer in the Public Attorney’s Office, is using
which is abusive, offensive or otherwise the PAO as a marriage bureau for her benefit. Is
improper. the language employed by Tiongco improper and
unethical?
Q: Cite some instances of disrespectful language.
A: Yes. The Code of Professional Responsibility
A: provides in Canon 8 that a lawyer shall conduct
1. Categorizes the SC decision as false, himself with courtesy, fairness, and candor
erroneous and illegal (Suo v. Cloribel, A.M. toward his professional colleagues, and shall
No. 01-1-15-RTC, July 10, 2003) avoid harassing tactics against opposing counsel.
2. Description of judges attitude as “unjust, Rule 8.01 provides that a lawyer shall not in his
hostile, vindictive and dangerous” professional dealings, use language which is
(Cornejo v. Judge Tan, G.R. No. L-2217, abusive, offensive or otherwise improper while
Mar. 23, 1950) Rule 11.03 provides that a lawyer shall abstain
3. Stating that “justice is blind and also deaf from scandalous, offensive or menacing language
and dumb” (In Re: Almacen, G.R. No. L- before the courts. Thus, Tiongco is warned
27654, Feb. 18, 1970) accordingly. (Tiongco Yared v. Ilarde, G.R. No.
4. Attributing to the SC acts of dismissing 114732, Aug. 1, 2000)
judges “without rhyme and reason” and
disbarring lawyers “without due process” Note: Lack of want of intention is no excuse for the
(Zaldivar v. Gonzales, G.R. Nos. 79690-707, disrespectful language employed. Counsel cannot
Feb. 1, 1989) escape responsibility by claiming that his words did
5. Calling an adverse counsel as “bobo” or not mean what any reader must have understood
using the word “ay que bobo” in reference them as meaning. (Rheem of the Philippines v.
Ferrer, G.R. No. L-22979, January 27, 1967)
to the manner of offering evidence.
(Castillo v. Padilla Jr., A.M. No. 2339, Feb.
A lawyer’s language should be forceful but
1984); and
dignified, emphatic but respectfulas befitting an
6. Any other analogous cases.
advocate and in keeping with the dignity of the
legal profession. (In re: Climaco, A.C. No. 134-J,
Note: Any undue ill-feeling between clients should
not influence counsels in their conduct and
January 21, 1974).
48
LEGAL ETHICS TEAM:
Note: Although the Canon that the Rule implements Is it ethical for Atty. Mendoza to advise Myrna to
pertains to a lawyer’s dealings with his fellow terminate the services of Atty. Khan and hire
lawyers, the Rule is generally worded to apply to him instead for a reasonable attorney’s fees?
anyone in the wider context of a lawyer’s
professional dealings, including his or her clients and A: Such advice would be unethical. A lawyer shall
witnesses. (CPR Annotated, PhilJA) conduct himself with courtesy, fairness and
candor towards his professional colleagues
Rule 8.02, Canon 8, CPR – A lawyer shall not, (Canon 8, CPR). Specifically, he should not
directly or indirectly, encroach upon the directly or indirectly encroach upon the
professional employment of another lawyer; professional employment of another lawyer (Rule
however, it is the right of any lawyer, 8.02, CPR).
without fear or favor, to give proper advice
and assistance to those seeking relief Q: What should Atty. Mendoza do about the
against unfaithful or neglectful counsel. information relayed to him by Myrna that Atty.
(1995, 1997, 2001, 2005, 2006 Bar Khan approached her husband with an indecent
Questions) proposal?
A: He can advice her to terminate the services of

Note: A person without a retained lawyer is a Atty. Khan and/or file an administrative case
legitimate prospective client for any lawyer whom against Atty. Khan. It is the right of any lawyer,
he approaches for legal services. But, as soon as he
without fear or favor, to give proper advice and
had retained one and had not dismissed the retained
assistance to those seeking relief against
counsel, efforts of on the part of another lawyer to
take him as client constitutes an act of encroaching
unfaithful or neglectful counsel (Rule 8.02, CPR).
upon the employment of another lawyer. (2006 Bar Question)
A lawyer should not in any way communicate upon Q: You are the counsel of K in his action for
the subject of controversy with a party represented specific performance against DEV, Inc., a
by counsel much less should he undertake to subdivision developer which is represented by
negotiate or compromise the matter with him, but Atty. L. Your client believes that the president of
should deal with his counsel. DEV Inc., would be willing to consider an
amicable settlement and your client urges you to
Exceptions: discuss the matter with DEV Inc., without the
presence of Atty. L whom he consider to be an
1. A lawyer may properly interview any impediment to an early compromise. Would it
witness or prospective witness or be alright for you to negotiate the terms of the
prospective witness for the opposing side compromise as so suggested above by your
in any civil or criminal action without the client?
consent of opposing counsel or party.
2. Any person who seeks relief against an
A: No. Rule 8.02, Canon 8 of the Code of
unfaithful or neglectful lawyer may
approach another lawyer for proper
Professional Responsibility provides that “a
advice and assistance. Any advice or lawyer shall not, directly or indirectly, encroach
assistance extended after proper upon the professional employment of another
verification is not encroaching upon the lawyer.” Canon 9 of the Code of Professional
business of another lawyer for such act is Ethics is more particular. “A lawyer should not in
justified under the circumstances. any way communicate upon the subject of the
controversy with a party represented by counsel,
Q: Myrna, in a case for custody of children much less should he undertake to negotiate or
against her husband, sought advice from Atty. compromise the matter with him but should deal
Mendoza whom she met at a party. She only with his counsel.” In the case of Likong v.
informed Atty. Mendoza that her lawyer, Atty. Lim, A.C. No. 3149, August 17, 1994, a lawyer was
Khan, has been charging her exorbitant suspended for negotiating a compromise
appearance fees when all he does is move for agreement directly with the adverse party
postponements which have unduly delayed the without the presence and participation of her
proceedings; and that recently, she learned that counsels. (1997 Bar Question)
Atty. Khan approached her husband asking for a
huge amount in exchange for the withdrawal of 4. NO ASSISTANCE IN
her Motion for Issuance of Hold Departure Order UNAUTHORIZED PRACTICE OF LAW
so that he and his children can leave for abroad.
49
whom defined functions are reserved. To

CANON 9, CPR delegate the functions would violate the rationale
-A LAWYER SHALL NOT, DIRECTLY OR behind reserving defined functions exclusively for
INDIRECTLY, ASSIST IN THE UNAUTHORIZED those who are admitted to the bar.
PRACTICE OF LAW
(1992, 1995, 1997, 2000, Bar Questions) The rationale of law in reserving defined
functions to those who are admitted to the bar is
to protect the public, the court, the client and the
Note: Public policy requires that practice of law be bar from the incompetence or dishonesty of
limited only to those individuals found duly qualified those unlicensed to practice law and not subject
in education and character. to the disciplinary control of the court.
Purpose: To protect the public, the court, the client Although the authority of a lawyer to represent a
and the bar from the incompetence or dishonesty of client cannot be delegated to an unqualified
those unlicensed to practice law and not subject to person, it does not follow however that the
the disciplinary control of the court. retained lawyer is automatically authorized to
make such delegation to a qualified person
Q: Sanchez alleged that the complaint against
because a client-lawyer relationship is personal.
him and the supporting affidavits were
subscribed and sworn to before Tupas, the Clerk
of Court, who is not a member of the IBP and
Q: Lorenzo is a lawyer but is suspended in the
therefore engaged in unauthorized practice of
practice of law due to some unethical acts. He
law. Is Tupas as Clerk of Court authorized to
worked for a law firm owned by one of his
administer oath?
friends. Since he has so many cases to handle,
Atty. Berenguer assigned a case to Lorenzo,
A: The term "clerk of courts" in the Section 41 of
believing he can handle such easy case. Did Atty.
the Administrative Code as amended is used as a
Berenguer violate any rule?
general term. The intention of the law is to
authorize all clerks of court regardless of whether
A: Yes, because he delegates handling of a case
they are clerks of the Metropolitan Trial Courts,
to a person suspended from the practice of law.
Municipal Trial Court and Municipal Circuit Trial
Under Rule 9.01 of CPR – A lawyer shall not
Courts, to administer oaths on matter involving
delegate to any unqualified person the
official business. As Clerk of Court of MCTC, Tupas
performance of any task which by law may only
has the authority to administer oath of affidavits
be performed by a member of the bar in good
of parties and witnesses which are to be filed in
standing.
court. (Sanchez v. Tupas, A.M. OCA IPI No. 03-
1687-P, Mar. 1, 2004)
Note: A lawyer is prohibited from taking as partner
or associates any person who is not authorized to
Note: A lawyer is prohibited from allowing an practice law – to appear in court or to sign pleadings.
intermediary to intervene in the performance of his A lawyer, who is under suspension from practice of
professional obligation. law is not a member of the Bar in good standing. A
lawyer whose authority to practice has been
Note: The act of pretending or assuming to be an withdrawn due to a change in citizenship or
attorney or an officer of the court and acting as such allegiance to the country cannot appear before the
without authority is punishable with contempt of courts. (Guballa v. Caguioa, G.R. No. L-46537, July
court. (Rule 71, sec 3(e), RRC) 29, 1977)
Rule 9.01, Canon 9, CPR – A lawyer shall not Rule 9.02, Canon 9, CPR – A lawyer shall not
delegate to any unqualified person the divide or stipulate to divide a fee for legal
performance of any task which by law may services with persons not licensed to practice
only be performed by a member of the bar law.
in good standing.
Note: The interest promoted by the prohibition is
that the independence of the professional judgment
Q: What is the reason for the rule? of a lawyer, which the client is paying for, could be at
risk if a non-lawyer has direct rights to share in the
A: The qualifications to be a lawyer is personal legal fees resulting from the exercise of such
and the bar is an exclusive group of professionals professional judgment. (CPR Annotated, PhilJA)
who possess the requisite classifications and for
50
LEGAL ETHICS TEAM:
Q: What are the exceptions to Rule 9.02? the school. She explained that a lot of students
lose their identification cards and are required to
A: secure an affidavit of loss before they can be
1. Where there is a pre-existing agreement issued a new one. She claimed that this would
with a partner or associate that, upon the be very lucrative for you, as more than 30
latter’s death, money shall be paid over a students lose their identification cards every
reasonable period of time to his estate to month. However, the secretary wants you to
persons specified in the agreement;(Rule give her one-half of your earning there from.
9.02,second par., Canon 9,CPR) or Will you agree to the arrangement? Explain.
Note: This exception is in the nature of a A: No, I will not agree. Rule 9.02 of the Code of
bequest. It is still in substance, payment to Professional Responsibility provides that “a
the deceased lawyer. His estate and/or lawyer shall not divide or stipulate to divide a fee
assignee could not claim entitlement to the for legal service with persons not licensed to
money in their own right but only by practice law”. The secretary is not licensed to
representation. (CPR Annotated, PhilJA) practice law and is not entitled to a share of the
fees for notarizing affidavits, which is a legal
2. Where a lawyer undertakes to complete service. (2005 Bar Question)
unfinished legal business of a deceased
lawyer; (Rule 9.02 ,third par., Canon C. THE LAWYER AND THE COURTS.
9,CPR) or
1. CANDOR, FAIRNESS AND GOOD FAITH
Note: The first and second exceptions
TOWARDS THE COURT
represent compensation for legal services of
the deceased lawyers.
CANON 10, CPR
The estate or the heir cannot be made a
member of the partnership with the - A LAWYER OWES CANDOR, FAIRNESS AND
surviving partners. The legal fees in this case, GOOD FAITH TO THE COURT.
no longer represent compensation for past (1994 Bar Question)
services.
3. Where a lawyer or law firm includes a Rationale: The burden cast on the judiciary would be
non-lawyer employees in a retirement intolerable if it could not take at face value what is
plan, even if the plan is based in whole or asserted by counsel.
in part, on a profit sharing
agreement.(Rule 9.02, fourth par., Canon Q: Atty. Florido demanded that the custody of
9,CPR) their children be surrendered to him by showing
Note: This is not a division of legal fees but a his spouse Hueysuwan-Florido a photocopy of an
pension representing deferred wages for the alleged Resolution issued by the CA which
employees’ past services. supposedly granted his motion for temporary
child custody. His spouse refused to surrender
This exception is an implicit recognition of the custody. Hence, Atty. Florido filed a verified
the incontestable fact that lawyers need to, petition for the issuance of a writ of habeas
and in fact, depend on non-lawyers for the corpus asserting his right to custody of the
administrative support functions necessary children on the basis of the alleged CA’s
to allow lawyers to discharge their legal resolution. Hueysuwan obtained a certification
functions more efficiently. (CPR Annotated, from the CA stating that no such resolution had
PhilJA) been issued. Hence, complainant filed the
instant complaint. May Atty. Florido be held
Rationale: If attorney’s fees were allowed to non-
administratively liable for his reliance on and
lawyers, it would leave the public in hopeless
attempt to enforce a spurious Resolution of the
confusion as to whom to consult in case of necessity
CA?
and also to leave the bar in a chaotic condition, aside
from the fact that non-lawyers are not amenable to
disciplinary measures. A: Yes. Atty. Florido’s actions erode the public
perception of the legal profession. Candor and
Q: You had just taken your oath as lawyer. The fairness are demanded of every lawyer. The
secretary to the president of a big university burden cast on the judiciary would be intolerable
offered to get you as the official notary public of if it could not take at face value what is asserted
by counsel. The time that will have to be devoted
51
just to the task of verification of allegations Q: Is the lawyer’s act in presenting false
submitted could easily be imagined. (Hueysuwan- evidence in order that his client would win the
Florido v. Atty. Florido, A.C. No. 5624, Jan. 20, case justifiable?
2004)
A: No, because it is a clear violation of Canon 10
and Rule 10.01 of the CPR.
Rule 10.01, Canon 10, CPR – A lawyer shall
not do any falsehood, nor consent to the
Note: Aside from violations of the CPR, the lawyer is
doing of any in court; nor shall he mislead, also guilty of a crime under Art. 184, Revised Penal
or allow the court to be misled by any Code, which states,” Any person who shall knowingly
artifice. offer in evidence a false witness or testimony in any
judicial or official proceeding, shall be punished as
Note: A lawyer must be a discipline of truth. He guilty of false testimony and shall suffer the
should bear in mind that as an officer of the court his respective penalties provided in this section.”
high vocation is to correctly inform the court upon
the law and the facts of the case and to aid it in Q: What are the requirements of candor?
doing justice and arriving at correct conclusion.
A:
The courts on the other hand are entitled to expect 1. A lawyer shall not suppress material and
only complete honesty from lawyers appearing and vital facts which bear on the merit or lack
pleading before them. While a lawyer has the of merit of complaint or petition.
solemn duty to defend his client’s cause, his conduct 2. A lawyer shall volunteer to the court any
must never be at the expense of truth. (Young v. development of the case which has
Batuegas, A.C. No. 5379, May 9, 2003) rendered the issue raised moot and
academic.
Note: A lawyer owes fidelity to the cause of his client 3. Disclosure to the court of any decision
but not at the expense of truth and the
adverse to his position of which opposing
administration of justice. (Garcia v. Francisco, Adm.
counsel is apparently ignorant and which
Case no. 3923, March 30,1993)
court should consider in deciding a case.
4. He shall not represent himself as a lawyer
Q: Dr. Maligaya, a doctor and retired colonel of
for a client, appear in court and present
the Air Force filed an action for damages against
pleadings in the latter’s behalf only to
several military officers for whom Atty. Doronilla
claim later that he was not authorized to
stood as a counsel. During the hearing of the
do so.
case, Atty. Doronilla says that he and Dr.
Maligaya had an agreement that if the opposing
Q: What are the some cases of Falsehoods which
party withdraws the case against him, Dr.
merited discipline?
Maligaya will also withdraw all the cases.
A:
However, Dr. Maligaya swore that he never
1. Lawyers falsely stating in a deed of sale
entered into any agreement to withdraw his
that property is free from all liens and
lawsuits. Atty. Doronillo admitted that there
encumbrances when it is not so. (Sevilla v.
was, in fact, no such agreement. He pointed out
Zoleta, A.C. No. 31, March 28, 1955)
that his main concern was to settle the case
2. Lawyers making it appear that a person,
amicably. Dr. Maligaya filed a case against Atty.
long dead, executed a deed of sale, in his
Doronilla charging him of unethical conduct for
favor. (Monterey v. Arayata, Per. Rec. Nos
having uttered falsehood in court. Is Atty.
3527, 3408, August 23, 1935)
Doronilla guilty as charged?
3. Lawyer, encashing a check payable to a
deceased cousin by signing the latte’s
A: Yes. Atty. Doronilla violated Canon 10 and Rule
name on the check. (In re: Samaniego,
10.01 of the CPR. Not only that, he also violated
A.C. No. 74, November 20, 1959)
the lawyer’s oath to “do no falsehood, nor
4. Lawyer falsifying a power of attorney and
consent to the doing of any in court”, of which
used it in collecting the money due to the
Canon 10 and Rule 10.01 are but restatements.
principal and appropriating the money for
His act infringed on every lawyer’s duty to “never
his own benefit. (In re: Rusina, A.C. No.
seek to mislead the judge or any officer by an
270, May 29, 1959)
artifice or false statement of fact or law”.
5. Lawyer alleging in one pleading that his
(Maligaya v. Doronilla, A.C. No. 6198, Sept. 15,
clients were merely lessees of the
2006)
property involved, and alleged in a later
pleading that the same clients were the
52
LEGAL ETHICS TEAM:
owners of the same property where there Rule 10.03, Canon 10, CPR - A lawyer shall
are false allegations in the pleadings. observe the rules of procedure and shall not
(Chavez v. Viola, GR No. 2152, 19 April misuse them to defeat the ends of justice.
1991)
6. Lawyer uttering falsehood in a Motion to
Dismiss. (Martin v. Moreno, A.C. No. 1432, Note: The rules of procedure are intended to
May 21, 1984) facilitate the delivery of justice to those to whom it
7. Lawyer denying having received the notice is due without it is due without unnecessary expense
to file brief which is belied by the return and waste of time for truly justice delayed is justice
card. (Ragasajo v. IAC, G.R. No. L-69129, denied.
August 31, 1987)
8. Lawyer presenting falsified documents in Note: Filing multiple actions constitutes an abuse of
the Court’s processes. Those who filed multiple or
court wich he knows to be false.
repetitive actions subject themselves to disciplinary
(Berenguer v. Carranza, A.C. No. 716,
action for incompetence or willful violation of their
January 30, 1969) duties as attorneys to act with all good fidelity to the
9. Lawyer filing false charges or groundless courts, and to maintain only such actions that
suits. (Retuya v. Gorduiz, A.C. No. 1388, appear to be just and consistent with truth and
March 28, 1980) honor. (Pablo R. Olivares etc. v. Atty. Arsenio Villalon
Jr., A.C. No. 6323, April 13, 2007)
not knowingly misquote or misrepresent the Q: A lawyer habitually asks for the re-setting of
contents of the paper, the language or the the case of his client for no apparent reason, in
argument of opposing counsel, or the text of order for the complainant to get frustrated and
a decision or authority, or knowingly cite as become uninterested in the prosecution of the
law a provision already rendered case. Is that act considered unethical?
inoperative by repeal or amendment, or
assert as a fact that which has not been A: Yes, under Rule 10.03 of the CPR.
proved.
Note: A lawyer should not abuse his right of
Q. What is the rationale behind the rule? recourse to the courts for the purpose of arguing a
cause that had been repeatedly rebuffed. Neither
A: If not faithfully and exactly quoted, the should he use his knowledge of law as an instrument
to harass a party nor to misuse judicial processes, as
decisions and rulings of the court may lose their
the same constitutes serious transgression of the
proper and correct meaning, to the detriment of
Code of Professional Responsibility. For while he
other courts, lawyers and the public who may owes fidelity to the cause of his client, it should not
thereby be misled. be at the expense of truth and the administration of
Note: A mere TYPOGRAPHICAL ERROR in the citation justice. (Garcia v. Francisco, A.C. No. 3923, Mar. 30,
of an authority is not contemptuous. 1993)
Note: Labor Arbiter Almirante and Atty. Durano

deliberately made the quote from the SCRA syllabus Rule 10.04, Canon 10, CPR - A lawyer shall,
appear as the words of the Supreme Court. We when filing a pleading, furnish the opposing
admonish them for what is at least patent party with a copy thereof, together with all
carelessness, if not an outright attempt to mislead the documents annexed thereto. Unless a
the parties and the courts taking cognizance to motion is ex parte, he should set it for
insubordination. (Allied Banking Corporation v. CA, hearing, with sufficient notice to the other
GR No. 144412, November 2003). party.
Note: A lawyer must quote word for word,
punctuation mark for punctuation mark. Note: This is a new provision.
Q: A lawyer filed a pleading in court citing a law The purpose of this rule is to avoid surprise and
which was already repealed, since the new law is delays in cases.
not favorable to his client’s cause. Is he guilty of
any unethical act?
A: Yes, because he knowingly used the old law to

mislead the court, such act is unethical based on
Rule 10.02 of the CPR.
53
2. RESPECT FOR COURTS AND JUDICIAL OFFICERS that the decision in Estrada v. Arroyo being
patently unlawful in view of the Code of Judicial
CANON 11, CPR- Conduct, is not the act of the Supreme Court but
is merely the wrong of those individual Justices
A LAWYER SHALL OBSERVE AND MAINTAIN who falsely spoke and acted in the name of the
THE RESPECT DUE TO THE COURTS AND TO Supreme Court (Urbano v. Chavez, G.R. No.
JUDICIAL OFFICERS AND SHOULD INSIST ON 87977, March 19, 1990). Are Atty. Paguia’s
SIMILAR CONDUCT BY OTHERS. comments within the bounds of “fair and well-
(1996 Bar Question) founded criticisms” regarding decisions of the
SC?
Rationale: Disrespect toward the court would
necessarily undermine the confidence of the people A: No. Criticism or comment made in good faith
in the honesty and integrity of the members of the on the correctness or wrongness, soundness or
court, and consequently to lower or degrade the unsoundness, of a decision of the Court would be
administration of justice by the court. welcome for, if well-founded, and such reaction
can enlighten the court and contribute to the
All lawyers are expected to recognize the authority correction of an error if committed. (In Re Sotto,
of the Supreme Court and obey its lawful processes 82 Phil. 595.) The ruling in Estrada v. Arroyo,
and orders. Despite errors which one may impute being a final judgment, has long put to end any
on the orders of the Court, these must be respected, question pertaining to the legality of the
especially by the bar or the lawyers who are ascension of Arroyo into the presidency. By
themselves officers of the courts. (Yap-paras v. Atty. reviving the issue on the validity of the
Paras, A.C. No. 4947, June 7, 2007) assumption of Gloria Macapagal-Arroyo to the
presidency, Attorney Paguia is vainly seeking to
Liberally imputing sinister and devious motives and breathe life into the carcass of a long dead issue.
questioning the impartiality, integrity and authority
Attorney Paguia has not limited his discussions to
of the members of the Court result in the
the merits of his client's case within the judicial
obstruction and perversion of the dispensation of
justice. (Estrada v. Sandiganbayan, GR No. 159486-
forum; indeed, he has repeated his assault on the
88, November 2000) Court in both broadcast and print media.
Note: Being an officer of the court, a lawyer The Supreme Court does not claim infallibility; it
occupies a quasi-judicial office and has will not denounce criticism made by anyone
responsibilities to the courts, to the public and to his against the Court for, if well-founded, can truly
clients. The greater burden imposed on the lawyer is have constructive effects in the task of the Court,
his superior duty to the courts. Where duties to the but it will not countenance any wrongdoing nor
courts conflict with his duties to his clients, his duties allow the erosion of our people’s faith in the
to court must yield to the former. (CPR Annotated, judicial system, let alone, by those who have been
PhilJA) privileged by it to practice law in the Philippines.
Canon 11 of the Code of Professional
Q: Attorney Paguia, asserts that the inhibition of Responsibility mandates that the lawyer should
the members of the Supreme Court from hearing observe and maintain the respect due to the
the petition is called for under the Code of courts and judicial officers and, indeed, should
Judicial Conduct prohibiting justices or judges insist on similar conduct by others. In liberally
from participating in any partisan political imputing sinister and devious motives and
activity. According to him, the justices have questioning the impartiality, integrity, and
violated the said rule by attending the 'EDSA 2 authority of the members of the Court, Atty.
Rally' and by authorizing the assumption of Vice- Paguia has only succeeded in seeking to impede,
President Macapagal Arroyo to the Presidency. obstruct and pervert the dispensation of justice.
The subsequent decision of the Court in Estrada (Estrada v. Sandiganbayan, G.R. Nos. 159486-88,
v. Arroyo (G.R. Nos. 146710-15, Mar. 2, 2001 and Nov. 25, 2003)
G.R. Nos. 146710-15, April 3, 2001) is a patent
mockery of justice and due process. He went on Q: The Court En Banc issued a Resolution
to state that — the act of the public officer, if directing respondent Atty. De Vera to explain
lawful, is the act of the public office. But the act why he should not be cited for indirect contempt
of the public officer, if unlawful, is not the act of of court for uttering some allegedly
the public office. Consequently, the act of the contemptuous statements in relation to the case
justices, if lawful, is the act of the Supreme involving the constitutionality of the Plunder
Court. But the act of the justices, if unlawful, is Law which was then pending. Atty. De vera
not the act of the Supreme Court. It is submitted
54
LEGAL ETHICS TEAM:
admitted the report in the November 6, 2002 But it is the cardinal condition of all criticisms that it
issue of the Philippine Daily Inquirer that he shall be bona fide, and shall not spill over the walls of
“suggested that the Court must take steps to decency and propriety. (Zaldivar v. Gonzales, G.R.
dispel once and for all these ugly rumors and Nos. 79690-707, Feb. 1, 1989)
reports” that “the Court would vote in favor of
or against the validity of the Plunder Law” to Q: Members of the faculty of the UP College of
protect the credibility of the Court. Is the Law published a statement on the allegations of
statement of Atty. De Vera disrespectful to the plagiarism and misrepresentation relative to the
courts? Court’s decision in Vinuya v. Executive Secretary.
The authors directly accused the Court of
A: Indeed, freedom of speech includes the right perpetrating extraordinary injustice by
to know and discuss judicial proceedings, but dismissing the petition of the comfort women
such right does not cover statements aimed at said case. The insult to the members of the
undermining the Court’s integrity and authority, Court was aggravated by imputations of
and interfering with the administration of justice. deliberately delaying the resolution of the said
Freedom of speech is not absolute, and must case, its dismissal on the basis of “polluted
occasionally be balanced with the requirements of sources,” the Court’s alleged indifference to the
equally important public interests, such as the cause of petitioners, as well as the supposed
maintenance of the integrity of the courts and alarming lack of concern of the members of the
orderly functioning of the administration of Court for even the most basic values of decency
justice. and respect.
Thus, the making of contemptuous statements A: While most agree that the right to criticize the
directed against the Court is not an exercise of judiciary is critical to maintaining a free and
free speech; rather, it is an abuse of such right. democratic society, there is also a general
Unwarranted attacks on the dignity of the courts consensus that healthy criticism only goes so far.
cannot be disguised as free speech, for the Many types of criticism leveled at the judiciary
exercise of said right cannot be used to impair the cross the line to become harmful and
independence and efficiency of courts or public irresponsible attacks. These potentially
respect therefore and confidence therein. (In Re: devastating attacks and unjust criticism can
Published Alleged Threats by Atty. Leonard de threaten the independence of the judiciary. The
Vera, A.M. No. 01-12-03-SC, July 29, 2002) court must “insist on being permitted to proceed
to the disposition of its business in an orderly
Q: Can a lawyer criticize the courts? manner, free from outside interference
obstructive of its functions and tending to
A: embarrass the administration of justice.”
GR: Canon 11 – A lawyer shall observe and
maintain the respect due to the courts and to The Court could hardly perceive any reasonable
judicial officers and should insist on similar purpose for the faculty’s less than objective
conduct by others. comments except to discredit the April 28, 2010
Decision in the Vinuya case and undermine the
XPN: The fact that a person is a lawyer does Court’s honesty, integrity and competence in
not deprive him of the right, as enjoyed by addressing the motion for its reconsideration. As
every citizen, to comment on and criticize the if the case on the comfort women’s claims is not
actuations of a judge. controversial enough, the UP Law faculty would
fan the flames and invite resentment against a
Note: What a lawyer can ordinarily say against a resolution that would not reverse the said
concluded litigation and the manner the judge decision. This runs contrary to their obligation as
handed down the decision therein may not generally law professors and officers of the Court to be the
be said to a pending action. The court, in a pending first to uphold the dignity and authority of this
litigation, must be shielded from embarrassment Court, to which they owe fidelity according to the
and influence in performing the important duty of oath they have taken as attorneys, and not to
deciding it. On the other hand, once litigation is promote distrust in the administration of justice.
concluded, the judge who decided on it is subject to Their actions likewise constitute violations of
the same criticism as any other public official Canons 10, 11, and 13 and Rules 1.02 and 11.05
because then his ruling becomes public property and of the Code of Professional Responsibility. (Re:
is thrown open to public consumption. Letter of the UP Law Faculty entitled “Restoring
Integrity: A Statement by the Faculty of the
University of the Philippines College of Law on the
55
Allegations of Plagiarism and Misrepresentation conversations-both actual and/or by telephone".

in the Supreme Court.”( A.M. No. 10-10-4-SC, It belied their good intention and exceeded the
October 19, 2010) bounds of propriety, hence not arguably
protected; it is the surfacing of a feeling of
contempt towards a litigant; it offends the court
before which it is made. A lawyer shall abstain
appear in court properly attired.
from scandalous, offensive or menacing language
or behavior before the courts. It must be
Note: As an officer of the court and in order to remembered that the language vehicle does not
maintain the dignity and respectability of the legal run short of expressions which are emphatic but
profession, a lawyer who appears in court must be respectful, convincing but not derogatory,
properly attired. Consequently, the court can hold a illuminating but not offensive. It has been said
lawyer in contempt of court if he does not appear in that a lawyer's language should be dignified in
proper attire. Any deviation from the commonly keeping with the dignity of the legal profession. It
accepted norm of dressing in court (barong or tie, is the duty of Atty. Depasucat et.al. as members
not both) is enough to warrant a citing for contempt. of the Bar to abstain from all offensive personality
and to advance no fact prejudicial to the honor or
Note: The traditional attires for male lawyers in the reputation of a party or witness, unless required
Philippines are the long-sleeve Barong Tagalog or by the justice of the cause with which he is
coat and tie. Female lawyers appear in semi-formal
charged. (Uy v. Depasucat, A.C. No. 5332, July 29,
attires. Judges also appear in the same attire in
2003)
addition to black robes.
Note: The language of a lawyer, both oral and
Rule 11.02, Canon 11, CPR – A lawyer shall written, must be respectful and restrained in
punctually appear at court hearings. keeping with the dignity of the legal profession and
with his behavioral attitude toward his brethren in
the profession. The use of abusive language by
Note: Punctuality is demanded by the respect which counsel against the opposing counsel constitutes at
a lawyer owes to the court, the opposing counsel the same time disrespect to the dignity of the court
and to all the parties to the case. (Funa, 2009) justice. Moreover, the use of impassioned language
in pleadings, more often than not, creates more heat
than light. (Buenaseda v. Flavier, G.R. No. 106719,
Sept. 21, 1993)
abstain from scandalous, offensive, or
menacing language or behavior before the The duty to observe and maintain respect is not a
courts. one-way duty from a lawyer to a judge. A judge
should also be courteous to counsel, especially those
Q: After the parties had filed their respective who are young and inexperienced and to all those
briefs with the Court of Appeals and before the appearing or concerned in the administration of
justice.
latter's resolution submitting the case for
decision was released, respondent lawyers, Atty.
R.A. No. 9211 or the Tobacco Regulation Act of 2003,
Depasucat, and others filed a pleading in order to foster a healthful environment,
"Manifestation of Usurpation of Authority of the absolutely prohibits smoking in specified public
Hon. Court of Appeals from a Self-Confessed places and designates smoking and non-smoking
Briber of Judges", which stated that plaintiff- areas in places where the absolute ban on smoking
appellant Uy had, in fact, confessed to bribing does not apply. Under this law, the Court is generally
judges. Consequently, Uy filed a verified considered a place where smoking is restricted,
complaint against respondent lawyers for gross rather than absolutely banned. Exceptions to this
misconduct. Should the respondents be characterization are the Court’s elevators and
disciplined for having authored and filed the stairwells; the Court’s medical and dental clinics; and
“Manifestation of Usurpation of Authority of the the Court’s cafeteria and other dining areas
Hon. Court of Appeals from a Self-Confessed (including the Justices’ Lounge), together with their
Briber of Judges”? food preparation areas, where an absolute ban
applies. In the areas where smoking restriction
A: Yes. Respondents went overboard by stating in applies, the law requires that the Court designate
the Manifestation that complainant "had in fact smoking and non-smoking areas.
confessed to bribery and telling one of the judges,
Section 6, in connection with Section 1, of Office
after the judges allegedly refused to give in to
Order No. 06-2009 entitled “Reiterating the Ban on
their demands, by using illegally taped Smoking as Provided for in Administrative Circular
56
LEGAL ETHICS TEAM:
No. 09-99 and Reiterated and Clarified in orderly administration of justice. Hence, in the
Memorandum Circular No. 01-2008A covers assertion of the client’s rights, lawyers – even those
absolute smoking prohibition areas greater than gifted with superior intellect, are enjoined to rein up
those covered by R.A. 9211, which include all interior their tempers. (Zaldivar v. Gonzalez, G.R. Nos.
areas of the buildings of the courts and the areas 79690-707 October 7, 1988)
immediately adjacent to these buildings. The Office
Order still allows smoking within court premises
(apparently referring to exterior areas), but such Rule 11.04, Canon 11, CPR – A lawyer shall
smoking has to be done in designated places. (Re: not attribute to a judge motives not
Smoking at the fire exit area at the back of the Public supported by the record or have no
Information Office, A.M. No. 2009-23-SC, February materiality to the case.
26, 2010)
However, every citizen has the right to comment
Q: An administrative case and disbarment
upon and criticize the actuations of public
proceeding was filed against MDS, a Lady
officers. This right is not dismissed by the fact that
Senator for uttering in her privilege speech
the criticism is aimed at a judicial authority, or
delivered in the Senate floor where she was
that it is articulated by a lawyer.
quoted as saying that she wanted “to spit on the
face of Chief Justice and his cohorts in the
Such right is especially recognized where the
Supreme Court,” and calling the Court a
criticism concerns a concluded litigation, because
“Supreme Court of idiots.” She alleged that it
the court’s actuations are thrown open to public
was considered as part of her Parliamentary
consumption. Courts thus treat with forbearance
immunity as such was done during the session. Is
and restraint a lawyer who vigorously assails their
she correct?
actuations for courageous and fearless advocates
are the strands that weave durability into the
A: Yes, because her statements, being part of her
tapestry of justice.
privilege speech as a member of Congress, were
covered by the constitutional provision on
Note: As citizen and officer of the court, every
parliamentary immunity. Indeed, her privilege lawyer is expected not only to exercise the right, but
speech is not actionable criminally or in a also to consider it his duty to expose the
disciplinary proceeding under the Rules of Court. shortcomings and indiscretions of courts and judges.
But it is the cardinal condition of all such criticism
However, as a member of the Bar, the Court that it shall be bona fide, and shall not spill over the
wishes to express its deep concern about the walls of decency and propriety.
language Senator Santiago used in her speech and
its effect on the administration of justice. To the Post litigation utterances or publications made by
Court, the lady senator has undoubtedly crossed lawyers, critical of the courts and their judicial
the limits of decency and good professional actuations, whether amounting to a crime or not,
conduct. It is at once apparent that her which transcend the permissible bounds of fair
statements in question were intemperate and comment and legitimate criticism and thereby tend
highly improper in substance. MDS should have to bring them into dispute or to subvert public
taken to heart in the first place the ensuing confidence in their integrity and in the orderly
passage in In Re: Vicente Sotto that “x x x [I]f the administration of justice, constitute grave
professional misconduct which may be visited with
people lose their confidence in the honesty and
disbarment or other lesser appropriate disciplinary
integrity of this Court and believe that they
sanctions by the SC in the exercise of the
cannot expect justice therefrom, they might be prerogatives inherent in it as the duly constituted
driven to take the law into their own hands, and guardian of the morals and ethics of the legal
disorder and perhaps chaos would be the result.” fraternity. (In Re: Almacen, G.R. No. L-27654, Feb.
18, 1970)
No lawyer who has taken an oath to maintain the
respect due to the courts should be allowed to Q: Atty. Romeo Roxas was charged for contempt
erode the people’s faith in the judiciary. In this when he, in a letter addressed to Associate
case, the lady senator clearly violated Canon 8, Justice Chico-Nazario, stated that Justice Nazario
Rule 8.01 and Canon 11 of the Code of decided the cases in favor of Zuzuarregui,
Professional Responsibility. (Pobre v. Senator ordering Attys. Roxas and Pastor to pay the
Santiago, A.C. No. 7399, Aug. 25, 2009) former P17,073,224.84 on considerations other
than the pure merits of the case and called the
Note: The lawyer’s duty to render respectful SC a “dispenser of injustice”. He ended his letter
subordination to the courts is essential to the by mocking her when he said “sleep well if you
57
still can” and that “her earthly life will be judged the record or have no materiality in the case.
by the Supreme Dispenser of Justice where only (Rule 11.04, CPR) (1997 Bar Question)
the merits of your honor’s life will be relevant
and material and where technicalities can shield Note: A lawyer should be reminded of his primary
no one from his or her wrongdoings”. duty to assist the court in the administration of
justice. The relations between counsel and judge
In the written explanation of Atty. Roxas, he should be based on mutual respect and on a deep
extended apologies to Justice Nazario. He said appreciation by one of the duties of the other. It is
he was merely exercising his rights to express a upon their cordial relationship and mutual
legitimate grievance or articulate fair criticisms cooperation that the hope of our people for speedy
and efficient justice rests. (Abiera v. Maceda, A.C.
of the court’s ruling. Moreover, according to
No. RTJ-91-660, June 30, 1994)
him, instead of resorting to public criticisms, he
chose to ventilate his criticisms in a very discreet If the court official or employee or a lawyer is to be
and private manner by writing a personal letter. disciplined, the evidence against him should be
Should Atty. Roxas be punished for the contents substantial, competent and derived from derived
of his letter? from direct knowledge, not on mere allegations,
conjectures, suppositions or on the basis of hearsay.
A: Yes. Atty. Roxas’ letter contains defamatory (Cervantes v. Atty. Sabio, A.C. No. 7828, August 11,
statements that impaired public confidence in the 2008)
integrity of the Judiciary. The making of
contemptuous statements directed against the
Rule 11.05, Canon 11, CPR - A lawyer shall
court is not an exercise of free speech; rather, it is
submit grievances against a Judge to the
an abuse of such right.
proper authorities only.
A letter furnished to all the members of the SC,
even if a copy was not disseminated to the media, Q: Who are considered as the proper
does not enjoy the mantle of right to privacy. authorities?
Letters addressed to the individual justices in
connection with the performance of their judicial A:
functions become part of the judicial record and NATURE OF THE WHERE TO FILE
are matter of concern for the entire court. CASE
If administrative in It shall be filed with the
Atty. Roxas is guilty of indirect contempt of court nature Office of the Court
for an improper conduct tending, directly and Administrator of the
indirectly, to impede, obstruct or degrade the Supreme Court
administration of justice; and with his
contemptuous and defamatory statements, Atty. If criminal and not It shall be filed with the
Roxas likewise violated Canon 11 of the CPR purely Office of the
particularly Rules 11.03 and 11.04. (Roxas v. administrative Ombudsman
Zuzuarregui, et. al., G.R. No. 152072, July 12,
If it involves a It must be coursed
2007)
Justice of the through the House of
Supreme Court Representative and the
Q: When is public comment and criticism of a
based on Senate in accordance
court decision permissible and when would it be
impeachable with the rules on
improper?
offenses impeachment.
A: A lawyer, like every citizen, enjoys the right to
comment on and criticize the decision of a court.
As an officer of the court, a lawyer is expected Note: An administrative complaint is not an
not only to exercise that right but also to consider appropriate remedy where judicial recourse is still
available, such as a motion for reconsideration, an
it his duty to expose the shortcomings and
appeal, or a petition for certiorari, unless the
indiscretions of courts and judges. But such right
assailed order or decision is tainted with fraud,
is subject to the limitations that it shall be bona
malice, or dishonesty. (Santiago III v. Justice
fide. It is proper to criticize the courts and judges, Enriquez, Jr. A.M. No. CA-09-47-J, February 13, 2009)
but it is improper to subject them to abuse and
slander, degrade them or destroy public Q: What are the rights and duties of a lawyer to
confidence in them. Moreover, a lawyer shall not criticize Courts?
attribute to a judge, motives not supported by
58
LEGAL ETHICS TEAM:
A: Note: A lawyer must exert every effort and consider

1. The fact that a person is a lawyer does not it his duty to assist in the speedy and efficient
deprive him of the rights, enjoyed by administration of justice.
every citizen, to comment on and criticize
the actuations of a judge subject to ethical Q: Jardin engaged the services of Atty. Villar Jr.
standard. to represent him in a collection case. The case
went its course, but later despite several
2. The court, in a pending litigation; must be extensions of time given by the trial court, Atty.
shielded from embarrassment or influence Villar Jr. failed to file his formal offer of exhibits.
in its all-important duty of deciding the The dismissal of the collection case prompted
case. Once litigation is concluded, the Jardin to file a verified affidavit-complaint for
judge who decided it is subject to the the disbarment of Atty. Villar Jr. with the Court,
same criticisms as any other public official wherein he alleged that after the dismissal of
because his ruling becomes public the collection case, he terminated the services
property and is thrown open to public of Atty. Villar Jr. as his counsel; that Atty. Villar
consumption. Jr. failed to return the originals of the
documentary exhibits entrusted to him; and that
3. It is the cardinal condition of all such Atty. Villar Jr. finally handed over the documents
criticism that it shall be bona fide, and only as an aftermath of a heated argument he
shall not spill over the walls of decency had with the Jardin's wife.
and propriety (Zaldivar v. Gonzales, G.R.
Nos. 79690-707, April 7, 1993). Was Atty. Villar Jr. remiss in his duties as counsel
when he failed to file his formal offer of exhibit?
4. The duty of the bar to support the judge
against unjust criticism and clamor does A: Yes. The record clearly shows that Atty. Villar
not, however, preclude a lawyer from Jr. has been languid in the performance of his
filing administrative complaints against duties as counsel for the complainant. He was
erring judges or from acting as counsel for given by the trial court several extensions of time.
clients who have legitimate grievances Therefore, Atty. Villar Jr. had three (3) months and
against them. But the lawyer should file nine (9) days within which to file the formal offer
charges against the judge before the of exhibits. Atty. Villar Jr. did not bother to give an
proper authorities only and only after the explanation even in mitigation or extenuation of
proper circumspection and without the his inaction.
use of disrespectful language and
offensive personalities so as not to unduly Manifestly, Atty. Villar Jr. has fallen short of the
burden the court in the discharge of its competence and diligence required of every
function. member of the law. It is indeed dismaying to note
Atty. Villar Jr.’s patent violation of his duty as a
Note: Cardinal condition of criticism is that it shall be lawyer. He committed a serious transgression
bona fide and shall not spillover the walls of decency when he failed to exert his utmost learning and
and propriety. ability and to give entire devotion to his client's
cause. His client had relied on him to file the
3. ASSISTANCE IN THE SPEEDY AND EFFICIENT formal offer of exhibits among other things. But
ADMINISTRATION OF JUSTICE he failed him. Resulting as it did in the dismissal
of the case, his failure constitutes inexcusable
default. (Jardin v. Atty. Villar, Jr., A.C. No. 5474,
CANON 12, CPR
Aug. 28, 2003)
- A LAWYER SHALL EXERT EFFORT AND
CONSIDER IT HIS DUTY TO ASSIST IN THE
Q: Judgment was rendered against Eternal
SPEEDY AND EFFICIENT ADMINISTRATION
Gardens ordering it to reconvey the cemetery to
OF JUSTICE
the rightful owners. Despite the final decision of
(1991,1994,1996,2003 Bar Questions)
the SC, Eternal Gardens was able to prevent the
execution for 17 years, rendering the judgment
Note: The filing of another action concerning the ineffectual. They filed several petitions and
same subject matter, in violation of the doctrine of motions for reconsideration with the trial court
res judicata, runs contrary to this Canon. (Lim v. and the CA despite the fact that it would never
Montano, A.C. No. 5653, February 27, 2006). prosper as the trial court’s decision had long
become final before the said petitions were
59
filed. Did the lawyers violate Canon 12 of the

CPR? Rule 12.01, Canon 12, CPR – A lawyer shall
not appear for trial unless he has adequately
A: While lawyers owe their entire devotion to the prepared himself on the law and the facts of
interest of the client and zeal in the defense of his case, the evidence he will adduce and the
their client’s right, they are also officers of the order of its preference. He should also be
court, bound to exert every effort to assist in the ready with the original documents for
speedy and efficient administration of justice. comparison with the copies.
They should not misuse the rules of procedure to
defeat the ends of justice or unduly delay a case, Note: A newly hired counsel who appears in a case
impede the execution of a judgment or misuse in the midstream is presumed and obliged to
court processes. The facts and the law should acquaint himself with all the antecedent processes
advise them that a case such as this should not be and proceedings that have transpired in the record
permitted to be filed to merely clutter the already prior to his takeover. (Villasis v. CA, G.R. Nos. L-
congested judicial dockets. They do not advance 36874-76, Sept. 30, 1974)
the cause of law or their clients by commencing
litigations that for sheer lack of merit do not Rule 12.02, Canon 12, CPR – A lawyer shall
deserve the attention of the courts. (Eternal not file multiple actions arising from the
Gardens Memorial Park Corporation v. CA, G.R. same cause. (1991, 1997, 1998, 2002 Bar
No. 123698, Aug. 5, 1998) Questions)
Note: All persons shall have the right to a speedy

disposition of their cases before all judicial, quasi- Q: What is forum-shopping?
judicial or administrative bodies. (Sec. 16, Art. III,
1987 Constitution) A: It is the improper practice of filing several
actions or petitions in the same or different
Q: Is a lawyer guilty of an unethical act when he tribunals arising from the same cause and seeking
employs means to delay the disposition of the substantially identical reliefs in the hope of
case? winning in one of them. The omission to disclose
pendency of appeal or prior dismissal of his case
A: Yes, because Canon 12 states that – A lawyer by a court of concurrent jurisdiction with intent of
shall exert every effort and consider it his duty to seeking a favorable opinion.
assist in the speedy and efficient administration
of justice. The prohibition includes the filing of petitions for
writs of certiorari, mandamus and prohibition
Note: The duty of a lawyer to assist in the speedy when there are similar petitions already filed or
and efficient administration of justice includes the pending. (CPR Annotated, PhilJA)
duty to refrain from talking to his witness during a
break or recess in the trial while the witness is still Note: The mere filing of several cases based on the
under examination. same incident does not necessarily constitute forum
shopping. The question is whether the several
The dilatory tactics of the defense counsel and the actions filed involve the same transactions, essential
failure of both the judge and the fiscal to take facts and circumstances. If they involve essentially
effective counter measures to obviate the delaying different facts, circumstances and causes of action,
acts constitute obstruction of justice. (People v. there is no forum shopping. (Paredes v.
Jardin, G.R. Nos. L-33037-42, Aug. 17, 1983) Sandiganbayan, G.R. No. 108251, Jan. 31, 1996)
The essence of forum shopping is the filing of
Q: What are acts which amount to obstruction of multiple suits involving the same parties for the
justice? same cause of action, either simultaneously or
successively, for the purpose of obtaining a
A: Instructing a complaining witness not to favorable judgment. (Foronda v. Atty. Guerrero, A.C.
appear at trial, asking a client to plead guilty to a No. 5469, Aug. 10, 2004)
crime he did not commit, advising a client to
escape from prison, employing dilatory tactics, Q: How is forum shopping committed?
prosecuting clearly frivolous cases or appeals,
filing multiple actions. A:
1. Going from one court to another in the
hope of securing a favorable relief in one
court, which another court has denied.
60
LEGAL ETHICS TEAM:
2. Filing repetitious suits and proceedings in A: Yes. Although Top Rate as principal party
different courts concerning the same executed the several certifications of non-forum
subject matter after one court has decided shopping, Atty. Gana and Atty. Manlangit cannot
the suit with finality; or deny responsibility therefore since Atty.
Manlangit notarized the certifications and both of
3. Filing a similar case in a judicial court after them definitely knew the relevant case status
receiving an unfavorable judgment from after having invariably acted as counsel of Top
an administrative tribunal. Rate before the trial court, the Court of Appeals
and the Supreme Court.
Q: Who signs the forum shopping certification?
Attys. Gana and Manlangit of the Gana and
A: Manlangit Law Office, counsel of record of Top
GR: The party himself as he has personal Rate, are administratively liable for grotesque
knowledge of the facts therein stated. violations of the Code of Professional
Responsibility.
XPN: Counsel, when clothed with a special
power of attorney to do so. (The lawyer shall Forum shopping is committed by a party who
certify that he has personal knowledge of the institutes two or more suits in different courts,
facts therein stated and shall give justifiable either simultaneously or successively, in order to
reason or explanation why the party himself ask the courts to rule on the same or related
cannot sign the same). causes or to grant the same or substantially the
same relief, on the supposition that one or the
Note: In case of a juridical person, its lawyer other court would make a favorable disposition or
authorized through a board resolution must sign the increase a party's chances of obtaining a
certification. favorable decision or action. It is an act of
malpractice for it trifles with the courts, abuses
Should there be more than one plaintiff or their processes, degrades the administration of
petitioner, all of them must execute the certification justice and adds to the already congested court
and verification. Unless, it is a suit involving conjugal dockets. What is critical is the vexation brought
property, in such a case, the husband alone may upon the courts and the litigants by a party who
execute the same.
asks different courts to rule on the same or
related causes and grant the same or
Q: The trial court declared Paxton Development substantially the same relief and in the process
Corporation (PDC) the lawful owner of the creates the possibility of conflicting decisions
subject lots. CA affirmed. Top Rate as the losing being rendered by different forums upon the
party sought to have the said resolution set same issues, regardless of whether the court in
aside and thereafter filed with the Supreme which one of the suits was brought has no
Court a motion for extension of time to file a jurisdiction over the action. (Top Rate
petition for review from the adverse CA decision Construction and General Services v. Paxton Devt.
and resolution. The motion contained a Corp., G.R. No. 151081, Sept. 11, 2003)
"verification/certification" under oath as to non-
forum shopping, without mentioning the Note: The principle of non-forum shopping applies
pending manifestation and motion with the CA, not only with respect to suits filed in courts but also
which was notarized by Atty. Manlangit. in connection with litigations commenced in courts
Both Atty. Manlangit and Atty. Gana knew while an administrative proceeding is pending, in
the relevant case status after having invariably order to defeat administrative processes and in
acted as counsel of Top Rate before the trial anticipation of an unfavorable court ruling.
court, the Court of Appeals and the Supreme
Court. Q: What are the possible consequences of forum
shopping?
Top Rate then filed a series of motions with the
SC, all of which failed to state that Top Rate still A:
has a pending manifestation and motion with 1. Summary dismissal of the multiple
the CA. It was only when it withdrew its Petition petition or complaint
for Review on Certiorari that Top Rate bared 2. Penalty for direct contempt of court on
before the SC the existence of the said the party and his lawyer
manifestation and motion pending with the CA. 3. Criminal action for a false certification of
Should Top Rate and its counsel be found guilty non forum shopping and indirect
of forum shopping? contempt
61
4. Disciplinary proceedings for the lawyer Exploration, Inc. v. Macaraig, G.R. No.
concerned. (Sec. 5, Rule 7, 1997 Rules of 78569, February 11, 1991)
Civil Procedure) (1998 Bar Question) 5. When counsel omits to disclose the
pendency of an appeal, in filing a certiorari
Q: J sustained serious physical injuries due to a case (Collado v. Hernando, G.R. No.L-
motor vehicle collision between the car she was 43866, May 30, 1988). (2002 Bar
driving and a public utility bus, requiring her Question)
confinement for 30 days at the Makati Medical
Center. After her release from the hospital, she Note: The committee suggests full credit for any 3 of
filed a criminal complaint against the bus driver the above enumerated instances of forum-shopping.
for serious physical injuries through reckless
imprudence before the Makati Prosecutor’s
Office. She also filed a civil complaint before the
not, after obtaining extensions of time to file
Paranaque Regional Trial Court against the bus
pleadings, memoranda or briefs, let the
operator and driver for compensatory, moral,
period lapse without submitting the same or
exemplary and other damages. Aside from the
offering an explanation for his failure to do
two complaints, she additionally filed an
so. (2003 Bar Question)
administrative complaint against the bus
operator with the Land Transportation
Franchising and Regulatory Board for Note: The court censures the practice of counsels
cancellation or suspension of the operator’s who secures repeated extensions of time to file their
franchise. Would you say that she and her pleadings and thereafter simply let the period lapse
lawyer were guilty of forum-shopping? without submitting the pleading or even an
explanation or manifestation of their failure to do so.
A: No. There is no forum-shopping in the (Achacoso v. CA, G.R. No. L-35867, June 28, 1973).
simultaneous filing of a criminal case and a civil
Asking for extension of time must be in good faith.
case in this instance. Article 33 of the Civil Code
Otherwise, it is an obstruction of justice and the
allows the filing by an injured party of a civil
lawyer is subject to discipline. (CPR Annotated,
action for damages entirely separate and distinct
PhilJA)
from the criminal action in cases of defamation,
fraud, and physical injuries. There is no forum- The same rule applies more forcefully to motion for
shopping involved in filing an administrative continuance. Postponement is not a matter of right
complaint against the bus operator with the Land but of sound judicial discretion. (Edrial v. Quilat-
Transportation Franchising and Regulatory Board. Quilat, G.R. No. 133625, Sept. 6, 2000)
The cancellation or suspension of the operator’s
franchise is for a different cause of action. (1997
Bar Question) Rule 12.04, Canon 12, CPR – A lawyer shall
not unduly delay a case, impede the
Q: Give five (5) instances of forum-shopping. execution of a judgment or misuse court
processes.
A:
1. When, as a result of an adverse opinion in
one forum, a party seeks a favorable Note: It is understandable for a party to make full
use of every conceivable legal defense the law
opinion (other than by appeal or
allows it. However, of such attempts to evade
certiorari) in another
liability to which a party should respond, it must ever
2. When he institutes two or more actions or
be kept in mind that procedural rules are intended as
proceedings grounded on the same cause, an aid to justice, not as means for its frustration.
on the gamble that one or the other court
would make a favorable Once a judgment becomes final and executory, the
disposition(Benguet Electric Cooperative, prevailing party should not be denied the fruits of his
Inc. v. NEA, G.R. No. 93924, January 23, victory by some subterfuge devised by the losing
1991) party. Unjustified delay in the enforcement in the
3. Filing a second suit in a court without enforcement of a judgment sets at naught the role
jurisdiction (New Pangasinan Review, Inc. of the courts in disposing justiciable controversies
v. NLRC,G.R. No. 85939, April 19, 1991) with finality. (Aguilar v. Manila Banking Corporation,
4. Filing an action in court while the same GR No. 157911, September 19, 2006)
cause of action is still pending in an
administrative proceeding (Earth Minerals
62
LEGAL ETHICS TEAM:
Lawyers should not resort to nor abet the resort of 5. An adverse party, though he may be used
their clients, to a series of actions and petitions for as a witness, is not however a witness
the purpose of thwarting the execution of a within the meaning of the rule permitting
judgment that has long become final and executory. a lawyer to interview the witness of the
(Cobb-Perez v. Lantin, No. L-22320, May 22, 1968) opposing counsel.
Rule 12.05, Canon 12, CPR – A lawyer shall Note: A lawyer shall avoid testifying in behalf of his
refrain from talking to his witness during a client. The function of a witness is to tell the facts as
break or recess in the trial, while the witness he recalls them in answer to questions while the
is still under examination. function of an advocate is that of a partisan. It is
difficult to distinguish between the zeal of an
advocate and the fairness and impartiality of a
Q: What is the reason for the rule? disinterested witness.
A: To prevent the suspicion that he is coaching Although the law does not forbid an attorney to be a
the witness what to say during the resumption of witness and at the same time an attorney in a cause,
the examination. the courts prefer that counsel should not testify as a
witness unless it is necessary and that they should
withdraw from the active management of the case.
Rationale: To uphold and maintain fair play with the
(PNB v. Uy Teng Piao, G.R. No. L- 35252, Oct. 21,
other party and to prevent the examining lawyer
1932) (2001, 2005 Bar Questions)
from being tempted to coach his own witness to suit
his purpose.
Q: Who is a witness? not knowingly assist a witness to
misrepresent himself or to impersonate
A: A human instrumentality through which the another.
law and its ministers, the judges and lawyers,
endeavor to ascertain the truth and to dispense Q: What are the sanctions on a lawyer who shall
justice to the following parties. knowingly assist a witness to misrepresent
himself or to impersonate another?
Q: What are the guidelines in interviewing a
witness? A: Art. 184, Revised Penal Code provides: The
lawyer who presented a witness knowing him to
A: be a false witness is criminally liable for “Offering
1. A lawyer may interview a witness in False Testimony in Evidence”.
advance of the trial to guide him in the
management of the litigation; Note: The lawyer who is guilty of the above is both
2. A lawyer may also interview a criminally and administratively liable.
“prospective witness” for the opposing
side in any civil and criminal action Q: Is the witness who committed the
without the consent of opposing counsel misrepresentation criminally liable?
or party;
3. A lawyer must properly obtain statements A: Yes. The witness who commits the
from witnesses whose names were misrepresentation is criminally liable for “False
furnished by the opposing counsel or Testimony” either under Art. 181, 182 or 183,
interview the employees of the opposing Revised Penal Code, depending upon the nature
party even though they are under of the case.
subpoena to appear as witnesses for the
opposite side; Note: The lawyer who induces a witness to commit
4. If after trial resulting in defendant’s false testimony is equally guilty as the witness.
conviction, his counsel has been advised
that a prosecution witness has committed Q: Who commits subordination of perjury?
perjury, it is not only proper but it is the
lawyer’s duty to endeavor honorable A: It is committed by a person who knowingly and
means to obtain such witness’ reaction, willfully procures another to swear falsely and the
even without advising the public witness subordinated does testify under
prosecutor of his purpose and even circumstances rendering hm guilty of perjury. (U.S.
though the case is pending appeal; and v. Ballena, G.R. No. L-6294, February 10, 1911).
63
Rule 12.07, Canon 12, CPR – A lawyer shall 2. Not to be detained longer than the
not abuse, browbeat or harass a witness nor interest of justice requires;
needlessly inconvenience him. 3. Not to be examined except only as to
matters pertinent to the issue;
4. Not to give any answer which will tend to
Q: Nolito Boras was convicted of statutory rape. subject him to a penalty for an offense
The victim, a minor, testified and the manner of unless otherwise provided by law; or
examination was excessive. 5. Not to give an answer which will tend to
degrade his reputation, unless it be the
The lawyer of Boras was asking questions like, very fact at issue or to a fact from which
“Did you have any opportunity at the time you the fact in issue would be presumed. But a
were raped to hold the penis of Nolito Boras?”, witness must answer to the fact of his
“At the time, when you were raped by Nolito previous and final conviction for an
Boras, is his penis hard or soft?”, and “Did you offense. (Sec. 3, Rule 132 of RRC)
see your uncle Cerilo after the accused stop
pushing and pulling his penis to your vagina or Note: It was highly inconsiderate for the prosecutor
while he was still in the process of pushing and and the defense counsel to trade quips at the
pulling his penis to your vagina?” precise time the victim of rape was reviving her
harrowing experience. Courts are looked up to by
Did the lawyer of Nolito Boras violate Rule the people with high respect and are regarded as
12.07? places were litigants are heard, rights and conflicts
are settled and justice solemnly dispensed. Levity
A: Yes. It must be stressed that in dealing with has no place in the courtroom during the
rape cases of children, especially those below 12 examination of the victim of rape, and particularly at
years of age, due care must be observed by the her expense. (People v. Nuguid, G.R. No. 148991,
trial court in handling the victim. In fact, more Jan. 21, 2004)
often than not, the gruelling experience in the
trial court in the course of direct examination and Rule 12.08, Canon 12, CPR – A lawyer shall
cross-examination is more traumatic than the fact avoid testifying in behalf of his client,
of the rape itself. On such occasions, mishandling except:
of victims lead to psychological imbalances which,
if not properly treated by medical experts will a. On formal matters, such as the
lead to an abnormal behavioral response against mailing, authentication or custody of
the idea of sex itself and disturbed interaction an instrument, and the like; or
with the opposite or same sex. b. On substantial matters, in cases
where his testimony is essential to
By subjecting her into explaining whether she was the ends of justice, in which event he
forced or intimidated is excessive. It is because must, during his testimony, entrust
proof of force and intimidation is unnecessary in the trial of the case to another
statutory rape. Considering that there is a medical counsel.
report substantiating the allegations made by the
victim, the manner of examination of the victim Q: What is the reason for the rule?
must be tempered. Especially in this case since
the child is only six years old who remains A: The function of a witness is to tell the facts as
uncorrupted. (People v. Boras, G.R. No. 127495, he recalls them in answer to questions. The
Dec. 22, 2000) function of an advocate is that of a partisan. It is
difficult to distinguish between the zeal of an
Q: What is the obligation of a witness? advocate and the fairness and impartiality of a
disinterested witness.
A: A witness must answer questions although his
answer may tend to establish a claim against him. Q: What are the instances when a lawyer may
not testify as a witness in a case which he is
Q: What are the rights of a witness? handling for a client?
A: A: TARCC
1. To be protected from irrelevant, 1. When as an attorney, he is to Testify on
improper, or insulting questions and from the theory of the case
harsh or insulting demeanor;
64
LEGAL ETHICS TEAM:
2. When such would Adversely affect any It is improper for a litigant or counsel to see a judge
lawful interest of the client with respect to in chambers and talk to him about a matter related
which confidence has been reposed on to the case pending in the court of said judge.
him (Austria v. Masaquel, G.R. No. 22536, August 31,
3. Having accepted a Retainer, he cannot be 1967)
a witness against his client;
4. He cannot serve Conflicting interests Q: Atty. J requested Judge K to be a principal
5. When he is to violate the Confidence of sponsor at the wedding of his son. Atty. J met
his client Judge K a month before during the IBP-
sponsored reception to welcome Judge K into
Q: What are the instances when a lawyer may the community, and having learned that Judge K
testify as a witness in a case which he is handling takes his breakfast at a coffee shop near his
for a client? (Judge K's) boarding house, Atty. J made it a
point to be at the coffee shop at about the time
A: FETAD that Judge K takes his breakfast. Comment on
1. On Formal matters, such as the mailing, Atty. J's acts. Do they violate the Code of
authentication or custody of instrument Professional Responsibility?
and the like;
2. Acting as an Expert on his fee; A: Yes, his actions violate the Code of Professional
3. On substantial matters in cases where his Responsibility. Canon 13 of the said Code
Testimony is essential to the ends of provides that a lawyer shall rely upon the merits
justice, in which event he must, during his of his cause and refrain from any impropriety
testimony, entrust the trial of the case to which tends to influence, or gives the appearance
another counsel; of influencing the court. Rule 13.01 of the same
4. Acting as an Arbitrator; Code provides that a lawyer shall not extend
5. Deposition. extraordinary attention or hospitality to, nor seek
opportunity for, cultivating familiarity with
4. RELIANCE ON MERITS OF CASE, NOT FROM judges. Atty. J obviously sought opportunity for
IMPROPER INFLUENCE UPON THE COURTS cultivating familiarity with Judge K by being at the
coffee shop where the latter takes his breakfast,
and is extending extraordinary attention to the
CANON 13, CPR judge by inviting him to be a principal sponsor at
- A LAWYER SHALL RELY UPON THE MERITS the wedding of his son. (2000 Bar Question)
OF HIS CAUSE AND REFRAIN FROM ANY
IMPROPRIETY WHICH TENDS TO INFLUENCE,
OR GIVES THE APPEARANCE OF Rule 13.02, Canon 13, CPR – A lawyer shall
INFLUENCING THE COURT. not make public statements in the media
(1994, 1997,2000,2001,2003 Bar Questions) regarding a pending case tending to arouse
public opinion for or against a party.
Note: A lawyer shall rely upon the merits of his

cause and refrain from any impropriety which tends Q: When can there be prejudicial publicity?
to influence, or gives the appearance of influencing
the court. A: There must be an allegation and proof that the
judges have been unduly influenced, not simply
Rule 13.01, Canon 13, CPR – A lawyer shall that they might be, by barrage of publicity. (CPR
not extend extraordinary attention or Annotated, PhilJA)
hospitality to, nor seek opportunity for
cultivating familiarity with judges. Note: The restriction does not prohibit issuances of
statements by public officials charged with the duty
of prosecuting or defending actions in court.
Rationale: To protect the good name and reputation
of the judge and the lawyer.
Note: Public statements to arouse public opinion for
or against a party are generally condemned.
Lawyers should not seek for opportunity to cultivate
familiarity with judges. A lawyer who resorts to such
practices of seeking familiarity with judges dishonors
Q: What is the test to determine whether public
his profession and a judge who consents to them is statements are contemptuous?
unworthy of his high office.
65
A: The character of the act done and its direct Note: As it will be contrary to the principle of
tendency to prevent and obstruct the discharge separation of powers.
of official duty.
All lawyers must uphold, respect and support the
In a concluded litigation, a lawyer enjoys a wider independence of the judiciary. This independence
latitude of comment on or criticize the decision of from interference is made to apply against all
a judge of his actuation. Thus, it has been held branches and agencies of the government. (Funa.
2009)
that a newspaper publication tending to impede,
obstruct, embarrass or influence the courts in
The Supreme Court accordingly administered a
administering justice in a pending case reprimand to Bumanlag for gross ignorance of law
constitutes criminal contempt, but the rule is and of the Constitution in having asked the President
otherwise after the litigation is ended. (In re: to set aside by decree the Court’s decision which
Loazano, 54 Phil. 801, July 24, 1930) suspended him for two years from the practice of
law. (De Bumanlag v. Bumanlag, A.M. No. 188, Nov.
Q: Dumbledore, a noted professor of commercial 29, 1976)
law, wrote an article on the subject of letters of
credit, which was published in the IBP Journal. D. THE LAWYER AND THE CLIENT
Assume he devoted a significant portion of the Attorney-Client Relationship

article to a commentary on how the Supreme (1995,1997,1999,2001,2002 Bar Questions)
Court should decide a pending case involving the
application of the law on letters of credit. May Q: What is the nature of attorney-client
he be sanctioned by the Supreme Court? Explain. relationship?
A: Professor Dumbledore may be sanctioned by A:

the Supreme Court. Rule 13.02 of the CPR 1. Strictly personal – Prohibits the delegation
provides that “a lawyer shall not make public of work without the client’s consent.
statements in the media regarding a pending case
tending to arouse public opinion for or against a 2. Highly confidential
party.” The Court in a pending litigation must be
shielded from embarrassment or influence in its a. Communication made in the course
duty of deciding the case. of lawyers professional employment;
and
Q: Assume Dumbledore did not include any b. Communication intended to be
commentary on the case. Assume further after confidential.
the Supreme Court decision on the case had
attained finality, he wrote another IBP Journal 3. Fiduciary
article, dissecting the decision and explaining
why the Supreme Court erred in all its a. Hold in trust all moneys and
conclusions. May he be sanctioned by the properties of his client that may
Supreme Court? Explain. come into his possession;
b. When a lawyer enforces a charging
A: He may not be sanctioned by the Supreme lien against his client, the relationship
Court. Once a litigation is concluded, the judge is terminated; and
who decided it is subject to the same criticism as c. An attorney cannot represent
any other public official because his decision adverse interest unless the parties
becomes public property and is thrown open to consent to the representation after
public consumption. The lawyer enjoys a wide full disclosure of facts.
latitude in commenting or criticizing the judge’s
decision, provided that such comment or criticism Q: Is a contract necessary in order to have a
shall be bona fide and not spill over the bounds of professional relationship between a lawyer and
decency and propriety. (2008 Bar Question) a client?
Rule 13.03, Canon 13, CPR – A lawyer shall A: No, the absence of a written contract will not
not brook or invite interference by another preclude a finding that there is a professional
branch or agency of the government in the relationship. Documentary formalism is not an
normal course of judicial proceedings. essential element in the employment of an
attorney; the contract may be express or implied.
66
LEGAL ETHICS TEAM:
It is sufficient, to establish the professional Q: What are the rules protecting attorney-client
relation, that the advice and assistance of an relationship?
attorney is sought and received in any matter
pertinent to his profession. An acceptance of the A:
relation is implied on the part of the attorney 1. Best efforts must be exerted by the
from his acting on behalf of his client in attorney to protect his client’s interest;
pursuance of a request from the latter. 2. The attorney must promptly account for
any fund or property entrusted by or
Note: If a person, in respect to his business affairs or received for his client;
any troubles of any kind, consults with his attorney 3. An attorney cannot purchase his client’s
in his professional capacity with the view to property or interest in litigation;
obtaining professional advice or assistance and the 4. The privacy of communications shall at all
attorney voluntarily permits or acquiesce in such times upheld;
consultation, as when he listens to his client’s 5. An attorney cannot represent a party
preliminary statement of his case or gives advice whose interest is adverse to that of his
thereon, then the professional employment is client even after the termination of the
regarded as established just as effective as when he
relation.
draws his client’s pleading or advocates his client’s
cause in court. (Dee v. CA, G.R. No. 77439, Aug. 24,
1989)
Q: What are the three principal types of
professional activity that a licensed attorney at
Q: How is a lawyer-client relationship formed? law generally engages in, in the practice of his
profession?
A:
1. Oral – When the counsel is employed A: LAP
without a written agreement, but the 1. Legal advice and instructions to clients to
conditions and amount of attorney’s fees inform them of their rights and
are agreed upon. obligations;
2. Express – when the terms and conditions 2. Appearance for clients before public
including the amount of fees are explicitly tribunals which possess power and
stated in a written document, which may authority to determine rights of life,
be a private or public document. Written liberty, and property according to law, in
contract of attorney’s fees is the law order to assist in proper interpretation
between the lawyer and the client. and enforcement of law; and
3. Implied – When there is no agreement, 3. Preparation for clients of documents
whether oral or written, but the client requiring knowledge of legal principles not
allowed the lawyer to render legal services possessed by ordinary layman. (CPR
not intended to be gratuitous without Annotated, PhilJA)
objection and client is benefited by reason
thereof. Q: Uy engaged the services of Atty. Gonzales to
prepare and file a petition for the issuance of a
Note: While a written agreement for professional new certificate of title. Uy confided with him the
services is the best evidence to show the relation, circumstances surrounding the lost title and
formality is not an essential element of the discussing the fees and costs. When the petition
employment of an attorney. The absence of a was about to be filed, Atty. Gonzales went to
written contract will not preclude a finding that Uy’s office and demanded a certain amount
there is a professional relationship. from him other than what they had previously
agreed upon. Uy found out later that instead of
Q: What are the advantages of a written filing the petition for the issuance of a new
contract between the Lawyer and the Client? certificate of title, Atty. Gonzales filed a letter-
complaint against him with the Office of the
A: Provincial Prosecutor for “falsification of public
1. It is conclusive as to the amount of documents.” The letter-complaint contained
compensation. facts and circumstances pertaining to the
2. In case of unjustified dismissal of an transfer certificate of title that was the subject
attorney, he shall be entitled to recover matter of the petition which Atty. Gonzales was
from the client full compensation supposed to have filed. Should Atty. Gonzales be
stipulated in the contract (RA 636). suspended for violating the lawyer-client
relationship when he filed a complaint for
67
“falsification of public documents” against his become his client. He has the right to decline
client using facts connected with the latter’s employment.
petition?
XPN:
A: No. As a rule, an attorney-client relationship is 1. A lawyer shall not refuse his services to
said to exist when a lawyer voluntarily permits or the needy (Canon 14);
acquiesces with the consultation of a person, who 2. He shall not decline to represent a
in respect to a business or trouble of any kind, person solely on account of the latter’s
consults a lawyer with a view of obtaining race, sex, creed or status of life or
professional advice or assistance. It is not because of his own opinion regarding
essential that the client should have employed the guilt of said person (Rule 14.01);
the attorney on any previous occasion or that any (1990, 1993, 2000, 2002, 2006 Bar
retainer should have been paid, promised or Questions)
charged for, neither is it material that the 3. He shall not decline, except for serious
attorney consulted did not afterward undertake and efficient cause like
the case about which the consultation was had, a. If he is not in a position to carry
for as long as the advice and assistance of the out effectively or competently;
attorney is sought and received, in matters b. If he labors under a conflict of
pertinent to his profession. interest between him and the
prospective client (Rule 14.03).
Evidently, the facts alleged in the complaint for
“estafa through falsification of public documents” Q: What is the rationale for the establishment
filed by Atty. Gonzales against Uy were obtained and operation of legal aid offices in all chapters
by Atty. Gonzales due to his personal dealings of the IBP?
with Uy. Whatever facts alleged by Atty. Gonzales
against Uy were not obtained by Atty. Gonzales in A: Legal aid is not a matter of charity. It is a
his professional capacity but as a redemptioner of means for the correction of social imbalances that
a property originally owned by his deceased son may and often do lead to injustice, for which
and therefore, when Atty. Gonzales filed the reason it is a public responsibility of the Bar. The
complaint for estafa against Uy, which necessarily spirit of public service should, therefore, underlie
involved alleging facts that would constitute all legal aid offices. The same should be so
estafa, Atty. Gonzales was not, in any way, administered as to give maximum possible
violating Canon 21. Clearly, there was no assistance to indigent and deserving members of
attorney-client relationship between Atty. the community in all cases, matters and situations
Gonzales and Uy. The preparation and the in which legal aid may be necessary to forestall an
proposed filing of the petition was only incidental injustice. (Public Service, Sec. 1, Art. 1, IBP
to their personal transaction. (Uy v. Atty. Guidelines on Legal Aid)
Gonzales, A.C. No. 5280, Mar. 30, 2004)
Q: Are there instances where a lawyer has the
1. AVAILABILITY OF SERVICE WITHOUT duty to decline employment?
DISCRIMINATION
A: A lawyer should decline no matter how
CANON 14, CPR attractive the fee offered may be if its acceptance
- A LAWYER SHALL NOT REFUSE HIS will involve: RACCAA
SERVICES TO THE NEEDY.
(1990,1992,2006 Bar Questions) 1. A violation of any of the Rules of the legal
profession;
2. Advocacy in any manner in which he had
Rationale: The poor and indigent should not be intervened while in the government
further disadvantaged by lack of access to the service;
Philippine legal system. 3. Nullification of a Contract which he
prepared;
Q: Does a lawyer have a right to decline 4. Employment with a Collection agency
employment? which solicits business to collect claims;
5. Employment, the nature of which might
A: easily be used as a means of Advertising
GR: A lawyer is not obliged to act as legal his professional services of his skill; or
counsel for any person who may wish to
68
LEGAL ETHICS TEAM:
6. Any matter in which he knows or has

reason to believe that he or his partner Rule 14.01, Canon 14, CPR - A lawyer shall
will be an essential witness for the not decline to represent a person solely on
prospective client. (1993 Bar Question) account of the latter’s race, sex, creed or
status of life, or because of his own opinion
Q: What are the ethical considerations in taking regarding the guilt of said person.
a bad case?
Rule 14.01 is applicable only in criminal cases. In
A: criminal cases, a lawyer cannot decline to represent
1. Criminal case – A lawyer may accept a an accused or respondent because of his opinion
losing criminal case because every that the said person is guilty of the charge or charges
accused is presumed innocent until filed against him. In representing the accused or
proven guilty and is entitled to counsel. respondent, the lawyer must only use means which
are fair and honorable. (Sec. 20[I], Rule 138, RRC)
2. Civil case - The rules and ethics of the
Rule 14.01 is not applicable in civil cases because it is
profession enjoin a lawyer from taking a
the duty of an attorney to counsel or maintain such
bad case.
actions or proceedings only as appear to him to be
just, and such defenses only as he believes to be
Q: What are the reasons why a lawyer may not honestly debatable under the law.” (Sec. 20[c], Rule
accept a “losing” civil case? 138, RRC)
A: Q: Atty. DD’s services were engaged by Mr. BB

1. The attorney’s signature in every pleading as defense counsel in a lawsuit. In the course of
constitutes a certificate by him that there the proceedings, Atty. DD discovered that Mr.
is good cause to support it and that it is BB was an agnostic and a homosexual. By
not interposed for delay, and willful reason thereof, Atty. DD filed a motion to
violation of such rule shall subject him to withdraw as counsel without Mr. BB’s express
disciplinary action; consent. Is Atty. DD’s motion legally tenable?
Reason briefly.
2. It is the attorney’s duty to “counsel or
maintain such actions or proceedings only A: No. Atty. DD’s motion is not legally tenable. He
as appears to him to be just and only such has no valid cause to terminate his services. His
defenses as he believes to be honestly client, Mr. BB, being an agnostic and homosexual,
debatable under the law”; should not be deprived of his counsel’s
representation solely for that reason.
3. A lawyer is not to encourage either the
commencement or the continuance of an A lawyer shall not decline to represent a person
action or proceeding, or delay any man’s solely on account of the latter’s race, sex, creed
cause, for any corrupt motive or interest; or status of life or because of his own opinion
and regarding the guilt of said person. (Canon 14, Rule
14.01, CPR) (2004 Bar Question)
4. A lawyer must decline to conduct a civil
cause or to make a defense when b. Services as Counsel de Officio
convinced that it is intended merely to
harass or injure the opposite party or to
work oppression or wrong. Rule 14.02, Canon 14, CPR – A lawyer shall
not decline, except for serious and sufficient
Q: Is there an instance when a lawyer may cause, an appointment as counsel de oficio
accept a losing civil case? or as amicus curiae, or a request from the
Integrated Bar of the Philippines or any of its
A: Yes, provided that, in so doing, he must not chapters for rendition of free legal aid.
engage in dilatory tactics and must advise his (1991, 1993, 1994, 1996, 1998, 2001, 2002,
client about the prospects and advantage of 2004, 2006 Bar Question)
settling the case through a compromise. (1996,
2001, 2002, 2005 Bar Question)
Q: What is the protection given by law to poor
litigants who cannot afford the services of a
a. Services Regardless of Person’s Status lawyer?
69
A: A court may assign an attorney to render A: Yes. The right to counsel must be more than
professional aid free of charge to any party in just the presence of a lawyer in the courtroom or
case, if upon investigation it appears that the the mere propounding of standard questions and
party is destitute and unable to employ an objections. The right to counsel means that the
attorney, and that the services of counsel are accused is amply accorded legal assistance
necessary to secure the ends of justice and to extended by a counsel who commits himself to
protect the rights of the party. It shall be the duty the cause for the defense and acts accordingly.
of the attorney so assigned to render the required The right assumes an active involvement by the
service, unless he is excused therefrom by the lawyer in the proceedings, particularly at the trial
court for sufficient cause shown. (Sec. 31, Rule of the case, his bearing constantly in mind of the
138, RRC) basic rights of the accused, his being well-versed
on the case, and his knowing the fundamental
Q: Who may be appointed as counsel de oficio? procedures, essential laws and existing
jurisprudence. The right of an accused to counsel
A: finds substance in the performance by the lawyer
1. Members of the bar in good standing; of his sworn duty of fidelity to his client. Tersely
2. Any person, resident of the province and put, it means an efficient and truly decisive legal
of good repute for probity and ability, in assistance and not a simple perfunctory
localities without lawyers. representation.
Q: What are considered in appointing a counsel It is never enough that accused be simply
de oficio? informed of his right to counsel; he should also be
asked whether he wants to avail himself of one
A: and should be told that he can hire a counsel of
1. Gravity of offense; his own choice if he so desires or that one can be
2. Difficulty of questions that may arise; and provided to him at his request.
3. Experience and ability of appointee.
A counsel de oficio is expected to do his utmost. A
Q: A criminal complaint was filed against Bermas mere pro-forma appointment of de oficio counsel
for the crime of rape. The Second Assistant who fails to genuinely protect the interests of the
Prosecutor issued a certification that the accused merits disapprobation. The exacting
accused has waived his right to preliminary demands expected of a lawyer should be no less
investigation. On the day of the scheduled than stringent when one is a counsel de officio.
arraignment, the accused was brought before He must take the case not as a burden but as an
the trial court without counsel. The court opportunity to assist in the proper dispensation
assigned a PAO attorney to be the counsel de of justice. No lawyer is to be excused from this
officio who, during trial also made a request that responsibility except only for the most compelling
she be relieved from the case. Another counsel and cogent reasons.
was thereafter assigned as the new counsel de
officio. When said new counsel for the accused Canon 18 of the Code of Professional
failed to appear before the court for their Responsibility requires every lawyer to serve his
presentation of evidence, the Court appointed client with utmost dedication, competence and
another counsel de officio but, again, said diligence. He must not neglect a legal matter
counsel asked to be relieved from the case. The entrusted to him, and his negligence in this
newly appointed counsel also failed to appear regard renders him administratively liable.
before the court. Obviously, in the instant case, the aforenamed
defense lawyers did not protect, much less
Despite the said events, the lower court uphold, the fundamental rights of the accused.
convicted the accused of death penalty for the Instead, they haphazardly performed their
violation of the crime of rape. The defense function as counsel de oficio to the detriment and
counsel claimed that the accused was deprived prejudice of the accused Sevilleno, however guilty
of due process, was denied his Constitutional he might have been found to be after trial.
right to effective and vigilant counsel and his (People v. Bermas, G.R. No. 120420. April 21,
Constitutional right to be tried by an impartial 1999)
judge. Is there a violation of due process and
was denied of his Constitutional right to
effective and vigilant counsel?
70
LEGAL ETHICS TEAM:
c. Valid Grounds for Refusal Q: If Atty. Bonanza is requested to act as counsel

for the accused, could he or should he refuse by
saying that in the province, he wants to do
Rule 14.03, Canon 14, CPR – A lawyer may
nothing except ride horses and castrate bulls?
not refuse to accept representation of an
Explain.
indigent client unless:
A: The attorney cannot refuse to be appointed as
a. He is in no position to carry out the
counsel de oficio merely on the reason that he is a
work effectively or competently;
semi-retired practicing lawyer. Precisely one of
b. He labors under a conflict of interest
the reasons for the integration of the bar in the
between him and the prospective
Philippines is to compel all persons who have
client or between a present client and
been admitted to the practice of law in the
a prospective client.
Philippines to perform their duties to assist the
courts in the administration of public. (Ibid)
Q: When may refusal of a counsel to act as
counsel de oficio be justified on grounds aside Q: Assailed in a certiorari proceeding is an order
from the reasons of health, extensive travel of respondent Judge Climaco denying a motion
abroad, or similar reasons of urgency? filed by petitioner Ledesma to be allowed to
withdraw as counsel de oficio. One of the
A: Other justified grounds for refusal to act as a grounds for such a motion was his allegation
counsel de oficio are: that with his appointment as Election Registrar
by the COMELEC, he was not in a position to
1. Too many de oficio cases assigned to the devote full time to the defense of the two
lawyer; (People v. Daeng, G.R. No. L- accused. The denial by respondent Judge of such
34091, Jan. 30, 1973) a plea, notwithstanding the conformity of the
2. Conflict of interest; (Rule 14.03, CPR) defendants, was due to “its principal effect of
3. Lawyer is not in a position to carry out the delaying the case”. Is the denial of Judge Climaco
work effectively or competently; (supra) correct?
4. Lawyer is prohibited from practicing law
by reason of his public office which A: Yes. The reluctance of Ledesma to comply with
prohibits appearances in court; and his responsibilities as counsel de oficio is not an
5. Lawyer is preoccupied with too many adequate ground for the motion of withdrawal.
cases which will spell prejudice to the new Membership in the bar is a privilege burdened
clients. with a condition. For some lawyers especially the
neophytes in the profession being appointed as a
Q: Atty. J. Bonanza, a semi-retired Metro Manila lawyer is an irksome chore. Law is a profession
practitioner has a cattle ranch in the remote dedicated to the ideal of service and not a mere
municipality of Nueva Ecija. He attends to his trade. Thus is made manifest the indispensable
law office in Manila on Mondays, Tuesdays and role of a member of the Bar in the defense of an
Wednesdays, and the rest of the week he spends accused. Such a consideration could have sufficed
in his cattle ranch raising horses. for Ledesma not being allowed to withdraw as
counsel de oficio. For he did betray by his moves
In a criminal case pending before the Municipal his lack of enthusiasm for the task entrusted to
Trial Court of Carranglan, the only other licensed him, to put matters mildly. He did point though to
member of the bar in the place is representing his responsibility as an election registrar.
the complainant. The accused is a detention Assuming his good faith, no such excuse could be
prisoner. The judge wants to expedite availed now. There is not likely at present, and in
proceedings. the immediate future, an exorbitant demand on
his time. (Ledesma v. Climaco, G.R. No. L-23815,
What must the judge do to expedite June 28, 1974)
proceedings?
Q: Ferrer was accused of having raped his 11-
A: The judge may appoint attorney Bonanza as year-old stepdaughter. Ferrer’s counsel of record
counsel de oficio considering that the accused is a was PAO's Atty. Macabanding. During the pre-
detention prisoner and therefore it is assumed trial, both of them failed to appear. Ferrer was
that he has no financial means of engaging a paid considered by the court as having jumped bail.
counsel. (1988 Bar Question) Trial in absentia followed where Ferrer was
assisted by another PAO lawyer, Atty. Alonto.
Atty. Macabanding did not appear in all the
71
subsequent hearings of the case. He did not amicus curiae or a request from the IBP or any of
inform the court of his whereabouts. Ferrer was its chapter for rendition of free legal aid.” He
found guilty beyond reasonable doubt of the may, therefore, decline such appointment for
crime charged and imposed upon him the death “serious and sufficient cause”. For example, he
penalty. Did Atty. Macabanding live up to the may decline such appointment if it will involve a
demands expected from a counsel de oficio? conflict of interest with another client.
A: No. Ferrer was not properly and effectively Q: Will your answer be different if the legal aid is
accorded the right to counsel. Canon 18 of the requested in a civil case?
CPR requires every lawyer to serve his client with
utmost dedication, competence and diligence. He A: My answer will not be exactly the same,
must not neglect a legal matter entrusted to him. because in a civil case, the lawyer can also decline
For all intents, purposes and appearances, Atty. if he believes the action or defense to be
Macabanding abandoned his client, an accused unmeritorious. He is ethically bound to maintain
who stands to face the death penalty. only actions and proceedings which appear to
him to be just and only such defenses which he
While he faced the daunting task of defending an believes to be honestly debatable under the law.
accused that had jumped bail, this unfortunate (2002 Bar Question)
development is not a justification to excuse him
from giving his heart and soul to the latter's Note: A lawyer may refuse to handle cases due to
defense. The exercise of their duties as counsel de these valid reasons. However, Rule 2.02 requires him
oficio meant rendering full meaning and reality to to give advice on preliminary steps if he is asked
the constitutional precepts protecting the rights until the client secures the services of counsel. He
of the accused. (People v. Ferrer, G.R. No. 148821, shall refrain from giving this preliminary advice if
July 18, 2003) there is conflict of interest between a present client
and a prospective one for extending such legal
Q: What is the rule on the appointment of advice will create and establish an attorney-client
relationship between them and may involve a
counsel de oficio for an accused who was
violation of the rule prohibiting a lawyer from
convicted by the Regional Trial Court and is
representing conflicting interest.
desirous of appealing from the judgment of
conviction?
Rule 14.04, Canon 14, CPR – A lawyer who
A: If an accused is found guilty by the trial court accepts the cause of a person unable to pay
and makes his intention to appeal the decision, his professional fees shall observe the same
the appellate court may appoint a counsel de standard of conduct governing his relations
oficio if it is shown by a certificate of the clerk of with paying clients. (2008 Bar Question)
the court that:
Q: Atty. Mariano Dajoyag, Jr. is Ernesto Ramos’
1. The defendant is confined in prison and counsel. He failed to perfect their appeal before
not able to file a bail bond; the SC. He filed the petition for certiorari within
2. He is without means to employ an the 20-day period of extension that he sought in
attorney de parte; and his 2nd motion for extension. He learned that
3. He desires to be represented by an the period of extension granted in his 1st motion
attorney de oficio. for extension was inextendible only after the
expiration of the 2 periods of extension that he
Note: An appellant who is not confined in prison is prayed for. A complaint for negligence and
not entitled to an attorney de oficio unless a request malpractice was filed against him, to which he
is made within ten days from notice to file the pleaded good faith and excusable neglect of
appellant’s brief and the right thereto is established duty. Is Atty. Dajoyag Jr. guilty of neglect of
by affidavit of poverty. (Sec. 13, Rule 122, RRC) (1993 duty?
Bar Question)
A: Yes. Motions for extension are not granted as a
Q: May a lawyer decline a request for free legal matter of right but in the sound discretion of the
aid to an indigent accused made by a chapter of court, and lawyers should never presume that
the IBP? Explain. their motions for extension or postponement will
be granted or that they will be granted the length
A: Rule 14.02 of the CPR provides that “a lawyer of time they prayed for.
shall not decline, except for serious and sufficient
cause, an appointment as counsel de oficio or as
72
LEGAL ETHICS TEAM:
Further, regardless of the agreement Atty. fidelity and absolute integrity in all his dealings and
Dajoyag, Jr. had with Ramos with respect to the transactions with his clients and an utter
payment of his fees, Atty. Dajoyag, Jr. owed it to renunciation of every personal advantage conflicting
Ramos to do his utmost to ensure that every in any way, directly or indirectly, with the interest of
remedy allowed by law is availed of. Rule 14.04 of his client. (Oparel Sr. v. Abaria, A.C. No. 959, July 30,
the Code of Professional Responsibility enjoins 1971)
every lawyer to devote his full attention,
If they find that their client’s cause is defenseless,
diligence, skills, and competence to every case
then it is their bounden duty to advise the latter to
that he accepts. Pressure and large volume of
acquiesce and submit rather than to traverse the
legal work do not excuse Atty. Dajoyag, Jr. for incontrovertible. (Rollon v. Atty. Naraval, A.C. No.
filing the petition for certiorari out of time. 6424, March 4, 2005)
Nevertheless, Atty. Dajoyag Jr. exerted efforts to a. Confidentiality rule

protect the rights and interests of Ernesto Ramos,
including trying to secure a reconsideration of the Note: Confidentiality means the relation between
denial of the petition. Thus, he is guilty of simple lawyer and client or guardian and ward, or between
neglect of duty. (Ramos v. Dajoyag, Jr., A.C. No. spouses, with regard to the trust that is placed in the
5174, Feb. 28, 2002) one by the other. (Black’s Law Dictionary 7th Edition
1990, 2004)
Note: The fact that his services are rendered without
remuneration should not occasion a diminution in b. Privilege Communication
his zeal. (Ledesma v. Climaco, G.R. No. L-23815, June
28, 1974)
Rule 15.02, Canon 15, CPR- A lawyer shall
Lawyers who devote their professional practice to be bound by the rule on privilege
representing litigants who could ill afford legal communication in respect of matters
services deserve commendation. However, it is not disclosed to him by a prospective client.
enough to say that all pauper litigants should be (2008 Bar Question)
assured of legal representation. They deserve
quality representation as well. (Canoy v. Ortiz, A.C.
No. 5485, Mar. 16, 2005) Q. How is Rule 15.02 different from Canon 17?
2. CANDOR, FAIRNESS AND LOYALTY TO CLIENTS A: Rule 15.02 speaks of the duty of confidentiality
to a prospective client while Canon 17 provides
for the duty of confidentiality to an actual client.
CANON 15, CPR (Funa, 2009)
- A LAWYER SHALL OBSERVE CANDOR,
FAIRNESS AND LOYALTY IN ALL HIS Q: Are matters disclosed by a prospective client
DEALINGS AND TRANSACTIONS WITH HIS to a lawyer protected by the rule on privileged
CLIENT. communication?
(1991 Bar Question)
A: Yes. The foregoing disqualification rule applies
to prospective clients of a lawyer. Matters
Q: What does the Code of Professional disclosed by a prospective client to a lawyer are
Responsibility provide pertinent to the lawyer’s protected by the rule on privileged
duty as regards his dealings and transactions communication even if the prospective client
with clients? does not thereafter retain the lawyer or the latter
A: Canon 15 of the Code of Professional declines the employment.
Responsibility provides that “A lawyer shall
observe candor, fairness and loyalty in all his The reason for this is to make the prospective
dealings and transactions with his client.” client free to discuss whatever he wishes with the
lawyer without fear that what he tells the lawyer
A lawyer owes absolute fidelity to the cause of his will be divulged or used against him, and for the
client. He owes his client full devotion to his lawyer to be equally free to obtain information
interest, warm zeal in the maintenance and from the prospective client. (CPR Annotated,
defense of his rights. PhilJA)
Note: It demands of an attorney an undivided Note: A privileged communication is one that refers
allegiance, a conspicuous and high degree of good to information transmitted by voluntary act of
faith, disinterestedness, candor, fairness, loyalty, disclosure between attorney and client in confidence
73
and by means which, so far as the client is aware Q: Rosa Mercado’s husband filed an annulment
discloses the information to no third person other against her. Atty. Julito Vitriolo represented her.
than one reasonably necessary for the transmission Thereafter, a criminal action against her was
of the information or the accomplishment of the filed by the latter for falsification of public
purpose for which it was given. document. According to Atty. Vitriolo, she
indicated in the Certificates of Live Birth of her
Mere relation of attorney-client does not raise a children that she is married to a certain
presumption of confidentiality. (Pineda, 2009) For an
Ferdinand Fernandez, and that their marriage
information to be considered as privileged, it must
was solemnized on April 11, 1979, when in truth,
be intended by the client as such. (CPR Annotated,
PhilJA)
she is legally married to Ruben Mercado and
their marriage took place on April 11, 1978.
Mercado claims that the criminal complaint
Q: What are the essential factors to establish the
disclosed confidential facts and information
existence of the attorney-client privilege
relating to the civil case for annulment handled
communication?
by Vitriolo as her counsel.
A:
Did Atty. Julito Vitriolo violate the rule on
1. Where the legal advice of any kind is
privileged communication between attorney and
sought
client?
2. From a professional legal adviser in his
capacity as such
A: Evidence on record fails to substantiate
3. The communications relating to that
Mercado’s allegations. She did not even specify
purpose
the alleged communication in confidence
4. Made in confidence
disclosed by Atty. Vitriolo. All of Mercado’s claims
5. By the client
were couched in general terms and lacked
6. Are at his instance permanently protected
specificity. Without any testimony from Mercado
7. From disclosure by himself or by the legal
as to the specific confidential information
advisor
allegedly divulged by Atty. Vitriolo without her
8. Except if the protection be waived.
consent, it is difficult, if not impossible to
(Hadjula v. Madianda, A.C. No. 6711, July
determine if there was any violation of the rule
3, 2007)
on privileged communication.
Q: what are the requisites of privilege
It is not enough to merely assert the attorney-
communication?
client privilege. The burden of proving that the
privilege applies is placed upon the party
A:
asserting the privilege. (Mercado v. Vitrilio, A.C.
1. There is attorney-client relationship or a
No. 5108, May 26, 2005)
kind of consultancy requirement with a
prospective client;
2. The communication was made by the Q: What is the test in determining whether a
client to the lawyer in the course of the communication to an attorney is covered by the
lawyer’s professional employment; rule on privilege communication?
3. The communication must be intended to
be confidential. A: Whether the communications are made to an
attorney with view of obtaining from him
Note: The privilege continues to exist even after the personal assistance or advice regardless of
termination of the attorney-client relationship. It whether there is a pending or merely impending
outlasts the lawyer’s engagement. The privileged litigation or any litigation.
character of the communication ceases only when
waived by the client himself or after his death, by Q: What are the purposes of making the
the heir or legal representative. (Baldwin v. CIR, 94 communication privileged?
F. 2d 355, 20 AFTR 940)
A:
Note: The party who avers that the communication 1. To encourage a client to make a full
is privileged has the burden of proof to establish the disclosure of the facts of the case to his
existence of the privilege unless from the face of the counsel without fear
document itself, it clearly appears that it is 2. To allow the lawyer freedom to obtain full
privileged. The mere allegation that the matter is information from his client.
privileged is not sufficient. (People v. Sleeper, No.
22783, December 3, 1924; Lapena Jr., 2009)
74
LEGAL ETHICS TEAM:
Q: What are the characteristics of privileged would extend to Takao in securing a permanent
communication? visa in the Philippines. Atty. Acejas did nothing.
A: Did Atty. Acejas violate the legal ethics of the

1. Attorney- client privilege where legal profession?
advice is professionally sought from an
attorney A: Yes. The Court reminds lawyers to follow legal
2. The client must intend the above ethics when confronted by public officers who
communication to be confidential extort money. If the extortion is directed at the
3. Attorney-client privilege embraces all client, they must advise the client not to perform
forms of communication and action any illegal act. Moreover, they must report it to
4. As general rule, attorney-client privilege the authorities, without having to violate the
also extends to the attorney’s secretary, attorney-client privilege. Naturally, they must not
stenographer, clerk or agent with participate in the illegal act. Atty. Acejas did not
reference to any fact acquired in such follow these guidelines. Worse, he conspired with
capacity the extortionists. (Acejas III v. People, G.R. No.
5. The above duty is perpetual and 156643, June 27, 2006)
communication is absolutely privilege
from disclosure Q: May a lawyer invoke privileged
6. Persons entitled to claim privileges communication to refuse revealing his clients
secrets in the course of professional
Q: Who are the persons entitled to claim the employment?
privilege?
A: Yes. Rule 15.02 of the Code provides that “A
A: The attorney-client privilege covers: lawyer shall be bound by the rule on privilege
1. Lawyer; communication in respect of matters disclosed to
2. Client; and him by a prospective client”.
3. Third persons who by reason of their work
have acquired information about the case Q: What is the duration of privilege
being handled such as: communication?
a. Attorney’s secretary, stenographer
and clerk; A: The privilege continues to exist even after the
b. Interpreter, messengers and agents termination of the attorney- client relationship.
transmitting communication; and
c. An accountant, scientist, physician, Note: The privilege character of the communication
engineer who has been hired for ceases only when waived by the client himself or
effective consultation. (Sec. 24(b), after his death, by his heir or legal representative.
Rule 130, RRC) (Lapena, Jr. 2009)
Q: Bureau of Immigration and Deportation (BID) Q: When is communication not privileged?

Intelligence Agent Hernandez, together with a
reporter, went to the house of Aoyagi, a A: A communication made by a client to a lawyer
Japanese national. He was told that there were is not privileged:
complaints against him in Japan and that he was
suspected to be a Yakuza big boss, a drug 1. After pleading has been filed.
dependent and an overstaying alien. To prove
that he had done nothing wrong, Aoyagi showed Note: Pleading ceases to be privileged
his passport to Hernandez who confiscated the communication – becomes part of public
same. records.
A Contract for Legal Services was entered into by 2. When communication was intended by
Aoyagi and Atty. Acejas III. Aoyagi paid Atty. the client to be sent to a third person
Acejas P40,000.00, P25,000 of which is 50% of through his counsel.
the acceptance fee, and the P15,000.00 is for
Note: It loses its confidential character as
filing/docket fee. Hernandez, in the presence of
soon as it reaches the hands of a third
Atty. Acejas, proposed that Aoyagi pay the person.
amount of P1 million in exchange for the help he
75
3. When the communication sought by client Q: What are the three tests to determine the
is intended to aid future crime or existence of conflicting interests?
perpetration of fraud.
A:
Note: Past crime is covered by the privilege. 1. Conflicting Duties - When, on behalf of
one client, it is the attorney’s duty to
4. When communication between attorney contest for that which his duty to another
and client is heard by a third party. client requires him to oppose or when
possibility of such situation will develop.
Note: Third party testimony is admissible as
evidence. 2. Invitation of Suspicion - Whether the
acceptance of the new relation will
5. When there is consent or waiver of the prevent a lawyer from the full discharge of
client. his duty of undivided fidelity and loyalty to
his client or will invite suspicion of
6. When the law requires disclosure. unfaithfulness or double-dealing in the
performance thereof.
7. When disclosure is made to protect the
lawyer’s rights 3. Use of Prior Knowledge Obtained -
Whether a lawyer will be called upon in
Note: to collect his fees or defend himself, his new relation to use against the first
his employees or associates or by judicial client any knowledge acquired in the
action (Rule 21.01, CPR) previous employment.
Note: Even if the communication is unprivileged, Q: What are the types of conflict of interest?
the rule of ethics prohibits lawyers from voluntarily
revealing or using to his benefit or to that of a third
A:
person, to the disadvantage of the client, the said
1. Concurrent or multiple representations –
communication unless the client consents thereto.
.(Sec. 3, Rule 138-A, RRC)
Generally occurs when a lawyer represents
clients whose objectives are adverse to each
c. Conflict of Interest other, no matter how slight or remote such
(1991, 1992, 1993, 1994, 1997, 1999, 2000, 2001, adverse interest may be.
2002, 2003, 2004, 2005, 2006, 2008 Bar
Questions) The tests for concurrent or multiple
representations are:
Rule 15.01, Canon 15, CPR - A lawyer, in a. Whether a lawyer is duty-bound to fight
conferring with a prospective client, shall for an issue or claim in behalf of one
ascertain as soon as practicable whether the client and, at the same time, to oppose
matter would involve a conflict with another that claim for the other client;
client or his own interest, and if so, shall
forthwith inform the prospective client. b. Whether the acceptance of a new
relation would prevent the full
discharge of the lawyer’s duty of
Q: What is “conflict search”?
undivided fidelity or loyalty to the
client;
A: It is examining the causes of action between
c. Whether the acceptance of new
the prospective client and the lawyer’s current
relation would invite suspicion of
clients.
unfaithfulness or double-dealing in the
performance of the lawyer’s duty of
Q: What is the purpose of “conflict search”?
undivided fidelity and loyalty; and
A: By conducting a conflict search, the lawyer will
d. Whether, in the acceptance of a new
be able to determine, in the first instance, if he is
relation, the lawyer would be called
barred from accepting the representation
upon to use against a client confidential
through conflicts with his present clients or the
information acquired through their
lawyer’s own interest. (CPR Annotated, PhilJA)
connection.
76
LEGAL ETHICS TEAM:
2. Sequential or successive representation – were reportedly contracted for P100,000. 00.

Involves representation by a law firm of a Several long distance telephone calls and two
present client who may have an interest trips to Las Vegas by him elicited the information
adverse to a prior or former client of the that indeed petitioner’s brother has an
firm. (CPR Annotated, PhilJA) outstanding account to Caesar’s but further
investigations, however, revealed that said
Note: What is material in determining whether there account had actually been incurred by Ramon
is a conflict of interest in the representation is Sy, with petitioner’s brother merely signing for
probability, not certainty of conflict. the chits. Private respondent personally talked
with the president of Caesar's Palace and
Illustration: Existence of conflict of Interest convinced the latter’s president to go after Sy
instead to which the latter agreed with the
1. A v. B condition that private respondent should first
A and B are present clients convince Sy to pay the indebtedness to which
respondent succeeded. He was able to free
2. C v. D; E v. D petitioner’s brother from his indebtedness.
C is the present client and D is not a Having thus settled the account of petitioner's
present client in the same case but is a brother, private respondent sent several
present client in another case demand letters to petitioner demanding the
balance of P50,000.00 as attorney's fees.
3. F v. G; H v. G Petitioner, however, ignored these, thus, private
F is the present client and G was a former respondent filed a complaint against petitioner
client and the cases are related for the collection of attorney's fees and refund
of transport fare and other expenses.
4. I v. J; K v. J
I is the present client and J was a former Petitioners claimed, that at the time private
client in a case that is unrelated. respondent was rendering services to petitioner,
he was actually working "in the interest" and "to
5. L, M, N v. O, P, Q the advantage" of Caesar's Palace of which he
L, M, N are present clients but L and M was an agent and a consultant. This being the
joins O, P, Q (People v. Davis) case, private respondent is not justified in
claiming that he rendered legal services to
Q: What are the other instances of conflict of petitioner in view of the conflicting interests
interests? involved. Did the respondent violate the conflict
of interest rule?
A:
1. A corporate lawyer cannot join a labor A: No. Generally, an attorney is prohibited from
union of employees in that corporation; representing parties with contending positions.
2. A lawyer of an insurance corporation who However, at a certain stage of the controversy
investigated an accident cannot represent before it reaches the court, a lawyer may
the complainant/injured person; represent conflicting interests with the consent of
3. As a receiver of a corporation, he cannot the parties. A common representation may work
represent the creditor; to the advantage of said parties since a mutual
4. As a representative of the obligor, he lawyer, with honest motivations and impartially
cannot represent the obligee; and cognizant of the parties' disparate positions, may
5. As a lawyer representing a party in a well be better situated to work out an acceptable
compromise agreement, he cannot, settlement of their differences, being free of
subsequently, be a lawyer representing partisan inclinations and acting with the
another client who seeks to nullify the cooperation and confidence of said parties.
agreement.
A lawyer is entitled to have and receive the just
Q: Petitioner and his father went to the and reasonable compensation for services
residence of private respondent to seek his rendered at the special instance and request of
advice regarding the problem of the alleged his client and as long as he is honestly and in good
indebtedness of petitioner's brother to Caesar's faith trying to serve and represent the interests of
Palace, a well-known gambling casino at Las his client, the latter is bound to pay his just fees.
Vegas, Nevada, U.S.A. Private respondent (Dee v. Court of Appeals, G.R. No. 77439, August
assured petitioner and his father that he would 24, 1989)
inquire into the matter, after which his services
77
Q: Can a lawyer engaged by a corporation GR: An attorney cannot represent diverse

defend members of the board of the same interests. It is highly improper to represent
corporation in a derivative suit? both sides of an issue. The proscription against
representation of conflicting interest finds
A: No. The interest of the corporate client is application where the conflicting interest arise
paramount and should not be influenced by any with respect to the same general matter and is
interest of the individual corporate officials. applicable however slight such adverse interest
may be. It applies although the attorney’s
A lawyer engaged as counsel for a corporation intention and motives were honest and he
cannot represent members of the same acted in good faith.
corporation's board of directors in a derivative
suit brought against them. To do so would be XPN: Representation of conflicting interest may
tantamount to representing conflicting interests, be allowed where the parties consent to the
which is prohibited by the Code of Professional representation after full disclosure of facts.
Responsibility. (Hornilla v. Atty. Salunat, A.C. No. (Nakpil v. Valdez, A.C. No. 2040, Mar. 4, 1998)
5804, July 1, 2003)
Note: A lawyer may at a certain stage of the
Q: Six months ago, Atty. Z was consulted by A, controversy and before it reaches the court
about a four-door apartment in Manila left by represent conflicting interests with the express
her deceased parents. A complained that her written consent of all parties concerned given after
two siblings, B and C, who were occupying two disclosure of the facts. The disclosure should include
units of the apartment, were collecting the an explanation of the effects of the dual
rentals from the other two units and refusing to representation, such as the possible revelation or
give her any part thereof. Atty. Z advised A to use of confidential information.
first seek the intervention of her relatives and
told her that if this failed, he would take legal An attorney owes loyalty to his client not only in the
case in which he has represented him but also after
action as A asked him to do. B asks Atty. Z to
relation of attorney and client has terminated.
defend him in a suit brought by A against him (B)
and C through another counsel. Should Atty. Z
Q: What are the instances when a lawyer may
accept the case?
not represent conflicting interests despite
consent of both parties concerned?
A: No. When A consulted him about her
complaint against B and C, a lawyer-client
A: Where the conflict is:
relationship was created between A and Atty. Z.
Atty. Z cannot subsequently represent B against A
1. Between the attorney’s interest and that
in a matter he was consulted about. This
of a client; or
constitutes conflict of interest. It does not matter
2. Between a private client’s interests and
if Atty. Z is not handling the case for A.
that of the government or any of its
instrumentalities.
Q: Should Atty. Z tell B that A consulted him
earlier about the same case? Why?
Q: What are the effects of representing adverse
interests?
A: Yes. Rule 21.07 of the CPR provides that “a
lawyer shall not reveal that he has been consulted
A: DJ-FAC
about a particular case except to avoid possible
1. Disqualification as counsel of new client
conflict of interest.” In this case, he has to reveal
on petition of former client;
to B that he had been consulted by A on the case
2. Where such is unknown to, and becomes
that B if offering to retain his services, in order to
prejudicial to the interests of the new
avoid a possible conflict of interest. (2002 Bar
client, a Judgment against such may, on
Question)
that ground, be set aside;
3. The attorney’s right to Fees may be
Rule 15.03, Canon 15, CPR – A lawyer shall defeated if found to be related to such
not represent conflicting interests except by conflict and such was objected to by the
written consent of all concerned given after former client, or if there was a
a full disclosure of the facts. concealment and prejudice by reason of
the attorney’s previous professional
relationship with the opposite party;
78
LEGAL ETHICS TEAM:
4. A lawyer can be held Administratively Responsibility and for defying the prohibition
liable through disciplinary action and may against private practice of law while working as
be held Criminally liable for betrayal of government prosecutor. Is Atty. Sagucio guilty of
trust. engaging in private practice of law while working
as an Assistant Provincial Prosecutor?
Q: Huey Company and Dewey Corporation are
both retainer clients of Atty. Anama. He is the A. Yes. “Private practice of law” contemplates a
corporate secretary of Huey Company. He succession of acts of the same nature habitually
represents Dewey Corporation in three pending or customarily holding one’s self to the public as a
litigation cases. Dewey Corporation wants to file lawyer.
a civil case against Huey Company and has
requested Atty. Anama to handle the case. What Atty. Sagucio admitted that he rendered his legal
are the options available to Atty. Anama? services to complainant while working as a
Explain your answer. government prosecutor. Even the receipts he
signed stated that the payments by Taggat were
A: for “Retainer’s fee.” Thus, as correctly pointed
1. To decline to accept the case because to out by complainant, Atty. Sagucio clearly violated
do so will constitute representing the prohibition in RA 6713.
conflicting interests. It is unethical for a
lawyer to represent a client in a case Atty. Sagucio’s violation of RA 6713 also
against another client in the same case. constitutes a violation of Rule 1.01 of Canon 1,
which mandates that “*a+ lawyer shall not engage
2. To accept to file the case against Huey in unlawful, dishonest, immoral or deceitful
Company, after full disclosure to both conduct.” His admission that he received from
retained clients and upon their express Taggat fees for legal services while serving as a
and written consent. The written consent government prosecutor is an unlawful conduct,
may free him from the charge of which constitutes a violation of Rule 1.01. (Lim-
representing conflicting interests, because Santiago v. Saguico, A.C. No. 6705, March
written consent amounts to a release by 31,2006)
the clients of the lawyer’s obligation not
to represent conflicting interests. Note: Violations of RA 6713 are not subject to
disciplinary action under the Code of Professional
Q: If you were Atty. Anama, which option would Responsibility unless the violations also constitute
you take? Explain. infractions of specific provisions of the Code of
Professional Responsibility. Certainly, the IBP has
A: If I were Atty. Anama, I will choose the first no jurisdiction to investigate violations of RA 6713 –
option and inhibit myself in the case as both the Code of Conduct and Ethical Standards for Public
Officials and Employees – unless the acts involved
entities are my clients. The conflict of interests
also transgress provisions of the Code of
between the contending clients may reach such a
Professional Responsibility.
point that, notwithstanding their consent to the
common representation, the lawyer may be
suspected of disloyalty by one client. His Rule 15.04, Canon 15, CPR – A lawyer may,
continuing to act in a double capacity strikes with the written consent of all concerned, act
deeply in the foundation of the attorney-client as mediator, conciliator or arbitrator in
relationship. settling disputes.
Q: Atty. Sagucio was the former Personnel

Note: Where the lawyer performs the function of
Manager and Retained Counsel of Taggat mediator, conciliator, or arbitrator in disputes where
Industries Inc. until his appointment as Assistant the lawyer labors under a conflict of interest, he
Provincial Prosecutor of Tuguegarao. Taggat remains subject to the requirement of a prior
Industries was sequestered by the PCGG and written informed consent from all parties concerned.
thus ceased its operations. As Assistant The requirement subsists even if the adverse
Provincial Prosecutor, he assigned to conduct interest is very slight, and notwithstanding the
the preliminary investigation over a criminal lawyer’s honest intention and motive. (CPR
case filed against Taggat Industries. He Annotated, PhilJA)
recommended the filing of 651 informations for
violation of the Labor Code. He was charged for
violating Rule 15.03 of the Code of Professional
79
d. Candid and Honest Advice to Clients Rule 15.05 of the Code of Professional
Responsibility requires that lawyers give their
candid and best opinion to their clients on the
Rule 15.05, Canon 15,CPR - A lawyer when merit or lack of merit of the case, neither
advising his client, shall give a candid and overstating nor understating their evaluation
honest opinion on the merits and probable thereof.
results of the client's case, neither
overstating nor understating the prospects Knowing whether a case would have some
of the case. prospect of success is not only a function, but also
an obligation on the part of lawyers. If they find
Note: The lawyer must temper his client’s propensity that their client's cause is defenseless, then it is
to litigate. (Cobb-Perez v. Lantin, No. L-22320, July their bounden duty to advise the latter to
29, 1968) acquiesce and submit, rather than to traverse the
incontrovertible. (Rollon v. Naraval, A.C. No.
As officers of the court, counsels are under 6424, Mar. 4, 2005)
obligation to advice their clients against making
untenable and inconsistent claims. The counsel Note: As officers of the court, counsels are under the
should inform his client and dissuade him from filing obligation to advise their client against making
the case if it is totally devoid of merit. If he finds that untenable and inconsistent claims. Lawyers are not
his client’s cause is fairly meritorious and ripe for merely hired employees who must unquestionably
judicial adjudication, he should refrain from making do the bidding of the client, however unreasonably
bold and confident assurance of success. this may be when tested by their own expert
appreciation of the facts and applicable law and
Q: Consorcia Rollon went to the office of Atty. jurisprudence. COUNSEL MUST COUNSEL. (G.R. No.
Camilo Naraval to seek his assistance in a case 91298, June 22, 1990).
filed against her by Rosita Julaton for Collection
of Sum of Money with Prayer for Attachment. Q: A Criminal Case was for Perjury and initiated
After going over the documents she brought by the complainant's wife, Leni. This complaint
with her, Atty. Naraval agreed to be her lawyer arose from the alleged untruthful statements or
and she was required to pay P8,000.00 for the falsehoods in the complainant's Petition for
filing and partial service fee. Naturalization. In due course, an information
was filed in MCTC charging the complainant
Atty. Naraval did not inform her that the said herein with perjury allegedly committed. it was
civil suit has been decided against her and which alleged that the accused knew that his wife and
judgment has long become final and executory. children were not residing at the said address
stated in his petition, having left 5 years earlier.
Atty. Naraval was not able to act on the case. The accused was also alleged to be carrying out
Because of this, Rollon wanted to withdraw the an immoral and illicit relationship.
amount she has paid and to retrieve the
documents pertaining to said case. After trial, the Judge Tiongson rendered
Unfortunately, despite several follow-ups, Atty. judgment and found the complainant herein
Naraval always said that he cannot return the guilty beyond reasonable doubt of the crime of
documents because they were in their house, perjury. Thus, Judge Chiongson was charged
and that he could not give her back the with grave misconduct, gross bias and partiality
P8,000.00 because he has no money. Did Atty. and having knowingly rendered an unjust
Naraval fail to fulfill his undertakings? judgment in said criminal case. Complainant
alleged that the said judge failed to divulge the
A: Yes. Despite his full knowledge of the finality next-door-neighbor relationship between him
based on the documents furnished to him, Atty. and the family of Leni and to disqualify himself
Naraval withheld such vital information and did from sitting in the said case. Is respondent judge
not properly appraise Rollon. guilty for not disqualifying himself from the said
case?
He should have given her a candid and honest
opinion on the merits and the status of the case. A: No. As to the respondent Judge's being a next-
But he withheld such vital information. He did not door neighbor of the complainant's wife the
inform her about the finality of the adverse complainant in the perjury case it must be
judgment. Instead, he demanded P8,000 as “filing stressed that that alone is not a ground for either
and service fee” and thereby gave her hope that a mandatory disqualification under the first
her case would be acted upon. paragraph or for a voluntary disqualification
80
LEGAL ETHICS TEAM:
under the second paragraph of Section 1, Rule public office to enhance a lawyer's prestige.
137 of the Rules of Court. In any event, the Public confidence in law and lawyers may be
complainant has failed to disclose in his complaint eroded by such reprehensible and improper
that he had raised this matter at any time before conduct. (Paas v. Almarvez, A.M. No. P-03-1690,
the rendition of the judgment. In fact, the Apr. 4, 2003)
summary of the grounds of his motion for
reconsideration in the respondent's order
Rule 15.07, Canon 15, CPR. - A lawyer shall
denying the said motion does not include this
impress upon his client compliance with the
matter. (Choa v. Chiongson, A.M. No. MTJ-95-
laws and the principles of fairness.
1063, February 9, 1996)
Q: Nicanor Gonzales and Salud Pantanosas were

Rule 15.06, Canon 15, CPR - A lawyer shall informed by the Register of Deeds that their
not state or imply that he is able to owner's duplicate of title covering their lands
influence any public official, tribunal or were entrusted to the office secretary of Atty.
legislative body. (influence peddling) Miguel Sabacajan, who in turn entrusted the
same to said attorney. The latter admitted that
Note: this rule is known as INFLUENCE-PEDDLING. It the titles are in his custody and has even shown
is improper for a lawyer to show in any way that he the same to the two. When demanded to make
has connections and can influence any tribunal or delivery of said titles, he refused saying that he
public official, judges, prosecutors, congressmen and was holding the certificates of title in behalf of
others, especially so if the purpose is to enhance his his client, Samto Uy, one of his clients who
legal standing and to entrench the confidence of the apparently has monetary claims against Nicanor
client that his case or cases are assured of victory. and Salud. He even challenged the complainants
to file any case in any court even in
Q: In a case for inhibition filed against Judge the Honorable Supreme Court. Did Atty.
Paas, it was found that her husband, Atty. Sabacajan defy legal and moral
Renerio Paas, was using his wife's office as his obligations emanating from his professional
office address in his law practice. Judge Paas capacity as a lawyer?
admitted that Atty. Paas did use her office as his
return address for notices and orders in 2 A: Yes. As a lawyer, he should know that there are
criminal cases, lodged at the Pasay City RTC, but lawful remedies provided by law to protect the
only to ensure and facilitate delivery of those interests of his client.
notices, but after the cases were terminated, all
notices were sent to his office address in Escolta. Atty. Sabacajan has not exercised the good faith
Was Atty. Paas’ act of using his wife’s office as and diligence required of lawyers in handling the
his office address unprofessional and legal affairs of their clients. If Nicanor and Salud
dishonorable? did have the alleged monetary obligations to his
client, that does not warrant his summarily
A: Yes. By allowing Atty. Paas to use the address confiscating their certificates of title since there is
of her court in pleadings before other courts, no showing in the records that the same were
Judge Paas had indeed allowed her husband to given as collaterals to secure the payment of a
ride on her prestige for the purpose of advancing debt. Neither is there any intimation that there is
his private interest. a court order authorizing him to take and retain
custody of said certificates of title.
Atty. Paas is guilty of simple misconduct because
of using a fraudulent, misleading, and deceptive Apparently, Atty. Sabacajan has disregarded
address that had no purpose other than to try to Canon 15, Rule 15.07 of the Code of Professional
impress either the court in which his cases are Responsibility which provides that a lawyer shall
lodged, or his client, that he has close ties to a impress upon his client the need for compliance
member of the judiciary, in violation of the Code with the laws and principles of fairness. Instead,
of Professional Responsibility. he unjustly refused to give to Gonzales and
Pantanosas their certificates of titles supposedly
The need for relying on the merits of a lawyer's to enforce payment of their alleged financial
case, instead of banking on his relationship with a obligations to his client and presumably to
member of the bench which tends to influence or impress the latter of his power to do
gives the appearance of influencing the court, so. (Gonzales v. Sabacajan, A.C. No. 4380, Oct. 13,
cannot be overemphasized. It is unprofessional 1995)
and dishonorable, to say the least, to misuse a
81
Q: Maria Cielo Suzuki entered into contracts of such counsel is made clear to the client. (New
sale and real estate mortgage with several Sampaguita Builder Construction, Inc. v. Philippine
persons. The sale and mortgage transactions National Bank, G.R. No. 148753, July 30, 2004)
were facilitated by Atty. Erwin Tiamson, counsel
of the sellers. Suzuki paid P80,000 as her share in 3. CLIENT’S MONEYS AND PROPERTIES
the expenses for registration. He retained in his
possession the subject deeds of absolute sale CANON 16, CPR
and mortgage as well as the owner's copy of the - A LAWYER SHALL HOLD IN TRUST ALL
title. However, he never registered the said MONEYS AND PROPERTIES OF HIS CLIENT
documents and did not cause the transfer of the THAT MAY COME INTO HIS POSSESSION.
title over the subject property in the name of (2008 Bar Question)
Suzuki. Atty. Tiamson said that he did not
register the deed of sale to protect the interest
of his client and even if the same has been Note: Money collected by the lawyer on a judgment
registered, he cannot give him the owner's favorable to his client constitute trust funds and
duplicate copy until purchase price for the should be immediately paid over to the client. While
subject property has been fully paid and the real Section 37, Rule 138 of the Rules of Court grants the
estate mortgage cancelled. Is Atty. Tiamson lawyer a lien upon the funds, documents and papers
justified in not registering the transaction? of his client, which have lawfully come into his
possession, such that he may retain the same until
A: No. Rule 15.07 obliges lawyers to impress upon his lawful fees and disbursements have been paid,
their clients compliance with the laws and the and apply such funds to the satisfaction thereof, the
principle of fairness. To permit lawyers to resort lawyer still has the responsibility to promptly
to unscrupulous practices for the protection of account to his client for such moneys received.
Failure to do so constitutes professional misconduct.
the supposed rights of their clients is to defeat
one of the purposes of the State, the
The lawyer’s failure to turn over such funds, moneys,
administration of justice. While lawyers owe their or properties to the client despite the latter’s
entire devotion to the interest of their clients and demands give rise to the presumption that the
zeal in the defense of their client's right, they lawyer had converted the money for his personal
should not forget that they are, first and use and benefit. This failure also renders the lawyer
foremost, officers of the court, bound to exert vulnerable to judicial contempt under Section 25,
every effort to assist in the speedy and efficient Rule 138 of the Rules of Court. (CPR Annotated,
administration of justice. The client's interest is PhilJA)
amply protected by the real estate mortgage
executed by complainant. Thus, Atty. Tiamson Q: Luis de Guzman as defendant in a civil case,
failed to live up to this expectation. (Suzuki v. obtained an adverse judgment. His counsel was
Tiamson, A.C. No. 6542, Sept. 30, 2005) Atty. Emmanuel Basa.
Rule 15.08, Canon 15, CPR. - A lawyer who is He wants to challenge the decision through a
engaged in another profession or occupation petition for certiorari. It was agreed that Luis will
concurrently with the practice of law shall pay P15,000 for said legal service. Atty. Basa
make clear to his client whether he is acting collected a down payment of P5,000. However,
as a lawyer or in another capacity. no such petition was filed.
He did not seasonably file with the CA the

Rationale: Intended to avoid confusion; it is for the required appellant’s brief resulting in the
benefit of both the client and the lawyer (Funa, dismissal of the appeal. Despite several
2009). extensions to file the appellant’s brief, Atty.
Basa failed to do so. Instead, he filed two more
Note: The lawyer should inform the client when he is motions for extension. When he filed the
acting as a lawyer and when he is not, because appellant’s brief, it was late, being beyond the
certain ethical considerations governing the client- last extension granted by the appellate court.
lawyer relationship may be operative in one case
and not in the other. (Report of the IBP Committee,
Was Atty. Emmanuel Basa negligent in the
p.84)
performance of his professional duty to Luis de
A party’s engagement of his counsel in another
Guzman?
capacity concurrent with the practice of law is not
prohibited, so long as the roles being assumed by A: Yes, he is guilty of gross misconduct. Where a
82
LEGAL ETHICS TEAM:
client gives money to his lawyer for a specific 3. Where the attorney at the time of the
purpose, such as to file an action or appeal an purchase was not the counsel in the case;
adverse judgment, the lawyer should, upon 4. Where the purchaser of the property in
failure to take such step and spend the money for litigation was a corporation even though
it, immediately return the money to his client. the attorney was an officer thereof;
His unjustified withholding of Luis’ money is a 5. Where the sale took place after the
gross violation of the general morality and termination of the litigation;
professional ethics. (De Guzman v. Atty. 6. A lawyer may accept an assignment from
Emmanuel Basa, A.C. No. 5554, June 29, 2004) his client of a money judgment rendered
in the latter’s favor in a case in which he
Q: Is a lawyer prohibited from acquiring was not counsel, in payment of his
properties of his client? professional services performed in
another case;
A: Yes, pursuant to Canon 16 of the Code of 7. In a contract for attorney’s fees
Professional Responsibility. contingent upon the outcome of the
litigation (contingent fee arrangement);
Furthermore, Article 1491 of the Civil Code states and
that: 8. When any of the four elements of Art.
1491 is missing.
“The following persons cannot acquire or
purchase, even at public or judicial auction, either Q: what are the effects of violation of such
in person or through the mediation of another: provision?
xxx
A:
(5) lawyers, with respect to the property and 1. Malpractice on the part of the lawyer
rights which may be the object of any litigation in and may be disciplined for misconduct;
which they take part by virtue of their 2. Transaction is null and void.
profession.”
a. Fiduciary Relationship
Note: This prohibition is entirely independent of
fraud and such need not be alleged or proven.
Rule 16.01, Canon 16,CPR - A lawyer shall
Art. 1491 (5) of the NCC applies only if the sale or account for all money or property collected
assignment of the property takes place during the or received for or from the client.
pendency of the litigation involving the client’s
property. (Ramos v. Ngaseo, A.C. No. 6210, Dec. 9,
Note: A lawyer must be scrupulously careful in
2004)
handling money entrusted to him in his professional
capacity, because of the high degree of fidelity and
Q: What are the elements of prohibition against good faitn expected on his part. (Medina v. Bautista,
the purchase of property in litigation under Art. A.C. No. 190, September 1964)
1491 of the NCC?
Q: What is the nature of attorney-client
A: relationship?
1. There is an attorney-client relationship
2. The property is in litigation A: An attorney-client privilege is highly fiduciary
3. The attorney is the counsel of record in as it is founded on trust and confidence where
the case; and the lawyer acts as the trustee and the client
4. The attorney, by himself or through an acting as trustor in regard to the matter subject of
agent, purchases such property during the the professional engagement.( Antiquiera, 2007)
pendency of said case.
Q: X sought assistance to the president of the
Q: What are the instances where the rule under IBP to enable him to talk to Atty. U who had
Article 1491 of NCC is inapplicable? allegedly been avoiding him for more than a
year. Atty. U failed to turn–over to his client the
A: amount given to him by X as settlement for a
1. Where the property purchased by the civil case. Is Atty. U guilty for violating Canon 16
lawyer was not involved in the litigation; of the Code of Professional Responsibility?
2. Where the sale took place before it
became involved in the suit;
83
A: Yes. The Code of Professional Responsibility 4. Libelous words in pleadings; violation of

mandates every lawyer to hold in trust all money communication privilege;
and properties of his client that may come into 5. Liability for costs of suit (treble costs) –
his possession. A lawyer’s failure to return upon when lawyer is made liable for insisting on
demand the funds or property held by him on client's patently unmeritorious case or
behalf of his client gives rise to the presumption interposing appeal merely to delay
that he has appropriated the same for his own litigation.
use to the prejudice of, and in violation of the
trust reposed in him by, his client. The relation Q: What are the effects of lawyer’s failure to
between attorney and client is highly fiduciary in return client’s money or property after demand?
nature. Being such, it requires utmost good faith,
loyalty, fidelity and disinterestedness on the part A:
of the attorney. Its fiduciary nature is intended 1. There will be a presumption that the
for the protection of the client. lawyer misappropriated the same;
2. It will give rise to civil liability of the
For misappropriating and failing to promptly lawyer;
report and deliver the money report and deliver 3. Criminal liability; and
the money received on behalf of their children of 4. Administrative liability.
their clients, some lawyers have been disbarred
while others have been suspended for six months. Q: When is a lawyer not liable for libelous words
Since it appears to be the first case of respondent in the pleadings?
lawyer, the lighter penalty is imposed on him.
(Espiritu vs. Ulep, A.C. No. 5808, May 4,2005) A: A lawyer is exempted from liability for slander,
libel or for words otherwise defamatory,
Q: What is fiduciary duty? published in the course of judicial proceedings,
provided the statements are connected with,
A: The principle that an attorney derives no relevant, pertinent and material to the cause in
undue advantage that may operate to the hand or subject of inquiry.
prejudice or cause an occasion for loss of a client.
The relationship between the lawyer and client is Note: Test of relevancy – The matter to which the
one of mutual trust and confidence of the highest privilege does not extend must be palpably wanting
degree. in relation to the subject of controversy, that no
reasonable man can doubt its relevancy or propriety.
Q: When will the liability of a lawyer for “breach
Pleadings should contain plain and concise
of fiduciary obligation” arise?
statements of material facts and if pleader goes
beyond requisites of law and alleges irrelevant
A: A lawyer may be held liable if he fails in his matter, which is libelous, he loses his privilege and
obligation to make an accounting of funds or may be liable in a separate suit.
property that may come to his possession for a
lawyer holds his client’s funds or property in trust Q: When will criminal liability exist?
for his client.
A: A lawyer may be held criminally liable if he
Q: What are the requisites for the liability of a commits any of the following:
lawyer for damages?
A: AWI 1. Causing prejudice to the client thru
1. Attorney-client relationship; malicious breach of professional duty or
2. Want of reasonable care and diligence by thru inexcusable negligence or ignorance;
lawyer; and 2. Revealing client’s secrets learned in
3. Injury sustained by client as a proximate lawyer’s professional capacity thru
result of the lawyer’s negligence. malicious breach of professional duty or
inexcusable negligence or ignorance;
Q: When will civil liability arise? 3. A lawyer who has undertaken the defense
of a client or has received confidential
A: information from said client in a case may
1. Client is prejudiced by lawyer's negligence be criminally liable for undertaking
or misconduct; defense of opposing party in same cause
2. Breach of fiduciary obligation; without consent of first client; (Art. 209,
3. Civil liability to third persons; RPC)
84
LEGAL ETHICS TEAM:
4. A lawyer who shall knowingly introduce in should be reported by the latter and account any
evidence in any judicial proceeding or to circumstances, and should not be commingled
the damage of another or who, with with his own or be used by him. (Espiritu v.
intent to cause such damage, shall use any Cabredo, A.C. No. 5831, Jan. 13, 2003)
false document may be held criminally
liable therefor; (Art. 172, RPC) and Q. Atty. Magulta received 25,000 pesos from
5. A lawyer who misappropriates his client’s complainant for filing fees of a civil case to be
funds may be held liable for estafa. filed. However, Atty. Magulta never filed the
complaint. When complainant discovered this,
Note: When a lawyer collects or receives money he filed a a complaint for disbarment against the
from his client for a particular purpose, he should counsel. Should Atty. Magulta be held liable for
promptly account to the client how the money was the appropriation of funds in his own purposes?
spent. His failure either to render an accounting or
to return the money (if the intended purpose of the A: Yes. In failing to apply to the filing fee the
money does not materialize) constitutes a blatant amount given by complainant -- as evidenced by
disregard of Rule 16.01 of the CPR.(Belleza v. the receipt issued by the law office of Atty.
Malaca, A.C. No. 7815, July 23, 2009) Magulta -- the latter also violated the rule that
lawyers must be scrupulously careful in handling
Note: If a lawyer does not use the money for the
money entrusted to them in their professional
intended purpose, the lawyer must immediately
return the money to the client. (Villanueva v.
capacity. Rule 16.01 of the Code of Professional
Gonzales, A.C. No. 7657, February 12, 2008) Responsibility states that lawyers shall hold in
trust all moneys of their clients and properties
b. Co-Mingling of Funds that may come into their possession.
Lawyers who convert the funds entrusted to them

Rule 16.02, Canon 16, CPR - A lawyer shall are in gross violation of professional ethics and
keep the funds of each client separate and are guilty of betrayal of public confidence in the
apart from his own and those of others kept legal profession. It may be true that they have a
by him. lien upon the client’s funds, documents and other
papers that have lawfully come into their
Note: Failure of the lawyer to account all the funds possession; that they may retain them until their
and property of his client which may come into his lawful fees and disbursements have been paid;
possession would amount to misappropriation which and that they may apply such funds to the
may subject him to disbarment on the ground of satisfaction of such fees and disbursements.
grave misconduct or a criminal prosecurion for However, these considerations do not relieve
estafa under Art. 315, par. 1(b) of the RPC. them of their duty to promptly account for the
moneys they received. Their failure to do so
Q: BPI filed two complaints for replevin and constitutes professional misconduct. In any event,
damages against Esphar Medical Center Inc. and they must still exert all effort to protect their
its president Cesar Espiritu. Espiritu engaged the client’s interest within the bounds of law. (Burbe
services of Atty. Juan Cabredo IV. While these vs. Magulta, A.C. No. 5713, June 10,2002)
cases were pending in court, the latter advised
Esphar to remit money and update payments to c. Delivery of Funds
the bank through the trial court. Accordingly,
Esphar's representative delivered a total of
P51,161 to Atty. Cabredo's office. However, the
deliver the funds and property of his client
management of Esphar found out that he did not
when due or upon demand. However, he
deliver said money to the court or to the bank.
shall have a lien over the funds and may
apply so much thereof as may be necessary
Did Atty. Cabredo commit a breach of trust?
to satisfy his lawful fees and disbursements,
giving notice promptly thereafter to his
A: Yes. His act amounted to deceit in violation of
client. He shall also have a lien to the same
his oath. The relationship between a lawyer and a
extent on all judgments and executions he
client is highly fiduciary; it requires a high degree
has secured for his client as provided for in
of fidelity and good faith. Hence, in dealing with
the Rules of Court.
trust property, a lawyer should be very
scrupulous. Money or other trust property of the
client coming into the possession of the lawyer
85
Q. May a counsel unilaterally retain or the Canons of Professional Ethics, in force at the
appropriate funds of his client as his attorney’s time material to this case, provides that the
lien? lawyer should refrain from any action whereby
for his personal benefit or gain he abuses or takes
A: No. A counsel has no right to retain or advantage of the confidence reposed in him by
appropriate unilaterally as lawyer’s lien any his client. Money of the client or collected for the
amount belonging to his client which may come client or other trust property coming into the
into his possession. (Cabigao v. Rodrigo, August possession of the lawyer should be reported and
9,1932) accounted for promptly and should not under any
circumstances be commingled with his own or be
Note: While this rule provides that the lawyer has used by him.
the right to retain the funds of his client as may be
necessary to satisfy his lawful fees and In this case, Meneses should have made an
disbursements known as attorney’s lien and his lien accounting with his client of the amount he
to the same extent on all judgments and executions received, deducted the balance of the attorneys
he has secured for his client called charging lien, he fees due him, and turned over the rest of the
is still dutybound to render an accounting of his amount to his client. As the Solicitor General
client’s funds and property which may come into his
observed, if Meneses was mindful of his ethics, he
possession in the course of his professional
should at least have waited until the judgment
employment In the application of attorney’s lien, a
lawyer shall give notice to his client otherwise, the
debtor in Civil Case No. 82 had made further
same might be construed as misappropriation which payments on the amount adjudged against
may subject him to disciplinary action. (Antiquiera, them... By placing his personal interest above his
2007) clients cause, respondent clearly breached the
trust reposed upon him. (Marquez v. Meneses,
Q. Marquez retained the professional service of Adm. Case No. 675, December 17, 1999)
Meneses to prosecute a claim against Ruth
Igdanes and Delfin Igdanes. The oral agreement Q: Fernandez engaged the services of Atty.
was that Marquez would pay a fee of P100.00 to Cabrera II to handle the cases of her associates
Meneses, whether the case was won or lost. in Baguio City. After taking hold of the records of
Thereafter, Marquez advanced from time to the cases that Fernandez entrusted to him and
time to Meneses various sums as fees, which after getting initially paid for the services he
totalled P75.00. When decision was rendered by would render, Atty. Cabrera II suddenly
the court in favor of the Marquez, Igdanes was disappeared and could no longer be located in
ordered to pay Marquez the claimed amount his given address or in the addresses that
with legal interest from the filing of the Fernandez gathered.
complaint until fully paid, and P75.00 as
attorneys fees. Did Atty. Cabrera II violate the Code of
Professional Responsibility when he accepted
Marquez’s brother informed her that the sheriff the records and money of the complainant and
informed him that Meneses respondent had thereafter failed to render his services?
gotten all of the P75.00 as his fees. Marquez
wrote to Meneses twice asking him to send her A: Yes. Acceptance of money from a client
P50.00 and to keep P25.00 for himself, but establishes an attorney-client relationship and
Meneses refused to give her the P50.00 she was gives rise to the duty of fidelity to the client's
asking and contended that that was their cause. The canons of professional responsibility
agreement. Marquez’s contention, in brief, is require that once an attorney agrees to handle a
that she had been overcharged by Meneses for case, he should undertake the task with zeal,
as the agreed fee was P100.00, win or lose, and care, and utmost devotion.
she had already paid P75.00 to Meneses, the
latter simply had the right, at most, to keep Atty. Cabrera's action projects his appalling
P25.00 out of the P75.00 he had gotten from the indifference to his client's cause and a brazen
sheriff. Should Atty. Meneses be held liable for disregard of his duties as a lawyer. Not only did
not giving the money to his client? he fail to render service of any kind, he also
absconded with the records of the cases with
A: Yes. It is well-settled that money collected by a which he was entrusted. Then to top it all, he kept
lawyer in pursuance of a judgment in favor of his the money complainant paid to him. Such
client is money held in trust and must be conduct is unbecoming of a member of the bar,
immediately turned over to the latter.Canon 11 of for a lawyer's professional and personal conduct
86
LEGAL ETHICS TEAM:
must at all times be kept beyond reproach and and 1 million in check and out of the 2 million,
above suspicion. The duty of a lawyer is to uphold Atty. Lozada took 1 million as her commission
the integrity and dignity of the legal profession at without Frias’ consent. When Dra. San Diego
all times. This can only be done by faithfully backed out from the sale, Frias tried to recover
performing the lawyer's duties to society, to the from Atty. Lozada the title to the property and
bar, to the courts and to his clients. (Fernandez v. other documents but Atty. Lozada started
Atty. Cabrera II, A.C. No. 5623, Dec. 11, 2003) avoiding her.
d. Borrowing or Lending Dra. San Diego filed a case against Frias to return
the 3 million she paid plus interest. Frias claimed
that her failure to return the money was
because of Atty. Lozada’s refusal to give back the
not borrow money from his client unless the
1 million she took as commission. A case was
client's interest are fully protected by the
filed by Frias against Atty. Lozada but despite
nature of the case or by independent advice.
the favourable decision, respondent refused to
Neither shall a lawyer lend money to a client
return the money.
except, when in the interest of justice, he
has to advance necessary expenses in a
Atty. Lozada claimed that since she did not have
legal matter he is handling for the client.
enough money, Frias requested her to sell or
mortgage the property and offered her a loan,
Q: Is a lawyer allowed to borrow money from his commission and attorney’s fees on the basis of
client? the selling price. He denied that Frias previously
demanded the return of 1million until the civil
A: GR: No. case against her was instituted in which she
XPN: Unless the client’s interests are fully expressed her willingness to pay the 900,000
protected by the nature of the case or by plus agreed interest.
independent advice.
Did Atty. Lozada committed a violation of the
Note: While the lawyer may borrow money from his Code of Professional Responsibility in asking for
client, where the client’s interests are fully protected a loan from her client?
by the nature of the case he is handling for the
client, or by independent advice from another A: Yes. Her act of borrowing money from a client
lawyer, he should not abuse the client’s confidence was a violation of Canon 16.04 of the Code of
by delaying payment. (Alindogan v. Geron, G.R. Professional Responsibility.
Admin. Case No. 221, May 21, 1958).
A lawyer’s act of asking a client for a loan, as what
Q: Is a lawyer allowed to lend money from his respondent did, is very unethical. It comes within
client? those acts considered as abuse of client’s
confidence. The canon presumes that the client is
A: GR: No. disadvantaged by the lawyer’s ability to use all
XPN: when in the interest of justice, he has to the legal manoeuverings to renege on her
advance necessary expenses in a legal matter obligation. (Frias v. Lozada, A.C. NO. 6656,
he is handling for the client. December 13,2005)
Note: Prohibition from lending is intended to assure Note: The principle behind Rule 16.04 is to prevent
the lawyer’s independent professional judgment, for the lawyer from taking advantage of his influence
if the lawyer acquires a financial interest in the over the client or to avoid acquiring a financial
outcome of the case the free exercise of his interest in the outcome of the case.
judgment may be adversely affected. (Agpalo, 2004; Not prohibited: advances for necessary expenses.
Comment of IBP Committee that drafted the Code,
p.90) 4. FIDELITY TO CLIENT’S CAUSE
Q: Atty Lozada was the retained counsel and

CANON 17, CPR
legal adviser of Frias to which all documents and
- A LAWYER OWES FIDELITY TO THE CAUSE
titles of properties of the latter were entrusted
OF HIS CLIENT AND HE SHALL BE MINDFUL
to. Atty Lozada persuaded Frias to sell her
OF THE TRUST AND CONFIDENCE REPOSED
house, the former acting as broker since she was
IN HIM.
in need of money. Dra. San Diego, the
(2007, 2008 Bar Questions)
prospective buyer then handed 2 million in cash
87
Note: Loyalty to a client does not require a lawyer to not extend to those made in contemplation of a
adopt a client’s political, social and economic views, crime or perpetration of a fraud. If the unlawful
or refrain from a political activity that maybe in purpose is avowed, as in this case, the
opposition to a client’s position. complainant's alleged intention to bribe
government officials in relation to his case, the
Q: When does the lawyer’s duty of fidelity to his communication is not covered by the privilege as
client’s cause commence? the client does not consult the lawyer
professionally. It is not within the profession of a
A: Lawyer’s duty of fidelity commences from lawyer to advise a client as to how he may
receipt of his retainer until his effective release commit a crime as a lawyer is not a gun for hire.
from the case or the final disposition of the whole Thus, the attorney-client privilege does not
subject matter of the litigation. During that attach, there being no professional employment
period, he is expected to take such reasonable in the strict sense. (Genato v. Atty. Silapan, A.C.
steps and such ordinary care as his client’s No. 4078, July 14, 2003)
interest may require. (CPR Annotated, PhilJA)
Q: Schulz, a German national filed a complaint
Note: Acceptance of money from a client establishes for disbarment against Atty. Flores. He alleged
an attorney-client relationship and gives rise to the that he engaged the services of Atty. Flores for
duty of fidelity to the client’s cause. Every case the purpose of filing a complaint against Ong for
accepted by a lawyer deserves full attention, revocation of contract and damages. Atty. Flores
diligence, skill and competence, regardless of
advised him that there was no need to refer the
importance. (Rollon v. Atty. Naraval, A.C. No. 6424,
complaint to barangay conciliation. Three
Mar. 4, 2005)
months later, Atty. Flores instructed him to file
his complaint with the Lupon Tagapamayapa.
Q: What are the exceptions to the general rule
Ong refused to appear at the conciliation
that the obligation to keep secrets covers only
hearings, arguing that the Lupon had no
lawful purposes?
jurisdiction over his person because he was a
resident of another barangay. Thus, Schulz
A:
brought the complaint before the barangay in
1. Announcements of a client’s intention to
which Ong is a resident. By that time, however,
commit a crime;
Schulz learned that Ong had already filed a case
2. When the client jumped bail and the
for specific performance against him. Schulz
lawyer knows his whereabouts;
argued that Atty. Flores’ inordinate delay in
3. When the client is living somewhere under
acting on his case resulted in his being defendant
an assumed name; and
rather than a complainant against Ong. Is the
4. The communication involves the
actuation of Atty. Flores in causing the delay of
commission of future fraud or crime.
bringing the dispute under the system of
barangay conciliation reprehensible as to
Q: Genato filed a disbarment case against Atty.
warrant the suspension of Atty. Flores?
Silapan for allegedly breaking their confidential
lawyer-client relationship by disclosing
A: Yes. Atty. Flores committed a serious
confidential information against him. In his
transgression when he failed to exert his utmost
answer, Atty. Silapan contended that he used
learning and ability to give entire devotion to his
the confidential statements in the course of
client's cause. His client had relied upon him to
judicial proceedings in order to defend his case
file the complaint with dispatch so that he would
and to discredit Genato’s credibility by
not be pre-empted by the adverse party. But he
establishing his criminal propensity to commit
failed him. As a consequence of Att. Flores'
fraud, tell lies and violate the laws. Is Atty.
indolence, his client was haled to court as a party-
Silapan guilty of breach of trust and confidence
defendant. It therefore behoves this Court to
by imputing to Genato illegal practices and
wield its corrective hand on this inexcusable
disclosing Genato’s alleged intention to bribe
infraction which caused undeserved and needless
government officials in connection with a
prejudice to his client's interest, adversely
pending case?
affected the confidence of the community in
the legal profession and eroded the public's trust
A: No. It must be stressed that the privilege
in the judicial system. As an attorney, Atty. Flores
against disclosure of confidential communications
is sworn to do his level best and to observe full
or information is limited only to communications
fidelity to the court and his clients. (Schulz v. Atty.
which are legitimately and properly within the
Flores, A.C. No. 4219, Dec. 8, 2003)
scope of a lawful employment of a lawyer. It does
88
LEGAL ETHICS TEAM:
Q: Matias Lagramada residing with his uncle, taken or withheld from his client except in
Apolonio Lagramada, was invited by the latter to accordance with law. (Miwa v. Atty. Medina, A.C. No.
accompany him to the police station, supposedly 5854, Sept. 30, 2003)
to pick up a refrigerator they were to repair.
Upon their arrival there, Matias was Q: In a criminal case for rape with homicide, the
immediately taken in and locked behind bars. accused pleaded guilty. However, the three PAO
Two informations were filed against him only 10 lawyers assigned as counsel de oficio did not
months after the first day of his incarceration. advise their client of the consequences of
With the assistance of counsel, Matias pleaded pleading guilty; one PAO lawyer left the
not guilty when arraigned, without raising the courtroom during trial and thus was not able to
invalidity of the arrest. Was the case properly cross-examine the prosecution witnesses. The
handled? other postponed the presentation of evidence
for the defense, and when he appeared, he said
A: No. Lawyers owe fidelity to the cause of their he would rely solely on the plea of guilty, in the
clients and must be mindful of the trust and belief that it would lower the penalty to
confidence reposed in them. Matias’ counsel, in reclusion perpetua. Should the three PAO
the spirit of safeguarding his client’s rights, should lawyers be disciplined?
have taken the necessary steps to correct the
situation. However, he allowed his client to enter A: Yes. All three (3) of them displayed manifest
a plea during the latter’s arraignment without disinterest on the plight of their client. They
raising the invalidity of arrest. Thus, the former lacked vigor and dedication to their work.
effectively waived his client’s right to question its
validity. Defense counsels are expected to spare Canon 18 of the Code of Professional
no effort to save the accused from unrighteous Responsibility requires every lawyer to serve his
incarcerations. client with utmost dedication, competence and
diligence. He must not neglect a legal matter
Matias’ counsel should have not only entrusted to him, and his negligence in this
perfunctorily represented his client during the regard renders him administratively liable.
pendency of the case, but should have kept in Obviously, in the instant case, the defense
mind his duty to render effective legal assistance lawyers did not protect, much less uphold, the
and true service by protecting the latter’s rights fundamental rights of the accused. Instead, they
at all times. (People v. Lagramada, G.R. Nos. haphazardly performed their function as counsel
146357 & 148170, Aug. 29, 2002) de oficio to the detriment and prejudice of the
accused Sevilleno, however guilty he might have
5. COMPETENCE AND DILIGENCE been found to be after trial. (People v. Sevilleno,
G.R. No. 129058, Mar. 29, 1999)
CANON 18, CPR
a. Collaborating Counsel
– A LAWYER SHALL SERVE HIS CLIENT WITH
COMPETENCE AND DILIGENCE
(1998, 2001, 2002, 2005, 2008 Bar Rule 18.01, Canon 18, CPR – A lawyer shall
Questions). not undertake a legal service which he
knows or should know that he is not
qualified to render. However, he may render
Note: Diligence is the attention and care required of such service if, with the consent of his client,
a person in a given situation and is the opposite of he can obtain as collaborating counsel a
negligence. It is axiomatic in the practice of law that lawyer who is competent on the matter.
the price of success is eternal diligence to the cause
of the client. (Edquibal v. Ferrer, A.C. No. 5687, Feb.
3, 2005) Note: The lawyer’s acceptance is an implied
representation that he possesses the academic
Note: The Court again reminded lawyers to handle learning, skill and ability to handle the case.
only as many cases as they can efficiently handle. For
it is not enough that a practitioner is qualified to Q: Who is a Collaborating Counsel?
handle a legal matter, he is also required to prepare
adequately and give the appropriate attention to his A: Is one who is subsequently engaged to assist a
legal work. A lawyer owes entire devotion to the lawyer already handling a particular case for a
cause of his client, warmth and zeal in the defense client. (Pineda, 2009)
and maintenance of his rights, and the exertion of
his learning and utmost ability that nothing can be
89
Note: The handling lawyer cannot just take another knowledge and consent. (Abay v. Atty. Montesino,
counsel without the consent of the client. The new A.C. No. 5718, Dec. 4, 2003)
lawyer on the other hand cannot just enter his
appearance as collaborating counsel without the A lawyer has no authority to waive client’s right to
conformity of the first counsel.(Ibid.) appeal. His failure to perfect an appeal within the
prescribed period constitutes negligence and
The same diligence required of the first counsel is malpractice. (Reontoy v. Ibadlit, A.C. CBD No. 190,
required of the collaborating counsel. The January 28, 1998)
negligence of the latter is also binding on the client.
(Sublay v. NLRC, G.R. No. 130104. January 31, 2000; Q: As an incident in the main case, Velasquez
Pineda 2009) appointed his counsel as attorney-in-fact to
represent him at the pre-trial. Counsel failed to
b. Negligence appear, hence Velasquez was declared in
default. The order of default was received by
Rule 18.03, Canon 18, CPR - A lawyer shall counsel but no steps were taken to have it lifted
not neglect a legal matter entrusted to him or set aside. Decide.
and his negligence in connection therewith
shall render him liable. (1998, 2002 Bar A: It is binding on Velasquez who is himself guilty
Questions) of negligence when, after executing the special
power of attorney in favor of his lawyer, he left
Q: What degree of diligence or vigilance is for abroad and apparently paid no further
expected from a lawyer? attention to his case until he received the
decision. There is therefore no fraud, accident,
A: The legal profession demands of a lawyer that mistake or excusable negligence which will
degree of vigilance and attention of a good father warrant a lifting of the order of default. As a
of a family (Lapena, 2009) or ordinary pater general rule, a client is bound by the mistakes of
familias (Pineda, 2009). He is not required to his counsel; more so by the result of his own
exercise extraordinary diligence. (Edquibal v. negligence. (Velasquez v. CA, G.R. No. 124049,
Ferrer, Jr., A.C. No. 5687, February 03, 2005) June 30, 1999)
Note: The attorney’s duty to safeguard the client’s Rule 18.02, Canon 18, CPR - A lawyer shall
interests commences from his retainer until his not handle any legal matter without
effective release from the case or the final adequate preparation.
disposition of the whole subject matter of the
litigation. During the period, he is expected to take Note: A lawyer should prepare his pleadings with
such reasonable steps and such ordinary care as his great care and circumspection. He should refrain
client’s interests may require. from using abrasive and offensive language, for it
merely weakens rather than strengthens the force of
A lawyer who received money to handle a client’s legal reasoning and detracts from its persuasiveness.
case but rendered no service at all shall be subject to In preparing a complaint for damages, counsel for
disciplinary measure. (Dalisay v. Atty. Mauricio, A.C. plaintiff should allege and state the specific amounts
No. 5655, April 2005) claimed not only in the body of the complaint but
also in the prayer, so that the proper docket fees can
Q: When can it be said that a lawyer has been be assessed and paid. (Fernandez v. Atty. Novero,
negligent? A.C. No. 5394, Dec. 2, 2002)
A: What amounts to carelessness or negligence in Note: The counsel must constantly keep in mind that
a lawyer’s discharge of his duty to client is his action or omissions, even malfeasance and
incapable of exact formulation. It will depend nonfeasance would be binding to his client. Verily, a
upon the circumstances of the case. lawyer owes to the client the exercise of utmost
prudence and responsibility in representation
Note: Failure to appeal to CA despite instructions by (Fernandez v. Atty. Novero, A.C. No. 5394, December
the client to do so constitutes inexcusable 2002).
negligence on the part of the counsel. (Abiero v. c. Duty to Appraise the Client
Juanino, A.C. No. 5302, Feb.18, 2005)
Note: Even if a lawyer was "honestly and sincerely" keep the client informed of the status of his
protecting the interests of his client, the former still
case and shall respond within a reasonable
had no right to waive the appeal without the latter's
time to the client’s request for information.
90
LEGAL ETHICS TEAM:
A lawyer should notify his client of the adverse the same to his principal in the course of
decision while within the period to appeal to enable professional dealings.
the client to decide whether to seek an appellate
review. He should communicate with him Note: The doctrine applies regardless of whether or
concerning the withdrawal of appeal with all its not the lawyer actually communicated to the client
adverse consequences. The client is entitled to the what he learned in his professional capacity, the
fullest disclosure of the mode or manner by which attorney and his client being one judicial person.
his interest is defended or why certain steps are
taken or omitted. Q: Are the mistakes or negligence of a lawyer
binding upon the client?
Q: Spouses Garcia engaged the services of Atty.
Rolando Bala to appeal to the CA the adverse A:
Decision of the Department of Agrarian GR: Client is bound by attorney’s conduct,
Relations Adjudication Board (DARAB). Instead, negligence and mistake in handling a case or in
he erroneously filed a Notice of Appeal. During management of litigation and in procedural
one instance when the spouses had called on technique, and he cannot complain that the
him to ask for a copy of the supposed appeal, result might have been different had his lawyer
Atty. Bala uttered unsavory words against them. proceeded differently.
Because of his error, the prescribed period for
filing the petition lapsed, to the prejudice of his XPN: LIPIG
clients. Did Atty. Bala violate any ethical rules? 1. Lack of acquaintance with technical
aspect of procedure;
A: Yes. Rule 18.04 states that a "lawyer shall keep 2. When adherence thereto results in
the client informed of the status of his case and outright deprivation of client’s liberty or
shall respond within a reasonable time to the property or where Interest of justice so
client's request for information." Accordingly, requires;
spouses had the right to be updated on the 3. Where error by counsel is Purely
developments and status of the case for which technical which does not substantially
they had engaged the services of Atty. Bala. But affect client’s cause;
he apparently denied them that right. 4. Ignorance, incompetence, or
inexperience of lawyer is so great and
Having become aware of the wrong remedy he error so serious that client, who has a
had erroneously taken, he purposely evaded his good cause, is prejudiced and denied a
clients, refused to update them on the appeal, day in court;
and misled them as to his whereabouts. 5. Gross negligence of lawyer. (1998,
Moreover, he uttered invectives at them when 2000, 2002 Bar Questions)
they visited him for an update on the case.
(Spouses Garcia v. Bala, A.C. No. 5039, Nov. 25, Note: If by reason of the lawyer’s negligence, actual
2005) loss has been caused to his client, the latter has a
cause of action against him for damages. However,
Note: The lawyer is obliged to respond within a for the lawyer to be held liable, his failure to exercise
reasonable time to a client's request for information. reasonable care, skill and diligence must be
A client is entitled to the fullest disclosure of the proximate cause of the loss.
mode or manner by which that client's interest is
defended or why certain steps are taken or omitted. Q: What are the exceptions to the rule that
A lawyer who repeatedly fails to answer the inquiries “notice to counsel is notice to client”?
or communications of a client violates the rules of
professional courtesy and neglects the client's A:
interests. (Villariasa-Reisenbeck v. Abarrientos, A.C.
1. Strict application might foster dangerous
No. 6238, Nov. 4, 2004)
collusion to the detriment of justice;
2. Service of notice upon party instead of
Q: Explain the doctrine of imputed knowledge.
upon his attorney is ordered by the court;
3. Notice of pre-trial is required to be served
A: The knowledge acquired by an attorney during
upon parties and their respective lawyers;
the time that he’s acting within the scope of his
4. In appeal from the lower court to the RTC,
authority is imputed to the client. It is based on
upon docketing of appeal.
the assumption that an attorney, who has notice
of matter affecting his client, has communicated
91
Q: What is a plea of guilty? 2. Will possess the requisite degree of

Academic learning, skill and ability in the
A: It is an admission by the accused of his guilt of practice of his profession;
a crime as charged in the information and of the 3. Will take steps as will adequately
truth of the facts alleged, including the qualifying Safeguard his client’s interests; and
and aggravating circumstances. 4. Will Exert his best judgment in the
prosecution or defense of the litigation
Q: What is the duty of the defense counsel when entrusted to him. (Islas v. Platon, G.R. No.
his client desires to enter a plea of guilty? L-23183, Dec. 29, 1924)
A: F-CEPA Q: Is a lawyer required to show his authority to

1. Fully acquaint himself with the records appear for or represent a client?
and surrounding circumstances of the
case; A: No. An attorney is presumed to be properly
2. Confer with the accused and obtain from authorized to represent any cause in which he
him his account of what had happened; appears in all stages of the litigation and no
3. Thoroughly Explain to him the import of a written authority is required to authorize him to
guilty plea and the inevitable conviction appear. A mere denial by a party that he has
that will follow; authorized an attorney to appear for him, in the
4. See to it that the prescribed Procedure absence of a compelling reason, is insufficient to
which experience has shown to be overcome the presumption especially when the
necessary to the administration of justice denial comes after the rendition of an adverse
is strictly followed and disclosed in the judgment.
court records; and
5. Advise him of his constitutional rights. Q: May a practicing lawyer be required to
produce or prove his authority to appear in
Note: A lawyer should endeavor to seek instruction court?
from his client on any substantial matter concerning
the litigation, which may require decision on the part A: Yes. The presiding judge may, on motion of
of the client, such as whether to compromise the either party and on reasonable grounds therefore
case or to appeal an unfavorable judgment. He being shown, require an attorney who assumes
should give his client sound advice on any such and the right to appear in a case to produce or prove
similar matters and comply with the client’s lawful the authority under which he appears, and to
instructions relative thereto. He should resist and
disclose, whenever pertinent to any issue, the
should never follow any unlawful instruction of his
name of the person who employed him, and may
client.
thereupon make such order as justice requires.
6. REPRESENTATION WITH SEAL WITHIN LEGAL (Sec. 21, Rule 138, RRC)
BOUNDS
Q: What are the effects of an unauthorized
appearance?
CANON 19, CPR
- A LAWYER SHALL REPRESENT HIS CLIENT A:
WITH ZEAL WITHIN THE BOUNDS OF THE 1. The party represented is not bound by
LAW. attorney’s appearance in the case neither
(1994, 1997, 2001, 2003 Bar Questions) by the judgment rendered therein;
2. Court does not acquire jurisdiction over
Q: What does a lawyer represent to a client the person of the party represented;
when he accepts a professional employment of 3. The adverse party who has been forced to
his services? litigate as a defendant by the
unauthorized action on the part of the
A: When a lawyer accepts a case, whether for a attorney for the plaintiff may, on that
fee or not, his acceptance is an implied ground, move for the dismissal of the
representation that he: CASE complaint; and
4. If unauthorized appearance is willful,
1. Will exercise reasonable and ordinary Care attorney may be cited for contempt as an
and diligence in the pursuit or defense of officer of the court who has misbehaved
the case; in his official transactions, and he may be
disciplined for professional misconduct.
92
LEGAL ETHICS TEAM:
Q: May an attorney voluntarily appear for a A:

person without being employed? 1. As to matters of procedure- it is the client
who yields to the lawyer and not the
A: No. An attorney may not appear for a person lawyer yielding to the client. (Lapena,
until he is in fact employed by, or retained for 2009)
such person. An attorney willfully appearing in
court for a person without being employed, Rationale: The basis of this rule is that the
unless by leave of court, may be punished for lawyer is better trained and skilled in law.
contempt as an officer of the court, who has
misbehaved in his official transactions. (Sec. 26, Note: Cause of action, claim or demand, and
Rule 138) subject of litigation are within client’s
control. Proceedings to enforce the remedy
Q: How can an unauthorized appearance be are within the exclusive control of the
attorney.
ratified?
2. As to subject matter- the client is in
A:
control.
1. Express – Categorized assertion by client
that he has authorized a lawyer or that he
Q: What is a compromise?
confirms his authorization to represent
him in the case.
A: It is a contract whereby the parties, by making
reciprocal concessions, avoid litigation or put an
2. Implied – Where party with knowledge of
end to one already commenced. (Art. 2028, NCC)
fact that a lawyer has been representing
him in a case, accepts benefits of
Q: State the rule with respect to the authority of
representation or fails to promptly
an attorney to compromise his client’s case.
repudiate the assumed authority.
A:
Q: What are the requisites of implied ratification
GR: The attorney has no authority to
by silence?
compromise his client’s case. This is so because
the client, even if represented by counsel,
A:
retains exclusive control over the subject
1. The party represented by the attorney is
matter of the litigation. The client can, of
of age or competent or if he suffers from
course, authorize his lawyer to compromise his
any disability, he has a duly appointed
case, and the settlement made by the lawyer
guardian or legal representative;
will bind his client.
2. The party or his guardian, as the case may
XPN: When the lawyer is confronted with an
be, is aware of the attorney’s
emergency where prompt and urgent action is
representation; and
necessary to protect the interest of his client
and there is no opportunity for consultation
3. He fails to promptly repudiate assumed
with the latter.
authority.
a. Duty to Restrain Client from Impropriety
Q: What is the extent of a lawyer’s authority in
the conduct of litigation?
A: A lawyer has authority to bind the client in all employ only fair and honest means to attain
matters of ordinary judicial procedure. The cause the lawful objectives of his client and shall
of action, the claim or demand sued upon and the not present, participate in presenting or
subject matter of the litigation are within the threaten to present, participate in
exclusive control of the client. A client may waive, presenting or threaten to present unfounded
surrender, dismiss, or compromise any of his criminal charges to obtain an improper
rights involved in litigation in favor of the other advantage in any case or proceeding. (1997
party even without or against the consent of his Bar Question)
attorney.
Note: Under this rule, a lawyer should not file or
Q: Who has control over the proceedings?
threaten to file any unfounded or baseless criminal
case or cases against the adversaries of his client
93
designed to secure a leverage to compel the

adversaries to yield or withdraw their own cases
Rule 19.02, Canon 19, CPR – A lawyer who
against the lawyer’s client. (Pena v. Atty. Aparicio, has received information that his client has,
A.C. No. 7298, June 25, 2007) in the course of the representation,
perpetrated a fraud upon a person or
Note: Rule 19.01 of the CPR obligates a lawyer, in tribunal, shall promptly call upon the client
defending his client, to employ only such means as to rectify the same, and failing which he
are consistent with truth and honor. He should not shall terminate the relationship with such
prosecute patently frivolous and meritless appeals or client in accordance with the Rules of Court.
institute clearly groundless actions. The act of a (2001 Bar Question)
lawyer in preventing the execution of the judgment
against his clients shows that he actually committed
what the above rule expressly prohibits. (Que v. The lawyer’s duty to his client does not mean
Revilla, A.C. No. 7054, Dec. 4, 2009) freedom to set up false or fraudulent claims
especially with respect to provisions of law or
Q: Alex Ong received a demand-letter from Atty. administrative rules and that while lawyers are
Elpidio Unto, in the latter's capacity as legal bound to exert utmost legal skill in prosecuting
counsel of one Nemesia Gargania. The letter is in their client’s cause or defending it, their duty, first
connection with the claim of support of Nemesia and foremost, is to the administration of justice.
Garganian against him for her son. It was further (CPR Annotated, PhilJA)
stated therein that failure to comply with the
demand will result to the filing of proper action Note: It is an unethical tactic for a lawyer to offer
in court. monetary rewards to anyone who could give him
information against a party so that he could have
leverage against all actions involving such party. (CPR
The real father of Ms. Garganian's son was Alex'
Annotated, PhilJA)
brother and he merely assumed his brother's
obligation to appease Ms. Garganian who was Note: A lawyer should use his best efforts to restrain
threatening to sue them. Alex then did not and to prevent his client from doing those things
comply with the demands against him. which he himself ought not to do, particularly with
Consequently, Atty. Unto filed a complaint for reference to the conduct toward the court, judicial
alleged violation of the Retail Trade officer, witness and suitor and if the client persists in
Nationalization Law and the Anti-Dummy Law. such wrong doing, the lawyer should terminate their
relation. (Surigao Mineral Reservation Board v.
In addition, he commenced administrative cases Cloribel, G.R. No. L-27072, Jan. 9, 1970)
against Alex before the Bureau of Domestic
Trade, the Commission on Immigration and c. Authority of a Lawyer
Deportation, and the Office of the Solicitor
General. These cases were subsequently denied Rule 19.03, Canon 19, CPR – A lawyer shall
due course and dismissed. This prompted Alex to not allow his client to dictate the procedure
file a case for disbarment. Did Atty. Unto fall in handling the case.
short of professional standards?
A: Yes. He tried to coerce his client to comply The Code enjoins a lawyer to employ only fair and
with his letter-demand by threatening to file honest means to attain the lawful objectives of
various charges against the latter. When Alex did his client and warns him not to allow his client to
not heed Atty. Unto’s warning, he made good his dictate the procedure in handling the case. In
threat and filed a string of criminal and short, a lawyer is not a gun for hire. (Millare v.
administrative cases against him. His action is Atty. Montero, A.C. No. 3283, July 13, 1995)
malicious as the cases he instituted against the
complainant did not have any bearing or Note: The lawyer, and not the client, is assumed to
connection to the cause of his client, Ms. have knowledge of laws and rules of procedure. The
Garganian. Clearly, Atty. Unto violated the procedure in handling a case should therefore fall
proscription in Rule 19.01. His behavior is within the lawyer’s control and supervision.
inexcusable. (Ong v. Unto, A.C. No. 2417, Feb. 6,
2002) Q: Is the lawyer confined entirely on the
information his client gave?
b. Duty of Lawyer in Case of Knowledge of
Client’s Fraud A: No. The lawyer cannot entirely depend on the
information his client gave or the time his client
94
LEGAL ETHICS TEAM:
wished to give. The lawyer should take more Note: If the defendant seeks other reliefs, the
control over handling the case. Where the client appearance, even if qualified by the word special, is
is based overseas, the lawyer should with more equivalent to a general appearance.
reason, have moved to secure all the legal means
available to him either to continue representing Generally, appointment of counsel confers a general
his client effectively or to make the necessary authority. Thus, acts which are necessary or
manifestation in court, with the client’s incidental to the management of the suit or for the
accomplishment of a specific purpose are entrusted
conformity, that he was withdrawing as counsel
to him. And the client has a right to expect that
of record. (CPR Annotated, PhilJA)
his/her counsel will protect his/her interest.
Note: Counsel's failure to file formal offer of exhibits

7. ATTORNEY’S FEES
constitutes inexcusable negligence as it led to the
(1990, 1991, 1992, 1994, 1995, 1997, 1998, 2005,
dismissal of the case. To compound his inefficiency,
counsel filed a motion for reconsideration outside
2006, 2007 Bar Question)
the reglementary period. His attempts to evade
responsibility by shifting the blame on his client are CANON 20,CPR
apparent. He refers to the alleged obnoxious - A LAWYER SHALL CHARGE ONLY FAIR AND
attitude of his client in trying to manipulate the
REASONABLE FEES
manner in which he was handling the case as the
(1997,1998,2003 Bar Question).
main reason for his failure to formally offer his
exhibits. But he should bear in mind that while a
lawyer owes utmost zeal and devotion to the
interest of his client, he also has the responsibility of Q: Who are entitled to attorney’s fees?
employing only fair and honest means to attain the
lawful objectives of his client and he should not A:
allow the latter to dictate the procedure in handling GR: Only lawyers are entitled to attorney’s
the case. (Fernandez v. Novero, A.C. No. 5394, Dec.2, fees. The same cannot be shared with a non-
2002) lawyer. It is unethical.
Q: What is appearance? XPN: A lawyer may divide a fee for legal

services with persons not licensed to practice
A: It is the coming into court as a party either as a law: CPR
plaintiff or as a defendant and asking relief
therefrom. 1. A lawyer undertakes to Complete the
unfinished legal business of a deceased
Q: What are the kinds of appearance? lawyer;
A: 2. There is a Pre-existing agreement with a

1. General appearance – When a party partner or associate that, upon the
comes to court either as plaintiff or latter’s death, money shall be paid over
defendant and seeks general reliefs from a reasonable period of time to his
the court for satisfaction of his claims or estate or to persons specified in the
counterclaims respectively. agreement;
2. Special appearance – When a defendant 3. A lawyer or law firm includes non-

appears in court solely for the purpose of lawyer employees in Retirement plan,
objecting to the jurisdiction of the court even if the plan is based, in whole or in
over his person. part, on a profit-sharing agreement.
(Rule 9.02, CPR)
Note: By virtue of Sec. 20, Rule 14 of the 1997 Rules
of Civil Procedure, there is no more distinction
Note: Entitlement to lawyer’s fees is presumed.
between general appearance and special (Funa, 2009) Unless otherwise expressly stipulated,
appearance, in the sense that a defendant may file a rendition of professional services by a lawyer is for a
motion to dismiss not only on the ground of lack of fee or compensation and is not gratuitous. (Research
jurisdiction over his person but also on some other and Services Realty, Inc. v. CA, G.R. No. 124074,
grounds without waiving the jurisdiction of the court January 27,1997)
over his person.
95
Q: What are the requisites for the right to

attorney’s fees to accrue?
be guided by the following factors in
determining his fees:
A:
1. Existence of attorney-client relationship;
a. The time spent and the extent of the
and
service rendered or required;
2. Rendition by the lawyer of services to the
b. the novelty and difficulty of the
client.
questions involved;
c. The importance of the subject
Note: A pauper, while exempted from payment of
matter; legal fees is not exempted from payment of
d. The skill demanded; attorney’s fees.(Cristobal v. Employees
e. The probability of losing other Compensation Commission, G.R. No. L-49280,
employment as a result of February26, 1981)
acceptance of the proffered case;
f. The customary charges for similar Q: What are the factors in determining the
services and the schedule of fees of attorney’s fees?
the IBP chapter to which he belongs;
g. The amount involved in the A: In determining what is fair and reasonable, a
controversy and the benefits lawyer shall be guided by the following factors:
resulting to the client from the STIP-SNACCC
service; 1. Skill demanded;
h. The contingency or certainty of 2. Time spent and the extent of the services
compensation; rendered or required;
i. The character of the employment, 3. Importance of the subject matter;
whether occasional or established; 4. Probability of losing other employment as
and a result of acceptance of the proffered
j. The professional standing of the case;
lawyer. 5. Professional Standing of the lawyer;
6. Novelty and difficulty of the questions
Note: Generally, the amount of attorney’s fees due involved;
is that stipulated in the retainer agreement which is 7. Amount involved in the controversy and
conclusive as to the amount of lawyer’s the benefits resulting to the client from
compensation (Funa, 2009) unless the stipulated the services;
amount in the written contract is found by the court 8. Customary Charges for similar services
to be unconscionable or unreasonable (Sec. 24, Rule and the schedule of fees of the IBP
138, RRC). In the absence thereof, the amount of chapter to which he belongs;
attorney’s fees is fixed on the basis of quantum 9. Contingency or certainty of compensation;
meruit. (Sesbreno v. Court of Appeals, G.R. No. and
117438, June 8,1995; Funa, 2009) 10. Character of the employment, whether
occasional or established. (Rule 20.01)
Q: What are the kinds of payment which may be (1994 Bar Question)
stipulated upon?
Note: Imposition of interest in the payment of
A: attorney’s fees is not justified.(Funa, 2009)
1. Fixed or absolute fee that which is payable
regardless of the result of the case. Contracts for attorney’s services in this jurisdiction
a. A fixed fee payable per appearance stands upon an entirely different footing from other
b. A fixed fee computed upon the contract for the payment of compensation for any
number of hours spent other services. (Mambulao Lumber Co. v. Philippine
c. A fixed fee based on piece work National Bank, 130 Phil. 366)
d. Combination of any of the above
Note: A lawyer is entitled to recover litigation
2. Contingent fee – a fee that is conditioned expenses incurred in collecting attorney’s fees.(Funa,
on the securing of a favorable judgment 2009)
and recovery of money or property and
the amount of which may be on a Q: Are the courts bound by the opinions of
percentage basis. (1990, 2000, 2001, attorneys as expert witnesses as to the proper
2002, 2006, 2008 Bar Questions) compensation of the lawyer?
96
LEGAL ETHICS TEAM:
A: No. “No court shall be bound by the opinion of 3. The contract for attorney’s fees is void
attorneys as expert witnesses as to the proper due to purely formal matters or defects of
compensation, and may disregard such testimony execution;
and base its conclusion on its professional 4. The counsel, for justifiable cause, was not
knowledge. A written contract for services shall able to finish the case to its conclusion;
control the amount to be paid therefor, unless 5. Lawyer and client disregard the contract
found by the court to be unconscionable or for attorney’s fees; and
unreasonable. (Sec. 24, Rule 138, RRC) 6. The client dismissed his counsel before
the termination of the case.
Q: In the absence of a fee arrangement, how
would the services of an attorney be Note: Length of practice is not a safe criterion of
compensated? professional ability.
A: In the absence of a fee arrangement, the Q: A client refuses to pay Atty. A his contracted
lawyer is paid on a quantum meruit basis. The attorney's fees on the ground that counsel did
factors to be taken into consideration in not wish to intervene in the process of effecting
determining the amount are: TINS a fair settlement of the case. Decide.
1. Time spent and the services rendered or A: Rule 1.04 of the Code of Professional
required – A lawyer is justified in fixing Responsibility provides that "a lawyer shall
higher fees when the case is so encourage his clients to avoid, end or settle a
complicated and requires more time and controversy if it will admit of a fair settlement". If
effort in fixing it. a lawyer should refuse to intervene in a
2. Importance of subject matter – The more settlement proceeding, his entitlement to his
important the subject matter or the bigger attorney's fees may be affected. However, if he
the value of the interest of the property in has already rendered some valuable services to
litigation, the higher is the attorney’s fees. the client, he must be paid his attorney's fees on
3. Novelty and difficulty of questions involved the basis of quantum meruit, even if it is assumed
– When the questions in a case are novel that he is dismissed. (2001 Bar Question)
and difficult, greater effort, deeper study
and research are bound to burn the Q: What are the instances when counsel cannot
lawyer’s time and stamina considering recover full amount despite written contract for
that there are no local precedents to rely attorneys’ fees?
upon.
4. Skill demanded of a lawyer – The totality A:
of the lawyer’s experience provides him 1. When the services called for were not
skill and competence admired in lawyers. performed as when the lawyer withdrew
before the case was finished, he will be
Q: What does quantum meruit mean? allowed only reasonable fees;
2. When there is a justified dismissal of the
A: Quantum meruit means "as much as he attorney, the contract will be nullified and
deserves", and is used as the basis for payment will be on the basis of quantum
determining the lawyer's professional fees in the meruit only. A contrary stipulation will be
absence of a contract, but recoverable by him invalid;
from his client. 3. When the stipulated attorney’s fees are
unconscionable, when it is
Q: When is the measure of quantum meruit disproportionate as compared to the
resorted to? (2007 Bar Question) value of services rendered and is revolting
to human conscience;
A: Quantum meruit is resorted to when: 4. When the stipulated attorney’s fees are in
excess of what is expressly provided by
1. There is no express contract for payment law;
of attorney’s fees agreed upon between 5. When the lawyer is guilty of fraud or bad
the lawyer and the client; faith toward his client in the matter of his
2. Although there is a formal contract for employment;
attorney’s fees, the stipulated fees are 6. When the counsel’s services are worthless
found unconscionable or unreasonable by because of his negligence;
the court;
97
7. When contract is contrary to law, morals Note: The basis for this compensation is the
or public policy; and fact of his employment by and his agreement
8. Serving adverse interest unless the lawyer with the client.(Ibid.)
proves that it was with the consent of
both parties. (2006 Bar Question) 2. Extraordinary attorney's fee – An
indemnity for damages ordered by the
Q: Courts may interfere and reduce contractually court to be paid by the losing party in
agreed upon attorney’s fees when the same is litigation.
unconscionable or excessive. What is the
rationale behind this authority? Such award belongs to the client but
parties may stipulate that whatever may
A: be awarded by the court as attorney’s fees
1. Indubitably intertwined with the lawyer’s will go directly to the lawyer.
duty to charge only reasonable fees is the
power of the court to reduce the amount Note: The basis for this is any of the cases
of attorney’s fees if the same is excessive provided for by law where such award can
and unconscionable. (Roxas v. De be made, such as those authorized in Article
Zuzuarregui, Jr., G. R. No. 152072, Jan. 31, 2208 of the Civil Code, and is payable not to
the lawyer but to the client, unless they have
2006);
agreed that the award shall pertain to the
2. A lawyer is primarily an officer of the court
lawyer as additional compensation or as part
hence fees should be subject to judicial thereof.
control;
3. Sound public policy demands that courts Ordinary Concept of Attorney’s Fees
disregard stipulations for attorney’s fees
when they appear to be a source of Q: Aurora Pineda filed an action for declaration
speculative profit at the expense of the of nullity of marriage against Vinson Pineda,
debtor or mortgagor. (Borcena v. IAC, et. who was represented by Attys. Clodualdo de
al., G.R. No. 70099, Jan. 7, 1987) Jesus, Carlos Ambrosio and Emmanuel Mariano.
The parties' proposal for settlement regarding
Note: A trial judge may not order the reduction of Vinson's visitation rights over their minor child
the attorney’s fees on the ground that the attorney
and the separation of their properties was
is “below average standard of a lawyer.” The opinion
approved by the court. The marriage was
of the judge as to the capacity of a lawyer is not a
basis of the right to a lawyer’s fees. (Fernandez v.
subsequently declared null and void.
Hon. Bello, No. L-14277, April 30, 1960)
Throughout the proceedings counsels and their
Q: When are attorney’s fees considered as relatives and friends, availed of free products
unconscionable? and treatments from Vinson’s dermatology
clinic. This notwithstanding, they billed him
A: additional legal fees amounting to P16.5 million
1. An amount compared to the value of the which he, however, refused to pay. Instead, he
services is so disproportionate as to shock issued them several checks totaling P1.12 million
human conscience. as full payment for settlement. Still not satisfied,
2. One in which no man in his right senses, the three lawyers filed in the same court a
not under delusion, would make on one motion for payment of lawyers' fees for P50
hand, and which no fair and honest man million, which is equivalent to 10% of the value
would accept on the other. of the properties awarded to Pineda in the case.
Are their claim justified?
a. Concepts of Attorney’s Fees
A: No. Clearly, what they were demanding was
Q: What are the two concepts of attorney’s additional payment for legal services rendered in
fees? the same case. Demanding P50 million on top of
the generous sums and perks already given to
A: them was an act of unconscionable greed. They
1. Ordinary attorney's fee – The reasonable could not charge Pineda a fee based on
compensation paid to a lawyer by his percentage, absent an express agreement to that
client for the legal services he has effect. The payments to them in cash, checks, free
rendered to the latter.(Pineda, 2009) products and services from Pineda’s business
more than sufficed for the work they did. The full
98
LEGAL ETHICS TEAM:
payment for settlement should have discharged Extraordinary Concept of Attorney’s Fees
Vinson's obligation to them.
Q: State the rule on attorney’s fees being
As lawyers, they should be reminded that they awarded as damages and its exceptions.
are members of an honorable profession, the
primary vision of which is justice. It is the lawyer’s A:
despicable behavior in the case at bar which gives GR: Attorney’s fees as damages are not
lawyering a bad name in the minds of some recoverable. An adverse decision does not ipso
people. The vernacular has a word for it: facto justify their award in favor of the winning
nagsasamantala. The practice of law is a decent party.
profession and not a money-making trade.
Compensation should be but a mere incident. XPN: Attorney’s fees in the concept of
(Pineda v. de Jesus, G.R. No. 155224, Aug. 23, damages may be awarded in any of the
2006) following circumstances:
Q: DOY Mercantile Inc. refused to satisfy Atty. 1. When there is an agreement;

Gabriel, Jr.’s attorney’s fees, prompting the 2. When exemplary damages are
latter to file with the RTC a Motion to Allow awarded;
Commensurate Fees and to Annotate Attorney’s 3. When defendant’s action or omission
Lien on certain TCTs. The RTC fixed Atty. Gabriel, compelled plaintiff to litigate;
Jr.’s fees and ordered that a lien be annotated 4. In criminal cases of malicious
on the TCTs. A Writ of Execution was later issued prosecution
by the trial court in Atty. Gabriel, Jr.’s favor.
Upon Atty. Gabriel Jr.’s motion for a. Plaintiff was acquitted; and
reconsideration, the RTC increased his fees. It b. The person who charged him
then issued another Writ of Execution to enforce knowingly made the false
the new award but denied the Motion to statement of facts or that the filing
Annotate the Award at the back of the TCTs. was prompted by sinister design to
vex him;
DOY, for its part, filed several petitions to set
aside the RTC Orders involving the award of 5. When the action is clearly unfounded;
attorney’s fees. Eventually, CA rendered a 6. When defendant acted in gross and
decision, fixing Atty. Gabriel, Jr.’s fees at evident bad faith;
P200,000.00 and affirming the subsequent order 7. In actions for support;
of the RTC not to annotate such award on the 8. In cases of recovery of wages;
TCTs. Should the court rely on the importance of 9. In actions for indemnity under
the subject matter in controversy and the workmen’s compensation and
professional standing of counsel in awarding employee’s liability laws;
attorney’s fee? 10. In a separate civil action arising from a
crime;
A: No. DOY’s contention that the appellate court 11. When at least double costs are awarded
should also have taken into account the (costs of suit does not include
importance of the subject matter in controversy attorney’s fees);
and the professional standing of counsel in 12. When the court deems it just and
determining the latter’s fees is untenable. equitable; and
Although Rule 138 of the Rules of Court and Rule 13. When a special law so authorizes. (Art.
20.01, Canon 20 of the Code of Professional 2208, NCC)
Responsibility list several other factors in setting
such fees, these are mere guides in ascertaining b. Acceptance Fees
the real value of the lawyer’s service. Courts are
not bound to consider all these factors in fixing Q: What is an acceptance fee?
attorney’s fees. While a lawyer should charge
only fair and reasonable fees, no hard and fast A: It is an absolute fee arrangement which
rule maybe set in the determination of what a entitles a lawyer to get paid for his efforts
reasonable fee is, or what is not. That must be regardless of the outcome of the litigation (Funa,
established from the facts in each case. (DOY 2009).
Mercantile, Inc. v. AMA Computer College, G.R.
No. 155311, Mar. 31, 2004)
99
Q: Rose engaged the services of Atty. Jack as 2. The lawyer agrees to be paid per court
counsel for five cases. In the Retainer appearance.
Agreement, Rose agreed to pay Atty. Jack the 3. Contingent fee where the lawyer is paid
amount of 200,000 as Acceptance Fee for the for his services depending on the success
five cases plus an additional 1,500 Appearance of the case. This applies usually in civil
Fee per hearing and in the event that damages suits for money or property where the
are recovered, she would pay Atty. Jack 10% as lawyer’s fee is taken from the award
success fee. granted by the court.
4. Attorney de oficio. The attorney is
Rose issued two checks amounting to 51,716.54 appointed by the court to defend the
in favour of Atty. Jack however despite receipt indigent litigant in a criminal case. The
of said amounts he failed to file a case in one of client is not bound to pay the attorney for
the five cases referred to him; one case was his services although he may be paid a
dismissed due to untimely appeal; and another nominal fee taken from a public fund
case was dismissed but he failed to inform Rose appropriated for the purpose.
about it before she left for abroad. Dissatisfied 5. Legal aid. The attorney renders legal
with the outcome of her cases she demanded services for those who could not afford to
from Atty. Jack the return of all the records she engage the services of paid counsel.
had entrusted to him however he returned only 6. Quantum meruit basis. If there is no
two of the five cases. She filed a complaint specific contract between the lawyer and
charging him with violation of Canon 16 and the client, the lawyer is paid on quantum
16.03 of the Code of Professional Responsibility. meruit basis, that is, what the lawyer
Was there a violation of the said Canon by the deserves for his services.
respondent?
Q: What is a retainer?
A: None. From the records of the case, it was
found that four of the cases referred by Rose A: It may refer to two concepts:
were filed but were dismissed or terminated for
causes not attributable to Atty. Jack; and that 1. Act of a client by which he engages the
there was no probable cause to maintain the suit. services of an attorney to render legal
No fault or negligence can be attributed to the advice or to defend or prosecute his cause
Atty. Jack. Rose still owes payment of acceptance in court; or
fee because she only paid 51, 716.54 2. Fee which a client pays to the attorney.
An acceptance fee is not a contingent fee, but is Q: Concept Placement retained the services of
an absolute fee arrangement which entitles a Atty. Funk. Under their retainer contract, Atty.
lawyer to get paid for his efforts regardless of the Funk is to render various legal services except
outcome of the litigation. litigation, quasi-judicial and administrative
proceedings and similar actions for which there
Dissatisfaction from the outcome of the cases will be separate billings.
would not render void the retainer agreement for
Atty. Jack appears to have represented the Thereafter, Atty. Funk represented Concept
interest of Rose. (Yu v Bondal, A.C. No. 5534, Placement in the case filed against it for illegal
January 17, 2005) dismissal. While the labor case was still pending,
Concept Placement terminated the services of
Note: The expiration of the retainer contract Atty. Funk. Nevertheless, Atty. Funk continued
between the parties during the pendency of the handling the case. Atty. Funk then advised
labor case does not extinguish the respondent’s right Concept Placement of the POEA’s favorable
to attorney’s fees. (Uy v. Gonzales, A.C. No. 5280, decision and requested the payment of his
Mar. 30, 2004) attorney’s fees. Concept Placement refused.
Q: What are the different types of fee Is Atty. Funk entitled to attorney’s fees for
arrangements an attorney may enter into with assisting Concept Placement as counsel in the
his client? labor case even if the services of Atty. Funk were
already terminated?
A:
1. Retainer’s fee where the lawyer is paid for A: Yes. The expiration of the retainer contract
services for an agreed amount for the between the parties during the pendency of the
case.
100
LEGAL ETHICS TEAM:
labor case does not extinguish the respondent’s Note: If a lawyer employed on contingent basis dies
right for attorney’s fees. The Court found that or becomes disabled before the final adjudication or
while the petitioner and the respondent did not settlement of the case has been obtained, he or his
execute a written agreement on the fees in the estate will be allowed to recover the reasonable
labor case aside from the Retainer Agreement, value of the services rendered. The recovery will be
the petitioner did categorically and unequivocally allowed only after the successful termination of the
admit in its Compulsory Counterclaim that it has litigation in the client’s favor. (Morton v. Forsee, Ann.
Cas. 1914 D. 197; Lapena, 2009, Pineda, 2009)
engaged the services of the respondent as its
counsel for a fee of P60, 000, etc. (Concept
Q: Chester asked Laarni to handle his claim to a
Placement Resources Inc. v. Atty. Funk, G.R. No.
sizeable parcel of land in Quezon City against a
137680, February 6, 2004)
well-known property developer on a contingent
fee basis. Laarni asked for 15% of the land that
Q: What are the kinds of retainer agreements on
may be recovered or 15% of whatever monetary
attorney’s fees?
settlement that may be received from the
property developer as her only fee contingent
A:
upon securing a favorable final judgment or
1. General retainer or retaining fee – It is the
compromise settlement. Chester signed the
fee paid to a lawyer to secure his future
contingent fee agreement.
services as general counsel for any
ordinary legal problem that may arise in
Assume the property developer settled the case
the ordinary business of the client and
after the case was decided by the Regional Trial
referred to him for legal action. The client
Court in favor of Chester for P1 Billion. Chester
pays fixed retainer fees, which could be
refused to pay Laarni P150 Million on the ground
monthly or otherwise. The fees are paid
that it is excessive. Is the refusal justified?
whether or not there are cases referred to
Explain.
the lawyer;
A: The refusal of Chester to pay is unjustified. A
2. Special retainer – It is a fee for a specific or
contingent fee is impliedly sanctioned by Rule
particular case or service rendered by the
20.01(f) of the CPR. A much higher compensation
lawyer for a client.
is allowed as contingent fees is consideration of
c. Contingency Fee Arrangements the risk that the lawyer will get nothing if the suit
fails. In several cases, the Court has indicated
Q: What is a contingency fee arrangement? that a contingent fee of 30% of the money or
property that may be recovered is reasonable.
A: Contingent fee where the lawyer is paid for his Moreover, although the developer settled the
services depending on the success of the case. case, it was after the case was decided by the RTC
This applies usually in civil suits for money or in favor of Chester, which shows that Atty. Laarni
property where the lawyer’s fee is taken from the has already rendered service to the client.
award granted by the court.
Q: Assume there was no settlement and the case
Note: Contingent fee contracts are subject to the eventually reached the Supreme Court which
supervision and close scrutiny of the court in order promulgated a decision in favor of Chester. This
that clients may be protected from unjust charges. time Chester refused to convey to Laarni 15% of
The amount of contingent fees agreed upon by the the litigated land as stipulated on the ground
parties is subject to the stipulation that counsel will that the agreement violates Article 1491 of the
be paid for his legal services only if the suit or Civil Code, which prohibits lawyers from
litigation prospers. A much higher compensation is acquiring by purchase properties and rights,
allowed as contingent fees because of the risk that which are the object of litigation in which they
the lawyer may get nothing if the suit fails. take part by reason of their profession. Is the
(Evangelina Masmud v. NLRC, et. al., G.R. No. refusal justified? Explain.
183385, Feb. 13, 2009)
A: Chester’s refusal is not justified. A contingent
Note: The acceptance of an initial fee before or fee arrangement is not covered by Art.1491 of
during the progress of the litigation does no detract the Civil Code, because the transfer or assignment
from the contingent nature of the fees, so long as of the property in litigation takes effect only upon
the bulk thereof is made dependent upon the
finality of a favorable judgment. (Director of
successful outcome of the action. (Lapena, 2009)
Lands v. Ababa, No. L-26096, February 27, 1979);
101
Macariola v. Asuncion, A.C. No. 133-J, May 31, the controversy, the extent of the services
1982) (2008 Bar Question) rendered, and the professional standing of the
attorney. No court shall be bound by the opinion
Q: Evangelina Masmud’s husband, the late of attorneys as expert witnesses as to the proper
Alexander, filed a complaint against his compensation, but may disregard such testimony
employer for non-payment of permanent and base its conclusion on its own professional
disability benefits, medical expenses, sickness knowledge. A written contract for services shall
allowance, moral and exemplary damages, and control the amount to be paid therefor unless
attorney’s fees. He engaged the services of Atty. found by the court to be unconscionable or
Go, as his counsel and agreed to pay attorney’s unreasonable.
fees on a contingent basis, as follows: 20% of
total monetary claims as settled or paid and an The retainer contract between Atty. Go and
additional 10% in case of appeal. Evangelina provides for a contingent fee. The
contract shall control in the determination of the
Labor Arbiter rendered granted the monetary amount to be paid, unless found by the court to
claims of Alexander. Eventually, after several be unconscionable or unreasonable. The criteria
appeals, the decision being favorable to found in the Code of Professional Responsibility
Evangelina (substituted her deceased husband), are also to be considered in assessing the proper
the decision became final and executory. Upon amount of compensation that a lawyer should
motion of Atty. Go, the surety company receive. (Canon 20, Rule 20.01, CPR)(Evangelina
delivered to the NLRC Cashier, the check Masmud v. NLRC, et. al., G.R. No. 183385, Feb. 13,
amounting to P3,454,079.20. Thereafter, Atty. 2009)
Go moved for the release of the said amount to
Evangelina. Out of the said amount, Evangelina Q: What is a champertous contract?
paid Atty. Go the sum of P680,000.00.
A: It is one where the lawyer stipulates with his
Dissatisfied, Atty. Go filed a motion to record client in the prosecution of the case that he will
and enforce the attorney’s lien alleging that bear all the expenses for the recovery of things or
Evangelina reneged on their contingent fee property being claimed by the client, and the
agreement. latter agrees to pay the former a portion of the
thing or property recovered as compensation. It is
Evangelina manifested that Atty. Go’s claim for void for being against public policy. (Like
attorney’s fees of 40% of the total monetary gambling) (1999, 2000, 2006 Bar Questions)
award was null and void based on Article 111 of
the Labor Code. Is her contention correct? Note: A champertous contract which is considered
void due to public policy, because it would make him
A: No. Art. 111. Attorney's fees. (a) In cases of acquire a stake in the outcome of the litigation
unlawful withholding of wages, the culpable party which might lead him to place his own interest
may be assessed attorney's fees equivalent to ten above that of the client (Bautista v. Gonzales, A.M.
percent of the amount of the wages recovered. No. 1625, Feb. 12, 1990).
Contrary to Evangelina’s proposition, Article 111
of the Labor Code deals with the extraordinary Q: What is the difference between a contingent
concept of attorney’s fees. It regulates the contract and champertous contract?
amount recoverable as attorney's fees in the
nature of damages sustained by and awarded to A:
the prevailing party. It may not be used as the CONTINGENT CHAMPERTOUS
standard in fixing the amount payable to the CONTRACT CONTRACT
lawyer by his client for the legal services he Payable in cash Payable in kind only
rendered. Lawyers do not
Lawyers undertake to
In this regard, Section 24, Rule 138 of the Rules of undertake to pay all
pay all expenses of
Court should be observed in determining Atty. expenses of
litigation
Go’s compensation. The said Rule provides: litigation
Valid Void
Sec. 24. Compensation of attorneys; agreement
as to fees. An attorney shall be entitled to have Q: The contract of attorney's fees entered into
and recover from his client no more than a by Atty. Quintos and his client, Susan, stipulates
reasonable compensation for his services, with a that if a judgment is rendered in favor of the
view to the importance of the subject matter of latter, Atty. Quintos gets 60% of the property
recovered as contingent fee. In turn, he will
102
LEGAL ETHICS TEAM:
assume payment of all expenses of the litigation. has full knowledge and approval thereof. (Sec.
May Atty. Quintos and Susan increase the 20 (e), Rule 138)
amount of the contingent fee to 80%?
d. Attorney’s Lien
A: No. Atty. Quintos and Susan cannot agree to
increase the amount of the contingent fee to 80% Note: A lawyer is not entitled to unilaterally
because the agreement is champertous. Even if appropriate his client’s money for himself by the
there is no champertous provision present, the mere fact alone that the client owes him attorney’s
contingent fee of 80% of the property recovered fees. (Rayos v. Hernandez, GR No. 169079, February
could still be considered as unconscionable, 12, 2007)
because it is so disproportionate as to indicate
that an unjust advantage had been taken of the Q: Define an attorney’s retaining lien.
client, and is revolting to human conscience.
Contracts for attorney's fees are always subject to A: A retaining lien is the right of an attorney to
control by the courts. (2006 Bar Question) retain the funds, documents and papers of his
client which have lawfully come into his
possession and may retain the same until his
Rule 20.02, Canon 20, CPR - A lawyer shall, in lawful fees and disbursements have been paid,
cases of referral, with the consent of the and may apply such funds to the satisfaction
client, be entitled to a division of fees in thereof. (1994, 1995, 1996, 1998, 2000 Bar
proportion to the work performed and Questions)
responsibility assumed.
Q: What are the requisites in order for an
Note: This is not in the nature of a broker’s attorney to be able to exercise his retaining lien?
commission.
A: ALU
Q: How does Lawyer- Referral System work? 1. Attorney-client relationship;
2. Lawful possession by the lawyer of the
A: Under this system, if another counsel is client’s funds, documents and papers in
referred to the client, and the latter agrees to his professional capacity; and
take him as collaborating counsel, and there is no 3. Unsatisfied claim for attorney’s fees or
express agreement on the payment of attorney’s disbursements.
fees, the said counsel will receive attorney’s fees
in proportion to the work performed and Q: Harold secured the services of Atty. Jarencio
responsibility assumed. The lawyers and the to collect from various debtors. Accordingly,
client may agree upon the proportion but in case Atty. Jarencio filed collection cases against the
of disagreement, the court may fix the debtors of Harold and in fact obtained favorable
proportional division of fees. (Lapena, 2009) judgments in some. Atty. Jarencio demanded
from Harold his attorney’s fees pursuant to their
agreement but Harold refused. When one of the
Rule 20.03 - A lawyer shall not, without the defendants paid his indebtedness of P20,000
full knowledge and consent of the client, through Atty. Jarencio, the latter refused to turn
accept any fee, reward, costs, commission, over the money to Harold; instead, Atty.
interest, rebate or forwarding allowance or Jarencio applied the amount to his attorney’s
other compensation whatsoever related to fees having in mind the provisions of the Civil
his professional employment from anyone Code on legal compensation or set-off to justify
other than the client. (1997, 2003 Bar his act. Was Atty. Jarencio correct in refusing to
Questions) turn over to his client the amount he collected?
Discuss fully.
Rationale: Intended To secure the fidelity of the
lawyer to his client’s cause and to prevent a situation A: No. A lawyer has a retaining lien which entitled
in which the receipt of him of a rebate or him to retain possession of a client’s document,
commission from another with the client’s business money or other property which come into the
may interfere with the full discharge of his duty to hands of the attorney professionally, until the
his client. (Report of the IBP Committee)
general balance due to him for professional
services is paid. Under Section 37, Rule 138 of the
XPN: A lawyer may receive compensation from Rules of Court, the attorney cannot be compelled
a person other than his client when the latter to surrender the document in his possession
103
without prior proof that his fees have been duly disbursements. (Sec. 37, Rule 138, Revised Rules
satisfied. of Court) (1994, 2008 Bar Questions)
However, Atty. Jarencio here cannot appropriate Q: What are the requisites in order for an
the sum of P20,000. If there is a dispute between attorney to be able to exercise his charging lien?
him and Harold as to the amount of the fees he is
entitled, he must file an action for recovery of his A:
fee or record a charging lien so that the court can 1. Existence of attorney-client relationship;
fix the amount to which he is entitled. (1995 Bar 2. The attorney has rendered services;
Question) 3. Favorable money judgment secured by the
counsel for his client;
Q: Upon being replaced by Justice C, Atty. B, the 4. The attorney has a claim for attorney’s
former counsel of the parents of the victims of fees or advances; and
the OZONE Disco tragedy, was directed to 5. A statement of the claim has been duly
forward all the documents in his possession to recorded in the case with notice thereof
Justice C. Atty. B refused, demanding full served upon the client and the adverse
compensation pursuant to their written party.
contract. Sensing that a favorable judgment was
forthcoming, Atty. B filed a motion in court Note: A charging lien, to be enforceable as a security
relative to his attorney’s fees, furnishing his for the payment of attorney’s fees, requires as a
former clients with copies thereof. condition sine qua non a judgment for money and
execution in pursuance of such judgment secured in
Is Atty. B legally and ethically correct in refusing the main action by the attorney in favor of his client.
to turn over the documents and in filing the
motion? Explain. Q: The client with whom you have a retainer
agreement had not been paying you contrary to
A: Yes. He is entitled to a retaining lien which your stipulations on legal fees, even as you
gives him the right to retain the funds, documents continue to appear at hearings in his case. A
and papers of his client which have lawfully come judgment was finally rendered in your client’s
to his possession until his lawful fees and favor awarding him the real property in litigation
disbursement have been paid (Sec. 37, Rule 138, as well as a substantial amount in damages. As
Rules of Court; Rule 16.03, Code of Professional the counsel who had not been paid, what steps
Responsibility). Likewise, he is legally and ethically can you take to protect your interests?
correct in filing a motion in court relative to his
fees. He is entitled to a charging lien upon all A: I will cause a charging lien for my fees to be
judgments for the paying of money, and recorded and attached to the judgment insofar as
executions issued in pursuance of such it is for the payment of money in damages. Then,
judgments, which he has secured in a litigation of I will have the right to collect my fees out of such
his client, from and after the time when the judgments and executions issued in pursuance
records of the court rendering such judgment or thereof. (1994 Bar Question)
issuing such execution. (1996 Bar Question)
Q: What is the difference between a retaining
Q: Define an attorney’s charging lien. lien and a charging lien?
A: A charging lien is the right of a lawyer to the A:

same extent upon all judgments for the payment RETAINING LIEN CHARGING LIEN
of money, and executions issued in pursuance of As to Nature
such judgments which he has secured in a Passive lien. It cannot Active lien. It can be
litigation of his client, from and after the time be actively enforced. enforced by
when he shall have caused a statement of his It is a general lien. execution. It is a
claim of such lien to be entered upon the records special lien.
of the court rendering such judgment, or issuing As to Basis
such execution, and shall have caused written Lawful possession of Securing of a
notice thereof to be delivered to his client and to papers, documents, favorable money
the adverse party; and he shall have the same property belonging judgment for client.
right and power over such judgments and to the client.
executions as his client would have to enforce his
lien and secure the payment of his fees and
104
LEGAL ETHICS TEAM:
As to Coverage XPN:
Covers papers, Covers all judgments 1. To prevent imposition
documents, and for the payment of 2. To prevent injustice
properties in the money and execution 3. To prevent fraud
lawful possession of issued in pursuance of
the attorney by such judgments. Note: A client may enter into a compromise
reason of his agreement without the intervention of the lawyer,
professional but the terms of the agreement should not deprive
employment. the counsel of his compensation for the professional
services he had rendered. If so, the compromise
As to Effect
shall be subjected to said fees. If the client and the
As soon as the As soon as the claim
adverse party who assented to the compromise are
attorney gets for attorney’s fees had found to have intentionally deprived the lawyer of
possession of papers, been entered into the his fees, the terms of the compromise, insofar as
documents, or records of the case. they prejudice the lawyer, will be set aside, making
property. both parties accountable to pay the lawyer’s fees.
As to Applicability But in all cases, it is the client who is bound to pay
May be exercised Generally, exercised his lawyer for his legal representation. (Atty. Gubat
before judgment or only when the v. NPC, G.R. No. 167415, Feb. 26, 2010)
execution or attorney had already
regardless thereof. secured a favorable Q: Where and how may attorney's fees be
judgment for his claimed by the lawyer?
client.
As to Extinguishment A:
When possession When client loses 1. In the same case – It may be asserted
lawfully ends as action as lien may only either in the very action in which the
when lawyer be enforced against services of a lawyer had been rendered or
voluntarily parts with judgment awarded in in a separate action.
funds, documents, favor of client,
and papers of client proceeds 2. In a separate civil action – A petition for
or offers them as thereof/executed attorney's fees may be filed before the
evidence. thereon. judgment in favor of the client is satisfied
or the proceeds thereof delivered to the
e. Fees and Controversies with Clients client.
The determination as to the propriety of

the fees or as to the amount thereof will
avoid controversies with clients concerning
have to be held in abeyance until the main
his compensation and shall resort to judicial
case from which the lawyer's claim for
action only to prevent imposition, injustice
attorney's fees may arise has become
or fraud. (1998 Bar Question)
final. Otherwise, the determination of the
courts will be premature.
Q: Can a lawyer file a case against his client for
the enforcement of attorney’s fees? Note: Contracts for employment may either be oral
or express.
A:
GR: A lawyer should avoid the filing of any case Q: What are the instances when an independent
against a client for the enforcement of civil action to recover attorney’s fees is
attorney’s fees. necessary?
Note: The legal profession is not a money-making A:

trade but a form of public service. Lawyers should 1. Main action is dismissed or nothing is
avoid giving the impression that they are awarded;
mercenary (Perez v. Scottish Union and National
Insurance Co., C.A. No. 8977, March 22, 1946). It 2. Court has decided that it has no
might even turn out to be unproductive for him jurisdiction over the action or has already
for potential clients are likely to avoid a lawyer lost it;
with a reputation of suing his clients.
105
3. Person liable for attorney’s fees is not a Q: Is attorney’s fee deemed incorporated in the
party to the main action; general prayer for ‘such other relief and remedy
as this court may deem just and equitable’?
4. Court reserved to the lawyer the right to
file a separate civil suit for recovery of A: No. Attorney’s fees must be specifically prayed
attorney’s fees; for and proven and justified in the decision itself.
(Trans-Asia Shipping Lines, Inc. vs. CA, G.R. No.
5. Services for which the lawyer seeks 118126, March 4, 1996)
payment are not connected with the
subject litigation; and Q: Can the Court of Appeals review the decision
of lower courts fixing attorney’s fees?
6. Judgment debtor has fully paid all of the
judgment proceeds to the judgment A: Yes. The CA, in the exercise of its jurisdiction to
creditor and the lawyer has not taken any review the decisions of lower courts can
legal step to have his fees paid directly to determine whether the attorney’s fees fixed by
him from the judgment proceeds. said courts are reasonable under the
circumstances. After taking into consideration the
Q: What are the effects of the nullity of contract various factors to guide the courts in the fixing of
on the right to attorney’s fees? such fees, an appellate court can reduce the
attorney’s fees stipulated by the parties in a
A: If the nullification is due to: contract for professional services or awarded by
the lower court to levels which it deems
1. The illegality of its object - the lawyer is reasonable.
precluded from recovering; and
8. PRESERVATION OF CLIENT’S CONFIDENCES
2. Formal defect or because the court has
found the amount to be unconscionable -
CANON 21, CPR
the lawyer may recover for any services
- A LAWYER SHALL PRESERVE THE
rendered based on quantum meruit.
CONFIDENCES AND SECRETS OF HIS CLIENTS
EVEN AFTER THE ATTORNEY-CLIENT
Q: To what compensation is a lawyer entitled to?
RELATION IS TERMINATED.
(1998, 2006 Bar Questions)
A:
1. Counsel de parte – He is entitled to the
reasonable attorney’s fees agreed upon, Note: The protection given to the client is perpetual
or in the absence thereof, on quantum and does not cease with the termination of the
meruit basis. litigation nor is affected by the party ceasing to
employ the attorney and employ another or any
2. Counsel de oficio – The counsel may not other change of relation between them. It even
demand from the accused attorney’s fees survives the death of the client.
even if he wins the case. He may,
however, collect from the government Q: What is confidence?
funds, if available based on the amount
fixed by the court. A: It refers to the information protected by the
attorney-client privilege. (Report of IBP
3. Amicus Curae – not entitled to attorney’s Committee)
fees.
Q: What is secret?
Q: Why is there a need to state the reason for
the award of attorney’s fees in the text of the A: It refers to other information gained in the
court’s decision? professional relationship that the client has
requested to be held inviolate or the disclosure of
A: The award of attorney’s fees being an which would be embarrassing or detrimental to
exception rather than the general rule, it is the client. (Ibid)
necessary for the court to make findings of facts
and law that would bring the case within the
exception and justify the grant of such award.
(Agustin vs. CA, G.R. No. 84751, June 6, 1990)
106
LEGAL ETHICS TEAM:
Q: What are the instances when a lawyer may

testify as a witness in a case which he is handling
not reveal the confidences or secrets of his
for a client?
client except;
A:
a. When authorized by the client after
1. On formal matters, such as the mailing,
acquainting him of the consequences
authentication or custody of an
of the disclosure;
instrument and the like;
b. When required by law;
2. Acting as an expert on his free;
c. When necessary to collect his fees or
3. Acting as an arbitrator;
to defend himself, his employees or
4. Depositions; and
associates or by judicial action.
5. On substantial matters in cases where his
testimony is essential to the ends of
Q: May a lawyer reveal the confidences or justice, in which event he must, during his
secrets of his client? testimony, entrust the trial of the case to
another counsel.
A:
GR: A lawyer shall not reveal the confidences
and secrets of his client.
not, to the disadvantage of his client, use
information acquired in the course of
Note: An attorney cannot, without the consent of
employment, nor shall he use the same to his
his client, be examined as to any communication
made by the client to him, or his advice given own advantage or that of a third person,
thereon in the course of, or with a view to, unless the client with full knowledge of the
professional employment, nor can an attorney’s circumstances consents thereto.
secretary, stenographer, or clerk be examined,
without the consent of the client and his Q: Bun Siong Yao is a majority stockholder of
employer, concerning any fact the knowledge of Solar Farms & Livelihood Corporation and Solar
which has been acquired in such capacity. (Sec. Textile Finishing Corporation. Atty. Leonardo
24(b), Rule 130, RRC) Aurelio is also a stockholder and the retained
counsel of both the corporation and Bun Siong
XPN: Yao. The latter purchased several parcels of land
a. When authorized by his client after using his personal funds but were registered in
acquainting him of the consequences of the name of the corporations upon the advice of
the disclosure; Atty. Aurelio.
Note: There is a waiver of the privilege by After a disagreement between Atty. Aurelio and
the client.
Bun Siong Yao’s wife, the former demanded the
return of his investment in the corporations but
The only instance where the waiver of the
client alone is insufficient is when the
when Yao refused to pay, he filed 8 charges for
person to be examined with reference to estafa and falsification of commercial
any privileged communication is the documents against Yao and his wife and the
attorney’s secretary, stenographer or other officers of the corporation.
clerk, in respect to which the consent, too,
of the attorney is necessary. Yao alleged that the series of suits is a form of
harassment and constitutes an abuse of the
b. When required by law; confidential information which Atty. Aurelio
obtained by virtue of his employment as
c. When necessary to collect his fees or to counsel. Atty. Aurelio however said that he only
defend himself, his employees or handled isolated labor cases for the said
associates by judicial action. corporations.
Note: Payment of retainer fee is not essential before Did Atty. Aurelio abuse the confidential
an attorney can be required to safeguard a information he obtained by virtue of his
prospective client’s secret acquired by the attorney employment as counsel?
during the course of the consultation with the
prospective client, even if the attorney did not A: Yes. The long-established rule is that an
accept the employment. attorney is not permitted to disclose
communications made to him in his professional
107
character by a client, unless the latter consents. & Meyer Law Offices. During the meeting, Niko
Atty. Aurelio took advantage of his being a lawyer divulged highly private information to Atty.
in order to get back at Yao. In doing so, he has Henry, believing that the lawyer would keep the
inevitably utilized information he has obtained confidentiality of the information. Subsequently,
from his dealings with Yao and Yao's companies Niko was shocked when he learned that Atty.
for his own end. Henry had shared the confidential information
with his law partner, Atty. Meyer, and their
Lawyers cannot be allowed to exploit their common friend, private practitioner Atty.
profession for the purpose of exacting vengeance Canonigo. When confronted, Atty. Henry replied
or as a tool for instigating hostility against any that Niko never signed any confidentiality
person most especially against a client or former agreement, and that he shared the information
client. (Bun Siong Yao v. Aurelio, A.C. No. 7023, with the two lawyers to secure affirmance of his
Mar. 30, 2006) legal opinion on Niko’s problem.
Rule 21.03, Canon 21, CPR - A lawyer shall Did Atty. Henry violate any rule of ethics?
not, without the written consent of his client, Explain fully.
give information from his files to an outside
agency seeking such information for A: Atty. Henry violated Canon No. 21 of the CPR
auditing, statistical, bookkeeping, by sharing information obtained from his client
accounting, data processing, or any other Niko with Atty. Canonigo. Canon No. 20 provides
similar purposes. that “a lawyer shall preserve the confidences or
secrets of his client even after the attorney-client
Q: Certain government officers, armed with relationship is terminated.” The fact that Atty.
search warrant duly issued, seized among other Canonigo is a friend from whom he intended to
things, a filing cabinet belonging to Atty. X. In secure legal opinion on Niko’s problem, does not
seeking the return of the cabinet, Atty. X claimed justify such disclosure. He cannot obtain a
that the cabinet contained documents and collaborating counsel without the consent of the
articles belonging to his clients but the client (Rule 18.01, CPR).
government refused to return the cabinet. Atty.
X petitioned the court which issued the warrant, On the other hand, Atty. Henry did not violate
praying that the agents be prohibited from Canon 21 in sharing information with his partner
opening the cabinet. Should Atty. X’s petition be Atty. Meyer. Rule 21.04 of the CPR specifically
given due course? provides that “a lawyer may disclose the affairs of
a client of the firm to partners or associates
A: Yes. The lower court cannot order the opening thereof unless prohibited by the client.” Atty.
of said cabinet.. To do so is in violation of his Henry was not prohibited from disclosing the
rights as an attorney. It would be tantamount to affairs of Niko with the members of his law firm.
compelling him to disclose his client’s secrets. The employment of a member of a firm is
(Lapena, 2009) generally considered as employment of the firm
itself. (Hilado v. David, G.R. No. L-961, Sept. 21,
Note: Confidential information obtains even against 1949) (2008 Bar Question)
government agencies and instrumentalities. Funa,
2009)
adopt such measures as may be required to
Rule 21.04, Canon 21, CPR - A lawyer may
prevent those whose services are utilized by
disclose the affairs of a client of the firm to
him, from disclosing or using confidences or
partners or associates thereof unless
secrets of the client.
prohibited by the client.
Note: Professional employment of a law firm is Rule 21.06, Canon 21, CPR – A lawyer shall
equivalent to retainer of members thereof. In a law avoid indiscreet conversation about a client’s
firm, partners or associates usually consult one affairs even with members of his family.
another involving their cases and some work as a
team. Consequently, it cannot be avoided that some
information about the case received from the client Rule 21.07, Canon 21, CPR – A lawyer shall
may be disclosed to the partners or associates. not reveal that he has been consulted about
a particular case except to avoid possible
Q: In need of legal services, Niko secured an conflict of interest.
appointment to meet with Atty. Henry of Henry
108
LEGAL ETHICS TEAM:
Q: Can the lawyer refuse from disclosing his GR: A lawyer lacks the unqualified right to
client’s identity? withdraw once he has taken a case. By his
acceptance, he has impliedly stipulated that he
A: will prosecute the case to conclusion. This is
GR: A lawyer may not invoke privileged especially true when such withdrawal will work
communication to refuse revealing a client’s injustice to a client or frustrate the ends of
identity. justice.
XPN: XPN: The right of a lawyer to retire from the

1. When there is a strong possibility that case before its final adjudication, which arises
revealing the client’s name would only from:
implicate the client in the very activity
for which he sought the lawyer’s advice; 1. The client’s written consent; or
2. When disclosure would open the client 2. By permission of the court after due
to civil liability; notice and hearing.
3. When government’s lawyers have no
case against an attorney’s client and Q: Does the written consent of the client require
revealing the client’s name would approval of the court to be effective?
furnish the only link that would come
from the chain of testimony necessary A: The withdrawal in writing of a lawyer as
to convict him. counsel for a party, with the client’s written
conformity, does not require the approval of the
Q: What is the reason why a lawyer may not court to be effective, especially if the withdrawal
invoke privileged communication to refuse is accompanied by a formal appearance of a new
revealing a client’s identity? counsel.
A: Q: What are the instances when a lawyer may

1. Due process considerations require that withdraw his services without the consent of his
the opposing party should know the client?
adversary;
2. The privilege pertain to the subject matter A: FIC MOVIE
of the relationship; 1. When the client deliberately Fails to pay
3. The privilege begins to exist only after the fees for the services or fails to comply
attorney-client relationship has been with the retainer agreement;
established hence it does not attach until 2. When the client pursues an Illegal or
there is a client; and immoral course of conduct in connection
4. The court has a right to know that the with the matter he is handling;
client whose privileged information is 3. When the lawyer finds out that he might
sought to be protected is flesh and blood. be appearing for a Conflicting interest;
4. When the Mental or physical condition of
9. WITHDRAWAL OF SERVICES the lawyer renders it difficult for him to
carry out the employment effectively;
5. Other similar cases;
CANON 22, CPR
6. When the client insists that the lawyer
- A LAWYER SHALL WITHDRAW HIS SERVICES
pursue conduct in Violation of these
ONLY FOR GOOD CAUSE AND UPON NOTICE
canons and rules;
APPROPRIATE IN THE CIRCUMSTANCES
7. When his Inability to work with co-counsel
(1994,1995,1997,2000,2001,2004,2005, 2008
will not promote the best interest of the
Bar Question)
client; and
8. When the lawyer is Elected or appointed
Q: When is a lawyer allowed to withdraw his to a public office. (Rule 22.01, CPR)
services?
Q: What is the procedure when withdrawal is
A: A lawyer shall withdraw his services only for without client’s consent?
good cause and upon notice appropriate in the A:
circumstances. 1. File a petition for withdrawal in court.
109
2. Serve a copy of this petition upon his Note: While clients have the right to terminate their
client and the adverse party at least 3 days relations with their counsel and make substitution or
before the date set for hearing. change at any stage of the proceedings, the exercise
of such right is subject to compliance with the
Note: He should present his petition well in advance prescribed requirements. This rule is intended to
of the trial of the action to enable the client to ensure the orderly disposition of cases, without it
secure the services of another lawyer. there will be confusion in the service of processes,
pleadings and other papers.
If the application is filed under circumstances that do
not afford a substitute counsel sufficient time to Q: What are the limitations on client’s right to
prepare for trial or that work prejudice to the client’s discharge the services of his lawyer?
cause, the court may deny his application and
require him to conduct the trial. A:
1. When made with justifiable cause, it shall
A lawyer should not presume that the court will negate the attorney’s right to full payment
grant his petition for withdrawal. Until his of compensation.
withdrawal shall have been proved, the lawyer 2. The attorney may, in the discretion of the
remains counsel of record who is expected by his court, intervene in the case to protect his
client as well as by the court to do what the interests right to fees.
of his client require.
3. A client may not be permitted to abuse his
right to discharge his counsel as an excuse
a. Discharge of the Attorney by the Client
to secure repeated extensions of time to
(1994,1997,1998 Bar Question)
file a pleading or to indefinitely avoid a
trial.
Q: Can a client discharge the services of his
Q: Is notice of discharge necessary?
lawyer without a cause?
A: Yes. A client has the right to discharge his
A: It is not necessary between client and
attorney at any time with or without a cause or
attorney. But insofar as the court and the adverse
even against his consent.
party is concerned, the severance of the relation
of attorney and client is not effective until:
1. With just cause – lawyer is not necessarily
1. A notice of discharge by the client or a
deprived of his right to be paid for his
manifestation clearly indicating that
services. He may only be deprived of such
purpose is filed with the court; and
right if the cause for his dismissal
2. A copy thereof served upon the adverse
constitutes in itself a sufficient legal
party.
obstacle to recovery.
Q: What should a lawyer do if no notice of
2. Without just cause
discharge was filed by the client with the court?
a. No express written agreement as to
fees- reasonable value of his services
A: If the client has not filed a notice of discharge,
up to the date of his dismissal
the duty of the attorney, upon being informed by
(quantum meruit).
his client that his services have been dispensed
b. There is written agreement and the
with, is to file:
fee stipulated is absolute and
reasonable – full payment of
1. A notice of withdrawal with the client’s
compensation.
conformity; or
c. The fee stipulated is contingent.
2. An application to retire from the case, he
d. If dismissed before the conclusion of
being released from professional
the action- reasonable value of his
responsibility only after his dismissal or
services (quantum meruit)
withdrawal is made of record.
e. If contingency occurs or client
prevents its occurrence – full amount.
Q: What are the conditions for substitution of
counsel?
Note: Lawyer should question his discharge
otherwise he will only be allowed to recover on
quantum meruit basis.
A:
1. Written application
Note: The existence or non-existence of a just cause 2. Written consent of the client
is important only in determining the right of an 3. Written consent of the attorney to be
attorney to compensation for services rendered. substituted, or in the absence thereof,
110
LEGAL ETHICS TEAM:
proof of service of notice of said motion to by the defendant. But the client insisted on the
the attorney to be substituted in the directive, or else he would not pay the agreed
manner prescribed by the rules. attorney’s fees.
b. Withdrawal by the Attorney When the case was called for hearing the next
morning the lawyer forthwith moved in open
court that he be relieved as counsel for the
Rule 22.01, Canon 22, CPR - A lawyer may
defendant. Both the defendant and the
withdraw his services in any of the
plaintiff’s counsel objected to the motion.
following case:
Under the given facts, is the defense lawyer
a. When the client pursues an illegal or
legally justified in seeking withdrawal from the
immoral course of conduct in
case? Why or why not? Reason briefly.
connection with the matter he is
handling;
A: Yes, he is justified. Under rule 22.01 of the
b. When the client insists that the
CPR, a lawyer may withdraw his services “if the
lawyer pursue conduct violative of
client insists that the lawyer pursue conduct
these canons and rules;
violative of these canon and rules”. The insistence
c. When the inability to work with co-
of the client that the lawyer present witnesses
counsel will not promote the best
whom he personally knows to have been
interest of the client;
perjured, will expose him to criminal and civil
d. When the mental or physical
liability and violate his duty of candor, fairness
condition of the lawyer renders it
and good faith to the court.
difficult for him to carry out the
employment effectively;
Q: Was the motion for relief as counsel made by
e. When the client deliberately fails to
the defense lawyer in full accord with the
pay the fees for the services or fails
procedural requirements for a lawyer’s
to comply with the retainer
withdrawal from a court case? Explain briefly.
agreement
f. When the lawyer is elected or
A: No his actuation is not in accord with the
appointed to public office; and
procedural requirements for the lawyer’s
g. Other similar cases.
withdrawal from a court case. Whether or not a
lawyer has a valid cause to withdraw from a case,
Note: In all the a-e cases above, the lawyer must file he cannot just do so and leave the client in the
a written motion with an express consent of his cold unprotected. He must serve a copy of his
client and the court shall determine whether he petition upon the client and the adverse party.
ought to be allowed to retire. He should, moreover, present his petition well in
advance of the trial of the action to enable the
Note: He may also retire at any time from an action client to secure the services of another lawyer.
or special proceeding without the consent of his (2004 Bar Question)
client, should the court, on notice to the client and
attorney, and on hearing, determine that he ought
Q: Atty. X filed a notice of withdrawal of
to be allowed to retire. (Sec. 26, Rule 138, RRC)
appearance as counsel for the accused Y after
the prosecution rested its case. The reason for
Q: What is Hot Potato Doctrine?
the withdrawal of Atty. X was the failure of
accused Y to affix his conformity to the demand
A: It refers to the prohibition from dropping
of Atty. X for increase in attorney's fees. Is the
smaller clients (like hot potatoes) in order to pick
ground for withdrawal justified? Explain.
up more lucrative clients.
A: The ground for the withdrawal is not justified.
Q: On the eve of the initial hearing for the
Rule 22.01 (e) of the Code of Professional
reception of evidence for the defense, the
Responsibility provides that a lawyer may
defendant and his counsel had a conference
withdraw his services when the client deliberately
where the client directed the lawyer to present
fails to pay the fees for his services or fails to
as principal defense witnesses 2 persons whose
comply with the retainer agreement. In this case,
testimonies were personally known to the
the client has not failed to pay the lawyer's fees
lawyer to have been perjured. The lawyer
or to comply with the retainer agreement. He has
informed his client that he refused to go along
only refused to agree with the lawyer's demand
with the unwarranted course of action proposed
111
for an increase in his fees. It is his right to refuse 5. Violation of communication privilege;
that is part of his freedom of contract. (2000 Bar 6. Liability for costs of suit (treble costs) –
Question) when lawyer is made liable for insisting on
client's patently unmeritorious case or
interposing appeal merely to delay
Rule 22.02, Canon 22,CPR - A lawyer who
litigation.
withdraws or is discharged shall, subject to a
retaining lien, immediately turn over all
Q: When will the liability of a lawyer for “breach
papers and property to which the client is
of fiduciary obligation” arise?
entitled, and shall cooperate with his
successor in the orderly transfer of the
A: A lawyer may be held liable if he fails in his
matter, including all information necessary
obligation to make an accounting of funds or
for the proper handling of the matter.
property that may come to his possession for a
lawyer holds his client’s funds or property in trust
Q: What are the duties of a discharged lawyer or for his client.
one who withdraws?
Q: What are the effects of lawyer’s failure to
A: return client’s money or property after demand?
1. Immediately turn-over all papers and
property to which the client is entitled; A:
and 1. There will be a presumption that the
2. To cooperate with his successor in the lawyer misappropriated the same;
orderly transfer of the case. 2. It will give rise to civil liability of the
lawyer;
c. Liabilities of a Lawyer 3. Criminal liability
4. Administrative liability.
Q: What are the requisites for the liability of a
lawyer for damages? Q: What is the remedy of the client?
A: AWI A: Recover property from lawyer, together with

1. Attorney-client relationship; its fruits, subject to client’s returning to his lawyer
2. Want of reasonable care and diligence by the purchase price thereof and the legal interests
lawyer thereon.
3. Injury sustained by client as a proximate
result of the lawyer’s negligence. Q: When is a lawyer not liable for libelous words
in the pleadings?
Q: What are the kinds of damages?
A: A lawyer is exempted from liability for slander,
A: libel or for words otherwise defamatory,
1. Nominal – where client lost the litigation published in the course of judicial proceedings,
as a consequence of lawyer’s gross provided the statements are connected with,
omission of negligence relevant, pertinent and material to the cause in
2. Actual/ Compensatory hand or subject of inquiry.
3. Moral
4. Attorney’s fees Note: Test of relevancy – The matter to which the
privilege does not extend must be palpably wanting
Note: For nos. 2-4 there should be a showing that: in relation to the subject of controversy, that no
1. The lawyer had exercised due diligence reasonable man can doubt its relevancy or propriety.
2. His client would have succeeded in
recovering from adverse party. Pleadings should contain plain and concise
statements of material facts and if pleader goes
beyond requisites of law and alleges irrelevant
Q: When will civil liability arise?
matter, which is libelous, he loses his privilege and
may be liable in a separate suit.
A:
1. Client is prejudiced by lawyer's negligence Q: Who is liable for the payment of costs of
or misconduct; suits?
2. Breach of fiduciary obligation;
3. Civil liability to third persons;
4. Libelous words in pleadings;
112
LEGAL ETHICS TEAM:
A:
GR: Losing client and not the lawyer is liable for
costs of suit in favor of prevailing party, the
lawyer not being a party-litigant.
XPN: Where the lawyer insisted on client’s

patently unmeritorious case or interposed an
appeal to delay litigation or thwart prompt
satisfaction of prevailing party’s just and valid
claim, the court may adjudge lawyer to pay
treble costs of suit.
Q: When will criminal liability exist?
A: A lawyer may be held criminally liable if he

commits any of the following:
1. Causing prejudice to the client thru

malicious breach of professional duty or
thru inexcusable negligence or ignorance;
2. Revealing client’s secrets learned in

lawyer’s professional capacity thru
malicious breach of professional duty or
inexcusable negligence or ignorance;
3. A lawyer who has undertaken the defense

of a client or has received confidential
information from said client in a case may
be criminally liable for undertaking
defense of opposing party in same cause
without consent of first client; (Art. 209,
RPC)
4. A lawyer who shall knowingly introduce in

evidence in any judicial proceeding or to
the damage of another or who, with
intent to cause such damage, shall use any
false document may be held criminally
liable therefor; (Art. 172, RPC) and
5. A lawyer who misappropriates his client’s

funds may be held liable for estafa.
NOTE: Estafa is also committed in unauthorized

practice of law.
113
until further action of the Supreme Court

III. DISCIPLINE OF LAWYERS in the case; (Sec. 16, Rule 139-B) and
5. Probation. (IBP Guidelines)
A. NATURE AND CHARACTERISTICS OF Note: The CA and RTC cannot disbar a lawyer.
DISCIPLINARY ACTIONS AGAINST LAWYERS
Q: What are the other sanctions and remedies?
Q: What is the rationale of disciplining errant
lawyers? A: RALARRO
A: Practice of law is not a natural or constitutional 1. Restitution;

right, but it is in the nature of a privilege 2. Assessment of costs;
franchise. Hence, the same may be suspended or 3. Limitation upon practice;
removed from the lawyer for reasons provided in 4. Appointment of a receiver;
the rules, law and jurisprudence. 5. Requirement that a lawyer take the bar
examination or professional responsibility
Q: What is the purpose of disciplining lawyers? examination;
6. Requirement that a lawyer attend
A: To ascertain that a lawyer still possesses those continuing education courses; and
qualifications which are conditions precedent for 7. Other requirements that the highest court
the continuous practice of law and; to deter or disciplinary board deems consistent
others from similar misconduct, to protect the with the purposes of the sanctions.
court and the public from the misbehavior of its
officers. Q: What are the forms of disciplinary measures?
Q: What is the nature of the power to discipline? A: WARCS-DIP
A: The power to discipline a lawyer is JUDICIAL in 1. Warning – an act of putting one on his
nature and can be exercised only by the courts. It guard against an impending danger, evil,
cannot be defeated by the legislative or executive consequence or penalty;
departments.
2. Admonition – a gentle or friendly reproof,
Note: The power to disbar and to reinstate is an mild rebuke, warning, reminder, or
inherently judicial function (Andres v. Cabrera, SBC- counseling on a fault, error or oversight;
585, February 29, 1984) an expression of authoritative advice;
Q: What are the powers of the Supreme Court 3. Reprimand – a public and formal censure
with regard to the discipline of errant lawyers? or severe reproof, administered to a
person at fault by his superior officer or
A: WARDSIP the body to which he belongs;
1. Warn;
2. Admonish; 4. Censure – official reprimand;
3. Reprimand;
4. Disbar; 5. Suspension – temporary withholding of a
5. Suspend a lawyer; [Sec. 27, Rule 138, lawyer’s right to practice his profession as
Revised Rules of Court (RRC)] a lawyer for a certain period or for an
6. Interim suspension; and indefinite period of time:
7. Probation. (IBP Guidelines) a. Definite;
b. Indefinite – qualified disbarment;
Q: What about the Court of Appeals and the lawyer determines for himself how
Regional Trial Court? long or how short his suspension
shall last by proving to court that he
A: They are also empowered to: WARSP is once again fit to resume practice of
1. Warn; law.
2. Admonish;
3. Reprimand; 6. Disbarment – it is the act of the Supreme
4. Suspend an attorney from practice for any Court of withdrawing from an attorney the
of the causes named in Sec 27, Rule 138 right to practice law. The name of the
114
LEGAL ETHICS TEAM:
Legal Ethics – discipline of lawyers
lawyer is stricken out from the Roll of complaints against lawyers, should be struck
Attorneys; down as void and of no legal effect for being ultra
vires. (Heirs of Falame v. Atty. Baguio, A.C. No.
7. Interim Suspension – it is the temporary 6876, Mar. 7, 2008)
suspension of a lawyer from the practice
of law pending imposition of final Q: May a lawyer be suspended or disciplined for
discipline; his misconduct in his private capacity?
Includes: A:
a. Suspension upon conviction of a GR: No.
“serious crime”; XPN: if the misconduct is so GROSS as to show
b. Suspension when the lawyer’s him to be wanting in moral character,
continuing conduct is or is likely to honesty, probity and demeanor (Ducat, Jr.
cause immediate and serious injury v. Villalon, A.C. No. 3910, June 28, 2001).
to a client or public
Q: Atty. Gutierrez phoned Yuhico and asked for a
8. Probation – it is a sanction that allows a cash loan claiming that he needed money to pay
lawyer to practice law under specified for the medical expenses of his mother who was
conditions. (2002, 2004 Bar Question) seriously ill, and promised to pay the loan very
soon. Consequently, he asked Yuhico again for a
Q: What is the nature of the disciplinary actions loan to pay for his wife’s hospitalization and
against lawyers? again promised to pay “within a short time” but
failed to do so. Later, he again attempted to
A: Administrative cases against lawyers belong to borrow money for his daughter’s licensure
a class of their own (sui generis). They are distinct examination in the US Medical Board and
from and may proceed independently of civil and assured Yuhico that he will pay his debts on or
criminal cases (In re Almacen, G.R. No. L-27654 before a certain date but Yuhico refused to lend
February 18, 1970; Funa, 2009). him the money, instead, he demanded payment
of his debts. Atty. Gutierrez failed to pay which
Q: What are the main objectives of disbarment led to the filing of a complaint before the IBP-
and suspension? CBD for non-payment of just debts. It turned out
that Atty. Gutierrez was previously disbarred in
the case of Huyssen v Atty. Gutierrez for gross
A: To:
misconduct in view of his failure to pay his debts
1. Compel the attorney to deal fairly and
and his issuance of worthless checks. May Atty.
honestly with his clients;
Gutierrez be disbarred for the second time?
2. Remove from the profession a person
whose misconduct has proved him unfit to
A: NO. The SC held that while the IBP
be entrusted with the duties and
recommended to disbar Atty. Gutierrez for the
responsibilities belonging to the office of
second time, we do not have double or multiple
an attorney;
disbarment in our laws or jurisprudence and
3. Punish the lawyer;
neither do we have a law mandating a minimum
4. Set an example or a warning for the other
5-year requirement for readmission, as cited by
members of the bar;
the IBP. Thus, while Gutierrez’s infraction calls for
5. Safeguard the administration of justice
the penalty of disbarment, they cannot disbar
from incompetent and dishonest lawyers;
him anew. (Yuhico v Atty. Gutierrez, A.C. No.
6. Protect the public.
8391, November 23, 2010)
Note: The purpose and the nature of disbarment
proceedings make the number of defenses available B. GROUNDS
in civil and criminal actions inapplicable in
disciplinary proceedings. Q: What are the grounds for suspension and
disbarment of members of the bar under the
Q: Is there a prescriptive period for filing Rules of Court?
administrative complaints against lawyers?
A: The following are specific grounds for
A: None. Rule VII, Section 1 of the Rules of suspension or disbarment of a lawyer:
Procedure of the CBD-IBP, which provides for a a. Deceit;
prescriptive period for the filing of administrative b. Malpractice;
115
c. Grossly immoral conduct Q: What is deceit?

d. Conviction of a crime involving moral
turpitude; A: Deceit is a fraudulent and deceptive
e. Violation of oath of office; misrepresentation, artifice or device used by one
f. Willful disobedience of any lawful order of or more persons to deceive and trick another who
a superior court is ignorant of the true facts, to the prejudice and
g. Corrupt or willful appearance as an damage of the party upon which it was imposed.
attorney for a party to a case without There must be false representation as a matter of
authority to do so. (Sec. 27, Rule 138, RRC) fact. (e.g. Misappropriation of client’s fund)
Note: Kinds of grounds for the suspension and Note: There is deceit when the act is performed with
disbarment of a lawyer consist of those acts of deliberate intent (Art. 3, RPC)
misconduct committed:
Malpractice
1. Prior to admission to the bar- acts of
misconduct prior to admission include Q: What is malpractice?
those that indicate that at the time the
lawyer took his oath, he did not possess A: Malpractice refers to any malfeasance or
the required qualifications for dereliction of duty committed by a lawyer (Tan
membership in the bar. Consequently, the Tek Beng v. David, Adm. Case No. 1261, December
cancellation of his license is justified. 29 1983; Lapena,Jr., 2009)
2. After admission to the bar - those which Note: Legal malpractice consists of failure of an
cause loss of moral character on his part or attorney to use such skill, prudence and diligence as
involve violation of his duties to the court, a lawyer of ordinary skill and capacity commonly
his client, to the legal profession and to the possess and exercise in the performance of tasks
public. which they undertake, and when such failure
proximately causes damage, it gives rise to an action
Note: Disbarment and suspension of a lawyer, being in tort. (Tan Tek Beng v. David, A.C. No. 1261, Dec.
the most severe forms of disciplinary sanction, 29, 1983)
should be imposed with great caution and only in
those cases where the misconduct of the lawyer as Grossly Immoral Conduct
an officer of the court and a member of the bar is
established by clear, convincing and satisfactory Q: What is Gross Misconduct?
proof. (Vitug v. Rongcal, A.C. No. 6313, Sept. 7, 2006)
A: Gross Misconduct is any inexcusable, shameful
Disbarment is merited when the action is not the or flagrant unlawful conduct on the part of the
lawyer’s first ethical infraction of the same nature. person concerned in the administration of justice
(Que v. Revilla, A.C. No. 7054, Dec. 4, 2009) which is prejudicial to the rights of the parties or
to the right determination of a cause, a conduct
Q: Are the grounds for disbarment exclusive? that is generally motivated by a predetermined,
obstinate or intentional purpose. (Yumol Jr. v.
A: No. A lawyer may be removed from office or Ferrer, Sr., A.C. No. 6585, April 21, 2005)
suspended from the practice of law on grounds
other than those specifically provided in the law. Q: What is Grossly Immoral Conduct?
The statutory enumeration is not to be taken as a A: Grossly immoral conduct is one that is so
limitation on the general power of SC to suspend corrupt and false as to constitute a criminal act or
or disbar a lawyer. (In Re: Puno, A.C. No. 389, Feb. so unprincipled or disgraceful as to be
28, 1967) reprehensible to a high degree. (Vitug v. Rongcal,
A.C. No. 6313, Sept. 7, 2006);
Note: The Court has disbarred or suspended lawyers
for reasons not found in the statute as when their Note: Mere intimacy between a lawyer and a
acts are contrary to honesty or good morals or do woman with no impediment to marry each other,
not approximate the highest degree of morality and and who voluntarily cohabited and had two children,
integrity expected of the members of the bar. (Sta. is neither so corrupt to constitute a criminal act nor
Maria v. Tuazon, A.C. No. 396, July 31, 1964) so unprincipled as to warrant disbarment or
disciplinary action against the man as a member of
Deceit the bar. (Arciga v. Maniwang, A.C. No. 1608, Aug.
14, 1981)
116
LEGAL ETHICS TEAM:
Conviction of a Crime 3. Representing conflicting interests. (Art.

Involving Moral Turpitude 209, RPC)
Q: What is Moral Turpitude? Q: What are the other grounds for disciplining a
lawyer?
A: Moral turpitude has been defined as “everything
that is done contrary to justice, honesty, modesty, or A:
good morals, an act of baseness, vileness, or 1. Non-professional misconduct
depravity in the private duties which a man owes his
fellowmen, or to society in general, contrary to the GR: A lawyer may not be suspended or
accepted and customary rule of right and duty disbarred for misconduct in his non-
between man and woman, or conduct contrary to professional or private capacity.
justice, honesty modesty, or good morals. (Soriano v.
Dizon, A. C. No. 6792, Jan. 25, 2006)
XPN: Where such is so gross as to show
him to be morally unfit for office or
Violation of oath of office unworthy of privilege, the court may be
justified in suspending or removing him
Note: The Lawyer’s Oath is a solemn affirmation of
from the Roll of Attorneys. (2005 Bar
the lawyer’s lifetime commitment to be a loyal
Question)
citizen, law-abiding person, a defender of truth and
justice, an advocate of the rule of law, an exemplar
of loyalty a fidelity to the courts and to clients and a Note: The issuance of worthless checks
constitutes gross misconduct as its effect
model to emulate both in his professional and
private life. (In re: Arthur Cuevas, Jr., Bar Matter No. transcends the private interests of the
810, January 27, 1998) parties directly involved in the transaction
and touches the interests of the community
at large.
Q: what are the specific grounds that may
constitute violation of the lawyer’s oath?
2. Gross immorality – An act of personal
immorality on the part of a lawyer in his
A: The specific grounds that would constitute
private relation with opposite sex may put
violation of the lawyer’s oath are:
his character in doubt. But to justify
suspension or disbarment, the act must
1. Commission of falsehood
not only be immoral, it must be grossly
2. Instituting baseless or unfounded
immoral. (Abaigar v. Paz, A.M. No. 997,
complaints
Sept. 10, 1979)
3. Engaging in dilatory actions for an ulterior
motive
Note: Cohabitation per se is not grossly
4. Malpractice or reprehensible conduct in
immoral. It depends on circumstances and is
dealing with the court of his client. not necessary that there be prior conviction
(Lapena, Jr., 2009) for an offense before lawyer may be
disciplined for gross immorality. If the
Corrupt or Willful Appearance as Attorney for a evidence is not sufficient to hold a lawyer
Party to a Case Without Authority to do so liable for gross immorality, he may still be
(Refer to Sanctions for Practice of Law Without reprimanded where evidence shows failure
Authority) on his part to comply with rigorous
standards of conduct required from lawyers.
Q: What are the other statutory grounds for
suspension and disbarment of members of the 3. Conviction of a crime involving moral
bar? turpitude – All crimes of which fraud or
deceit is an element or those inherently
A: Other statutory grounds include: contrary to rules of right conduct, honesty
1. Acquisition of interest in the subject or morality in civilized community.
matter of the litigation, either through
purchase or assignment; (Art. 1491, New 4. Promoting to violate or violating penal
Civil Code) laws
2. Breach of professional duty, inexcusable
negligence, or ignorance, or for the 5. Misconduct in discharge of official duties –
revelation of the client’s secrets; (Art. 208, A lawyer who holds a government office
Revised Penal Code) may not be disciplined as a member of the
117
bar for misconduct in the discharge of his 6. Failing to account or misappropriating

duties as government official. client’s property;
7. Collecting unreasonable fees;
However, if the misconduct is in violation 8. Acting without authority;
of the CPR or of his oath as a lawyer or is 9. Willfully appearing without being
of such a character as to affect his retained.
qualifications as a lawyer, he may be
subject to disciplinary action such as Note: Sanction: Disciplinary action
disbarment. (Collantes v. Renomeron, A.C.
No. 3056, Aug. 16, 1991) Q: What are the acts constituting breach of
duties to the bar?
Note: This rule does not apply to
impeachable officials like SC justices, A:
members of constitutional commissions and 1. Defaming fellow lawyers;
Ombudsman because they can be removed 2. Communicating with adverse party;
only by impeachment. 3. Soliciting business;
4. Advertising;
6. Commission of fraud or falsehood; and 5. Cooperating in illegal practice of law;
6. Non-payment of IBP dues.
7. Misconduct as notary public
Note: Sanction: Disciplinary action
Note: By applying for having himself
commissioned as notary public, a lawyer C. DISBARMENT PROCEEDINGS
assumes duties in a dual capacity, the non-
performance of which may be a ground for Q: What are the characteristics of disbarment
discipline as a member of the bar. proceedings?
Q: What are the acts constituting breach of A:

duties to court? 1. Sui Generis –
a. Neither purely civil nor purely
A: criminal, they do not involve a trial of
1. Obstructing justice and abuse of legal an action or a suit, but are rather
process; investigations by the Court into the
2. Misleading the court; conduct of one of its officers.
3. Forum shopping; b. Not a civil action because there is
4. Preferring false charges; neither plaintiff nor respondent, and
5. Introducing false evidence; involves no private interest. The
6. Willfully disobeying court orders and complainant is not a party and has no
disrespecting the court; interest in the outcome except as all
7. Using vicious or disrespectful language; citizens have in the proper
8. Continuing practice after suspension. administration of justice. There is no
redress for private grievance.
Note: Sanction: Admonition, censure, suspension or c. Not a criminal prosecution because it
disbarment. is not meant as a punishment
depriving him of source of livelihood
Q: What are the acts constituting breach of but rather to ensure that those who
duties to client? exercise the function should be
competent, honorable and reliable so
A: that the public may repose
1. Negligence in the performance of his confidence in them.
duties;
2. Employment of unlawful means; Note: A disbarment proceeding may proceed
3. Deceit or misrepresentation to the regardless of interest or lack of interest of the
prejudice of or as a means to defraud his complainant (Rayos-Ombac v. Rayos, A.C. No.
client; 2884, January 28, 1998). However, if the
4. Representing adverse interests and complainant refuses to testify and the charges
revealing client’s secrets; cannot then be substantiated, the court will have
5. Purchasing client’s property in litigation; no alternative but to dismiss the case. (2000 Bar
Question)
118
LEGAL ETHICS TEAM:
2. The defense of “double jeopardy” cannot A:

be availed of in a disbarment proceeding; 1. Supreme Court;
3. It can be initiated motu proprio by the SC 2. IBP through its Commission on Bar
or IBP. It can be initiated without a Discipline or authorized investigator; and
complaint; 3. Office of the Solicitor General.
4. It is imprescriptible;
5. Conducted confidentially; Q: What are the purposes of disbarment as a
6. It can proceed regardless of the interest or means of disciplining erring lawyers?
the lack thereof on the part of the
complainant; and A: The purposes of disbarment are:
7. It in itself constitutes due process of law. 1. To protect the public
8. Whatever has been decided in a 2. To protect and preserve the legal
disbarment case cannot be a source of profession; and
right that may be enforced in another
action; Note: The reason is because it is the court
9. In pari delicto rule not applicable; which admits an attorney to the bar and the
10. No prejudicial question in disbarment court requires for such admission the
proceedings; possession of a good moral character.
11. Penalty in a disbarment case cannot be in
the alternative; and Disbarment is necessary so that
12. Monetary claims cannot be granted respectability of the bar will be maintained.
(1991 Bar Question)
except restitution and return of monies
and properties of the client given in the
3. To compel the lawyer to comply with his
course of the lawyer-client relationship.
duties and obligations under the CPR.
Q: What is the three-fold purpose of
Q: Who has the burden of proof?
confidentiality of disbarment proceedings?
A: The burden of proof is upon the complainant
A:
and the SC will exercise its disciplinary power only
1. To enable the court to make its
if the complainant establishes his case by the
investigation free from extraneous
required quantum of proof which is clear,
influence or interference;
convincing and satisfactory evidence. (Aquino v.
Mangaoang, A.C. No. 4934, Mar. 17, 2004)
2. To protect the personal and professional
reputation of attorneys from baseless
Note: In the absence of contrary proof, the
charges of disgruntled, vindictive and
presumption is that the lawyer is innocent of the
irresponsible persons or clients by charges, and has performed his duty as an officer of
prohibiting publication of such charges the court in accordance with his oath, and the
pending their final resolution (Albano v. disbarment case should be dismissed. However, the
Coloma, A.C. No. 528, Oct. 11, 1967); court can still impose conditions despite dismissal of
disciplinary action against an erring lawyer, if the
3. To deter the press from publishing charges facts so warrant. In the event the lawyer fails to
or proceedings based thereon for even a comply with such condition, the court may suspend
verbatim reproduction of the complaint or disbar him for disobedience of its order.
against an attorney in the newspaper may
be actionable. (1991 Bar Question) A lawyer who has been suspended or disbarred
cannot practice law without being held liable for
Note: The confidentiality of the proceedings is a contempt of court. The suspended lawyer may be
privilege which may be waived by the lawyer in disbarred for violation of the suspension order. Such
whom and for the protection of whose personal and judgment however does not prohibit pro se practice.
professional reputation it is vested, as by presenting (Geeslin v. Navarro, A.C. No. 2033, May 1990).
the testimony in a disbarment case or using it as
impeaching evidence in a civil suit. (Villalon v. IAC, a. Procedure for Disbarment
G.R. No. L-73751, Sept. 24, 1986)
BAR MATTER NO. 1960
Q: What are the offices authorized to investigate (May 1, 2000)
disbarment cases?
AMENDMENT OF SECTION 1, RULE 139-B OF THE
REVISED RULES OF COURT
119
Q: How is a disbarment proceeding instituted? requiring him to answer within 15 days from
service.
A: Proceedings for disbarment, suspension or
discipline of attorneys may be taken by the: 3. The respondent shall file a verified answer
containing 6 copies; after receipt of the
1. Supreme Court motu proprio; or answer or lapse of the period to do so, the
2. Integrated Bar of the Philippines (IBP) Supreme Court, may, motu proprio or at the
upon the verified complaint of any person. instance of the IBP Board of Governors, upon
The complaint shall state clearly and recommendation by the investigator,
concisely the facts complained of and shall suspend an attorney from practice, for any
be supported by affidavits of persons of the causes under Rule 138, Sec. 27, during
having personal knowledge of the facts the pendency of the investigation
therein alleged and/or by such documents
as may substantiate said facts. 4. After joinder of the issues or failure to
answer, the respondent shall be given full
Disbarment Proceedings Before the IBP opportunity to defend himself. But if the
respondent fails to appear to defend himself
The IBP Board of Governors may: in spite of notice, the investigator may
proceed ex parte. The investigation shall be
1. Motu proprio; or terminated within 3 months from
2. Upon referral by the Supreme Court; or commencement which period may be
3. By a Chapter Board of Officers; or extended.
4. At the instance of any person, initiate
and prosecute proper charges against 5. The investigator shall make a report to the
erring attorneys including those in the Board of Governors within 30 days from
government service; Provided, however, termination of the investigation which report
that all charges against Justices of the shall contain his findings and
Court of Tax Appeals and the recommendations together with the
Sandiganbayan, and Judges of the Court evidence.
of Tax Appeals and lower courts, even if
lawyers are jointly charged with them, 6. The Board of Governors shall have the power
shall be filed with the Supreme Court; to review the decision of the investigator. Its
Provided, further, that charges filed decision shall be promulgated within a
against Justices and Judges before the period not exceeding 30 days from the next
IBP, including those filed prior to their meeting of the Board following the
appointment in the Judiciary, shall submission of the report of the investigator.
immediately be forwarded to the
Supreme Court for disposition and 7. If the decision is a finding of guilt of the
adjudication. charges, the IBP Board of Governors shall
issue a resolution setting forth its findings
"Six (6) copies of the verified complaint shall be and recommendations which shall be
filed with the Secretary of the IBP or the transmitted to the Supreme Court for final
Secretary of any of its chapters who shall action together with the record.
forthwith transmit the same to the IBP Board
of Governors for assignment to an If the decision is for exoneration, or if the
investigator.” (Sec. 1, third par., Rule 139-B, sanction is less than suspension or dismissal,
RRC) the Board shall issue a decision exonerating
the respondent of imposing a lesser
Procedural Steps for Disbarment in the IBP: sanction. The resolution exonerating the
respondent shall be considered as
1. The Board of Governors shall appoint from terminating the case unless upon petition of
among the IBP members an investigator or the complainant or other interested party
when special circumstances so warrant, a filed with the Supreme Court within 15 days
panel of 3 investigators to investigate the from notice of the Board’s decision.
complaint;
2. If the complaint is meritorious, the Resolution of the Court En Banc dated
respondent shall be served with a copy June 17, 2008 B.M. No. 1755
120
LEGAL ETHICS TEAM:
(Re: Rules of Procedure of the Commission on records of the IBP National Office shall
Bar Discipline) constitute sufficient notice to a lawyer for
purposes of administrative proceedings
Q: Is a motion for reconsideration allowed? against him. (Keld Stemmerik v. Atty. Leonuel
Mas, A.C. No. 8010, June 16, 2009)
A: It depends.
1. A party can no longer file a motion for Disbarment Proceedings Before the Supreme
reconsideration of any order or resolution Court
of the Investigating Commissioner, such
motion being a prohibited pleading. 1. In proceedings initiated motu proprio by the
Supreme Court or in other proceeding when
2. Regarding the issue of whether a motion the interest of justice so requires, the
for reconsideration of a decision or Supreme Court may refer the case for
resolution of the Board of Governors investigation to the Solicitor General or to
(BOG) can be entertained, an aggrieved any officer of the Supreme Court or judge of
party can file said motion with the BOG a lower court, in which case the investigation
within fifteen (15) days from notice of shall proceed in the same manner provided
receipt thereof by said party. in Sections 6 to 11 of Rule 139-B, RRC, save
that the review of the report of investigation
3. In case a decision is rendered by the BOG shall be conducted directly by the Supreme
that exonerates the respondent or Court (Sec. 13, Rule 139-B, RRC)
imposes a sanction less than suspension
or disbarment, the aggrieved party can file Note: Reference of the Court to the IBP of
a motion for reconsideration within the complaints against lawyers is not mandatory
(Zaldivar v. Sandiganbayan, G.R. Nos. 79590-
15-day period from notice. If the motion is
707; Zaldivar v. Gonzales, G.R. No. 80578,
denied, said party can file a petition for a
October 7,1988).
review under Rule 45 of the Rules of Court
with the Supreme Court within fifteen (15) Note: Reference of complaints to the IBP is not
days from notice of the resolution an exclusive procedure under Rule 139-B, RRC.
resolving the motion. If no motion for The Court may conduct disciplinary proceedings
reconsideration is filed, the decision shall without the intervention of the IBP by referring
become final and executory and a copy of cases for investigation to the Solicitor General
said decision shall be furnished the or to any officer of the Supreme Court or judge
Supreme Court. of a lower court. In such case, the report or
recommendation of the investigating official
4. If the imposable penalty is suspension shall be reviewed directly by the Supreme
from the practice of law or disbarment, Court. (Bautista v. Gonzales, A.M. No. 1626,
the BOG shall issue a resolution setting February 12,1990; Funa, 2009)
forth its findings and recommendations.
The aggrieved party can file a motion for 2. Based upon the evidence adduced at the
reconsideration of said resolution with the investigation, the Solicitor General or other
BOG within fifteen (15) days from notice. Investigator designated by the Supreme
The BOG shall first resolve the incident Court a report containing his findings of fact
and shall thereafter elevate the assailed and recommendations together with the
resolution with the entire case records to record and all the evidence presented in the
the Supreme Court for final action. If the investigation for the final action of the
15-day period lapses without any motion Supreme Court. (Sec. 14, Rule 139-B, RRC)
for reconsideration having been filed, then
the BOG shall likewise transmit to this Q: Atty. Narag’s spouse filed a petition for
Court the resolution with the entire case disbarment because her husband courted one of
records for appropriate action. his students, maintained the said student as a
mistress and had children with her. On the other
Note: Lawyers must update their records hand, Atty. Narag claimed that his wife was a
with the IBP by informing the IBP National possessive, jealous woman who abused him and
Office or their respective chapters of any filed the complaint against him out of spite.
change in office or residential address and Atty. Narag, however, failed to refute the
other contact details. In case such change is testimony given against him. His actions were of
not duly updated, service of notice on the public knowledge. Is Atty. Narag’s disbarment
office or residential address appearing in the appropriate?
121
A: Yes, Atty. Narag failed to prove his innocence

because he failed to refute the testimony given
against him and it was proved that his actions
were of public knowledge and brought disrepute
and suffering to his wife and children. Good
moral character is a continuing qualification
required of every member of the bar. Thus, when
a lawyer fails to meet the exacting standard of
moral integrity, the Supreme Court may withdraw
his or her privilege to practice law. When a lawyer
is found guilty of gross immoral conduct, he may
be suspended or disbarred. As a lawyer, one
must not only refrain from adulterous
relationships but must not behave in a way that
scandalizes the public by creating a belief that he
is flouting those moral standards. (Narag v. Atty.
Narag, A.C. No. 3405, June 29, 1998)
Q: What is the effect of a lawyer’s death during

pendency of disciplinary action against him?
A:
1. Renders the action moot and academic,
but
2. The Court may still resolve the case on
its merit in order to clear publicly the
name of the lawyer.
122
LEGAL ETHICS TEAM:
PROCEDURE FOR DISBARMENT OR DISCIPLINE

OF ATTONEYS BY THE SUPREME COURT MOTU PROPRIO
(Rule 139-B, RRC)
Supreme Court shall refer the case to an

investigator, who may either be:
1. Solicitor General,
2. Any officer of the SC, or
3. Any judge of a lower court
Notify Respondent
RESPONDENT’S VERIFIED ANSWER (Must be filed

within 15 days from service)
INVESTIGATION
(Terminate within 3 months)
REPORT TO SUPREME COURT (to be submitted not later

than 30 days from investigation’s termination)
REPORT MUST CONTAIN THE INVESTIGATOR’S:

SUPREME COURT
1. Findings of fact
FOR REVIEW or
2. Recommendations
JUDGMENT
Note: An investigating judge cannot dismiss a case. The investigating judge’s authority is only to investigate, make a report and
recommendation on the case to be submitted to the SC for final determination. (Garciano v. Sebastian, A.M. MTJ-88-160, Mar. 30,
1994)
123
PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTORNEYS BY THE IBP

(Rule 139-B, RRC)
VERIFIED COMPLAINT TO THE IBP BY

ANY PERSON
IBP Motu Proprio (Committee on Bar Complaint must be:
Discipline through National Grievance 1. In writing;
Investigator) 2. State facts complained of; and
3. Supported by affidavits / documents
Shall appoint an investigator / panel of 3

investigators and notify respondent
RECOMMEND DISMISSALIF NOT IF MERITORIOUS, RESPONDENT’S VERIFIED

MERITORIOUS ANSWER
(Must be filed within 15 days from service)
DISMISSAL BY BOARD OF GOVERNORS –

(should be promulgated within a period INVESTIGATION (terminate within 3 months)
not exceeding 30 days from the next
1. Investigator may issue subpoenas and
meeting of the board following the administer oaths,
submittal of the investigator’s report) 2. Provide respondent with opportunity
to be heard,
3. May proceed with investigation ex
parte should respondent fail to appear.
BOARD OF GOVERNORS FOR REVIEW (issues a

Resolution – Should be promulgated within a REPORT TO BOARD OF GOVERNORS (Submitted
period not exceeding 30 days from the next not later than 30 days from termination of
meeting of the board following the submittal of investigation) containing:
the Investigator’s Report.)  Findings of facts
 Recommendations
ISSUE DECISION IF: SUPREME COURT FOR

JUDGMENT
 Exonerated
 Sanction is less
than suspension /
The case shall be deemed terminated unless upon
disbarment
petition of the complainant or other interested party
(admonition, filed with the Supreme Court within fifteen (15) days
reprimand, or fine) from notice of the Board's resolution, the Supreme
Court orders otherwise.
124
LEGAL ETHICS TEAM:
Q: What is the effect of the desistance, 5. Lack of Intention to slight or offend the
withdrawal of complaint or non-appearance of Court (Rheem of the Philippines, Inc. v.
complainant in disbarment proceedings? Ferrer, G.R. No. L-22979, Jan. 27, 1967);
6. Absence of prior disciplinary record;
A: The desistance or the withdrawal of the 7. Absence of dishonest or selfish motive;
complainant of the charges against a 8. Personal or emotional problems;
judge/lawyer does not deprive the court of the 9. Timely good faith effort to make
authority to proceed to determine the matter. restitution or to rectify consequences of
Nor does it necessarily result in the dismissal of misconduct;
the complaint except when, as a consequence of 10. Full and free disclosure to disciplinary
the withdrawal or desistance no evidence is board or cooperative attitude toward the
adduced to prove the charges. proceedings;
11. Character or reputation;
Q: Is the doctrine of res ipsa loquitur (the thing 12. Physical or mental disability or
speaks for itself) applicable in cases of dismissal impairment;
of judges or disbarment of lawyers? 13. Delay in disciplinary proceedings;
14. Interim rehabilitation;
A: Yes. This principle or doctrine applies to both 15. Imposition of other penalties or sanctions;
judges and lawyers. Judges had been dismissed 16. Remorse; and
from the service without need of a formal 17. Remoteness of prior offenses. (IBP
investigation because based on the records, the Guidelines 9.32)
gross misconduct or inefficiency of judges clearly
appears. (Uy v. Mercado, A.M. No. R-368-MTJ, Note: Disbarment should not be decreed where any
Sept. 30, 1987) punishment less severe such as reprimand,
suspension or fine would accomplish the end
The same principle applies to lawyers. Thus, desired. (Amaya v. Tecson, A.C. No. 5996, Feb. 7,
where on the basis of the lawyer’s comment or 2005)
answer to show a show-cause order of SC, it
appears that the lawyer has so conducted himself Q: What are the aggravating circumstances in
in a manner which exhibits his blatant disrespect disbarment?
to the court, or his want of good moral character
or his violation of the attorney’s oath, the lawyer A:
may be suspended or disbarred without need of 1. Prior disciplinary offenses;
trial-type proceeding. What counts is that the 2. Dishonest or selfish motives;
lawyer has been given the opportunity to air his 3. A pattern of misconduct;
side. (Prudential Bank v. Castro, A.M. No. 2756, 4. Multiple offenses;
June 5, 1986) (1996, 2003 Bar Question) 5. Bad faith obstruction of the disciplinary
proceeding by intentionally failing to
b. Defenses comply with rules or orders of the
disciplinary agency;
Note: The extent of disciplinary action depends on 6. Submission of false evidence, false
the attendance of mitigating or aggravating statements, or other deceptive practices
circumstances. during the disciplinary process;
7. Refusal to acknowledge wrongful nature
Q: What are the mitigating circumstances in of conduct;
disbarment? 8. Vulnerability of victim;
9. Substantial experience in the practice of
A: law; and
1. Good faith in the acquisition of a property 10. Indifference to making restitution. (IBP
of the client subject of litigation (In Re: Guidelines 9.22)
Ruste, A.M. No. 632, June 27, 1940);
2. Inexperience of the lawyer (Munoz v. Q: What are the instances that are neither
People, G.R. No. L-33672, Sept. 28, 1973); aggravating nor mitigating?
3. Age (Santos v. Tan, A.C. No. 2697, Apr. 19,
1991); A:
4. Apology (Munoz v. People, G.R. No. L- 1. Forced or compelled restitution;
33672, Sept. 28, 1973); 2. Agreeing to the client’s demand for
certain improper behavior or result;
125
3. Withdrawal of complaint against the Q: Is a lawyer suspended from the practice of

lawyer; law in another country automatically results in
4. Resignation prior to completion of his suspension or disbarment in the Philippines?
disciplinary proceedings;
5. Complainants recommendation as to A: No. The acts which led to his suspension in
sanctions; or another country, are mere grounds for
6. Failure of injured client to complain. (IBP disbarment or suspension in this jurisdiction, and
Guideline 9.4) only if the basis of the foreign court’s action
includes any of the grounds for disbarment or
Q: What are the guidelines to be observed in the suspension in this jurisdiction. (In re: Suspension
matter of the lifting of an order suspending a from the practice of law in the territory of Guam
lawyer from the practice of law? of Atty. Maquera, A.M. No. 793, July 30, 2004)
(2002, 2006 Bar Question)
A:
1. Upon the expiration of the period of Q: Atty. LA is a member of the Philippine Bar and
suspension, respondent shall file a Sworn the California Bar in the United States. For willful
Statement with the Court, through the disobedience of a lawful order of a Superior
Office of the Bar Confidant, stating therein Court in Los Angeles, Atty. LA was suspended
that he or she has desisted from the from the practice of law in California for one (1)
practice of law and has not appeared in year.
any court during the period of his or her
suspension; May his suspension abroad be considered a
ground for disciplinary action against Atty. LA in
2. Copies of the Sworn Statement shall be the Philippines? Why?
furnished to the Local Chapter of the IBP
and to the Executive Judge of the courts A: The suspension of Atty. LA from the practice of
where respondent has pending cases law abroad may be considered as a ground for
handled by him or her, and/or where he disciplinary action here if such suspension was
or she has appeared as counsel; and based on one of the grounds for disbarment in
the Philippines or shows a loss of his good moral
3. The Sworn Statement shall be considered character, a qualification he has to maintain in
as proof of respondent’s compliance with order to remain a member of the Philippine Bar.
the order of suspension; (2002 Bar Question)
D. DISCIPLINE OF FILIPINO LAWYERS PRACTICE IN

FOREIGN JURISDICTIONS
Q: What is the effect in the Philippines of the

disbarment or suspension of a Filipino lawyer in
a foreign country?
A: If the Filipino lawyer is disbarred or suspended

from the practice of law by a competent court or
disciplinary agency in a foreign jurisdiction where
he has been admitted as an attorney, and a
ground therefor includes any of the acts
enumerated in Section 27, Rule 138 of the RRC,
such disbarment or suspension is a ground for his
disbarment or suspension in the
Philippines.(Lapena, 2009)
Note: The judgment, resolution or order of the

foreign court or disciplinary agency shall be prima
facie evidence of the ground for disbarment or
suspension. (SC Resolution date 21 February 1992
amending Sec. 27,Rule 138, RRC)
126
LEGAL ETHICS TEAM:
Legal Ethics - Readmission to the Bar
Q: Is the lifting of the suspension order

IV. READMISSION TO THE BAR automatic?
A: No. The lifting of a lawyer’s suspension is not

Q: What is reinstatement? automatic upon the end of the period stated in
the Court’s decision, and an order from the Court
A: It is the restoration in disbarment proceedings lifting the suspension at the end of the period is
to a disbarred lawyer the privilege to practice law. necessary in order to enable [him] to resume the
practice of his profession. (J.K. Mercado and Sons
Note: The power of the Supreme Court to reinstate Agricultural Enterprises, Inc. et al. v. Atty. de
is based on its constitutional prerogative to Vera, et al. and Atty. de Vera v. Atty. Encanto, et
promulgate rules on the admission of applicants to al.)
the practice of law. (Sec. 5[5], Art. VIII, 1987
Constitution) Thus, according to the OBC, a suspended lawyer
must first present proof(s) of his compliance by
Q: What are the conditions in reinstatement? submitting certifications from the Integrated Bar
of the Philippines and from the Executive Judge
A: The applicant must, like a candidate for that he has indeed desisted from the practice of
admission to the Bar, satisfy the Court that he is a law during the period of suspension. Thereafter,
person of good moral character – a fit and proper the Court, after evaluation, and upon a favorable
person to practice law. recommendation from the OBC, will issue a
resolution lifting the order of suspension and thus
A. READMISSION TO THE BAR OF LAWYERS WHO allow him to resume the practice of
HAVE BEEN SUSPENDED law. (Maniago v. Atty. De Dios, A.C. No. 7472,
March 30, 2010)
Q: Raul Gonzales was found guilty of both
contempt of court in facie curiae and gross Q: What are the guidelines to be observed in
misconduct as an officer of court and member of case of lifting an order suspending a lawyer from
the bar. For this, he was suspended indefinitely. the practice of law?
After more than 4 years from his suspension,
Gonzales filed an ex-parte motion to lift his A: The following guidelines were issued by the
suspension from the practice of law, alleging Supreme Court, the same to be observed in the
that he gave free legal aid services by paying matter of the lifting of an order suspending a
lawyers to do the same as he could not lawyer from the practice of law:
personally represent said clients; pursued civic
work for the poor; brought honor to the country 1. After a finding that respondent lawyer
by delivering a paper in Switzerland; that he has must be suspended from the practice of
a long record in the service of human rights and law, the Court shall render a decision
the rule of law; his suspension of 51 months has imposing the penalty;
been the longest so far; states his profound
regrets for the inconvenience which he has 2. Unless the Court explicitly states that the
caused to the Court; sincerely reiterates his decision is immediately executory upon
respect to the institution as he reiterates his receipt thereof, respondent has 15 days
oath to conduct himself as a lawyer. May his within which to file a motion for
suspension be lifted? reconsideration thereof. The denial of
said motion shall render the decision final
A: Yes. The Gonzales’ contrition, so noticeably and executory;
absent in his earlier pleadings, has washed clean
the offense of his disrespect. His remorse has 3. Upon the expiration of the period of
soften his arrogance and made up for his suspension, respondent shall file a Sworn
misconduct. Gonzales’ suspension has given him Statement with the Court, through the
ample time and opportunity to amend his erring Office of the Bar Confidant, stating therein
ways, rehabilitate himself, and thus, prove that he or she has desisted from the
himself worthy once again to enjoy the privileges practice of law and has not appeared in
of membership of the Bar. His motion was any court during the period of his or her
granted. (Zaldivar v. Gonzales, G.R. Nos. 79690- suspension;
707, April 7, 1993)
127
4. Copies of the Sworn Statement shall be resulting from a previous disbarment (Cui
furnished to the Local Chapter of the IBP v. Cui, G.R. No. L-18727, Aug. 31, 1964);
and to the Executive Judge of the courts 2. Recognition of moral rehabilitation and
where respondent has pending cases mental fitness to practice law;
handled by him or her, and/or where he 3. Lawyer shall be subject to same law, rules
or she has appeared as counsel; and regulations as those applicable to any
other lawyer; and
5. The Sworn Statement shall be considered 4. Lawyer must comply with the conditions
as proof of respondent’s compliance with imposed on his readmission.
the order of suspension;
Q: Is a disbarred lawyer by reason of conviction
6. Any finding or report contrary to the of a crime automatically reinstated to the
statements made by the lawyer under practice of law upon being pardoned by the
oath shall be a ground for the imposition President?
of a more severe punishment, or
disbarment, as may be warranted. A: No. To be reinstated, there is still a need for
the filing of an appropriate petition with the
B. READMISSION TO THE BAR OF LAWYERS WHO Supreme Court. (In re: Rovero, A.M. No. 126, Dec.
HAVE BEEN DISBARRED 29, 1980)
Q: What must the Supreme Court take into Q: What is the effect if during the pendency of a
consideration in reinstatement? disbarment proceeding, the erring lawyer was
granted executive pardon?
A:
1. The applicant’s character and standing A: If during the pendency of a disbarment
prior to the disbarment; proceeding the respondent was granted
2. The nature and character of the charge for executive pardon, the dismissal of the case on
which he was disbarred; that sole basis will depend on whether the
3. His conduct subsequent to the executive pardon is absolute or conditional.
disbarment, and the time that has elapsed
between the disbarment and the 1. Absolute or unconditional pardon - the
application for reinstatement; (Prudential disbarment case will be dismissed.
Bank v. Benjamin Grecia, A.C. No. 2756, 2. Conditional pardon - the disbarment case
Dec. 18, 1990) will not be dismissed on the basis thereof.
4. His efficient government service; (In re:
Adriatico, G.R. No. L-2532, Nov. 17, 1910) Q: X filed proceedings for disbarment against his
5. Applicant’s appreciation of the lawyer, Atty. C, following the latter’s conviction
significance of his dereliction and his for estafa for misappropriating funds belonging
assurance that he now possesses the to his client (X). While the proceedings for
requisite probity and integrity; and disbarment was pending, the President granted
6. Favorable endorsement of the IBP and absolute pardon in favor of Atty. C. Atty. C, then,
pleas of his loved ones. (Yap Tan v. moved for the dismissal of the disbarment case.
Sabandal, B.M. No. 144, Feb. 24, 1989) Should the motion be granted?
Note: Whether or not the applicant shall be A: An absolute pardon by the President is one
reinstated rests on the discretion of the court. that operates to wipe out the conviction as well
(Prudential Bank v. Benjamin Grecia, A.C. No. 2756, as the offense itself. The grant thereof to a lawyer
Dec. 18, 1990) is a bar to a proceeding for disbarment against
him, if such proceeding is based solely on the fact
The court may require applicant for reinstatement to of such conviction. (In re: Parcasio, A.C. No. 100,
enroll in and pass the required fourth year review Feb. 18, 1976)
classes in a recognized law school. (Cui v. Cui, In Re:
Resian A.C. No. 270, Mar. 1974) But where the proceeding to disbar is founded on
the professional misconduct involved in the
Q: What is the effect of reinstatement? transaction which culminated in his conviction,
the effect of the pardon is only to relieve him of
A: the penal consequences of his act and does not
1. Reinstatement to the roll of attorneys operate as a bar to the disbarment proceeding,
wipes out the restrictions and disabilities
128
LEGAL ETHICS TEAM:
Legal Ethics - Readmission to the Bar
inasmuch as the criminal acts may nevertheless C. READMISSION TO THE BAR OF LAWYERS WHO
constitute proof that the attorney does not HAVE BEEN REPATRIATED
possess good moral character. (In re: Lontok, 43
Phil. 293, Apr. 7, 1922) Q: What are the effects of loss and reacquisition
of Philippine citizenship?
Note: In the light of recent court pronouncements
that a lawyer may be disciplined even for non- A: The loss of Philippine citizenship ipso jure
professional misconduct, one may argue that a terminates the privilege to practice law in the
lawyer convicted of a crime involving moral Philippines.
turpitude, and subsequently receives absolute
pardon, may still be proceeded against under the
However, pursuant to R.A. No. 9225 of the
Code of Professional Responsibility even if the acts
of which he was found guilty did not involve
Citizenship Retention and Reacquisition Act of
professional misconduct (A modification of In Re 2003, “Filipino lawyer who becomes a citizen of
Lontok, supra). The ground for the petition for another country is deemed never to have lost his
disciplinary action under the Code must, however, Philippine citizenship IF HE REACQUIRES IT IN
not be founded alone on the conviction but must be ACCORDANCE WITH R.A. NO. 9225. Nevertheless,
based on the acts committed by the lawyer which his right to practice law DOES NOT
rendered him morally unfit to be a member of the AUTOMATICALLY ACCRUE. He must first secure
bar. (Aguirre, Legal and Judicial Ethics. A Pre-week authority from the Supreme Court upon
Reviewer, 2006 Edition) compliance with the following conditions:
Q: X, a member of the Bar, was charged with and 1. The updating and payment in full of
found guilty of estafa, for which he was annual membership dues in the IBP;
sentenced to suffer imprisonment and to 2. Payment of professional tax;
indemnify the offended party for the amount 3. Completion of at least 36 credit hours of
Involved. Not having taken an appeal from the mandatory continuing legal educations;
judgment of conviction, upon finality thereof he and
was taken into custody to serve sentence. A 4. Retaking of the lawyer’s oath
month after he was incarcerated, he was
granted pardon by the Chief Executive on Q: Dacanay practiced law until he migrated to
condition that he would not commit another Canada to seek medical attention to his
offense during the unserved portion of his prison ailments. He subsequently applied for Canadian
sentence. Soon after X’s release from custody citizenship to avail of Canada’s free medical aid
after being pardoned, the offended party in the program. His application was approved and he
criminal case filed a Complaint for Disbarment became a Canadian citizen. Dacanay later on
against X in the Supreme Court. X set up the reacquired his Philippine citizenship by virtue of
defense that having been pardoned by the Chief R.A. 9225.
Executive for which reason he was released from
imprisonment, he may not be disbarred from the Did Dacanay lose his membership in the
practice of law anymore. Is X’s contention Philippine bar when he gave up his Philippine
tenable? citizenship? Can he automatically practice law
upon reacquiring Filipino citizenship?
A: X’s contention is not tenable. He was granted
only a conditional pardon. Such conditional A: The Constitution provides that the practice of
pardon merely relieved him of the penal all professions in the Philippines shall be limited
consequences of his act but did not operate as a to Filipino citizens save in cases prescribed by law.
bar to his disbarment. Such pardon does not Since Filipino citizenship is a requirement for
reach the offense itself. Hence, it does not admission to the bar, loss thereof terminates
constitute a bar to his disbarment. (In re membership in the Philippine bar and,
Gutierrez, A.C. No. L-363, July 31, 1962; In re consequently, the privilege to engage in the
Avancena, A.C. No. 407, August 15, 1967). practice of law. In other words, the loss of Filipino
Furthermore, the acts of X leading to his citizenship ipso jure terminates the privilege to
conviction may be used to show that he does not practice law in the Philippines. The practice of law
possess the necessary requirement of good moral is a privilege denied to foreigners.
character for continued membership in the Bar
(In re Valloces, A.C. No. 439, September 30, 1982). The exception is when Filipino citizenship is lost
(1999 Bar Question) by reason of naturalization as a citizen of another
country but subsequently reacquired pursuant to
129
R.A. 9225. This is because “all Philippine citizens

who become citizens of another country shall be
deemed not to have lost their Philippine
citizenship under the conditions of R.A. 9225.”
Therefore, a Filipino lawyer who becomes a
citizen of another country is deemed never to
have lost his Philippine citizenship if he reacquires
it in accordance with R.A. 9225. Although he is
also deemed never to have terminated his
membership in the Philippine bar, no automatic
right to resume law practice accrues.
Before a lawyer who reacquires Filipino

citizenship pursuant to R.A. 9225 can resume his
law practice, he must first secure from the SC the
authority to do so, conditioned on:
1. The updating and payment in full of the

annual membership dues in the IBP;
2. The payment of professional tax;
3. The completion of at least 36 credit hours
of mandatory continuing legal education,
this is specially significant to refresh the
applicant/petitioner’s knowledge of
Philippine laws and update him of legal
developments; and
The retaking of the lawyer’s oath which will not

only remind him of his duties and responsibilities
as a lawyer and as an officer of the Court, but also
renew his pledge to maintain allegiance to the
Republic of the Philippines. (Petition for Leave to
Resume Practice of Law of Benjamin Dacanay,
B.M. No. 1678, Dec. 17, 2007)
130
LEGAL ETHICS TEAM:
Legal Ethics – Notarial Practice
Q: What are the classes of credits?

V. MANDATORY CONTINUING LEGAL
EDUCATION (MCLE) A:
1. Participatory credit – Attending approved
education activities like seminars,
A. PURPOSE conventions, symposia, and the like;
speaking or lecturing, or assigned as
panelist, reactor, or commentator, etc. in
Q: What is the purpose of Bar Matter 850 MCLE?
approved education activities; teaching in
law school or lecturing in bar review
A: MCLE is required of members of the IBP to
classes.
ensure that throughout their career, they keep
abreast with law and jurisprudence, maintain the
2. Non-participatory – Preparing, as author
ethics of the profession and enhance the
or co-author, written materials (article,
standards of the practice of law. (2003, 2006 Bar
book or book review) which contribute to
Questions)
the legal education of the author member,
which were not prepared in the ordinary
Q: What is the Composition of the Committee on
course of his practice or employment;
Mandatory Continuing Legal Education?
editing a law book, law journal or legal
newsletter.
A:
1. Composition:
C. COMPLIANCE
a. Retired Justice of the SC – Chairman,
nominated by the SC
Q: What constitutes non-compliance of MCLE?
b. IBP National President – Vice-Chair
c. 3 other members – nominated by the
A:
Philippine Judicial Academy, UP Law
1. Failure to complete education
Center and Association of Law
requirement within the compliance
Professors, respectively.
period;
2. Members are of proven probity and
2. Failure to provide attestation of
integrity
compliance or exemption;
3. Compensation as may be determined by
3. Failure to provide satisfactory evidence of
the SC.
compliance (including evidence of exempt
4. The initial terms of each of the 3 members
status) within the prescribed period;
shall be 5, 4, and 3 years respectively.
4. Failure to satisfy the education
requirement and furnish evidence of such
B. REQUIREMENTS
compliance within 60 days from receipt of
non-compliance notice;
Q: What are the requirements of completion of
5. Failure to pay non-compliance fee within
MCLE?
the prescribed period; or
6. Any other act or omission analogous to
A: Requirements of completion of MCLE:
any of the foregoing or intended to
Members of the IBP, unless exempted under Rule
circumvent or evade compliance with the
7, shall complete every 3 years at least 36 hours
MCLE requirements.
of continuing legal education activities. The 36
hours shall be divided as follows:
Note: Members failing to comply will receive a Non-
Compliance Notice stating the specific deficiency and
1. 6 hours – legal ethics
will be given 60 days from date of notification to file
2. 4 hours – trial and pretrial skills a response.
3. 5 hours – alternative dispute resolution
4. 9 hours – updates on substantive and D. EXEMPTIONS
procedural laws and jurisprudence
5. 4 hours – legal writing and oral advocacy Q: Who are the persons exempted from the
6. 2 hours – international law and MCLE?
international conventions
7. Remaining 6 hours – such other subjects A:
as may be prescribed by the Committee 1. The President, Vice-President and the
on MCLE. Secretaries and Undersecretaries of
Executive Departments;
131
2. Senators and Members of the House of accordance with procedure to be established by

Representatives; the Committee on MCLE.
3. The Chief Justice and Associate Justices of
the Supreme Court, incumbent and retired Note: Applications for exemption from or
members of the judiciary, incumbent modification of the MCLE requirement shall be
members of Judicial Bar Council, under oath and supported by documents.
incumbent members of the MCLE
Committee, incumbent court lawyers who E. SANCTIONS
have availed of the Philippine Judicial
Academy programs of continuing judicial Q: What are the consequences of non-
education (Amendment to Bar Matter 850, compliance?
Resolution of the Court En Banc, July 13,
2004); A: A member who fails to comply with the
4. The Chief State Counsel, Chief State requirements after the 60-day period shall be
Prosecutor and Assistant Secretaries of listed as delinquent member by the IBP Board of
the Dept. of Justice; Governors upon recommendation of the
5. The Solicitor General and the Assistant Committee on MCLE.
Solicitor General;
6. The Government Corporate Counsel, Note: The listing as a delinquent member is
Deputy and Assistant Government administrative in nature but shall be made with
Corporate Counsel; notice and hearing by the Committee on MCLE.
7. The Chairman and Members of the
B.M. No. 1922, which took effect on January 1, 2009,
Constitutional Commissions;
requires practicing members of the bar to indicate in
8. The Ombudsman, the Overall Deputy
all pleadings filed before the courts or quasi-judicial
Ombudsman, the Deputy Ombudsmen bodies, the number and date of issue of their MCLE
and the Special Prosecutor of the Office of Certificate of Compliance or Certificate of
the Ombudsman; Exemption, as may be applicable, for the
9. Heads of government agencies exercising immediately preceding compliance period. Failure
quasi-judicial functions; to disclose the required information would cause the
10. Incumbent deans, bar reviewers and dismissal of the case and the expunction of the
professors of law who have teaching pleadings from the records.
experience for at least 10 years in
accredited law schools;
11. The Chancellor, Vice-Chancellor and
members of the Corps of Professional and
Professorial Lecturers of the Philippine
Judicial Academy; and
12. Governors and Mayors. (2006 Bar
Question)
Other parties exempted:

1. Those who are not in law practice, private
or public;
2. Those who have retired from law practice
with the approval of the IBP Board of
Governors.
Q: May a member of the bar not included in the

enumeration ask for exemption?
A: Yes, if there is a good cause for exemption

from or modification of requirement. A member
may file a verified request setting forth good
cause for exemption (such as physical disability,
illness, post-graduate study abroad, proven
expertise in law, etc.) from compliance with or
modification of any of the requirements,
including an extension of time for compliance, in
132
LEGAL ETHICS TEAM:
Q: Is a lawyer always a notary public?

VI. NOTARIAL PRACTICE
(1996, 2005, 2007 Bar Question) A: No. Not every member of the Bar is a notary
public because a lawyer requires a commission of
appointment to be designated as a notary public.
Q: What is the purpose of notarial law (A.M. No.
02-8-13-SC)? Note: Notarization is not an empty, meaningless,
routinary act. It is invested with substantive public
interest, such that only those who are qualified or
A:
authorized may act as notaries public. For this
1. To promote, serve, and protect public
reason notaries public must observe with utmost
interest;
care the basic requirements in the performance of
2. To simplify, clarify, and modernize the their duties. Otherwise, the confidence of the public
rules governing notaries public; and in the integrity of this form of conveyance would be
3. To foster ethical conduct among notaries undermined. (Vda. De Rosales v. Ramos, A.C. No.
public. (Sec. 2, Rule I, A.M. No. 02-8-13-SC) 5645, July 2, 2002)
A. QUALIFICATIONS OF NOTARY PUBLIC Q: What are the 2 kinds of duties imposed by

law to a notary public?
Q: Who is a notary public?
A:
A: A person appointed by the court whose duty is 1. Execution of formalities required by law;
to attest to the genuineness of any deed or and
writing in order to render them available as 2. Verification of the capacity and identity of
evidence of facts stated therein and who is the parties as well as the legality of the act
authorized by the statute to administer various executed.
oaths.
Q: What are the duties of a notary public?
Note: “Notary Public" and "Notary" refer to any
person commissioned to perform official acts under
the rules on Notarial Practice. (Sec. 9, Rule II, A.M. A:
No. 02-8-13-SC) 1. To keep a notarial register;
2. To make the proper entry or entries in his
Q. What must one possess to qualify as a notary notarial register touching his notarial acts
public? in the manner required by the law;
3. To send the copy of the entries to the
A: To be eligible for commissioning as notary proper clerk of court within the first 10
public, the petitioner must be: days of the month next following;
4. To affix to acknowledgments the date of
1. A citizen of the Philippines; expiration of his commission, as required
by law;
2. Over 21 years of age; 5. To forward his notarial register, when
filled, to the proper clerk of court;
3. A resident in the Philippines for at least 1 6. To make report, within reasonable time to
year and maintains a regular place of work the proper judge concerning the
or business in the city or province where performance of his duties, as may be
the commission is to be issued; required by such judge;
7. To make the proper notation regarding
4. A member of the Philippine Bar in good residence certificates. (Sec. 240, Rev. Adm.
standing with clearances from the Office Code) (1995 Bar Question)
of the Bar Confidant of the Supreme Court
and the Integrated Bar of the Philippines; Q. Must a notary public always be a lawyer?
and
A.
5. Has not been convicted in the first GR: Yes. Only those admitted to the practice of
instance of any crime involving moral law are qualified to be notaries public.
turpitude. (second par., Sec. 1, Rule III,
2004 Rules on Notarial Practice, A.M. No. XPN: When there are no persons with the
02-8-13-SC) necessary qualifications or where there are
qualified persons but they refuse appointment.
133
In which case, the following persons may be Q: Vicente Batic charged Judge Victorio Galapon
appointed as notaries: Jr. with engaging in unauthorized notarial
1. Those who passed the studies of law in practice for having notarized a Deed of Absolute
a reputable university; or Sale between Antonio Caamic and Lualhati
2. A clerk or deputy clerk of court for a Ellert. Under the deed of sale, Lualhati Ellert,
period of not less than two years. was described as single. At the time of Galapon’s
notarization of the Deed of Sale, there was a
Q: Can an RTC judge notarize a document? notary public in Dulag, Leyte.
A: No. Section 35, Rule 138, of the Revised Rules Judge Galapon claims that he did not prepare
of Court as well as Canon 5, Rule 5.07 of the Code the document and that his participation was
of Judicial Conduct provides that no judge or limited to its acknowledgment, for which the
other official or employee of the superior courts corresponding fee was collected by and paid to
shall engage in private practice as a member of the clerk of court. Are MTC judges like Judge
the bar or give professional advice to clients. Galapon absolutely prohibited from acting as
Notarization of documents is considered a notaries public?
practice of law.
A: No. While Judge Galapon explains that he
It is based on sound reasons of public policy, for sincerely believed that when no notary public is
there is no question that the rights, duties, available, the MTC may act as ex-officio notary
privileges and functions of the office of an public, provided the fees shall be for the
attorney-at-law are so inherently incompatible government, such is not enough to exonerate him
with the high official functions, duties, powers, from liability. His acts do not fall under the
discretions and privileges of a judge of the exception because at the time of his notarization
Regional Trial Court. This rule makes it obligatory of the Deed of Sale, there was a notary public in
upon the judicial officers concerned to give their Dulag, Leyte. (Vicente Batic v. Judge Victorio
full time and attention to their judicial duties, Galapon Jr., A.M. No. MTJ-99-1239, July 29, 2005)
prevent them from extending special favors for
their own private interests and assure the public Q: Is the authority of MTC judges to notarize
of impartiality in the performance of their limited to their sala?
functions.
A: Yes. Their authority to notarize is limited to
Q: Are MTC judges prohibited from acting as their sala.
notary public?
Q: Can a judge of another town notarize the
A: No. MTC and MCTC judges may act as notaries complaint to be filed in another town?
public ex-officio in the notarization of documents
connected only with the exercise of their official A: No. It is considered as a practice of law.
functions and duties. They may not, as notaries
public ex-officio, undertake the preparation and Q: Can a clerk of court notarize a document?
acknowledgment of private documents, contracts
and other acts of conveyances which bear no A: Yes. A clerk of court can notarize a document
direct relation to the performance of their provided he is commissioned and has been
functions as judges. permitted by his superior. Such consent is
necessary because the act of notarizing a
However, MTC and MCTC judges assigned to document is a practice of law.
municipalities or circuits with no lawyers or
notaries public may, in the capacity as notaries Q: What are the rules with regard to fees that a
public ex-officio, perform any act within the notary public may charge?
competence of a regular notary public, provided A:
that: 1. For performing a notarial act, a notary
1. All notarial fees charged be for the public may charge the maximum fee as
account of the Government and turned prescribed by the Supreme Court unless
over to the municipal treasurer; and he waives the fee in whole or in part (Sec.
2. Certification be made in the notarized 1, Rule V, A. M. 02-8-13-SC);
documents attesting to the lack of any 2. A notary public may charge travel fees and
lawyer or notary public in such expenses separate and apart from the
municipality or circuit. notarial fees when traveling to perform a
134
LEGAL ETHICS TEAM:
notarial act if the notary public and the of the commission as notary public must not be
person requesting the notarial act agree treated as a mere casual formality. In fact, Juan’s
prior to the travel (Sec. 2, Rule V, A. M. 02- act also constitutes falsification of public
813-SC); document.
3. No fee or compensation of any kind,
except those expressly prescribed and Q: What is a commission?
allowed herein, shall be collected or
received for any notarial service (Sec. 3, A: It refers to the grant of authority to perform
Rule V, A. M. 02-813-SC); notarial acts and to the written evidence of the
4. A notary public shall not require payment authority (Sec. 3, Rule II, A.M. 02-8-13-SC).
of any fees specified herein prior to the
performance of a notarial act unless Q: Who issues a notarial commission?
otherwise agreed upon( first par., Sec. 4,
Rule V, A. M. 02-813-SC); A: A notarial commission may be issued by an
5. Any travel fees and expenses paid to a Executive Judge to any qualified person who
notary public prior to the performance of submits a petition in accordance with the Rules
a notarial act are not subject to refund if on Notarial Practice. (first par., Sec. 1, Rule III,
the notary public had already traveled but A.M. No. 02-8-13-SC)
failed to complete in whole or in part the
notarial act for reasons beyond his control Q: What is the form of the petition and
and without negligence on his part supporting documents for a notarial
(second par., Sec. 4, Rule V, A. M. 02-813- commission?
SC).
A: Every petition for a notarial commission shall
Note: A notary public who charges fee for notarial be in writing, verified, and shall include the
services shall issue a receipt registered with the following:
Bureau of Internal revenue and keep a journal of
notarial fees. He shall enter in the journal all fees 1. A statement containing the petitioner's
charges for services rendered. personal qualifications, including the
petitioner's date of birth, residence,
A notary public shall post in a conspicuous place in telephone number, professional tax
his office a complete schedule of chargeable notarial
receipt, roll of attorney's number and IBP
fees. (Sec. 5, Rule V, A. M. 02-813-SC)
membership number;
2. Certification of good moral character of
B. TERM OF OFFICE OF A NOTARY PUBLIC
the petitioner by at least 2 executive
officers of the local chapter of the
Q: What is the term of office of a notary public?
Integrated Bar of the Philippines where he
is applying for commission;
A: A notary public may perform notarial acts for a
3. Proof of payment for the filing of the
period of 2 years commencing the 1st day of
petition as required by the Rules on
January of the year in which the commissioning is
Notarial Practice; and
made, unless earlier revoked or the notary public
4. Three passport-size color photographs
has resigned under the Rules on Notarial Practice
with light background taken within 30
and the Rules of Court.(Section 11, Rule III,A.M.
days of the application. The photograph
No. 02-8-13-SC) (1995 Bar Question)
should not be retouched. The petitioner
shall sign his name at the bottom part of
Q: Juan dela Cruz was commissioned as a notary
the photographs. (Sec. 2,Rule III, A.M. No.
public in 2001. His friend asked him to notarize a
02-8-13-SC)
deed of absolute sale sometime in 2004, to
which he agreed free of charge. A complaint for
Note: Every petitioner for a notarial commission
malpractice was filed against him. Is Juan dela shall pay the application fee as prescribed in the
Cruz guilty of malpractice? Rules of Court. (Sec. 3, Rule III, A.M. No. 02-8-13-SC)
A: Yes. Absent any showing that his notarial Q: Before the Executive Judge shall conduct a
commission has been renewed, his act constitutes summary hearing on the petition, what
malpractice because at the time he notarized the requirements must be met?
document, his notarial commission has already
expired. It is not a defense that no payment has
been received. The requirement for the issuance
135
A: Note: The Executive Judge shall, upon payment of

1. The petition is sufficient in form and the application fee, act on an application for renewal
substance; of a commission within thirty (30) days from receipt
2. The petitioner proves the allegations thereof. If the application is denied, the Executive
contained in the petition; and Judge shall state the reasons therefor. (Sec. 14, Rule
3. The petitioner establishes to the III, A.M. No. 02-8-13-SC)
satisfaction of the Executive Judge that he
has read and fully understood the Rules C. POWERS AND LIMITATIONS OF A NOTARY
on Notarial Practice. PUBLIC
Note:: The Executive Judge shall forthwith issue Note: “Notarial Act” and “Notarization” refer to any
a commission and a Certificate of Authorization act that a notary public is empowered to perform
to Purchase a Notarial Seal in favor of the under these Rules. (Sec. 7, Rule II, A.M. 02-8-13-SC)
petitioner. (Sec. 4, Rule III, A.M. No. 02-8-13-SC)
Q: What are the powers of a notary public?
Note: Any person who has any cause or reason to
object to the grant of the petition may file a verified A: A notary public is empowered to perform the
written opposition thereto. The opposition must be following notarial acts: JAO-CAS
received by the Executive Judge before the date of 1. Acknowledgements;
the summary hearing.(Sec. 6, Rule III, A.M. No. 02-8- 2. Oaths and affirmations;
13-SC) 3. Jurats;
4. Signature witnessings;
Note: The commissioning of a notary public shall be 5. Copy certifications; and
in a formal order signed by the Executive Judge. (Sec. 6. Any other act authorized by these rules
7, Rule III, A.M. No. 02-8-13-SC) (Section 1(a), Rule IV, A.M. No. 02-8-13-SC)
Note: Every person commissioned as notary Acknowledgements

public shall have only one official seal of office.
(Sec. 10, Rule III, A.M. No. 02-8-13-SC) Q: What is an acknowledgement?
Q: What must a notary public do when his A: Acknowledgment refers to an act in which an
commission expires? individual on a single occasion:
A: A notary public may file a written application 1. Appears in person before the notary
with the Executive Judge for the renewal of his public and presents an integrally complete
commission within 45 days before the expiration instrument or document;
thereof. A mark, image or impression of the seal
of the notary public shall be attached in the Note: A notary public cannot perform a
application. (first par., Sec. 13, Rule III, A.M. No. notarial act over a document that has
02-8-13-SC) missing pages, or that contains blanks that
should be filled-in prior to the notarial act.
Note: If a person is applying for a commission for the
first time, what he files is a petition and not an 2. Is attested to be personally known to the
application. notary public or identified by the notary
public through competent evidence of
Q: what is the effect of failure of the notary identity as defined by the Rules on
public to file an application for the renewal of Notarial Practice; and
his commission?
3. Represents to the notary public that the
A: Failure to file said application will result in the signature on the instrument or document
deletion of the name of the notary public in the was voluntarily affixed by him for the
register of notaries public. (second par., Sec. 13, purposes stated in the instrument or
Rule III, A.M. No. 02-8-13-SC) document, declares that he has executed
the instrument or document as his free
Note: The notary public thus removed from the
and voluntary act and deed, and, if he acts
Register of Notaries Public may only be
in a particular representative capacity,
reinstated therein after he is issued a new
commission. (third par., Sec. 13, Rule III, A.M.
that he has the authority to sign in that
No. 02-8-13-SC) capacity. (Sec. 1, Rule II, A.M. 02-8-13-SC)
136
LEGAL ETHICS TEAM:
Q: Cabanilla filed a complaint against Atty. AN ACT REORGANIZING AND

Cristal-Tenorio with the IBP, alleging that he STRENGTHENING THE PUBLIC ATTORNEY'S
never appeared before her when she notarized OFFICE (PAO), AMENDING FOR THE PURPOSE
the deed of sale of his house, and that the PERTINENT PROVISIONS OF EXECUTIVE ORDER
signatures appearing opposite their respective NO. 292, OTHERWISE KNOWN AS THE
names were forgeries. Did Atty. Cristal-Tenorio "ADMINISTRATIVE CODE OF 1987", AS
fail to comply with the mandates of the law AMENDED, GRANTING SPECIAL ALLOWANCE TO
when she notarized the deed of sale without the PAO OFFICIALS AND LAWYERS, AND PROVIDING
complainant and his children? Does such failure FUNDS THEREFOR
warrant the revocation of her notarial
commission? Section 8. Sections 41 and 42, Chapter 10, Book I
of the same Code, as amended, is hereby further
A: Yes. Under Section 1(a) of Act 2103, a notary amended to read as follows:
public taking the acknowledgment in a document
or instrument is mandated to certify that the Q: Who are the officers authorized to administer
person acknowledging the instrument or oaths?
document is known to him and that he is the
same person who executed it and acknowledged A: The following officers have general authority to
that the same is his free act and deed. To administer oaths:
"acknowledge before" means to avow; to own as 1. President;
genuine, to assert, to admit; and "before" means 2. Vice-President;
in front or preceding in space or ahead of. A party 3. Members and Secretaries of both Houses
acknowledging must appear before the notary of the Congress;
public. A notary public should not notarize a 4. Members of the Judiciary;
document unless the persons who signed the 5. Secretaries of Departments;
same are the very same persons who executed 6. provincial governors and lieutenant-
and personally appeared before the said notary governors;
public to attest to the contents and truth of what 7. City mayors;
are stated therein. The presence of the parties to 8. Municipal mayors;
the deed making the acknowledgment will enable 9. Bureau directors;
the notary public to verify the genuineness of the 10. Regional directors;
signature of the affiant. A notary public is 11. Clerk of courts;
enjoined from notarizing a fictitious or spurious 12. Registrars of deeds;
document. The function of a notary public is, 13. Other civilian officers in the public service
among others, to guard against any illegal deed. of the government of the Philippines
(Cabanilla v. Cristal-Tenorio, A.C. No. 6139, Nov. whose appointments are vested in the
11, 2003) President and are subject to confirmation
by the Commission on Appointments;
Oaths and Affirmations 14. All other constitutional officers;
15. PAO lawyers in connection with the
Q: What is affirmation or oath? performance of duty; and
16. notaries public.” (Sec. 41)
A: It refers to an act in which an individual on a
single occasion: Q: What is the rule regarding the duty to
1. Appears in person before the notary administer oaths?
public;
2. Is personally known to the notary public A: Officers authorized to administer oaths, with
or identified by the notary public through the exception of notaries public, municipal judges
competent evidence of identity as defined and clerks of court, are not obliged to administer
by the Rules on Notarial Practice; and oaths or execute certificates save in matters of
3. Avows under penalty of law to the whole official business or in relation to their functions as
truth of the contents of the instrument or such; and with the exception of notaries public,
document. (Sec. 2,Rule II,A.M. No. 02-8- the officer performing the service in those
13-SC) matters shall charge no fee, unless specifically
authorized by law. (Section 42)
Republic Act No. 9406. Note: P.A.O. Lawyers now have the authority to
March 23, 2007. administer oaths, provided it is in connection with
the performance of their duties.
137
The fiscal or the state prosecutor has the authority same person who
to administer oaths. (R.A. No. 5180, as amended by executed it and
P.D. 911) acknowledged that
Jurats the same is his free
act and deed.
Q: What is a jurat? Two-fold purpose: to
authorize the deed to
A: It refers to an act in which an individual on a be given in evidence Purpose:
single occasion: without further proof Gives the document a
1. Appears in person before the notary of its execution, and, legal character.
public and presents an instrument or to entitle it to be
document; recorded.
2. Is personally known to the notary public Where used: Where used:
or identified by the notary public through 1. To authenticate an 1. Affidavits;
competent evidence of identity as defined agreement between 2. certifications;
by the Rules on Notarial Practice; two or more persons; 3. Whenever the
3. Signs the instrument or document in the or person executing
presence of the notary; and 2. Where the makes a statement of
4. Takes an oath or affirmation before the document contains a facts or attests to the
notary public as to such instrument or disposition of truth of an event,
document. (Sec. 6, Rule II, A.M. 02-8-13- property. under oath.
SC) E.g. An affidavit
E.g. The
subscribed before a
Note: A jurat is not a part of a pleading but merely acknowledgement in
notary public or public
evidences the fact that the affidavit was properly a deed of lease of
official authorized for
made. The claim or be.lief of Atty. Dela Rea that the land.
the purpose.
presence of petitioner Gamido was not necessary for
the jurat because it is not an acknowledgment is
patently baseless. If this had been his belief since he Note: If a document is certified by way of jurat,
was first commissioned as a notary public, then he instead of acknowledgement, the document is a
has been making a mockery of the legal solemnity of private one. Hence, to be admissible as evidence,
an oath in a jurat. Notaries public and others the same must be offered and proven in accordance
authorized by law to administer oaths or to take with the Rules on Evidence.
acknowledgments should not take for granted the
solemn duties appertaining to their offices. Such Signature Witnessing
duties are dictated by public policy and are
impressed with public interest. (Gamido v. Bilibid Q: What is signature witnessing?
Prisons Officials, G.R. No. 114829, Mar. 1, 1995)
A: It refers to a notarial act in which an individual
Q: Distinguish acknowledgement from jurat. on a single occasion:
A: 1. Appears in person before the notary

ACKNOWLEDGMENT JURAT public and presents an instrument or
Act of one who has document;
executed a deed, in 2. Is personally known to the notary public
going to some That part of an or identified by the notary public through
competent officer or affidavit in which the competent evidence of identity as defined
court and declaring it notary public or by the Rules on Notarial Practice; and
to be his act or deed. officer certifies that 3. Signs the instrument or document in the
the instrument was presence of the notary public. (Sec. 14,
The notary public or sworn to before him. Rule II, A. M. No. 02-8-13-SC)
officer taking the
acknowledgement It is not part of a Q: Is a notary public authorized to certify the
shall certify that the pleading but merely affixing of a signature by thumb or other mark
person evidences the fact on an instrument or document presented for
acknowledging the that the affidavit was notarization?
instrument or properly made.
document is known A: Yes. It is also within the powers of a notary
to him and he is the public, provided:
138
LEGAL ETHICS TEAM:
1. The thumb or other mark is affixed in the Note: The document copied must be an original
presence of the notary public and of two document. It cannot be a copy itself.
(2) disinterested and unaffected witnesses
to the instrument or document; Q: How should a notary public notarize a paper
2. Both witnesses sign their own names in instrument or document?
addition to the thumb or other mark;
3. The notary public writes below the thumb A: In notarizing a paper instrument or document,
or other mark: “thumb or other mark a notary public shall:
affixed by (name of signatory by mark) in 1. Sign by hand on the notarial certificate
the presence of (names and addresses of only the name indicated and as appearing
witnesses) and undersigned notary on the notary's commission;
public”, and 2. Not sign using a facsimile stamp or
4. The notary public notarizes the signature printing device; and
by thumb or other mark through an 3. Affix his official signature only at the time
acknowledgment, jurat or signature the notarial act is performed.(Sec. 1, Rule
witnessing. (Sec. 1(b), Rule IV, A.M. No. VII, A.M. 02-8-13-SC)
02-8-13-SC) (1995 Bar Question)
Q: What are the effects of notarization?
Q: Is a notary public authorized to sign on behalf
of a person who is physically unable to sign or A:
make a mark on an instrument or document? 1. The notary, in effect, proclaims to the
world that:
A: Yes. It likewise falls within the powers of a
notary public, provided: a. All the parties therein personally
appeared before him;
1. The notary public is directed by the person b. They are personally known to him;
unable to sign or make a mark to sign on c. They are the same persons who
his behalf; executed the instrument;
2. The signature of the notary public is d. He inquired into the voluntariness of
affixed in the presence of 2 disinterested the execution of the instrument;
and unaffected witnesses to the e. They acknowledge personally before
instrument or document; him that they voluntarily and freely
3. Both witnesses sign their own names; executed the same.
4. The notary public writes below his
signature: “Signature affixed by notary in 2. Converts a private document into a public
the presence of (names and addresses of one and renders it admissible in court
person and 2 witnesses)”, and without further proof of its authenticity.
5. The notary public notarizes his signature
by acknowledgment or jurat. (Sec. 1(c), 3. Documents enjoy a presumption of
Rule IV, A.M. 02-8-13-SC) (1995 Bar regularity. It constitutes prima facie
Question) evidence of the facts which give rise to
their execution and of the date of said
Copy Certifications execution, but not of the truthfulness of
the statement.
Q: What is copy certification?
Note: The reason for the presumption is that the law
A: It refers to a notarial act in which a notary assumes that the act which the officer witnessed
public: and certified to or the date written by him are not
1. Is presented with an instrument or shown to be false since notaries are public officers.
document that is neither a vital record, a
public record, nor publicly recordable; Note: A notarial document is by law entitled to full
faith and credit upon its face and, for this reason,
2. Copies or supervises the copying of the
notaries public must observe with utmost care the
instrument or document;
basic requirements in the performance of their
3. Compares the instrument or document duties, lest, the confidence of the public in the
with the copy; and integrity of the document will be undermined.
4. Determines that the copy is accurate and
complete. (Sec. 4, Rule II, A.M. 02-8-13-SC)
139
Q: What is a notarial certificate? notary public through competent

evidence of identity as defined by the
A: It refers to the part of, or attachment to a Rules on Notarial Practice. (Sec.
notarized instrument or document that is 2(b)(2), Rule IV, A.M. No. 02-8-13-SC)
completed by the notary public which bears the c. The document is blank or incomplete;
notary's signature and seal, and states the facts (Sec.6(a) Rule IV, A.M. 02-8-13-SC)
attested to by the notary public in a particular d. An instrument or document is
notarization as provided for by the Rules on without appropriate notarial
Notarial Practice. (Sec. 8, Rule II, A. M. No. 02-8- certification. (Sec. 6, Rule IV, A.M. 02-
13) 8-13-SC)
Note: “Loose notarial certificate” refers to a notarial Q: Engineer Cynthia de la Cruz Catalya filed an
certificate that is attached to a notarized instrument application for building permit in connection
or document. with the renovation of a building situated on a
lot owned by her brother Rolando de la Cruz.
Note: "Official seal" or "seal" refers to a device for One of the documents required in the processing
affixing a mark, image or impression on all papers of the application was an affidavit to be
officially signed by the notary public conforming the executed by the lot owner. Since Rolando de la
requisites prescribed by the Rules on Notarial
Cruz was a resident abroad, an affidavit was
Practice. (Sec. 13,Rule II, A.M. No. 02-8-13-SC)
prepared wherein it was made to appear that he
was a resident of Leyte; that he was the owner
Q: What must the notarial certificate contain?
of the lot whereon the building subject of the
application for the issuance of a building permit
A:
was situated.
1. The name of the notary public as exactly
indicated in the commission;
Atty. Francisco Villamor notarized the purported
2. The serial number of the commission of
affidavit. According to him, a Chinese mestizo
the notary public;
appeared in his law office one time, requesting
3. The words "Notary Public" and the
that his affidavit be notarized. Said person
province or city where the notary public is
declared that he was Rolando de la Cruz.
commissioned, the expiration date of the
Atty. Villamor then asked for the production of
commission, the office address of the
his residence certificate, but he said, he did not
notary public; and
bother to bring the same along with him
4. The roll of attorney's number, the
anymore as, he has already indicated his serial
professional tax receipt number and the
number, in the jurat portion together with the
place and date of issuance thereof, and
date of issue and place of issue. Did Atty.
the IBP membership number. (Sec. 2, Rule
Francisco Villamor commit a violation of notarial
VIII, A.M. 02-8-13-SC)
law?
Note: A notary public shall not:
a. execute a certificate containing information A: Yes. It is the duty of the notarial officer to
known or believed by the notary to be false. demand that the document presented to him for
b. affix an official signature or seal on a notarization should be signed in his presence. By
notarial certificate that is incomplete. his admission, the affidavit was already signed by
the purported affiant at the time it was presented
Q: What are the limitations to the performance to him for notarization. Atty. Villamor thus failed
of a notarial act of a notary public? to heed his duty as a notary public to demand
that the document for notarization be signed in
A: A person shall not perform a notarial act if: his presence. (Traya Jr. v. Villamor, A.C. No. 4595,
Feb. 6, 2004)
1. The person involved as signatory to the
instrument or document is: Q: During their lifetime, the Spouses Villanueva
acquired several parcels of land. They were
a. Not in the notary's presence survived by their 5 children: Simeona, Susana,
personally at the time of the Maria, Alfonso, and Florencia.
notarization; and (Sec. 2(b)(1), Rule
IV, A.M. No. 02-8-13-SC) Alfonso executed an Affidavit of Adjudication
b. Not personally known to the notary stating that as “the only surviving son and sole
public or otherwise identified by the heir” of the spouses, he was adjudicating to
140
LEGAL ETHICS TEAM:
himself a parcel of land. Thereafter, he executed 3. Is a spouse, common-law partner,

a Deed of Absolute Sale, conveying the property ancestor, descendant, or relative by
to Adriano Villanueva. Atty. Salud affinity or consanguinity of the principal
Beradio appeared as notary public on both the within the fourth civil degree. (Sec. 3, Rule
affidavit of adjudication and the deed of sale. IV, A.M. No. 02-8-13-SC) (1995 Bar
Atty. Beradio knew of the falsity of Alfonso’s Question)
statement.
Note: The function of a notary public is, among
Florencia and descendants of the other children others, to guard against any illegal or immoral
of the spouses were still alive at the time of arrangements. That function would be defeated if
execution of both documents. Was there a the notary public is one of the signatories to the
failure to discharge properly the duties of a instrument. For then, he would be interested in
notary public? sustaining the validity thereof as it directly involves
himself and the validity of his own act. It would place
A: Yes. Atty. Beradio’s conduct breached the Code him in an inconsistent position, and the very purpose
of the acknowledgment, which is to minimize fraud,
of Professional Responsibility, which requires
would be thwarted. (Villarin v. Sabate, A.C. No. 3224,
lawyers to obey the laws of the land and promote
Feb. 9, 2000)
respect for the law and legal processes as well as
Rule 1.01 of the Code which proscribes lawyers
Q: When may a notary public refuse to notarize
from engaging in unlawful, dishonest, immoral, or
even if the appropriate fee is tendered?
deceitful conduct.
A:
She herself admitted that she knew of the falsity
1. The notary knows or has good reason to
of Alfonso’s statement that he was the “sole heir”
believe that the notarial act or transaction
of the spouses. She therefore notarized a
is unlawful or immoral;
document while fully aware that it contained a
2. The signatory shows a demeanor which
material falsehood. The affidavit of adjudication is
engenders in the mind of the notary public
premised on this very assertion. By this
reasonable doubt as to the former's
instrument, Alfonso claimed a portion of his
knowledge of the consequences of the
parents’ estate all to himself, to the exclusion of
transaction requiring a notarial act;
his co-heirs. Shortly afterwards, Atty. Beradio
3. In the notary's judgment, the signatory is
notarized the deed of sale, knowing that the deed
not acting of his or her own free will; (Sec.
took basis from the unlawful affidavit of
4, Rule V, A.M. No. 02-8-13-SC) or
adjudication. (Heirs of the Late Spouses Lucas v.
4. If the document or instrument to be
Atty. Beradio, A.C. No. 6270, Jan. 22, 2007)
notarized is considered as an improper
document by the Rules on Notarial
Note: Where admittedly the notary public has
personal knowledge of a false statement or
Practice.
information contained in the instrument to be
Note: Improper instrument/document is a blank or
notarized, yet proceeds to affix his or her notarial
incomplete instrument or an instrument or
seal on it, the court must not hesitate to discipline
the notary public accordingly as the circumstances of document without appropriate notarial certification.
the case may dictate. Otherwise, the integrity and (Sec. 6, Rule V, A.M. No. 02-8-13-SC)
sanctity of the notarization process may be
undermined and public confidence on notarial D. NOTARIAL REGISTER
documents diminished. (Ibid)
Q: What is a Notarial Register?
Q: When is a notary public disqualified from
performing a notarial act? A: It refers to a permanently bound book with
numbered pages containing a chronological
A: When the notary public: record of notarial acts performed by a notary
1. Is a party to the instrument or document public.(Sec. 5, Rule II, A.M. No. 02-8-13-SC)
that is to be notarized;
2. Will receive, as a direct or indirect result, Q: What is the form of notarial register?
any commission, fee, advantage, right,
title, interest, cash, property, or other A: A notary public shall keep, maintain, protect
consideration, except as provided by the and provide for lawful inspection as provided in
Rules on Notarial Practice and by law; or these Rules, a chronological official notarial
141
register of notarial acts consisting of a reasons and circumstances for not

permanently bound book with numbered pages. completing a notarial act (Sec. 2(b), Rule
VI, A.M. No. 02-8-13-SC)
The register shall be kept in books to be furnished
by the Solicitor General to any notary public upon c. the circumstances of any request to
request and upon payment of the cost thereof. inspect or copy an entry in the notarial
The register shall be duly paged, and on the first register, including the requester's name,
page, the Solicitor General shall certify the address, signature, thumbmark or other
number of pages of which the book consists. recognized identifier, and evidence of
identity. (Sec.2(c),Rule VI, A.M. No. 02-8-
For purposes of this provision, a Memorandum of 13-SC)
Agreement or Understanding may be entered into
by the Office of the Solicitor General and the Note: The reasons for refusal to allow
Office of the Court Administrator. (Sec. 1(a), Rule inspection or copying of a journal entry
VI, A.M. No. 02-8-13-SC) shall also be recorded. (Ibid.)
Q: How many notarial register may a notary d. When the instrument or document is a
public keep? contract, keep an original copy thereof as
part of his records and enter in said
A: A notary public shall keep only one active records a brief description of the
notarial register at any given time. (Sec. 1(b), Rule substance thereof and shall give to each
VI, A.M. No. 02-8-13-SC) entry a consecutive number, beginning
with number one in each calendar year.
Q: What information should be entered in the (Sec.2(d),Rule VI, A.M. No. 02-8-13-SC)
notarial register?
Note: He shall also retain a duplicate
A: original copy for the Clerk of Court.
a. For every notarial act, the notary shall (Ibid.)
record in the notarial register at the time
of notarization the following: e. In case of a protest of any draft, bill of
exchange or promissory note, make a full
1. the entry number and page number; and true record of all proceedings in
2. the date and time of day of the relation thereto and shall note therein
notarial act; whether the demand for the sum of
3. the type of notarial act; money was made, by whom, when, and
4. the title or description of the where; whether he presented such draft,
instrument, document or proceeding; bill or note; whether notices were given,
5. the name and address of each to whom and in what manner; where the
principal; same was made, when and to whom and
6. the competent evidence of identity where directed; and of every other fact
as defined by these Rules if the touching the same. (Sec. 2(f), Rule VI, A.M.
signatory is not personally known to No. 02-8-13-SC)
the notary;
7. the name and address of each f. At the end of each week, the notary public
credible witness swearing to or shall certify in his notarial register the
affirming the person's identity; number of instruments or documents
8. the fee charged for the notarial act; executed, sworn to, acknowledged, or
9. the address where the notarization protested before him; or if none, this
was performed if not in the notary's certificate shall show this fact. (Sec. 2(g),
regular place of work or business; Rule VI, A.M. No. 02-8-13-SC)
and
10. any other circumstance the notary Note: A certified copy of each month's entries and a
duplicate original copy of any instrument
public may deem of significance or
acknowledged before the notary public shall, within
relevance.(Sec. 2(a), Rule VI, A.M. No.
the first ten (10) days of the month following, be
02-8-13-SC) forwarded to the Clerk of Court and shall be under
the responsibility of such officer. If there is no entry
b. In case of failure to complete a notarial to certify for the month, the notary shall forward a
act, record in the notarial register the statement to this effect in lieu of certified copies
142
LEGAL ETHICS TEAM:
herein required. (Sec. 2(h), Rule VI, A.M. No. 02-8-13- any person applying for such copy upon payment of
SC) the legal fees. (Sec. 6, Rule VI, A. M. No. 02-8-13-
SC)
Note: The notary public shall give to each instrument
or document executed, sworn to, or acknowledged Q: May a notary public refuse the request of
before him a number corresponding to the one in his inspection for register of deeds?
register, and shall also state on the instrument or
document the page/s of his register on which the A: Yes. if the notary public has a reasonable
same is recorded. No blank line shall be left between
ground to believe that a person has a criminal
entries. (Sec. 2(e), Rule VI, A.M. No. 02-8-13-SC)
intent or wrongful motive in requesting
information from the notarial register, the notary
Q: Who shall sign or affix a thumbmark in the
shall deny access to any entry or entries therein.
notarial register?
(Sec. 4(c), Rule VI, A. M. No. 02-8-13-SC)
A: At the time of notarization, the notary's
Q: State the rule in case of loss, destruction or
notarial register shall be signed or a thumb or
damage of notarial register.
other mark affixed by each:
a. principal;
A:
b. credible witness swearing or affirming
1. In case the notarial register is stolen, lost,
to the identity of a principal; and
destroyed, damaged, or otherwise
c. witness to a signature by thumb or
rendered unusable or illegible as a record
other mark, or to a signing by the
of notarial acts, the notary public shall,
notary public on behalf of a person
within ten (10) days after informing the
physically unable to sign. Sec. 3,Rule VI,
appropriate law enforcement agency in
A.M. No. 02-8-13-SC)
the case of theft or vandalism, notify the
Executive Judge by any means providing a
Q: Can any person inspect an entry in the
proper receipt or acknowledgment,
notarial register?
including registered mail and also provide
a copy or number of any pertinent police
A: Yes, provided:
report.
1. The inspection is made in the notary’s
presence;
2. Upon revocation or expiration of a notarial
2. During regular business hours
commission, or death of the notary public,
3. The person's identity is personally known
the notarial register and notarial records
to the notary public or proven through
shall immediately be delivered to the
competent evidence of identity as defined
office of the Executive Judge. (Sec. 5, Rule
in these Rules;
VI, A. M. No. 02-8-13-SC)
4. The person affixes a signature and thumb
or other mark or other recognized
E. JURISDICTION OF NOTARY PUBLIC AND PLACE
identifier, in the notarial .register in a
OF NOTARIZATION
separate, dated entry;
5. The person specifies the month, year, type
Q: What is the jurisdiction of a notary public?
of instrument or document, and name of
the principal in the notarial act or acts
A: A notary public may perform notarial acts in
sought; and
any place within the territorial jurisdiction of the
6. The person is shown only the entry or
commissioning court.
entries specified by him. (Sec.4(a), Rule VI,
A.M. No. 02-8-13-SC)
Q: What is the phrase “regular place of work or
business” of a notary public mean?
Q: May a law enforcement officers examine the
notarial register?
A: The regular place of work or business refers to
a stationary office in the city or province wherein
A: Yes, the notarial register may be examined by a
the notary public renders legal and notarial
law enforcement officer in the course of an
services. (Sec. 11, Rule II, 2004 Rules on Notarial
official investigation or by virtue of a court order.
Practice)
(Sec. 4(b), Rule VI, A. M. No. 02-8-13-SC)
Note: Under the Notarial Law, the jurisdiction of a
Note: The notary public shall supply a certified true
notary public is co-extensive with the province for
copy of the notarial record, or any part thereof, to
which he was commissioned; and for the notary
143
public in the city of Manila, the jurisdiction is co- Notary Public. (Amora, Jr. v. Comelec, G.R. No.
extensive with said city. Circular 8 of 1985, however, 192280, January 25, 2011)
clarified further that the notary public may be
commissioned for the same term only by one court Q: What is competent evidence of identity?
within the Metro Manila region.
A: It refers to the identification of an individual
Q: Can a notary public perform a notarial act based on:
outside his jurisdiction and his regular place of 1. At least one current identification
work or business? document issued by an official agency
bearing the photograph and signature of
A: the individual such as but not limited to:
GR: A notary public shall not perform a notarial
act outside his jurisdiction and his regular place a. Passport,
of work or business. b. Driver’s license,
c. Professional Regulation Commission
XPN: A notarial act may be performed at the ID,
request of the parties in the following sites, d. National Bureau of Investigation
other than his regular place of work or clearance,
business, located within his territorial e. Police clearance,
jurisdiction: f. Postal ID,
g. Voter’s ID,
1. Public offices, convention halls, and h. Barangay Certification,
other appropriate public places for the i. Government Service Insurance
purpose of administering oaths of System e-card,
office; (Sec. 2, Rule IV, A. M. No. 02-8- j. Social Security System card,
13-SC) k. Philhealth card,
2. At the request of the parties, public l. Senior Citized card,
function areas in hotels and other m. Overseas Workers Welfare
appropriate places for the signing of the Administration (OWWA) ID,
contracts, deeds, and other documents n. OFW ID,
requiring notarization; (Ibid.) o. sea man’s book,
3. Residence of any party of a contract, p. alien certificate of registration,
deed, or other document requiring q. government office ID,
notarization; (Ibid.) r. certification from the National
4. Hospitals and other medical institutions Council for the Welfare of Disabled
where a party to a contract is confined Persons (NCWDP),
for treatment; (Ibid.) s. Department of Social Welfare
5. Any place where for legal reason a party Development (DSWD) certification; or
to a contract, deed, or other document
requiring notarization may be confined, 2. The oath or affirmation of one credible
(Ibid.) and; witness not privy to the instrument,
6. Such other places as may be dictated document or transaction who is personally
because of emergency.(1996 Bar known to the notary public and who
Question) personally knows the individual, or of two
credible witnesses neither of whom is
Note: It is improper for a notary public to notarize privy to the instrument, document or
documents in sidewalk since it is now required that a transaction who each personally knows
notary public should maintain a regular place of the individual and shows to the notary
work or business within the city or province where public documentary identification.
he is commissioned. The SC evidently wants to (Amendment to Sec. 12 (a), Rule II of the
eradicate the practice of “fly by night” notaries
2004 Rules on Notarial Practice, Feb. 19,
public who notarized documents in “improvised”
2008).
offices.
Note: These are in addition to the presentation of
F. COMPETENT EVIDENCE OF IDENTITY the signatories’ Community Tax Certificate (CTC) as
required by Notarial Law (Act 2711).
Note: Competent evidence of identity is not required
in cases where the affiant is personally known to the Notaries public are required by the Notarial Law to
certify that the party to the instrument has
144
LEGAL ETHICS TEAM:
acknowledged and presented before the notaries Q: Atty. Regino Tamabago notarized a last will
public the proper residence certificate (or exemption and testament under which, the decedent
from the residence certificate) and to enter its supposedly bequeathed his entire estate to his
number, place, and date of issue as part of wife, save for a parcel of land which he devised
certification. Sec. 12, Rule II of the 2004 Rules on to Vicente Lee, Jr. and Elena Lee, half siblings of
Notarial Practice now requires a party to the Manuel Lee, the complainant.
instrument to present competent evidence of
identity. (Legaspi v. Atty. Dimaano, Jr., A.C. No. 7781,
The will was purportedly executed and
Sept. 12, 2008)
acknowledged before respondent on June 30,
1965. However, the residence certificate of the
Q: Is a community tax certificate still a
testator noted in the acknowledgment of the
competent evidence of identity?
will was dated January 5, 1962. There is also
absence of notation of the residence certificates
A: No. A notary public can no longer accept a
of the purported witnesses. Did Atty. Regino
cedula or a community tax certificate (CTC), the
Tamabago violate any of the duties of a notary
successor document to the residence certificate
public?
originally required by the Notarial Law as proof of
identity. Such does not even contain a
A: Atty. Tamabago, as notary public, evidently
photograph of the person to whom it is issued.
failed in the performance of the elementary
Further, CTC may be easily obtained by anyone,
duties of his office. There is absence of a notation
without any supporting papers, thereby debasing
of the residence certificates of the notarial
its value as an identity document.
witnesses in the will in the acknowledgment.
Further, the notation of the testator’s old
Note: In the list of grounds for disqualification of
residence certificate in the same
persons running for any local elective position under
Section 40 of the LGC, nowhere therein does it
acknowledgment was a clear breach of the law.
specify that a defective notarization is a ground for
the disqualification of a candidate. Thus, The Notarial Law then in force required the
presentation of CTC before the notary public, in exhibition of the residence certificate upon
compliance with the requirement of presentation of notarization of a document or instrument. By
competent evidence of identity, though improper, having allowed decedent to exhibit an expired
does not in itself warrant the disqualification of a residence certificate, Atty. Tamabago failed to
candidate to run for any elective position. (Amora, comply with the requirements of the old Notarial
Jr. v. Comelec, G.R. No. 192280, January 25, 2011) Law. As much could be said of his failure to
demand the exhibition of the residence
Q: Is the presentation of Community Tax certificates of notarial witnesses.
Certificate no longer necessary in view of the
amendment? Defects in the observance of the solemnities
prescribed by law render the entire will invalid.
A: No. Its presentation is still mandatory pursuant (Manuel Lee v. Atty. Regino Tamabago, A.C. No.
to Local Government Code of the Philippines in 5281, Feb. 12, 2008)
order to show payment of taxes. Said law
provides: G. REVOCATION OF COMMISSION AND
DISCIPLINARY SANCTIONS
“When an individual subject to the community
tax acknowledges any document before a notary Q: Who can revoke a notarial commission?
public, takes the oath of office upon election or
appointment to any position in the government A: The notarial commission may be revoked by
service; receives any license, certificate, or permit
from any public authority; pays any tax or fee; 1. The Executive Judge of the RTC who issued
receives any money from any public fund; the commission on any ground on which
transacts other official business; or receives any an application for commission may be
salary or wage from any person or corporation, it denied (Sec. 1, Rule XI, A.M. No. 02-8-13-
shall be the duty of any person, officer, or SC,) or;
corporation with whom such transaction is made
or business done or from whom any salary or 2. By the Supreme Court itself in the exercise
wage is received to require such individual to of its general supervisory powers over
exhibit the community tax certificate.” (Sec. 163, lawyer.
LGC)
145
Q: What are the grounds for revocation of 2. Obtains, conceals, defaces, or destroys the
notarial commission? seal, notarial register, or official records of
a notary public; and
A: The executive Judge shall revoke a notarial
commission for any ground on which an 3. Solicits, coerces, or in any way influences a
application for a commission may be denied. notary public to commit official
misconduct. (Sec. 1, Rule XII, Rule on
In addition, the Executive Judge may revoke the Notarial Practice)
commission of, or impose appropriate
administrative sanctions upon, any notary public
who:
1. Fails to keep a notarial register;

2. Fails to make the proper entry or entries
in his notarial register concerning his
notarial acts;
3. Fails to send the copy of the entries to the
Executive Judge within the first ten (10)
days of the month following;
4. Fails to affix to acknowledgments the date
of expiration of his commission;
5. Fails to submit his notarial register, when
filled, to the Executive Judge;
6. Fails to make his report, within a
reasonable time, to the Executive Judge
concerning the performance of his duties,
as may be required by the judge;
7. Fails to require the presence of a principal
at the time of the notarial act;
Note: "Principal" refers to a person

appearing before the notary public whose
act is the subject of notarization.
8. Fails to identify a principal on the basis of

personal knowledge or competent
evidence;
9. Executes a false or incomplete certificate
under Section 5, Rule IV;
10. Knowingly performs or fails to perform
any other act prohibited or mandated by
these Rules; and
11. Commits any other dereliction or act
which in the judgment of the Executive
Judge constitutes good cause for
revocation of commission or imposition of
administrative sanction.(Sec. 1, Rule XI,
Rule on Notarial Practice)
Q: What are punishable acts under the 2004

Rules on Notarial Practice?
A: The Executive Judge shall cause the

prosecution of any person who knowingly:
1. Acts or otherwise impersonates a notary

public;
146
LEGAL ETHICS TEAM:
Judicial Ethics - Preliminary
duties of the office. Moreover, one cannot be

JUDICIAL ETHICS actually acting under any color of right when he has
ceased to be a judge and has actually vacated the
office by the acceptance of another office and by
actually entering upon the duties of the other office.
(Lino Luna v. Rodriguez and De Los Angeles, G.R. No.
I. PRELIMINARY L-13744, Nov. 29, 1918)
B. QUALIFICATIONS OF JUSTICES AND JUDGES.

A. CONCEPT
Q: What are the qualifications of justices of the
Q: What is judicial ethics? Supreme Court or Court of Appeals?
A: It is the branch of moral science which treats of A: One must be:

the right and proper conduct to be observed by 1. A natural-born citizen of the Philippines;
all judges in trying and deciding controversies 2. At least 40 years of age;
brought before them for adjudication which 3. A person who has been, for 15 years or
conduct must be demonstrative of impartiality, more, a judge of a lower court or engaged
integrity, competence, independence and in the practice of law; and
freedom from improprieties. This freedom from 4. A person of proven competence, integrity,
improprieties must be observed in both the public probity and independence. (Sec. 7(2), Art.
and private life of a judge – being the visible VIII, 1987 Constitution)
representation of the law.
Q: What are the qualifications to be a RTC judge?
Q: Who is a judge?
A: One must be:
A: Any person exercising judicial power however 1. A natural-born citizen of the Philippines;
designated. (New Code of Judicial Conduct) 2. At least 35 years of age; and
3. For at least 10 years engaged in the
A judge is a public officer who, by virtue of his practice of law in the Philippines or held a
office, is clothed with judicial authority; A public public office in the Philippines requiring
officer lawfully appointed to decide litigated admission to the practice of law as an
questions in accordance with law. (People v. indispensable requisite. (1997 Bar
Manantan, G.R. No. L-14129, Aug. 30, 1962) Question)
Note: This refers to persons only. There may be a Q: What are the qualifications to be an MTC
judge without a court. judge?
Q: Who is a de jure judge? A: One must be:

1. A natural-born citizen of the Philippines;
A: One who exercises the office of a judge as a 2. At least 30 years of age; and
matter of right, fully vested with all the powers 3. For at least 5 years, engaged in the
and functions conceded to him under the law. practice of law in the Philippines or held a
(Luna v. Rodriguez, G.R. No. L-13744, Nov. 29, public office in the Philippines requiring
1918) admission to the practice of law as an
indispensable requisite.
Q: Who is a de facto judge?
Q: What is the proper judicial deportment?
A: An officer who is not fully vested with all the
powers and duties conceded to judges but, one A:
who exercises the office of judge under some 1. Attitude toward counsel – He must be
color of right. He has the reputation of the officer courteous especially to the young and
he assumes to be, yet he has some defect in his inexperienced, should not interrupt in
right to exercise judicial functions at the their arguments except to clarify his minds
particular time. (Luna v. Rodriguez, G.R. No. L- as to their positions, must not be tempted
13744, Nov. 29, 1918) to an unnecessary display of learning or
premature judgment, may criticize and
Note: There cannot be a de facto judge when there
is a de jure judge in the actual performance of the
147
2. correct unprofessional conduct of a lawyer

but not in an insulting manner. II. THE NEW CODE OF JUDICIAL CONDUCT.
FOR THE PHILIPPINE JUDICIARY.
3. Attitude toward litigants and witnesses – (A.M. NO. 03-05-01).
He must be considerate, courteous and
civil, must not utter intemperate language
during the hearing of a case. Note: The New Code of Judicial Conduct (NCJC) for
the Philippine Judiciary which took effect on June 1,
Q: What is the proper judicial conduct? 2004 supersedes the Canons of Judicial Ethics and
the Code of Judicial Conduct. Provided, however,
A: Judges and justices must conduct themselves that in case of deficiency or absence of specific
as to be beyond reproach and suspicion and be provisions in this New Code, the Canons of Judicial
Ethics and Code of Judicial Conduct shall be
free from appearance of impropriety in their
applicable in a suppletory character. (2007 Bar
personal behavior not only in the discharge of
Question)
official duties but also in their everyday lives.
This was adopted from the universal declaration of
Q: What are the two sources of judicial ethics? standards for ethical conduct embodied in the
Bangalore Draft as revised at the Round Table
A: Conference of Chief Justices at the Hague.
1. New Code of Judicial Conduct for the
Philippine Judiciary (Bangalore Draft); Note: The New code contains 6 Canons and 44
2. Code of Judicial Conduct Rules.
Q: What are the six (6) canons under the New

Code of Judicial Conduct for the Philippine
Judiciary?
A:
1. Independence
2. Integrity
3. Impartiality
4. Propriety
5. Equality
6. Competence and Diligence.
Note: The purpose of the New Code of Judicial

Conduct for the Philippine Judiciary is to update and
correlate the code of judicial conduct and canons of
judicial ethics adopted for the Philippines, and also
to stress the Philippines’ solidarity with the universal
clamor for a universal code of judicial ethics.
CANON 1, NCJC-INDEPENDENCE
JUDICIAL INDEPENDENCE IS A PRE-REQUISITE

TO THE CANON
RULE OF 1 - INDEPENDENCE
LAW AND A FUNDAMENTAL
GUARANTEE OF A FAIR TRIAL. A JUDGE SHALL,
THEREFORE, UPHOLD AND EXEMPLIFY JUDICIAL
INDEPENDENCE IN BOTH ITS INDIVIDUAL AND
INSTITUTIONAL ASPECTS.
Q: What is an independent Judiciary?
A: It is one free from inappropriate outside

influence.
148
LEGAL ETHICS TEAM:
Judicial Ethics – New Code of Judicial Conduct
Q: What is the importance of Judicial Note: Judges should inspire public confidence in the
independence? judiciary which can be attained only if judges are
perceived by the public to be fair, honest,
A: Judicial independence is a pre-requisite to the competent, principled, dignified and honorable.
rule of law and a fundamental guarantee of a fair Accordingly, the first duty of judges is to conduct
trial. A judge shall, therefore, uphold and themselves at all times in a manner that is beyond
exemplify judicial independence in both its reproach.
individual and institutional aspects. (Canon 1,
NCJC) Judges must reject pressure by maintaining
independence from, but not limited to the
Note: Individual Judicial Independence focuses on following:
each particular case and seeks to insure his or her
ability to decide cases with autonomy within the 1. Independence from public officials – the
constraints of the law. It is a “pre-requisite to the public laid their confidence on the fact
rule of law” and a “fundamental guarantee of fair that the official is mentally and morally fit
trial” to pass upon the merits of their varied
intentions.
While Institutional Judicial Independence focuses on
the independence of the judiciary as a branch of 2. Independence from government as a
government and protects judges as a class. (In the whole – avoid inappropriate connections,
Matter of the Allegations Contained in the Columns as well as any situation that would give
of Mr. Amado P. Macasaet Published in Malaya rise to the impression of the existence of
dated September 18, 19, 20 and 21, 2007) such inappropriate connections.
Note: The treatment of independence as a single
3. Independence from family, social, or other
Canon is the primary difference between the new
relationships – Do not sit in litigation
Canon 1 and the Canon 1 of the 1989 Code.
where a near relative is a part of or
counsel; be independent from judicial
Q. What is the difference between the New Code
colleagues (Sec. 2) and avoid such actions
of Judicial Conduct for the Philippine Judiciary
as may reasonably tend to wake the
and Code of Judicial Conduct?
suspicion that his social or business
relations constitute an element in
A. They differ in three ways:
determining his judicial course.
New Code of Judicial
Conduct for the Code of Judicial
4. Independence from public opinion – only
Philippine Judiciary Conduct
guide is the mandate of law.
Focuses on the Concerned primarily
institutional and with the institutional
Q: In a civil case submitted for a decision, Judge
personal independence of the
Corpuz-Macandog acted on it based on a
independence of judiciary.
telephone call from a government official telling
judicial officers
her to decide the case in favor of the defendant,
Contains eight norms Contained three
otherwise she will be removed. The judge
of conduct that guidelines explaining
explained that she did so under pressure
judges “ shall follow” what judges “should
considering that the country was under a
do”
revolutionary government at that time. Did the
* Canon 1 of the 1989
judge commit an act of misconduct?
Code created a
weaker mandate.
A: Yes. A judge must decide a case based on its
The treatment of independence as a single merits. For this reason, a judge is expected to be
canon fearless in the pursuit to render justice, to be
unafraid to displease any person, interest or
Section 1, Canon 1, NCJC: Judges shall power, and to be equipped with a moral fiber
exercise the judicial function independently strong enough to resist temptation lurking in her
on the basis of their assessment of the facts office.Here, it is improper for a judge to have
and in accordance with a conscientious decided a case based only on a directive from a
understanding of the law, free of any government official and not on the judge’s own
extraneous influence, inducement, pressure, ascertainment of facts and applicable law.
threat or interference, direct or indirect, from (Ramirez v. Corpuz-Macandog, A.M. No. R-351-
any quarter or for any reason. RTJ, Sept. 26, 1986)
149
Q: Mayor C was shot by B, the bodyguard of purely academic or hypothetical questions but not to
Mayor D, inside the court room of Judge the extent of asking them to decide a case.
Dabalos. Consequently, an information with no
bail recommendation was filed against B and D. Note: It is every judge’s duty to respect the
The murder case was then scheduled for raffle individual independence of fellow judges.
but before the scheduled date, the son of Mayor
C together with their counsel, Atty. Libarios, and Sec. 3, Canon 1, NCJC: Judges shall refrain
other sympathizers staged a rally demanding from influencing in any manner the outcome
immediate arrest of the accused. Judge Dabalos of litigation or dispute pending before
then issued an order without prior hearing another court or administrative agency.
directing the issuance of a warrant of arrest (Principle of Sub-judice)
against the accused. Did the judge commit an act
of misconduct? Note: A judge is prohibited from making public
statements in the media regarding a pending case so
A: Yes. The judge should not issue warrant of as not to arouse public opinion for or against a party.
arrest without personally evaluating the (2007 Bar Question)
resolution of the prosecutor and its supporting
evidence to establish judicial probable cause This section affirms that a judge’s restraint from
(Sec.6, Rule 112, Rules of Crim.Pro). A judge in exerting influence over other judicial or quasi-
every case should endeavor diligently to ascertain judicial bodies is required for more than just
the facts and the applicable law unswayed by propriety.
partisan or personal interests, public opinion or
fear of criticism. Here, the judge should not have Q: Is the influence exerted by a judge required to
allowed himself to be swayed into issuing a be successful in order to constitute misconduct?
warrant of arrest. (Libarios v. Dabalos A.M. No.
RTJ-89-286, July 11, 1991) A: No. Any attempt, whether successful or not, to
influence the decision-making process of another
Note: In the performance of their judicial duties, judge, especially one who is of lower rank and
judges must not bow down to public opinion, and over whom a judge exercises supervisory
disregard editorials, columns or TV or radio authority constitutes serious misconduct.
commentaries on cases pending before them.
Q: Judge Villamor, in his capacity as the
The highest degree of independence is required of executive judge, designated Judge Pitao as the
judges. Once a judge gives in to pressures from acting MCTC judge of a municipality. Thereafter,
whatever source, that judge is deemed to have lost Judge Villamor sent a letter through the wife of a
his independence and is considered unworthy of the certain accused in a criminal case, which had
position. More than just a breach of the rudiments
long been pending before the MCTC. The note is
laid down in the Code of Judicial Conduct, judges
to the effect that Judge Pitao should acquit the
who succumb to pressure and, as a result, knowingly
ignore proven facts or misapply the law in rendering
accused but when Judge Pitao decided
a decision commit corruption and face both otherwise, Judge Villamor directed the former to
administrative and criminal prosecution under R.A. forward the record to the latter’s sala. Judge
3019 (Anti-Graft and Corrupt Practices Act) and Art. Villamor then acquitted the accused. Did Judge
204, RPC. Villamor commit an act of misconduct?
A: Yes. A judge should avoid impropriety and the

Sec. 2, Canon 1, NCJC: In performing judicial appearance of impropriety in all activities. A judge
duties, Judges shall be independent from shall not influence in any manner the outcome of
judicial colleagues in respect of decisions litigation or dispute pending before another
which the judge is obliged to make court. This is so because such interference does
independently. not only subvert the independence of judiciary
but also undermines the people’s faith in its
Q: May a judge consult with staff and court integrity and impartiality. Here,Judge Villamor’s
officials? act of sending a note to Judge Pitao for the latter
to decide a case in favor of the accused
A: No. The highest degree of independence is constitutes undue interference (Sabitsana, Jr. v.
required of judges. He must be independent in Villamor, RTJ No. 90- 474, Oct. 4, 1991)
decision-making. However, he can ask colleagues
150
LEGAL ETHICS TEAM:
Note: If the consultation is purely on an academic or

hypothetical basis, and the judge does not surrender Sec. 5, Canon 1, NCJC: Judges shall not only
his or her independent decision making, there can be free from inappropriate connections with,
be no breach of Sections 2 and 3 of Canon 1 of the and influence by, the executive and
New Code. legislative branches of government, but must
also appear to be free therefrom to a
Sec. 4, Canon 1, NCJC: Judges shall not allow reasonable observer.
family, social, or other relationships to
influence judicial conduct or judgment. The
prestige of judicial office shall not be used or Note: Affirms the independence of the judiciary
from the two other branches of government.
lent to advance the private interests of
others, nor convey or permit others to
convey the impression that they are in a Q: Is it enough that a judge is free from
special position to influence the judge. inappropriate connections with executive and
legislative branches of the government?
Q: What is the purpose of Sec. 4 Canon 1 of A: No. Judges must also appear to be free from
NCJC? such to a reasonable observer.
A: It is intended to ensure that judges are spared Note: Mere congeniality between a judge and a
from potential influence of family members by government official may not necessarily be
disqualifying them even before any opportunity unethical, but it may still create the appearance of
for impropriety presents itself. impropriety.
Q: What does the term “judge’s family” include? Q: Several employees of the city government of
Quezon City were appointed and assigned at the
A: office of the Clerk of Court-MeTC QC to assist the
1. Judge’s spouse organic staff of the Judiciary. However, the
2. Son executive judge of MeTC QC, in view of a
3. Daughter reorganization plan, returned those employees
4. Son-in-law to different offices of QC government saying that
5. Daughter-in-law the court is already overstaffed. The judge also
6. Other relative by consanguinity or affinity requested the QC Mayor to re-employ the laid
within the sixth civil degree, or off employees. Did the judge commit any
7. Person who is a companion or employee improper conduct?
of the judge and who lives in the
judge’shousehold (NCJC of the Philippine A: Yes. An executive judge has no authority to
Judiciary-Annotated, February 2007) cause the transfer of court employees as the
jurisdiction to do so is lodge solely upon the SC
Q: When is a judge’s disqualification to sit in a through the Office of the Court Administrator.
case mandatory? This is so because of the need to maintain judicial
independence. Moreover, a judge shall be free
A: When the judge is related to one of the parties from inappropriate connections with and
within the sixth degree of consanguinity or influence from the executive and legislative
affinity. branch. Here, the judge did not act independently
of the LGU when she asked the Mayor of QC to
Note: Judges should ensure that their family re- employ the displaced employees instead of
members, friends and associates refrain from informing the SC through the OCA of the need to
creating the impression that they are in a position to streamline her court of its personal needs
influence the judge. Judges should, therefore, at all (Alfonso v. Alonzo-Legasto, A.M. No. MTJ 94-995,
times remind themselves that they are not in the
Sept. 5, 2002)
judiciary to give out favors but to dispense justice.
They should also make it clear to the members of
Note: Judicial independence is the reason for leaving
their family, friends and associates that they will
neither be influenced by anyone, nor would they exclusively to the Court the authority to deal with
internal personnel issues, even if the court
allow anyone to interfere in their work.
employees in question are funded by the local
government(Bagatsing v. Herrera, G.R. No. L-34952,
July 25, 1975)
151
1. Have the mastery of the principles of law,

Sec. 6, Canon 1, NCJC: Judges shall be
2. Discharge their duties in accordance with
independent in relation to society in general
law,
and in relation to the particular parties to a
3. Are permitted to perform the duties of the
dispute which he or she has to adjudicate.
office undeterred by outside influence,
and
Note: It is desirable that the judge should, as far as 4. Are independent and self-respecting
reasonably possible, refrain from all relations which human units in a judicial system equal and
would normally tend to arouse suspicion that such coordinate with the other two
relations warp or bias his judgment, and prevent an departments of the government
impartial attitude of minds in the administration of (Borromeo v. Mariano, G.R. No. 16808,
judicial duties.Judges should not fraternize with
Jan. 3, 1921).
litigants and their counsel; they should make a
conscious effort to avoid them in order to avoid the
perception that their independence has been
Judges must remain conscious of their character
compromised. A judge’s act of sending his staff to and reputation as judges and should avoid
talk with the complainant and show copies of his anything which will indignify their public positions
draft decisions, and his act of meeting with litigants and demean the institution to which they belong,
outside the office premises beyond office hours in whatever atmosphere or environment they
violate the standard of judicial conduct required to may happen to be.
be observed by members of the bench. (Tan v.
Rosete, A.M. No. MTJ-04-1563, Sept. 8, 2004) Note: The judge should always be imbued with a
high sense of duty and responsibility in the discharge
Q: Are judges allowed to join religious and of his obligation to promptly and properly administer
professional organizations? justice. He must view himself as a priest for the
administration of justice is akin to a religious
crusade(Dimatulac v. Villon, G.R. No. 127107, Oct.
A: Yes. Section 6, Canon 1 of the NCJC does not
12, 1998)
require a judge to live a hermit’s life. Judges
should socialize and be sensitive to social
concerns and developments. They may join CANON 2, NCJC- INTEGRITY
religious or professional organizations but their
membership in these organizations should not INTEGRITY IS ESSENTIAL NOT ONLY TO THE
interfere with their judicial tasks. PROPER DISCHARGE OF THE JUDICIAL
OFFICE, BUT ALSO TO THE PERSONAL
Sec. 7, Canon 1, NCJC: Judges shall DEMEANOR OF JUDGES.
encourage and uphold safeguards for the
discharge of judicial duties in order to
Note: A judge should act with integrity and behave
maintain and enhance the institutional and
with integrity at all times so as to promote public
operational independence of the judiciary.
confidence in the integrity of the judiciary.
Sec. 8, Canon1, NCJC: Judges shall exhibit Q: Is integrity required only in the discharge of
and promote high standards of judicial judicial duties?
conduct in order to reinforce public
confidence in the judiciary, which is A: No. Integrity is essential not only to the proper
fundamental to the maintenance of judicial discharge of the judicial office but also to the
independence. personal demeanor of judges. (Canon 2, NCJC)
Note: Sections 7 and 8 of Canon 1 are intended to Note: The integrity of the judiciary rests not only
serve as catch-all provisions for all other acts that upon the fact that it is able to administer justice but
would guarantee the independence of the judiciary. also upon the perception and confidence of the
community that people who run the system have
There can be no sure guarantee of judicial done justice. Justice must not be merely done but
independence than the character of those appointed must also be seen to be done. (Panaligan v. Judge
to the Bench. Ibay, A.M. No. TJ-06-1972, June 21, 2006)
Q: Who are good judges? Note: In the Judiciary, moral integrity is more than a
cardinal virtue, it is a necessity (Pascual v Bonifacio,
AM No. RTJ-01-1625, March 10, 2003).
A: Good judges are described as those who:
152
LEGAL ETHICS TEAM:
Judges must be models of uprightness, fairness and A: Yes. A judge must take care not only to remain
honesty (Rural Bank of Barotac Nuevo, Inc v. true to the high ideals of competence and
Cartagena, A.M. No. 707-MJ, July 21, 1978) integrity his robe represents, but also that he
wears one in the first place. (Chan v. Majaducan
Note: Under the 1989 Code, the values of INTEGRITY A.M. No. RTJ-02-1697 October 15, 2003)
and INDEPENDENCE were grouped together, but the
New Code of Judicial Conduct separated them to
emphasize the need to maintain a life of PERSONAL Sec. 2, Canon 2,NCJC: The behavior and
and PROFESSIONAL INTEGRITY in order to properly conduct of judges must reaffirm the people’s
carry out their judicial functions. faith in the integrity of the Judiciary. Justice
must not merely be done, but must also be
Q: What is the presumption as regards judges? seen to be done.
A: Judges are presumed honest and, are men of A judge has the duty to not only render a just and
integrity, unless proven otherwise. impartial decision, but also render it in such a
manner as to be free from any suspicion as to its
fairness and impartiality, and also as to the
Section 1, Canon 2, NCJC: Judges shall ensure
judge’s integrity. While judges should possess
that not only is their conduct above
proficiency in law in order that they can
reproach, but that it is perceived to be so in
completely construe and enforce the law, it is
the view of a reasonable observer.
more important that they should act and behave
in such a manner that the parties before them
Q: Is the maintenance of the court’s integrity the should have confidence in their impartiality.
(Sibayan-Joaquin v. Javellana, A.M. No. RTJ-00-
sole duty of the judge?
1601, Nov. 13, 2001)
A: No, it is also the duty of court personnel to see
Note: A judge must not only be honest but must also
to it that its integrity is unblemished. appear to be so; not only be a good judge, but also a
good person. (Dawa v. De Asa, A.M. No. MTJ-98-
Note: A judge’s personal behavior, both in the 1144, July 22, 1998)
performance of his duties and in his daily life, must
be free from any appearance of impropriety as to be Q: Justice Mariano Del Castillo was charged with
beyond reproach.
plagiarism, twisting of cited materials, and gross
neglect in connection with the decision he wrote
Q: Judge Ferdinand Marcos of RTC Cebu is
for the court in G.R. No. 162230, entitled Vinuya
married to Rotilla with whom he begot 2
v. Romulo. Petitioners, members of the Malaya
children. However, during a Fun Run sponsored
Lolas Organization, seek reconsideration of the
by Philippine Judges Association (PJA), Judge
decision of the Court dated October 12, 2010
Marcos appeared with a woman other than his
that dismissed the said complaint. Petitioners
wife whom he even introduced to Justice Davide
claim that the Court has by its decision legalized
as his living partner. Should the judge be
or approved of the commission of plagiarism in
disciplined?
the Philippines. Should the respondent justice be
held guilty for plagiarism?
A: Yes. The Code of Judicial Conduct requires a
judge to be the embodiment of integrity, and to
A: No. A judge writing to resolve a dispute,
avoid appearance of impropriety in all activities.
whether trial or appellate, is exempted from a
Here, Judge Marcos’ conduct of flaunting his
charge of plagiarism even if ideas, words or
mistress is a conduct unbecoming of a judge. By
phrases from a law review article, novel thoughts
living with a woman other than his legal wife,
published in a legal periodical or language from a
Judge Marcos has demonstrated himself to be
party’s brief are used without giving attribution.
wanting in integrity, thus, unfit to remain in office
Thus judges are free to use whatever sources
and continue discharging the functions of a judge
they deem appropriate to resolve the matter
(Re: Complaint of Mrs. Rotilla A. Marcos and Her
before them, without fear of reprisal. This
Children against Judge Ferdinand J. Marcos, RTC,
exemption applies to judicial writings intended to
Br. 20, Cebu City, A.M. No. 97-2-53 RTC, July 6,
decide cases for two reasons: the judge is not
2001).
writing a literary work and, more importantly, the
purpose of the writing is to resolve a dispute. As
Q: May a judge be admonished for not wearing
a result, judges adjudicating cases are not subject
the judicial robe in the performance of judicial
to a claim of legal plagiarism.
functions?
153
Although as a rule, practicing lawyers receive them also as part of the judiciary. In performing their
compensation for every pleading or paper they duties and responsibilities, court personnel serve as
file in court or for every opinion they render to sentinels of justice, that any act of impropriety they
clients, lawyers also need to strive for technical commit immeasurably affects the honor and dignity
accuracy in their writings. They should not be of the judiciary and the people's confidence in the
exposed to charges of plagiarism in what they judiciary. They are, therefore, expected to act and
write so long as they do not depart, as officers of behave in a manner that should uphold the honor
and dignity of the judiciary, if only to maintain the
the court, from the objective of assisting the
people’s confidence in the judiciary. (Guerrero v.
Court in the administration of justice. (In matter
Ong, A.M. No. P-09-2676, Dec. 16, 2009)
of the Charges of Plagiarism etc.. Against
Associate Justice Mariano C. Del Castillo, A.M. No.
Q: Can a judge dismiss court personnel?
10-7-17-SC, February 8, 2011)
A: No. The power to dismiss a court employee is
Sec. 3, Canon 2, NCJC: Judges should take or vested in the Supreme Court. (Dailay-Papa v.
initiate appropriate disciplinary measures Almora, A.M. Nos. 543-MC and 1525-MJ, Dec. 19,
against lawyers or court personnel for 1981)
unprofessional conduct of which the judge
may have become aware. Q: While Judge Tuparin was in his chambers
dictating an order to a stenographer, two
Q: Can a judge punish lawyers and court lawyers who were in the courtroom waiting for
personnel for their misbehavior? the start of the session almost came to blows as
a result of a heated argument. Tuparin came out
A: Yes. A judge may summarily punish any person of his chambers and after identifying the lawyers
including lawyers and court personnel, for direct involved in the commotion promptly declared
contempt for misbehavior committed in the them in contempt of court. Was the action of
presence of or so near a court or a judge as to Judge Tuparin proper?
obstruct or interrupt the proceedings before the
same. (Rule 71, Revised Rules of Court) A: No. The act committed by the two lawyers was
indirect contempt violative of the rule punishing
He may also punish any person for indirect “any improper conduct tending directly or
contempt after appropriate charge and hearing, indirectly, to impede, obstruct, or degrade the
for acts enumerated under Section 3, Rule 71 of administration of justice”, since the judge was
the Rules of Court. then engaged in dictating an order before the
morning session was called. The act of the two
Q: What is the judge’s duty with respect to court lawyers constituted obstruction of the
employees? administration of justice, which was indirect
contempt. Accordingly, they could only be
A: A judge should constantly keep a watchful eye punished after notice and hearing.
on the conduct of his employees. His constant
scrutiny of the behavior of his employees would
CANON 3, NCJC -IMPARTIALITY
deter any abuse on the part of the latter in the
exercise of their duties. The slightest breach of
IMPARTIALITY IS ESSENTIAL TO THE PROPER
duty by and the slightest irregularity in the
DISCHARGE OF THE JUDICIAL OFFICE. IT
conduct of court officers and employees detract
APPLIES NOT ONLY TO THE DECISION ITSELF
from the dignity of the courts and erode the faith
BUT ALSO TO THE PROCESS BY WHICH THE
of the people in the judiciary. (Buenaventura v.
DECISION IS MADE.
Benedicto, A.C. No. 137-5, Mar. 27, 1971)
Note: Judges should not be lenient in the
administrative supervision of employees. As an
administrator, the judge must ensure that all court Q: Is impartiality applicable only to the decision
personnel perform efficiently and promptly in the rendered by the judge?
administration of justice. (Ramirez v. Corpuz-
Macandog, A.M. No. R-351-RTJ, Sept. 26, 1986) A: No. Impartiality is essential to the proper
discharge of the judicial office. It applies not only
All court personnel, from the lowliest employees to to the decision itself but also to the process by
the clerks of court, are involved in the dispensation which the decision is made. (Canon 3, NCJC)
of justice like judges and justices, and parties seeking
redress from the courts for grievances look upon
154
LEGAL ETHICS TEAM:
Q: What is the principle of cold neutrality of an A. No. For a judge to be inhibited, allegations of
impartial judge? partiality and pre-judgment must be proven by
clear and convincing evidence. Here, mere
A: A judge should not only render just, correct, allegation that the judge arbitrarily issued the
and impartial decision but should do so in a TRO without presenting evidence showing bias on
manner free from suspicion as to his fairness, his part is not sufficient. While Judge Santiago
impartiality and integrity. This is an indispensable acted in excess of his jurisdiction when he issued
requisite of due process. (Rallos v. Gako, A.M. No. the TRO for such should only be enforceable
RTJ-98-1484, Mar. 17, 2000) within his territorial jurisdiction, such error may
not necessarily warrant inhibition at most it is
Note: A judge has both the duty of rendering a just correctible by certiorari(Dimo Realty &
decision and the duty of doing it in a manner Development, Inc. v. Dimaculangan, G.R. No.
completely free from suspicion as to his fairness and 130991, Mar. 11, 2004).
as to his integrity.
Q: What should the complainant show in order
Sec. 1, Canon 3,NCJC: Judges shall perform to sustain the charge of bias on the part of the
their judicial duties without favor, bias or judge?
prejudice.
A: The complainant must show that the resulting
opinion of the judge is based on extra-judicial
Note: It is the duty of all judges not only to be source.
impartial but also to appear impartial.
Q: What is the extra-judicial source rule?
Q: Who has the burden of proof to show bias or
prejudice? A: It means that the decision is based on some
influence other than the facts and law presented
A: The burden of proof lies with the complainant in the courtroom.
to show that there is bias sufficient to be a
ground for inhibition. Q: A motion to inhibit Judge Dicdican was filed
on the ground of partiality and bias on his part
Note: There is Bias or Prejudice when the resulting for allegedly denying a motion to hear
opinion is based upon an extrajudicial source: that is, affirmative defenses thereby denying the
some influence other than the facts and law movant the opportunity to be heard. Should the
presented in the courtroom. judge be inhibited?
Q: What is the degree of proof required to prove A: No. Judge Dicdican cannot be charged with
bias and prejudice on the part of the judge? bias and partiality, merely on the basis of his
decision not to grant a motion for a preliminary
A: The complainant must prove the same by clear hearing. Allegations and perceptions of bias from
and convincing evidence since allegations of bias the mere tenor and language of a judge are
are quite serious. Mere allegations are not insufficient to show pre-judgment. Moreover, as
sufficient to constitute a violation of the rule. long as opinions formed in the course of judicial
proceedings are based on the evidence presented
Q: A filed an action for specific performance with and the conduct observed by the judge, such
the RTC of Quezon City, presided by Judge opinion – even if later found to be erroneous on
Santiago, against X corporation asking for the appeal or made with grave abuse of discretion on
delivery of the title of 1 subdivision lot in certiorari – will not necessarily prove personal
Batangas which lot was given to him in payment bias or prejudice on the part of the judge. To
for his services as geodetic surveyor. Meanwhile allow inhibition for such reason would open
X Corporation filed with MTC of Batangas an floodgates to abuse. Here, the denial of the
action for an unlawful detainer against certain motion to hear affirmative defenses is based on
lot buyers on motion of A. Judge Santiago issued the Rules of Court which provides that
TRO against X Corp. and Judge of MTC and preliminary hearing of defenses is discretionary,
enjoining the latter from proceeding with the hence the judge cannot be charged with partiality
case. X Corp. now filed a motion to inhibit the on the basis of such decision. (Gochan v. Gochan,
judge on the ground that he arbitrarily issued G.R. No. 143089, Feb. 27, 2003)
such TRO, but without presenting evidence
showing partiality on the part of the judge.
Should the judge be inhibited?
155
reconsideration, absolving Banco Filipino from

Sec. 2, Canon 3, NCJC: Judges shall ensure
paying the expenses of production of documents,
that his or her conduct, both in and out of
and suggesting to Banco Filipino what evidence to
court, maintains and enhances the
present to prove its case, transgressed the
confidence of the public, the legal profession
boundaries of impartiality. Thus, the judge should
and litigants in the impartiality of the judge
inhibit himself. (Ty v. Banco Filipino Savings and
and of the Judiciary.
Mortgage Bank, et. al., G.R. Nos. 149797-98, Feb.
13, 2004)
Note: No judge should handle a case in which he
might be perceived, rightly or wrongly, to be Q: Can a trial judge ask questions from
susceptible to bias and impartiality. His judgment witnesses?
must not be tainted by even the slightest suspicion
of improbity or preconceived interest. The rule is A: It is within the sound discretion of the trial
aimed at preserving at all times the faith and judge to ask questions from witnesses, if only to
confidence in courts of justice by any party to the clarify what may appear to him to be vague
litigation. (Urbanes, Jr. v. C.A., G.R. No. 117964, Mar. points in the narration. Questions designed to
28, 2001)
avoid obscurity in the testimony or to elicit
additional relevant evidence are not improper.
Q: When is there undue interference by the
The judge may aptly need to intervene in the
judge?
presentation of evidence in order to expedite the
resolution of a case and prevent unnecessary
A: There is undue interference where the judge’s
waste of time. Judges, however, should be
participation in the conduct of the trial tends to
extremely careful so as not to be misunderstood,
build or to bolster a case of one of the parties.
and they must refrain from making comments,
remarks or suggestions that could lead to even
Q: Banco Filipino filed a complaint for
the slightest suspicion that he is thereby unduly
reconveyance of property against Ty and Tala
assisting a party or counsel. (Paco v. Quilala, A.M.
Realty Services Corp., which complaint was
No. RTJ-02-1699, Oct. 15, 2003)
dismissed on the ground of lack of jurisdiction.
However, on motion for reconsideration filed by Note: In disposing of a criminal case, a judge should
Banco Filipino, the case was reinstated and the avoid appearing like an advocate for either party. It
judge even relieved Banco Filipino from its is also improper for the judge to push actively for
obligation to prove service of its motion for amicable settlement against the wishes of the
reconsideration and presumed actual receipt of complainant. A judge’s unwelcome persistence
the same by the other party. Thereafter, the makes the judge vulnerable to suspicions of
judge directed the respondents to present favoritism. (Montemayor v. Bermejo, Jr.,A.M. No.
certain documents within a certain period of MTJ-04-1535, Mar. 12, 2004)
time despite failure of Banco Filipino to tender
the costs for such production and inspection. Note: Stating to his court staff and the Public
Tala then filed a motion for inhibition but the Assistance Office (PAO) lawyer that he is “pro-
same was denied by the judge. Did the judge accused” particularly concerning detention
commit any improper conduct? prisoners, the judge opened himself up to suspicion
regarding his impartiality. (OCA v. Judge Floro, A.M.
A: Yes. The rule is that a judge may not be legally No. RTJ-99-1460, March 31, 2006)
prohibited from sitting in litigation, but when
circumstances appear that will induce doubt to Sec. 3, Canon 3,NCJC: Judges shall, so far as
his honest actuations and probity in favor of is reasonable, so conduct themselves as to
either party, or incite such state of mind; he minimize the occasions on which it will be
should conduct a careful self-examination. He necessary for them to be disqualified from
should exercise his discretion in a way that the hearing or deciding cases.
people's faith in the courts of justice is not
impaired. The better course for the judge under
Q: What is meant by “duty to sit?”
such circumstances is to disqualify himself. That
way, he avoids being misunderstood; his
A: It means that a judge must ensure that he will
reputation for probity and objectivity is
not be unnecessarily disqualified from a case.
preserved. What is more important, the ideal of
impartial administration of justice is lived up to.
Q: May a judge inhibit himself as he pleases?
Here, the judge, by assuming actual receipt by the
respondents of proof of service of the motion for
156
LEGAL ETHICS TEAM:
A: No. A decision to inhibit must be based on A: Yes. The judge’s statement in the decision
good, sound or ethical grounds, or for just and acquitting Bayongan to the effect that the crime
valid reasons. It is not enough that a party cast was committed by Martinez renders it impossible
some tenuous allegations of partiality at the for the judge to be free from suspicion that in
judge. deciding the case he will be biased. (Martinez v.
Gironella, G.R. No. L-37635, July 22, 1975)
Q: What is the Rule of Necessity?
Q: Justice Antonio Carpio penned a decision
A: It states that a judge is not disqualified to sit in regarding the invalidity of the amended joint
a case where there is no other judge available to venture agreement between Public Estates
hear and decide the case. Furthermore, when all Authority (PEA) and Amari Coastal Bay
judges will be disqualified as a result, it will not be Development Corporation saying that the
permitted to destroy the only tribunal with the agreement is unconstitutional as PEA cannot
power in the premises. The doctrine operates on transfer ownership of a reclaimed land to a
the principle that a basic judge is better than no private corporation. Amari now filed a motion to
judge at all. It is the duty of the disqualified judge inhibit Justice Carpio on the ground of bias and
to hear and decide the case regardless of pre-judgment allegedly because he had
objections or disagreements. (Parayno v. previously wrote in his column in Manila Times a
Meneses, G.R. No. 112684, Apr. 26, 1994) statement to the effect that the law requires
public bidding of reclaimed projects and that the
Sec. 4, Canon 3, NCJC: Judges shall not PEA-Amari contract is flawed for it was not bid
knowingly, while a proceeding is before or by the PEA. Decide on the motion.
could come before them, make any
comment that might reasonably be A: The motion to inhibit must be denied for three
expected to affect the outcome of such reasons:
proceeding or impair the manifest fairness
of the process. Nor shall judges make any 1. The motion to inhibit must be denied if
comment in public or otherwise that might filed after a member of the court had
affect the fair trial of any person or issue. already rendered his opinion on the merits
of the case. Here,the motion was filed
after Justice Carpio had already rendered
Note: A judge’s language, both written and spoken, a decision;
must be guarded and measured, lest the best of
intentions be misconstrued. (Fecundo v. Berjamen, 2. The ratio decidendi of the decision was
G.R. No. 88105, December 18, 1989)
not based on his statements on the
column. Here, the decision was based on
Q: What is the reason for the rule?
constitutional grounds and not in the
absence of public bidding; and
A: This Section warns judges against making any
comment that might reasonably be expected to
3. Judges and justices are not disqualified
affect the outcome of the proceedings before
from participating in a case just because
them; or those that the judge may later decide
they have written legal articles on the law
but not yet before him; or "impair the manifest
involved in the case. (Chavez v. PEA, G.R.
fairness of the process.”
No. 133250, May 6, 2003)
Q: A murder case was filed against Martinez,
Q: Are judges absolutely prohibited from making
Duclan and Bayongan. As the first two were not
comments?
apprehended, trial proceeded with respect to
Bayongan. Thereafter, Judge Girronella rendered
A: No. Not all comments are impermissible.
a decision acquitting Bayongan saying that he
Judges may express their open-mindedness
had no participation in the commission of the
regarding a pending issue in cases where the
crime as the crime was committed by Martinez.
judges’ comments do not necessarily favor one
Subsequent to the acquittal, Martinez
side over the other.
surrendered and was arraigned before the same
court presided by Judge Girronella. A Motion for
Note: Judges should avoid side remarks, hasty
inhibition was then filed on the ground of conclusions, loose statements or gratuitous
partiality saying that the judge has already utterances that suggest they are prejudging a case.
formed an opinion as to who committed the Judges should be aware that the media might
crime. Should the judge be inhibited? consider them a good and credible source of opinion
157
or ideas, and therefore should refrain from making serious misconduct and ordered dismissed
any comment on a pending case. Not only is there from the bench before he was able to rescue
danger of being misquoted, but also of himself(Oktubre v. Velasco A.M. No. MTJ-02-
compromising the rights of the litigants in the case. 02-1444, July 20, 2004)
4. The judge served as executor,

Sec. 5, Canon 3, NCJC: Judges shall disqualify
administrator, guardian, trustee or lawyer
themselves from participating in any
in the case or matter in controversy, or a
proceeding in which they are unable to
former associate of the judge served as
decide the matter impartially or in which it
counsel during their association, or the
may appear to a reasonable observer that
judge or lawyer was a material witness
they are unable to decide the matter
therein (Sec. 5(d), Canon 3, NCJC);
impartially.
Note: The restriction extends to judges who
Q: What does the phrase “any proceedings” served as lawyers in closely related cases.
include?
5. The judge’s ruling in a lower court is the
A: Such proceedings include, but are not limited subject of review (Sec. 5(e), Canon 3,
to instances where: NCJC);
1. The judge has actual bias or prejudice Note: An associate justice of the Court of
concerning a party or personal knowledge Appeals refused to inhibit himself from
of disputed evidentiary facts concerning reviewing the decision in a case which he
the proceedings (Sec. 5(a), Canon 3, NCJC); had partially heard as a trial judge prior to
his promotion, on the ground that the
Note: The rule also requires disqualification decision was not written by him. The
if a judge has outside knowledge of disputed Supreme Court upheld his refusal, but
facts. To be a ground for disqualification, the nevertheless commented that he "should
knowledge must be obtained extra-judicially have been more prudent and circumspect
like out-of-court observations. and declined to take on the case owing to his
earlier involvement in the case”. The Court
This prohibition also disallows extra-judicial has held that a judge should not handle a
research on the internet. case in which he might be perceived, rightly
or wrongly, to be susceptible to bias and
Litigants are entitled to a judge who will prejudice. (Sandoval v. CA, G.R. No. 106657,
decide on the merits of the facts presented. Aug. 1, 1996)
2. The judge previously served as a lawyer or 6. The judge is related by consanguinity or

was a material witness in the matter in affinity to a party litigant within the 6th
controversy(Sec. 5(b), Canon 3, NCJC); civil degree or to counsel within the 4th
civil degree (Sec. 5(f), Canon 3, NCJC); or
Note: A judge may be disqualified if he was
formerly associated with one of the parties Note: A preliminary injunction issued by a
or their counsel. judge in favor of his sister before inhibiting
himself was found reprehensible. (Hurtado v.
A judge who previously notarized the Judajena, G.R. No. L-40603, July 13, 1978)
affidavit of a person to be presented as a
witness in a case before him shall be No judge should preside in a case which he is
disqualified from proceeding with the case. not wholly free, disinterested, impartial and
independent. (Garcia v. De La Pena. A.M.
3. The judge, or a member of his or her No.MTJ-92-637. February 9, 1994)
family, has an economic interest in the
outcome of the matter in controversy (Sec. 7. The judge knows that his or her spouse or
5(c), Canon 3, NCJC); child has a financial interest as heir,
legatee, creditor, fiduciary or otherwise, in
A municipal judge who filed complaints in his the subject matter in controversy or in a
own court for robbery and malicious party to the proceeding, or any other
mischief against a party for the purpose of interest that could be substantially
protecting the property interests of the affected by the outcome of the
judge’s co-heirs, and then issued warrants of proceedings. (Sec. (g), Canon 3, NCJC)
arrest against the party, was found guilty of
158
LEGAL ETHICS TEAM:
Note: This rule is intended to ensure judges’ cognizance of the petition is improper. (Villaluz v.
impartiality by preventing situations in which Mijares, A.M. No. RTJ -98-1402 288, Apr. 3, 1998)
a judge must consider familial interests in
the conflicts before him or her. If the public Note: A judge improperly presided over the
is aware of a family member’s financial preliminary investigation of a criminal complaint
interest, the public may question the judge’s wherein the complaining witness was his nephew.
impartiality The high court held that the judge should have
inhibited himself, because while conducting
Q: When Atty. Rojas was appointed as a judge, preliminary investigation may not be construed
he inherited a criminal case in which he acted as strictly as “sitting in a case,” the underlying reason
prosecutor. He explained that his delay in behind his disqualification under the code of judicial
inhibiting himself from presiding on that case conduct and Sec. 1 of Rule 137 are the same. (Perez
was because it was only after the belated v. Suller, A.M. No. MTJ-94-436, Nov. 6, 1995)
transcription of the stenographic notes that he
remembered that he handled that case. He also Note: Judges no longer conduct preliminary
says that the counsels did not object and he investigations. (A.M. No. 05-8-26-SC, Oct.3, 2005)
never held “full-blown” hearings anyway. Should
Judge Rojas be reprimanded? Q: What degree of compliance is required by the
rule under Canon 3, Section 5 of NCJC?
A: Yes. The Rules of Court prevent judges from
trying cases where they acted as counsel A: Strict compliance of the rule is required so as
“without” the consent of the parties. This to protect the rights of the parties and assure an
prevents not only a conflict of interest but also impartial administration of justice, as well as to
the appearance of impropriety on the part of the prevent erosion of the people's confidence in the
judge. Here, the judge should not have taken part judiciary. (Marfil v. Cuachon, A.M. No. 2360-MJ,
in the proceeding as his impartiality will naturally Aug. 31, 1981)
be questioned considering that he previously
handled the case as prosecutor. He should Q: Are the grounds for disqualification of a judge
administer justice impartially & without delay. enumerated under Sec. 5 of Canon 3 exclusive?
The prohibition does not only cover hearings but
all judicial acts (e.g. orders, resolutions) some of A: No. The provision provides that it is not limited
which, Judge Rojas did make.(Re: Inhibition of to the grounds therein provided.
Judge Eddie R. Rojas, A.M. No. 98-6-185-RTC, Oct.
30, 1998) Sec. 6, Canon 3, NCJC: A judge disqualified as
stated above may, instead of withdrawing
Q: Judge Mijares was charged with grave from the proceeding, disclose on the records
misconduct for taking cognizance and deciding a the basis of disqualification. If, based on such
special proceeding for correction of entry in the disclosure, the parties and lawyers,
record of her grandson, notwithstanding such independently of the judge’s participation, all
relationship. It was also alleged that the judge agree in writing that the reason for inhibition
dispensed with the publication requirement in is immaterial or unsubstantial, the judge may
said proceeding. In her answer, Judge Mijares then participate in the proceeding. The
contended that the prohibition provided for agreement, signed by all parties and lawyers,
under the Code does not apply to special shall be incorporated in the record of the
proceeding which is not controversial in nature proceedings.
and since she does not have any pecuniary
interest in the case. Is the contention correct? Q: What are the types of disqualification?
A: No. A judge who is related to a party within the A:

6th degree of consanguinity is mandated to inhibit 1. Mandatory or compulsory disqualification
himself from hearing the case “notwithstanding 2. Voluntary disqualification or inhibition
lack of pecuniary interest in the case”. This is so
because lack of such interest does not mean that Note: A judge may, in the exercise of his sound
she can already be free from bias and partiality in discretion, disqualify himself, for just and valid
resolving the case by reason of her close blood reasons other than those mentioned under Rule 137
relationship as evident from the fact that here, of the Rules of Court (2nd Paragraph of Sec. 1, Rule
she waived the publication requirement in order 137, RRC).
to save the petitioner from the payment of
publication fee. Thus, the judge’s taking
159
Q: What is inhibition? 3. When he has been an executor, guardian,

administrator, trustee, or counsel; or
A: An act when a judge personally prevents
himself from taking cognizance of the case. This is 4. When he has presided in an inferior court
made through a written petition to inhibit which where his ruling or decision is subject to
shall state the grounds for the same. The review, without the written consent of the
explanation of the judge whether or not to take parties. (Rule 137, RRC)
cognizance of the case must also be in writing.
Q: When may a judge voluntarily inhibit himself?
Note: If the judge inhibits himself from taking
cognizance of the case, the same cannot be A: The judge may in his discretion inhibit himself,
appealed. However, the judge should not for just and valid reasons other than the grounds
immediately inhibit himself. He should make a for mandatory disqualification. The rule on
careful examination by first taking into consideration voluntary disqualification or inhibition is
the following: discretionary upon the judge on the basis of his
conscience.
1. General consideration– whether or not
people’s faith in the judicial system will be
This leaves the discretion to the judge to decide
impaired
for himself questions as to whether he will desist
2. Special consideration– He must reflect on the
from sitting in a case for other just and valid
probability that the losing party will nurture reasons with only his conscience to guide him,
at the back of his mind that he tilted the unless he cannot discern for himself his inability
scale of justice to meet the test of cold neutrality required of
him, in which event the appellate court will see to
Q: What are the distinctions between it that he disqualifies himself.
disqualification and inhibition?
A decision to disqualify himself is not conclusive
A: and his competency may be determined on
DISQUALIFICATION INHIBITION application for mandamus to compel him to act.
There are specific Judge’s decision to continue hearing a case in
The rule only which he is not legally prohibited from trying
grounds enumerated
provides broad notwithstanding challenge to his objectivity may
under the rules of court
basis for inhibition. not constitute reversible error.
for disqualification.
The rule leaves the
The judge has no matter to the Q: Does the filing of an administrative case
discretion; mandatory judge’s sound against a judge disqualify him from sitting in a
discretion case?
A: No, it does not automatically disqualify him. It

Note: The second paragraph of Section 1, Rule 137
does not give the judge the unfettered discretion to must be shown that there are other acts or
decide whether or not he will desist from hearing a conducts by the judge which constitute a ground
case. The inhibition must be for just and valid for his disqualification.
causes. The mere imputation of bias or partiality is
not enough ground for a judge to inhibit, especially Q: May mandamus lie to compel a judge to
when the same is without any basis. (People v. Kho inhibit himself?
G.R. No. 139381, April 20, 2001)
A: Yes, a judge may by mandamus be compelled
Q: What are the grounds for mandatory to act on questions regarding his disqualification
disqualification? from sitting in a case.
A: Q: When should the petition to disqualify be

1. When he, or his wife, or child is filed?
pecuniarily interested as heir, legatee,
creditor, or otherwise; A: The petition to disqualify a judge must be filed
before rendition of the judgment, and cannot be
2. When he is related to either party within raised on appeal. Otherwise, the parties are
th deemed to have waived any objection regarding
the 6 degree of consanguinity or affinity
or to counsel within the 4th civil degree; the impartiality of the judge.
160
LEGAL ETHICS TEAM:
Q: A judge rendered a decision in a criminal case is immaterial or insubstantial; the judge may then
finding the accused guilty of estafa. Counsel for participate in the proceeding. The agreement,
the accused filed a motion for reconsideration signed by all parties and lawyers, shall be
which was submitted without arguments. Later, incorporated in the record of the proceedings.
another lawyer entered his appearance for the (Sec. 6, Canon 3, NCJC)
accused. The judge issued an order inhibiting
himself from further sitting in the case because Q: What are the requirements for a judge to
the latter lawyer had been among those who continue hearing a case despite the existence of
recommended him to the bench. Can the judge’s reasons for disqualifications?
voluntary inhibition be sustained?
A:
A: The judge may not voluntarily inhibit himself 1. The bona fide disclosure to the parties in
by the mere fact that a lawyer recommended him litigation; and
to the bench. In fact, the appearance of said
lawyer is a test as to whether the judge can act 2. The express acceptance by all the parties
independently and courageously in deciding the of the cited reason as not material or
case according to his conscience. “Inhibition is not substantial.
allowed at every instance that a friend, classmate,
associate or patron of a presiding judge appears CANON 4, NCJC- PROPRIETY
before him as counsel for one of the parties to a
case. ‘Utang na loob’, per se, should not be a PROPRIETY AND THE APPEARANCE OF
hindrance to the administration of justice. Nor PROPRIETY ARE ESSENTIAL TO THE
should recognition of such value in Philippine PERFORMANCE OF ALL THE ACTIVITIES OF A
society prevent the performance of one’s duties JUDGE.
as judge.” However, in order to avoid any
suspicion of partiality, it is better for the judge to
voluntarily inhibit himself. (Query of Executive Note: The judge’s own perception of motives is not
Judge Estrella T. Estrada, Regional Trial Court of relevant when considering appearance of
Malolos, Bulacan, on the Conflicting Views of impropriety.
Regional Trial Court – Judges Masadao and
Elizaga Re: Criminal Case No. 4954-M, A.M. No. Sec. 1, Canon 4, NCJC: Judges shall avoid
87-9-3918-RTC October 26, 1987) impropriety and the appearance of
impropriety in all of their activities.
Q: Does a judge’s active participation during the
hearing of the writ of preliminary injunction
amount to an evident display of his bias and Note: The public holds judges to higher standards of
partiality in favor of the private respondents and integrity and ethical conduct than lawyers and other
should he therefore disqualify himself from persons not invested with public trust.
further hearing the civil case?
Q: What does the Code prohibit?
A: No. Mere intervention of the respondent judge
during the hearing of preliminary injunction by A: It prohibits not only actual impropriety but
simply asking the materiality of a question even the mere appearance of impropriety.
directed upon the witness and ruling against the
petitioners are within the prerogatives and Q: When can one say that there is an appearance
powers of the judge. The fact that the judge of impropriety?
asked questions in the course of the trial does not
make him a biased judge (Hizon v. DelaFuente, A: When the conduct of a judge would create in
G.R. No. 152328, Mar. 23, 2004). reasonable minds a perception that the judge’s
ability to carry out judicial responsibilities with
Q: What is remittal of disqualification? integrity, impartiality and competence is
impaired.
A: A judge disqualified may, instead of
withdrawing from the proceeding, disclose in the Note: Acts done by a judge which are not illegal may
records the basis of disqualification. If, based on still constitute a violation of this rule.
such disclosure, the parties and lawyers,
independently of the judge’s participation, all Q: Cite examples of acts of a judge which are not
agree in writing that the reason for the inhibition illegal but will constitute a violation of this rule.
161
A: influence the outcome of his brother’s election

1. The act of a judge of hearing cases on a protest, it cannot be denied that his presence in
day when he is supposed to be on official the courtroom during the hearing of his brother’s
leave. (Re: Anonymous complaint Against case would immediately give cause for the
Judge EdmundoAcuña, A.M. No. RTJ-04- community to suspect that his being a colleague
1891, July 28, 2005) in the judiciary would influence the judge trying
the case to favor his brother. (Vidal v. Judge
2. Photograph showing the judge and a Dojillo Jr., A.M. No. MTJ-05-1591, July 14, 2005)
subordinate coming out of a hotel
together even if there was no clear Note: The Judge’s act in riding in defendant’s car
evidence of sexual congress between deserves the stern probation of the Court. By such
them is enough to give rise to the act, he openly exposed himself and the office he
appearance of impropriety that the code holds to suspicion, thus impairing the trust and faith
strongly warns against. (Liwanag v. Lustre, of the people in the administration of justice. A
A.M. No. MTJ-98-1168, Apr. 21 1999) judge’s official conduct should be free from the
appearance of impropriety and his personal conduct
3. Joking remark made by a judge to a and behavior should be beyond reproach. (Spouses
Cabreana v. Avelino A.M. No. 1733 CFI September
litigant suggesting that the litigant prove
30, 1981)
he harbored no ill feelings towards the
judge. (Co v. Plata, A.M. No. MTJ-03-1501,
Q: Judge Duque of the RTC was charged with
Mar. 14, 2005)
Impropriety, Corruption and Gross Misconduct.
Reyes alleged that she was a party-in-
Q: Judge Lee was charged with conduct
intervention in Land Registration filed by the
unbecoming of a judge for habitually using
Philippine Savings Bank against the spouses
vulgar words especially when solemnizing
Choi. In a Decision, Judge Duque granted the
marriage. It was alleged that in a certain
motion for the issuance of a writ of possession in
marriage ceremony he made a comment that
favor of the bank. Complainant Reyes filed an
the bride and the groom should sexually satisfy
“Urgent Petition for Lifting and Setting Aside of
each other so that his or her partner will not
Writ of Possession and Quashal of Notice to
look for another. In his answer the judge
Vacate” claiming that she bought the subject
contended that as solemnizing officer, it was his
property from the spouses Choi and that she was
duty to so advice the couple, and his lecture
in actual possession of the property with full
about sex was intended for purposes of family
knowledge of the bank.
planning and to forewarn the parties as to the
cause of marital failure. Should the judge be
At the hearing, Atty. Ubana, the lawyer of Reyes,
disciplined?
introduced her to Judge Duque who allegedly
gave Reyes 30 days to settle matters with the
A: Yes. A judge shall avoid impropriety and
bank. She was unable to re-negotiate with the
appearance of impropriety in all his activities.
bank. Reyes then allegedly received a phone call
Here, the advice of the judge using vulgar words
from Judge Duque and he instructed Reyes to go
during a wedding is not to be expected of a judge.
“to his house and bring some money in order
Such gutter-language is even rarely heard in
that he can deny the pending motion to break
slums. When used by a judge, respect for the
open.” When she already had the money, she
entire judiciary plummets to the levels where the
went to his house. The son of Judge Duque
people would begin to doubt the moral standards
opened the gate. At his house, Judge Duque
of judges and their capacity and fitness to
demanded money from her.
dispense justice. (Hadap v. Lee, A.M. No. 1665-
MJ, June 29, 1982)
Another incident happened, whereby Reyes
went to the house of Judge Duque for the
Q: During the hearing of an election protest filed
payment of a sum of money. Judge Duque
by the brother of Judge Dojillo, the latter sat
allegedly scolded her for not bringing the whole
beside the counsel of his brother allegedly to
amount. Judge Duque then locked the main door
give moral support. Did the judge commit any
of his house and asked Reyes to step into his
improper conduct?
office. Judge Duque held the waist of Reyes,
embraced and kissed her. Reyes tried to struggle
A: Yes. The judge violated the rule on impropriety
and free herself. Judge Duque raised her skirt,
under the NCJC Sec 1 Canon 4 for even if he did
opened her blouse and sucked her breasts. He
not intend to use his position as a judge to
touched her private parts and attempted to have
162
LEGAL ETHICS TEAM:
sexual intercourse with Reyes. Reyes shouted for are essential to the preservation of the people’s faith
help but the TV was too loud. As a desperate in the judicial system lest public confidence in the
move, Reyes appealed to Judge Duque saying: judiciary would be eroded by the incompetent,
“kung gusto mo, huwag dito. Sa hotel, sasama irresponsible and negligent conduct of judges.
ako sayo.” Judge Duque suddenly stopped his (Bayaca v. Judge Ramos, A.M. No. MTJ-07-1676, Jan.
sexual advances and ordered Reyes to fix her 29, 2009)
hair. Is the respondent judge guilty of
impropriety and gross misconduct? Q: What is a dignified conduct?
A: Yes. Judges should avoid impropriety and the A: Dignified conduct is best described as conduct
appearance of impropriety in all of their activities. befitting men and women possessed of
Judges should conduct themselves in a way that is temperance and respect for the law and for
consistent with the dignity of the judicial office. others.
Judges, like any other citizen, are entitled to
freedom of expression, belief, association and Q: Judge Gonzales together with his two male
assembly, but in exercising such rights, they friends went to the house of A and asked the
should always conduct themselves in such a two girls who were then boarding in A’s house to
manner as to preserve the dignity of the judicial accompany his two male friends and take a stroll
office and the impartiality and independence of in the beach. When the girls refused, the judge
the judiciary. admonished them. Consequently, the judge was
charged with conduct unbecoming of a judge.
The conduct of Judge Duque fell short of the Will the action prosper?
exacting standards for members of the judiciary.
He failed to behave in a manner that would A: Yes. A judge should so comport himself as not
promote confidence in the judiciary. Considering to degrade or bring embarrassment to his office.
that a judge is a visible representation of the law Here, Judge Gonzales’ act of imposing his will on
and of justice, he is naturally expected to be the the complainants constitutes conducts
epitome of integrity and should be beyond unbecoming of a judge who should be civil,
reproach. Judge Duque’s conduct indubitably humble and considerate of the rights of others.
bore the marks of impropriety and immorality. He (Mariano v. Gonzales, A.M. No. 2180-MJ 114,
failed to live up to the high moral standards of the May 31, 1982)
judiciary and even transgressed the ordinary
norms of decency of society. Had Judge Duque Note: In every litigation, the manner and attitude of
not retired, his misconduct would have merited a judge are crucial to everyone concerned. It is not
for him to indulge or even to give the appearance of
his dismissal from the service. (Reyes v. Duque,
catering to the at-times human failing of yielding to
A.M. No. RTJ-08-2136 , September 21, 2010)
first impressions. He is to refrain from reaching
hasty conclusions or prejudging matters. It would be
Sec. 2, Canon 4, NCJC: As a subject of deplorable if he lays himself open to the suspicion of
constant public scrutiny, judges must accept reacting to feelings rather than to facts, of being
imprisoned in the net of his own sympathies and
personal restrictions that might be viewed as
predilections. His language, both written and
burdensome by the ordinary citizen and
spoken, must be guarded and measured, lest the
should do so freely and willingly. In
best intentions be misconstrued. He should avoid
particular, judges shall conduct themselves in such action as would subject him to suspicion of
a way that is consistent with the dignity of interest in a case in his court. It is of utmost
the judicial office. importance that a judge must preserve the trust and
confidence reposed in him by the parties as an
Note: Membership in the judiciary circumscribes impartial, unbiased and dispassionate dispenser of
one’s personal conduct and imposes upon him justice. When he conducts himself in a manner that
certain restrictions, the faithful observance of which, gives rise, fairly or unfairly, to perceptions of bias,
is the price one has to pay for holding such a such faith and confidence are eroded. His decisions,
distinguished position. Accordingly, a magistrate of whether right or wrong, will always be under
the law must comport himself in a manner that his suspicion of irregularity. (Abesa v. Judge Nacional,
conduct must be free of a whiff of impropriety, not A.M. No. MTJ-05-1605, June 8, 2006)
only with respect to the performance of his official
duties, but also to his behavior outside his sala and
as a private individual. His conduct must be able to
withstand the most searching public scrutiny, for the
ethical principles and sense of propriety of a judge
163
Finally, Justice Hernandez berated Atty.

Sec. 3, Canon 4, NCJC: Judges shall, in their Pangalangan, the father of former UP Law Dean
personal relations with individual members Raul Pangalangan, and uttered words such as
of the legal profession who practice “Just because your son is always nominated by
regularly in their court, avoid situations the JBC to Malacañang, you are acting like that!
which might reasonably give rise to the Do not forget that the brain of the child follows
suspicion or appearance of favoritism or that of their (sic) mother.” Should the
partiality. respondent justices be held liable for conduct
unbecoming?
Q: What is the reason for this rule?
A: YES. Publicizing professional qualifications or
A: This section is directed at bolstering the boasting of having studied in and graduated from
principle of cold neutrality of an impartial judge certain law schools, no matter how prestigious,
as it requires judges to scrupulously guard against might have even revealed, on the part of Justice
any act that may be construed as an expression of Ong and Justice Hernandez, shows their bias for
bias in favor of a litigant. or against some lawyers. Their conduct was
impermissible, consequently, for Section 3, Canon
Note: Constant company with a lawyer tends to 4 of the New Code of Judicial Conduct for the
breed intimacy and camaraderie to the point that Philippine Judiciary, demands that judges avoid
favors in the future may be asked from the judge
situations that may reasonably give rise to the
which he may find it hard to resist. If a judge is seen
suspicion or appearance of favoritism or partiality
eating and drinking in public places with a lawyer
who has cases pending in his or her sala, public
in their personal relations with individual
suspicion may be aroused, thus tending to erode the members of the legal profession who practice
trust of litigants in the impartiality of the judge. regularly in their courts. Judges should be
(Padilla v. Zantua, G.R. No. 110990, Oct. 1994) dignified in demeanor, and refined in speech. In
performing their judicial duties, they should not
Note: A judge shall avoid fraternizing with lawyers manifest bias or prejudice by word or conduct
and litigants. towards any person or group on irrelevant
grounds. It is very essential that they should live
Q: Complainant Prosecutor filed an up to the high standards their noble position on
administrative complaint against respondent the Bench demands. Their language must be
Sandiganbayan Justices for grave misconduct, guarded and measured, lest the best of intentions
conduct unbecoming a Justice, and conduct be misconstrued. In this regard, Section 3, Canon
grossly prejudicial to the interest of the service. 5 of the New Code of Judicial Conduct for the
Allegedly, during a hearing, Justice Ong uttered Philippine Judiciary, mandates judges to carry out
words like “We are playing Gods here, we will do judicial duties with appropriate consideration for
what we want to do, your contempt is already all persons, such as the parties, witnesses,
out, we fined you eighteen thousand pesos, even lawyers, court staff, and judicial colleagues,
if you will appeal, by that time I will be there, without differentiation on any irrelevant ground,
Justice of the Supreme Court.” Also, he often immaterial to the proper performance of such
asked lawyers from which law schools they had duties. (Jamsani-Rodriguez v. Ong, A.M. No. 08-
graduated, and frequently inquired whether the 19-SB-J, August 24, 2010)
law school in which Justice Hernandez had
studied and from which he had graduated was Sec. 4, Canon 4, NCJC: Judges shall not
better than his (Justice Ong’s) own alma mater. participate in the determination of a case in
The complainant opined that the query was which any member of their family represents
manifestly intended to emphasize that the San a litigant or is associated in any manner with
Beda College of Law, the alma mater of Justice the case.
Ong, and the UP College of Law, that of Justice
Hernandez, were the best law schools. On Note: This rule rests on the principle that no judge
should preside in a case in which the judge is not
another occasion in that hearing in Cebu City,
wholly free, disinterested, impartial and
Justice Hernandez discourteously shouted at
independent.
Prosecutor HazelinaTujan-Militante, who was
then observing trial from the gallery and said Sec. 5, Canon 4, NCJC: Judges shall not allow
“You are better than Director Somido? Are you the use of their residence by a member of
better than Director Chua? Are you here to the legal profession to receive clients of the
supervise Somido? Your office is wasting funds latter or of other members of the legal
for one prosecutor who is doing nothing”. profession.
164
LEGAL ETHICS TEAM:
Note: It was inappropriate for a judge to have Anonymous complaint Against Judge Acuña, A.M.
entertained a litigant in his house particularly when No. RTJ-04-1891, July 28, 2005)
the case is still pending before his sala. (J. King and
Sons. V Hontanosas, Adm. Matter No. RTJ-03-1802, Note: Judges in the exercise of their civil liberties,
September 21, 2004) should be circumspect and ever mindful of their
continuing commitment to uphold the judiciary and
Q: What is the reason for this rule? its values places upon them certain implied
restraints to their freedom. A judge was admonished
A: The reason is that judges are required to for the appearance of engaging in partisan politics
always exhibit cold neutrality of an impartial when he participated in a political rally sponsored by
judge. one party, even though he only explained the
mechanics of block voting to the audience. (Macias
v. Arula, A.M. No. 1895-CFI, July 20, 1982)
Sec. 6, Canon 4, NCJC: Judges, like any other
citizen, are entitled to freedom of
expression, belief, association and assembly, Sec. 7, Canon 4, NCJC: Judges shall inform
but in exercising such rights, they shall themselves about their personal fiduciary
always conduct themselves in such a manner and financial interests and shall make
as to preserve the dignity of the judicial reasonable efforts to be informed about the
office and the impartiality and independence financial interests of members of their
of the judiciary. family.
Note: While judges are not expected to live a Note: This section should be read in conjunction
hermit-like existence or cease functioning as citizens with Sec. 7 of the R.A. 6713 (Code of Conduct and
of the Republic, they should remember that they do Ethical standards for Public officials and Employee),
not disrobe themselves of their judicial office upon which prohibits certain personal fiduciary and
leaving their salas. In the exercise of their civil financial conflicts.
liberties, they should be circumspect and ever
mindful that their continuing commitment to A judge shall refrain from financial and business
upholding the judiciary and its values places upon dealings that tend to reflect adversely on the court's
them certain implied restraints to their freedom. impartiality, interfere with the proper performance
of judicial activities, or increase involvement with
Q: In an anonymous letter sent to the OCA, lawyers or persons likely to come before the court.
Judge Acuña was charged with improper conduct
for allegedly making humiliating statements Sec. 8, Canon 4, NCJC: Judges shall not use or
such as “putris,” and “putang-ina”. In his lend the prestige of the judicial office to
comment, Judge Acuña explained that those advance their private interests, or those of a
words are only his favorite expressions and they member of their family or of anyone else,
are not directed to any particular person. He also nor shall they convey or permit others to
explained that his behavior is justified by the convey the impression that anyone is in a
fact that he is still mourning the sudden demise special position improperly to influence them
of his eldest son. Is the Judge guilty of improper in the performance of judicial duties.
conduct?
A: Yes. Judges are demanded to be always Q: What are the acts prohibited by the rule?
temperate, patient and courteous both in the
conduct and language. Indeed, judges should so A:
behave at all times because having accepted the 1. Judge’s act of using judicial office to
esteemed position of a judge he ought to have advance private interests
known that more is expected of him than
Note: An RTC judge took advantage of his
ordinary citizen. Here, the judge’s use of
position, by filing in the Makati court a
humiliating and insensitive expressions like collection case in which he and his wife were
“putris” and ”putang- ina” is improper as such the complainants. The Court ruled that
intemperate language detracts from how he although a stipulation in the contract gave
should conduct himself. Moreover, it does not the judge, as creditor, choice of venue, the
matter whether such expressions were directed judge had nonetheless fallen short of what is
to a particular person or not, as they give the expected of him as a judicial officer. This act
impression of a person’s ill manners. (Re: of the judge would lead the public, and in
particular the judge’s adversary, to suspect
165
that the judge would use the choice of venue Q: Judge Lilagam was charged with improper
as a means to exert influence in favor of conduct for allowing his wife to have access to
himself. (Javier v. De Guzman, A.M. No. RTJ- court records. In his answer, the judge admitted
89-380, Dec. 19, 1990) that he requested his wife who was previously a
legal researcher, to go over the records and
2. Judge’s act of giving impression that he pinpoint problem areas and to suggest measures
can be influenced to use the judicial office to rectify the same and to improve the system of
to advance the private interests of others. case monitoring. Is the judge guilty of improper
conduct?
Note: Another common violation of this rule
is using judicial power to exact personal A: Yes. Records of cases are necessarily
vengeance. confidential, and to preserve their integrity and
confidentiality, access thereto ought to be limited
Q: Judge Escano was charged with allegedly only to the judge, the parties or their counsel and
using court facilities (bulletin board) in the appropriate court personnel in charged of the
advertising for attractive waitresses and cooks custody of said records. Here, since Mrs. Lilagam
for possible employment in their restaurant is not a court employee specifically in charge of
business. In addition, the judge also allowed the the custody of said records, the judge’s act of
use of the court address to receive applications allowing her to have access thereto is improper as
as well as his office in screening the applicants. such would convey the impression that she isthe
In his comment, the judge explained that he one who can influence the judge’s official
merely wanted to give assistance to his wife, and function. (Gordon v. Lilagam, A.M. No. RTJ-00-
the posting of advertisements as well as the 1564, July 26, 2001)
conduct of screening in his office is the most
convenient way for him considering the difficulty Q: At the pre-trial of a civil case for collection,
of locating the residence. Did the judge commit one of the parties mentioned that he expected
any unethical act? to settle his obligation as he was investing in
some stocks of a realty corporation that were
A: Yes. Judges shall not use or lend the prestige of sure to soar in the market because of some
the judicial office to advance their private confidential information he obtained from his
interests for those of a member of a family. This is brother-in-law, a top rank officer of the
so to avoid possible interference which may be corporation. Upon hearing the information the
created by such business involvements in the judge lost no time in buying the stocks in the
exercise of their duties which may tend to realty corporation and as predicted made a lot of
corrode the respect and dignity of the court as money. Is the judge guilty of unethical conduct?
bastion of justice. Here, the act of the judge in
using the court facilities to promote family A: Yes. Sec. 9, Canon 4 of NJCJprovides that “no
business is improper. (Dionisio v. Escano, A.M. information acquired in a judicial capacity shall be
No. RTJ-98-1400, Feb. 1, 1999) used or disclosed by a judge in any financial
dealing or for any other purpose not related to
Q: What is ticket fixing? judicial activities.” The judge in this case has
violated the foregoing rule, and acted unethically.
A: Ticket fixing is misconduct in which judges (1995 Bar Question)
impermissibly take advantage of their public
position to avoid punishment for traffic violations. Q: May a violation of this rule constitute criminal
offense?
Sec. 9, Canon 4, NCJC: Confidential
information acquired by judges in their A: Yes. The act may constitute the following
judicial capacity shall not be used or criminal offenses: Under Sec. ([k) of R.A. 3019,
disclosed for any other purpose not related and under Art. 229 and 230 of the RPC, to wit:
to their judicial duties.
1. Divulging valuable information of a
confidential character, acquired by his
Q: What is the reason for this rule? office or by him on account of his official
position to unauthorized persons, or
A: The prohibition will discourage, if not stop releasing such information in advance of
judges from making business speculations in its authorized release date. (3[k] of R.A.
some business ventures, the secrets of which they 3019)
learned by reason of their position as judges.
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LEGAL ETHICS TEAM:
2. Revelation of secrets by an officer – Any functions in quasi-judicial or administrative

public officer who shall reveal any secret agencies. This does not mean, however, that
known to him by reason of his official judges should adopt an attitude of monastic
capacity, or shall wrongfully deliver papers insensibility or unbecoming indifference to the
or copies of papers of which he may have Provincial/City Committee on Justice. As
charge and which should not be incumbent judges, they form part of the structure
published, shall suffer imprisonment. (Art. of government. Even as non-members, Judges
229, RPC) should render assistance to said Committees to
help promote the laudable purposes for which
3. Public officer revealing secrets of private they exist, but only when such assistance may be
individual – Any public officer to whom reasonably incidental to the fulfillment of their
the secrets of any private individual shall judicial duties. (In Re: Designation of Judge
become known by reason of his office who Rodolfo U. Manzano, A.M. No. 88-7-1861-RTC,
shall reveal such secrets, shall suffer the Oct. 5, 1988)
penalties of arresto mayor and a fine. (Art.
230, RPC) Note: Under Sec. 10(c), Section 10, Canon 4, a judge
may engage in private business without the written
permission of the Supreme Court. (Borre v. Moya,
Sec. 10, Canon 4, NCJC: Subject to the proper A.M. No. 1765-CFI, Oct. 17, 1980)
performance of judicial duties, judges may:
1. Write, lecture, teach and participate in Sec. 11, Canon 4, NCJC: Judges shall not
activities concerning the law, the legal practice law whilst the holder of judicial
system, the administration of justice or office.
related matter;
2. Appear at a public hearing before an
Q: What is the basis of the prohibition?
official body concerned with matters
relating to the law, the legal system,
A: This prohibition is based on the inherent
the administration of justice or related
incompatibility of the rights, duties and functions
matters;
of the office of an attorney with the powers,
3. Engage in other activities if such
duties and functions of a judge.
activities do not detract from the
dignity of the judicial office or
Note: Sec. 35 of Rule 138 of the Rules of Court
otherwise interfere with the
prohibits judges from engaging in the practice of law
performance of judicial duties. or giving professional advice to clients.
Philippine courts not only prohibit judges from

Note: This section allows the judge to participate in overtly representing clients as counsel of record, but
legal academia and public discourse on legal matters also from acting more subtly in a way more befitting
with the proviso that there shall be no interference an advocate than a judge.
in the performance of the judge’s primary functions
with respect to his or her jurisdiction. In dealing with
Note: While municipal judges can administer oaths
the media however, the Philippine Judicial Academy
or execute certificates on matters related to their
suggests that a judge or court should avoid
official functions, they cannot notarize private
acrimonious debate with reporters and the public,
documents. Judges assigned to municipalities and
for a knee jerk reaction from the court or judge may
circuits may act as notaries provided all notarial fees
only provoke negative follow-up reports and articles.
charged be to the government’s account and a
certification attesting to the lack of lawyers on
This section’s tolerance of judicially-related activities
notary in the municipality or circuit be made. (SC
is limited by Sec. 12, Article VIII of the Constitution,
Circular 1-90)
which prohibits judges from being “designated to
any agency performing quasi-judicial or
Note: The rule disqualifying a municipal judge from
administrative functions”.
engaging in the practice of law seeks to avoid the
evil of possible use of the power and influence of his
Q: May a judge be a member of the Provincial office to affect the outcome of the litigation where
Committee on Justice? he is retained as counsel. Compelling reasons of
public policy lie behind this prohibition, and judges
A: No. Such membership would violate the are expected to conduct themselves in such a
constitutional provision on the discharge by manner as to preclude any suspicion that they are
members of the judiciary of administrative representing the interests of party litigant (Dia-
167
Anonuevo v. Bercacio, A.M. No. 177-MTJ, November witness and not as a legal counsel. Besides, his act
27, 1975) was an isolated act. (2002 Bar Question)
Q: Respondent Judge Lelina was

administratively charged for violation of Section Sec. 12, Canon 4, NCJC: Judges may form or
35, Rule 138 of the Rules of Court and Rule 5.07, join associations of judges or participate in
Canon 5 of the Code of Judicial Conduct. He was other organizations representing the
then preventively suspended by the Court on interests of judges.
account of an earlier administrative complaint
filed charging him with harassment in Note: This rule recognizes the difference between
connection with the criminal complaint for Rape membership in associations of judges and
and the complaint for Abduction with Rape and membership in associations of other legal
Slight Illegal Detention. He then filed a Motion professionals. While attendance at lavish events
for Early Resolution of the criminal case praying hosted by lawyers might create an appearance of
for a resolution in his favor. Subsequently he impropriety, participation in judges-only
appealed to the Court to grant him the organizations does not.
permission to practice law during the remainder
of his preventive suspension or, if such cannot Q: What is the general rule with regard to
be granted, to consider him resigned from the prohibition against accepting gifts, bequests, or
judiciary. It turned out that before he filed the loans?
above-said Manifestation, Appeal and Omnibus
Motion, Judge Lelina engaged in the private A: The general rule is that found in Sections 13
practice of law. Did the judge commit any and 14.
unethical act?
Sec. 13, Canon 4, NCJC: Judges and members
A: Yes. Since Section 35, Rule 138 of the Rules of
of their families shall neither ask for nor
Court and Section 11, Canon 4 of the New Code
accept, any gift, bequest, loan or favor in
of Judicial Conduct for the Philippine Judiciary
relation to anything done or to be done or
does not make any distinction in prohibiting
omitted to be done by him or her in
judges from engaging in the private practice of
connection with the performance of judicial
law while holding judicial office, no distinction
duties.
should be made in its application. In the present
case, Judge Lelina having been merely suspended
and not dismissed from the service, he was still Sec. 14, Canon 4, NCJC: Judges shall not
bound under the prohibition. (Binalay v. Lelina Jr, knowingly permit court staff or others subject
A.M. No. RTJ-08-2132, July 31, 2009) to their influence, direction or authority, to
ask for, or accept, any gift, bequest, loan or
Q: In an extrajudicial settlement of the estate of favor in relation to anything done, to be done
the late Juan Mayaman, the heirs requested or omitted to be done in connection with
Judge Maawain, a family friend, to go over the their duties or functions.
document prepared by a new lawyer before they
signed it. Judge Maawain agreed and even acted
Note: Section 13 should be read in conjunction with
as an instrumental witness. Did Judge Maawain Section 7(d) of R.A. 6713 (Code of Conduct and
engage in the unauthorized practice of law? Ethical Standards for Public officials and Employee)
Why? which provides that, public officials and employees
shall not solicit or accept, directly or indirectly, any
A: No. In the case of de Castro v. Capulong, 118 gift, gratuity, favor, entertainment, loan or anything
SCRA 5 (1982), the Supreme Court held that a of money value from any person in the course of
judge who merely acted as a witness to a their official duties or in connection with any
document and who explained to the party operation being regulated by, or any transaction
waiving his rights of redemption over mortgaged which may be affected by the functions of their
properties the consequences thereof, does not office.
engage himself in the practice of law. This
appears to be more applicable to the case of Respondent Judge Ganay clearly fell short of the
Judge Maawain. He did not give professional exacting standards set by the New Code of Judicial
advice in anticipation of litigation. He was just Conduct for the Philippine Judiciary. His acts of
asked to review a deed of extrajudicial settlement receiving lawbooks worth fifty thousand pesos,
cellular phones and monthly cellular phone prepaid
of estate. He signed merely as an instrumental
cards from the property guardians of the late Rev.
168
LEGAL ETHICS TEAM:
Fr. Aspiras, who was then the ward of the court, Q: What gifts and grants from foreign countries
constitute impropriety which the Court cannot allow. are allowed?
Respondent Judge Ganay’s act of issuing Orders
directing the manager of the PNB, La Union Branch A:
to draw checks amounting to thousands of pesos 1. The acceptance and retention by a public
from the account of the late Rev. Fr. Aspiras creates official or employee of a gift of nominal
the impression of impropriety and subjects the court value tendered and received as a souvenir
to suspicion of irregularities in the conduct of the
or mark of courtesy;
proceedings. (Heirs of the late Rev. Fr. Jose Aspiras v.
2. The acceptance by a public official or
Judge Ganay, A.M. No. RTJ-07-2055, Dec. 17, 2009)
employee of a gift in the nature of a
Note: Section 14 should be read in relation to scholarship or fellowship grant or medical
Section 7(d) of RA No. 6713 which prohibits public treatment; or
officials from soliciting or accepting gifts from any 3. The acceptance by a public official or
person in the course of their official duties. employee of travel grants or expenses for
travel taking place entirely outside the
Q: What is the reason for this rule? Philippines (such as allowances,
transportation, food and lodging) of more
A: This section is intended to assure that what the than nominal value if such acceptance is
judge cannot do directly (soliciting gifts), may not appropriate or consistent with the interest
be done indirectly through the use of employees of the Philippines, and permitted by the
or staff members. head office, branch or agency to which the
judge belongs. (Sec. 7[d], R.A. 6713)
Q: X was charged with grave threat before the
sala of Judge Elias Lelina. During the pendency of Q: When is a judge considered guilty of indirect
the case, X offered a business partnership to the bribery? Of direct bribery?
daughter of Judge Lelina who then accepted the
same. Should the judge be disciplined? A: Acceptance of gifts given by reason of the
office of the judge is indirect bribery (Art. 211,
A: Yes. Judges should not allow members of their Revised Penal Code) and when he agrees to
family to accept gifts nor favor in relation to perform an act constituting a crime in connection
anything done, to be done, or omitted to be done with the performance of his official duties in
by the judge in connection with the performance consideration of any offer, promise, gift or
of his official duties. Here, the judge’s act of present receive by such officer, he is guilty of
allowing his daughter to accept the business offer direct bribery (Art. 210, Revised Penal Code).
of X despite knowledge of the possible intention
of the latter who has pending case in his sala is Note:
GR: Under the Anti-Graft and Corrupt Practices
improper. (Dulay v. Lelina Jr., A.M. No. RTJ-99-
Act (RA 3019), the judge is liable criminally for
1516, July 14, 2005)
directly or indirectly receiving gifts, presents or
other pecuniary or material benefit for himself or
Q: What is the exception to Sections 13 and 14 for another under conditions provided in Section
of Canon 4 of the NCJC? 2, pars. b and c of the law.
A: Canon 4, Section 15 of NCJC. XPN: Unsolicited gifts or presents of small value

offered or given as a mere ordinary token of
Sec. 15, Canon 4, NCJC: Subject to law and gratitude or friendship according to local custom
to any legal requirements of public or usage (Section 14, RA 3019)
disclosure, judges may receive a token gift,
award or benefit as appropriate to the Note: Donations given to a judge or to his wife,
occasion on which it is made, provided that descendants or ascendants by reason of his office
such gift, award or benefit might not are void (Art. 739, Civil Code). Ownership does not
reasonably be perceived as intended to pass to the donee. Money or property donated is
influence the judge in the performance of recoverably by the donor, his heirs or creditors.
official duties or otherwise give rise to an
Note: Under Section 16 Article XI of the 1987
appearance of partiality.
Constitution “No loan, guarantee or other form of
financial accommodation for any business purpose
Note: Judges are allowed to accept token gifts,
may be granted directly or indirectly by any
awards, or benefits when given as a consequence of
government-owned or controlled bank or financial
a special occasion.
169
institution to xxx members of the Supreme Court xxx Judges should not yield to first impression, reach
during their tenure. hasty conclusions or prejudge matters. They have a
duty to ensure that the minority status of a party
It is a serious misconduct for a judge to receive plays no part in their decisions.
money from a litigant in the form of loans which he
never intended to pay back. Even if the judge
Sec. 2, Canon 5, NCJC: Judges shall not, in
intends to pay, it is an act of impropriety to take a
the performance of judicial duties, by words
loan from a party litigant. The judge could not be
or conduct, manifest bias or prejudice
wholly free from bias in deciding a case where his
lender is a party. A judge should always strive to be towards any person or group on irrelevant
free from suspicion and all forms of improprieties. grounds.
(Ompoc v. Judge Torres, A.M. No. MTJ-86-11
September 27, 1989 Note: Magistrates of law must comport themselves
at all times in such a manner that their conduct, can
Note: To ensure equality of treatment to all before withstand the highest level of public scrutiny.
the courts is essential to the due performance of the
judicial office. As the guardians of justice, courts Judges should avoid private remarks, hasty
must adhere to the principle of equality. People conclusions, or distasteful jokes that may give even
expect the courts to be unaffected by differences in erroneous impressions of prejudice and lead the
social status, degree of education and even physical public to believe that cases before them are being
abilities. prejudged.
CANON 5,NCJC-EQUALITY Sec. 3, Canon 5, NCJC: Judges shall carry out

judicial duties with appropriate
ENSURING EQUALITY OF TREATMENT TO ALL consideration for all persons, such as the
BEFORE THE COURTS IS ESSENTIAL TO THE parties, witnesses, lawyers, court staff and
DUE PERFORMANCE OF THE JUDICIAL judicial colleagues, without differentiation
OFFICE. on any irrelevant ground, immaterial to the
proper performance of such duties.
Note: A judge must be able to render substantial
justice and maintain public confidence in the judicial Note: As arbiters of the law, judges should be
system, by being aware of the diversity in society. conscientious, studious, courteous, patient and
With that awareness, a judge should not yield to first punctual in the discharge of their judicial duties,
impression, reach hasty conclusions or prejudge recognizing that time of litigants, witnesses and
matters. (Castillo v. Judge Juan, 62 SCRA 124) counsel is of value.
Judges should act with decorum toward jurors,

Sec. 1,Canon 5,NCJC: Judges shall be aware
parties, court staff, spectators, and alike.
of and understand diversity in society and
differences arising from various sources,
Q: Judge Tormis made a comment in a certain
including, but not limited to, race, color, sex,
case to the effect that the same should be
religion, national origin, caste, disability,
dismissed as the act complained of was already
age, marital status, sexual orientation, social
decriminalized by a special law. Thereafter,
and economic status, and other like causes.
Judge Navarro, who previously handled the case
before he was appointed as a judge, barged into
Q: What is the reason for this rule? the office of Judge Tormis telling to the staff that
their judge does not know her law. Judge Tormis
A: To render substantial justice and maintain then retaliated by saying that to her, the office
public confidence in the judicial system, judges of Judge Navarro does not exist. Are the judges
are expected to be aware of the diversity in guilty of conduct unbecoming of a judge?
society that results from an increased worldwide
exchange of people and ideas. A: Yes. Judges, being dispensers of justice should
not act in a way that would cast suspicion in order
Note: Judges should be mindful of the various to preserve faith in the administration of justice.
international instruments and treaties ratified by the They should so behave to avoid poor public
Philippines, which affirm the equality of all human impression on the judiciary. Here, the judges act
beings and establish a norm of non-discrimination of fighting each other by uttering derogatory
without distinction as to race, sex, language, or remarks against each other is a conduct
religion. unbecoming of a judge for which they should be
170
LEGAL ETHICS TEAM:
disciplined as their fight has impaired the image whether such information came from
of the judiciary. (Navarro v. Tormis, A.M. No. MTJ- authorized or unauthorized sources; and
00-1337, Apr. 27, 2004)
2. To organize their courts to ensure the
Q: Atty. Quinto was the defense counsel in a prompt and convenient dispatch of
criminal case. In his verified complaint, he business and should not tolerate
alleged that during the hearing, he manifested misconduct by clerks, sheriffs and other
that he was waiving the presentation of assistants who are sometimes prone to
evidence for the accused. Judge Vios then expect favors or special treatment due to
allegedly got angry, shouted and scolded him, their professional relationship with the
stating that the defense had no right to waive judge.
the presentation of evidence. He did not even
listen to Atty. Quinto’s explanation and, Note: All personnel involved in the dispensation of
thereafter, compelled the latter to withdraw his justice should conduct themselves with a high
appearance as counsel of the accused, under degree of responsibility. (Mataga v. Rosete, A.M. No.
pain of contempt. In the presence of the MTJ-03-1488, Oct. 13, 2004)
complainant, Judge Vios appointed a counsel de
officio. Sec. 5, Canon 5,NCJC: Judges shall require
lawyers in proceedings before the court to
May Judge Vios be held administratively liable refrain from manifesting, by words or
for compelling the lawyer to withdraw as conduct, bias or prejudice based on irrelevant
counsel for the accused under pain of contempt? grounds, except such as are legally relevant
to an issue in proceedings and may be the
A: Yes. A judge should avoid unconsciously falling subject of legitimate advocacy.
into the attitude of mind that the litigants are
made for the courts, instead of the courts for the Note: Judges should conduct proceedings in court
litigants. Here, the judge should be held liable for with dignity and in a manner that reflects the
misconduct when he threatened to punish importance and seriousness of proceedings. They
complainant for contempt of court if he would should maintain order and proper decorum in the
refuse to withdraw his appearance, as counsel for court. (Rule 3.03, Canon 3, 1989 Code of Judicial
the accused, when the latter insisted on waiving Conduct)
the presentation of the evidence for the defense.
(Atty. Quinto v. Judge Vios, A.M. No. MTJ-04- Judges have the duty to prevent lawyers from
1551, May 21, 2004) abusing witnesses with unfair treatment.
Note: Unequal and disparate treatment in the As courts are expected to ensure equality, any
courthouse, whether intentional or perceived, is lawyer who makes an insensitive or demeaning
unacceptable and can negatively impact the comment in court should be admonished.
professional lives of attorneys and employees, the
assessment of claims of litigants, and the respect Q: During the hearing of a case for statutory
and credibility of the justice system. rape filed against X, the lawyer is asking the 6-
year-old victim to relate exactly and step by step
Sec. 4, Canon 5, NCJC: Judges shall not the sexual intercourse between her and the
knowingly permit court staff or others accused. The lawyer is also asking questions
subject to his or her influence, direction or whether at the time of the alleged rape, the
control to differentiate between persons accused’s penis was hard, and whether at the
concerned, in a matter before the judge, on time they were caught, the accused was still
any irrelevant ground. pushing and pulling his penis inside her vagina.
Should the judge allow such questions?
Q: What are the duties of judges under this A: No. The judge shall require lawyers to refrain
section? from making abusive and uncalled for queries.
Here, the fact that the victim of rape is a child of
A: tender years, there is more reason to require the
1. To ensure that court personnel under lawyer to be tactful. No woman especially child of
their supervision do not discriminate by tender years would exactly remember step by
dispensing special favors or disclosing step the sexual intercourse in the hands of the
confidential information to any maniacal beast. Hence, all the questions asked
unauthorized person, regardless of
171
are excessive. (People v. Boras, G.R. No. 127495, by Judge Ramos in a criminal case for arson
Dec. 22, 2000) through reckless imprudence and imposed upon
him the penalty of imprisonment, with all the
Note: This line of questioning may be relevant if the accessory penalties imposed by law in addition
aggrieved party is an adult but not to a child. The to the payment of costs and damages. On
Rule on the examination of a child witness (A.M. No. appeal, the RTC deleted the penalty of
004-07-SC) protects children so that imprisonment. However, Judge Ramos
developmentally appropriate questions can only be subsequently issued a warrant of arrest and
asked. Commitment on Final Sentence which led to
complainant’s incarceration at the Solano
CANON 6, NCJC-COMPETENCE AND District Jail from August 8 to 28, 2006. In his
DILIGENCE comment, the judge clarified that his issuance of
the warrant of arrest against Bacaya was a
COMPETENCE AND DILIGENCE ARE PRE- mistake done in good faith and that the same
REQUISITES TO THE DUE PERFORMANCE OF was just a simple negligence. Should the judge
JUDICIAL OFFICE. be disciplined?
A: Yes. The judge was inexcusably negligent when

Q: What are the pre-requisites to the due
he issued a Warrant of Arrest and Commitment to
performance of judicial office?
Final Sentence despite the deletion by the
appellate court of that portion of the judgment
A: Competence and diligence. (Canon 6, NCJC)
imposing the penalty of imprisonment. In the
performance of his duties, Judge Ramos failed to
A judge upon assumption to office, becomes the
observe that diligence, prudence and
visible representation of law and of justice,
circumspection which the law requires in the
hence, the Constitution (Section 7 (3), Article VIII),
rendition of any public service. If only Judge
prescribes that he must be a person of proven
Ramos had exercised the requisite thoroughness
competence as a requisite of his membership in
and caution, he would have noted not only the
the judiciary.
modification of the monetary awards by the
appellate court, but also the deletion of the
A judge should be the epitome of competence,
penalty of imprisonment upon which the Warrant
integrity and independence to be able to render
of Arrest and Commitment to Final Sentence that
justice and uphold public confidence in the legal
he signed was based. (Bayaca v. Judge Ramos,
system. He must be conversant with basic legal
A.M. No. MTJ-07-1676, Jan. 29, 2009)
principles and well-settled doctrines. He should
strive for excellence and seek the truth with
passion.(Rino v. Judge Cawaling, A.M. No. MTJ- Sec.1, Canon 6, NCJC: The judicial duties of a
02-1391, June 7, 2004) judge take precedence over all activities.
Note: As members of the judiciary, judges ought to

know the fundamental legal principles; otherwise, Q: What are the duties of a judge under this
they are susceptible to administrative sanction for section?
gross ignorance of the law. (Heirs of Piedad v.
Estrella, A.M. No. RTJ-09-2170, Dec. 16, 2009) A:
1. A judge must perform his judicial duties
Note: To constitute gross ignorance of the law must with regard to a case where he is not
not only be contrary to existing law and disqualified to do so and, may not divest
jurisprudence, but also motivated, by bad faith, himself of such case if he is not so
fraud, dishonesty and corruption.(Duduaco v. disqualified; and
Laquindanum, A.M. No. MTJ-05-1601, August 11,
2005) 2. A judge shall not inhibit himself simply to
avoid sitting on difficult or controversial
Q: Judge Ramos was charged with gross cases.
misconduct, dishonesty, gross ignorance of the
law, arbitrary detention, incompetence, grave Q: An administrative case against Judge
abuse of discretion, and conduct prejudicial to Calderon was filed for incurring leaves of
the best interest of the service allegedly for absence for almost a straight period of 3 years.
erroneously issuing a warrant of arrest against In his comment, he claimed that he was
Bayaca. It was alleged that Bayaca was convicted suffering from a lingering illness of malignant
172
LEGAL ETHICS TEAM:
hypertension which claim was supported by contempt of the judicial system. A resolution of
medical certificates prepared by his personal the Supreme Court requiring comment on an
doctor. However, when the court physician administrative complaint against officials and
conducted some tests, the same contradicted employees of the judiciary should not be
the diagnosis given by the judge’s personal construed as a mere request from the Court. Nor
doctor. Is Judge Calderon guilty of gross should it be complied with partially, inadequately
misconduct? or selectively. Respondents in administrative
complaints should comment on all accusations or
A: Yes. A judge shall be cautious of his court allegations against them in the administrative
duties. Here, the judge should have been aware complaints because it is their duty to preserve the
that, in frequently leaving his station, he has integrity of the judiciary.
caused great disservice to many litigants and has
denied them speedy justice. (Re: Leaves of Moreover, the Court should not and will not
Absence Without Approval of Judge Eric Calderon, tolerate future indifference of respondents to
Municipal Trial Court Judge of Calumpit, Bulacan, administrative complaints and to resolutions
A.M. No. 98-8-105-MTC, Jan. 26, 1999) requiring comment on such administrative
complaints. Under the circumstances, the
Q: Judge Limsiaco was charged with gross conduct exhibited by Judge Limsiaco constitutes
ignorance of the law and procedure and no less than clear acts of defiance against the
violations of the Code of Judicial Conduct when Court’s authority. His conduct also reveals his
it was established by the records and by his own deliberate disrespect and indifference to the
admission that he decided an ejectment case authority of the Court, shown by his failure to
before his sala more than two (2) years after it heed our warnings and directives. Judge
was declared submitted for resolution. Due to Limsiaco’s actions further disclose his inability to
his delay of rendering the decision, he was held accept our instructions. Moreover, his conduct
guilty of the said charge. He moved for an failed to provide a good example for other court
extension of time to file a motion for personnel, and the public as well, in placing
reconsideration. Despite the extension of time significance to the Court’s directives and the
given however, Judge Limsiaco failed to file his importance of complying with them. (Inoturan, v.
motion for reconsideration and the required Limsiaco, Jr., A.M. No. MTJ-01-1362, February. 22,
explanation thrice. In another complaint against 2011)
him for Delay in the Disposition of a Case, the
OCA issued an order for him to file a comment Sec. 2, Canon 6, NCJC: Judges shall devote
for the administrative complaint. Is the their professional activity to judicial duties,
respondent judge administratively liable for which include not only the performance of
unethical conduct and gross inefficiency under judicial functions and responsibilities in
the provisions of the New Code of Judicial court and the making of decisions, but also
Conduct, specifically, Sections 7 and 8 of Canon other tasks relevant to the judicial office or
1, and Section 5 of Canon 6? the court’s operations.
A: Yes. A judge is the visible representation of the

law, and more importantly of justice; he or she Note: Violations of this section often involve a
must, therefore, be the first to follow the law and failure to keep records or handle funds in
compliance with court rules.
weave an example for the others to follow. For a
judge to exhibit indifference to a resolution
requiring him to comment on the accusations in Q: Judge Daguman was charged with neglect of
the complaint thoroughly and substantially is duty in failing to retain a copy and to register
gross misconduct, and may even be considered as with the Local Civil Registrar a marriage contract.
outright disrespect for the Court. The office of the In his comment, the judge explained that his
judge requires him to obey all the lawful orders of failure to do so was occasioned by circumstances
his superiors. beyond his control. He averred that after the
wedding ceremony, the copies of the marriage
After all, a resolution of the Supreme Court is not contract were left on top of his desk in his
a mere request and should be complied with private office where the ceremony was held but
promptly and completely. Such failure to comply after few days, when he gathered all the
accordingly betrays not only a recalcitrant streak documents relating to the marriage, the copies
in character, but has likewise been considered as were already missing. He also explained that he
an utter lack of interest to remain with, if not was not able to inform the parties about the fact
173
of loss as they were already out of the country.

Sec. 3, Canon 6, NCJC: Judges shall take
Should the judge be disciplined?
reasonable steps to maintain and enhance
their knowledge, skills and personal qualities
A: Yes. A judge is charged with extra care in
necessary for the proper performance of
ensuring that records of the cases and official
judicial duties, taking advantage for this
documents in his custody are intact. Moreover,
purpose the training and other facilities
judges must adopt a system of record
which should be made available, under
management, and organize their dockets in order
judicial control, to judges.
to bolster the prompt and efficient dispatch of
business. Here, the circumstances show that the
loss of the documents was occasioned by the Note: Service in the judiciary means a continuous
carelessness on the part of the judge. The judge study and research on the law from beginning to
should not have left such important documents in end. Judges are regarded as persons learned in the
his table to be gathered only after few days, law. “Ignorance of the law excuses no one” has
instead, he should have devised a filing system in special application to judges.
his court so as to avoid such incident. (Beso v.
Though good faith and absence of malice or
Daguman, A.M. No. MTJ-99-1211, Jan. 28, 2000)
corruption are sufficient defenses, such does not
apply where the issues are so simple and the
Q: X charged Judge Garillo with dishonesty and applicable legal principles evident and basic as to be
corrupt practices for allegedly requiring the beyond possible margin of error. (Corpus v.
former to deposit with the latter a sum of Ochotoresa, A.M. No. RTJ 04-1861, July 30 2004)
money in connection with a pending case in the
latter’s sala but failed to give the deposited Note: One who accepts the exalted position of a
sums of money to the adverse party. It was also judge owes the public and the Court the duty to
alleged that when X demanded the return of maintain professional competence at all times.
money, the judge failed to return the same When a judge displays an utter lack of familiarity
despite his promise. Is the judge guilty of serious with the rules, he erodes the confidence of the
misconduct? public in the courts. A judge owes the public and the
Court the duty to be proficient in the law and is
A: Yes. A judge should always be a symbol of expected to keep abreast of laws and prevailing
rectitude and propriety, and should always jurisprudence. Ignorance of the law by a judge can
easily be the mainspring of injustice. (Villanueva v.
comport himself in a manner that will raise no
Judge Buaya, A.M. No. RTJ-08-2131, November 22,
doubt whatsoever about his honesty. Here, the
2010).
judge’s act of misappropriating the money
entrusted to him by litigants in connection with a Q: Judge Delos Santos averred that Judge
case pending in his court constitutes gross Mangino of the MTC Tarlac approved the bail
misconduct. Moreover, the judge violated Circular bond for provisional liberty of the accused
No. 50-95 which provides that, fiduciary Santos who was arrested and whose criminal
collections should be deposited with the Land cases were pending in Angeles City. It was also
Bank of the Philippines. Because of his actuations, made to appear from the contents of the said
the image of the judiciary was impaired. (De bond that the accused appeared before notary
Pacete v. Judge Garillo, A.M. No. MTJ-03-1473, public Ancanan in Makati City. According to the
Aug. 20, 2003) accused, she never went to Tarlac and appeared
before said Judge Mangino. She also alleged that
Q: Should the judge return court records upon she never went to Makati City and appeared
retirement? before Notary Public Ancanan. Is Judge Mangino
guilty of grave misconduct?
A: Yes. Since the proper and efficient
management of the court is the responsibility of A: Yes. Judges should be diligently acquainted
the judge, he is the one directly responsible for with the law and jurisprudence. As an advocate of
the proper discharge of official functions. Thus, a justice and a visible representation of the law, a
judge is obliged to return to the court the records judge is expected to keep abreast with and be
of the cases filed in his sala upon his retirement. proficient in the application and interpretation of
(Office of the Court Administrator v. Retired Judge the law. Here, by mere glancing at the bail bond
Carteciano,A.M. No. MTJ-07-1664, Feb. 18, 2008) application, the judge ought to know that he had
absolutely no authority or jurisdiction to approve
the bail bond of the accused as the case was
pending with another court. By approving the bail
174
LEGAL ETHICS TEAM:
bond application, the judge failed to exert such Note: A judge may be subject to an administrative
conscientiousness, studiousness, and fine for inefficiency, neglect, and unreasonable delay
thoroughness expected and demanded of a in elevating the records of a civil case to the Court of
judge. (Judge de los Santos v. Judge Mangino, Appeals.
A.M. No. MTJ-03-1496, July 10, 2003)
A delay of three years in the transmission of court
Q: Judge Gacott Jr. dismissed an election case on records to the appellate court, where a period of 30
days is required, is inexcusable. (Pataleon v. Guidez,
the ground of non-payment of docket fees,
A.M. No. RTJ-00-1525, Jan. 2000)
although the case had been previously admitted
and was deemed properly filed by the original
Q: Why should delay be avoided in the
Judge (who inhibited himself due to relationship
administration of justice?
to one of the parties). Judge Gacott issued the
dismissal order relying on a case (Manchester v.
A: Delay results in undermining the people's faith
CA) which states that - a case is deemed
in the judiciary and from whom the prompt
commenced only upon the payment of the
hearing of their supplications is anticipated and
proper docket fees. To his opinion, the required
expected, and reinforces in the mind of the
fees in this case were not yet paid by the
litigants the impression that the wheels of justice
protestant. Enojas charged him with gross
grind ever so slowly. Certainly, undue delay
ignorance of the law. Is Judge Gacott Jr. guilty of
cannot be countenanced at a time when the
gross ignorance of the law?
clogging of the court dockets is still the bane of
the judiciary. Judges are expected to observe
A: Yes. A judge is duty bound to adhere to, and
utmost diligence and dedication in the
apply the recent jurisprudence, and he cannot
performance of their judicial functions and the
feign ignorance thereof, because he is required to
discharge of their duties. (Imbang v. Judge del
be an embodiment of, among other things,
Rosario, A.M. No. MTJ-03-1515, Feb. 3, 2004)
judicial competence. Here, the ruling relied upon
by the judge does not apply to election cases as in
Q: Judge Diaz was charged with inefficiency
the latter case the filing fee is fixed and the claim
allegedly for his failure to render a decision on
for damages, to which the docket fess shall be
time. It was alleged that in an unlawful detainer
made to apply, is merely ancillary to the main
case filed by De Joya against spouses Hornillos
cause of action and is not even determinative of
which was already submitted for decision upon
the court’s jurisdiction. It must also be noted that
the approval of a motion for summary judgment
in this case, the original judge already made an
filed by De Joya, Judge Diaz failed to render a
order that from the deposit given by the
decision despite the lapse of several months
protestant for the expenses of reopening the
from the submission of the case for resolution.
questioned ballots, an amount shall be allocated
In his comment, the judge explained that his
for the payment of the required fees. Thus, the
delay was the result of an oversight due to the
election protest was already properly filed.
volume of work that he and his staff had to
(Enojas v. Judge Gacott, Jr., A.M. No. RTJ-99-1513,
handle. Should the judge be disciplined?
Jan. 19, 2000)
A: Yes. Decision-making is a primordial and by far
Sec. 4, Canon 6, NCJC: Judges shall keep the most important duty of a member of the
themselves informed about relevant bench. The Code of Judicial Conduct mandates
developments of international law, including that a judge must dispose of the court's business
international conventions and other promptly and to act on cases pending before him
instruments establishing human rights within the prescribed periods therefore. A judge's
norms. failure to observe time prescriptions for the
rendition of judgments in derogation of an
Note: Norms of international law has become the
otherwise speedy administration of justice
concern of judges because they form part of legal
standards by which their competence and diligence
constitutes a ground for administrative sanction.
required by the New Code of Judicial Conduct are to A judge can not be excused from complying with
be measured. the periods on the ground that he has heavy case
loads, for in such cases, all he has to do is to
request for additional time to decide cases. Here,
Sec. 5, Canon 6, NCJC: Judges shall perform
the judge’s failure to decide the unlawful detainer
all judicial duties, including the delivery of
case within 30 days from the submission for
reserved decisions, efficiently, fairly and
decision renders him liable for inefficiency for
with reasonable promptness.
which he should be disciplined unless he was
175
granted, upon his request, additional time to period granted by the Court. Under Sec. 9, Rule 140
decide the case. (De Joya v. Judge Diaz, A.M. No. of the Rules of Court, undue delay in rendering a
MTJ-02-1450, Sept. 23, 2003) decision or order is classified as a less serious charge
punishable with suspension from office without
Q: Judge Pascua was charged with inefficiency in salary and other benefits for not less than one (1)
resolving an election protest pending in her sala. nor more than three (3) months; ora fine of more
It was alleged that she issued an order archiving than P10,000.00, but not exceeding P20,000.00.
(Request of Judge Nino Batingana, A.M. No. 05-8-
the case because of her erroneous perception
463-RTC, Feb. 17, 2010)
that an appeal was filed by the parties to the SC
where in fact the same was filed with the
Q: Amion was charged with murder. During the
COMELEC. As a result, the hearing as well as the
trial, Judge Chiongson ordered that he be
resolution of the case was delayed for 6 months.
represented by counsel de oficio because
In her comment, the judge explained that in
Amion’s attorney is always postponing the trial
issuing such order, she relied on the copy of a
for various reasons like illness and unavailability
petition by appeal on certiorari that was shown
for trial. Amion then charged said judge with
to her. Should the judge be disciplined?
ignorance of the law and oppression because the
fact that the counsel de officio did not know the
A: Yes. Judges should maintain professional
particulars of the case meant that Amion would
competence and decide cases within the required
be denied due process. Should Judge Chiongson
periods. Here, had the judge carefully read the
be disciplined?
copy of the petition by appeal on certiorari that
was presented to her, she would have been able
A: No. A judge should always be imbued with a
to ascertain that the same was not filed with the
high sense of duty and responsibility in the
SC. Moreover, had she been careful, she would
discharge of his obligation to promptly administer
not have issued such erroneous order that caused
justice. Here, Judge Chiongson appointed a FLAG
the undue delay in the resolution of the case. For
lawyer because of various dilatory means used by
her inefficiency, the judge should be disciplined.
the complainant. Thus, the judge should be
(Dela Cruz v. Pascua, A.M. No. RTJ-99-1461, June
commended for his effort to expedite the case.
26, 2001)
(Amion v. Judge Chiongson, A.M. No. RTJ-97-
1371, Jan. 22, 1999)
Q: A judge was due for compulsory retirement.
The Office of the Court Administrator found that
Note: A Flag lawyer refers to a lawyer of non-
he had many pending cases, some of which were governmental organizations (NGOs) and people’s
undecided beyond the 90-day period. Should the organizations (POs) who by the nature of his work
judge be disciplined under the circumstance already render free legal aid to indigent and pauper
despite his impending compulsory retirement? litigants. (Section 4a(iii), BAR MATTER No. 2012,
February 10, 2009)
A: Yes. All judges are enjoined to attend promptly
to the business of the court and decide cases
within the time fixed by law. A judge is mandated Sec. 6, Canon 6, NCJC: Judges shall maintain
to render judgment not more than 90 days from order and decorum in all proceedings before
the time the case is submitted for decision. the court and be patient, dignified and
Failure to render the decision within the said courteous in relation to litigants, witnesses,
period of 90 days from submission of a case for lawyers and others with whom the judge
decision constitutes serious misconduct and gross deals in an official capacity. Judges shall
inefficiency. (Re: Report on the Judicial Audit require similar conduct of legal
Conducted in the RTC, Branch 68 of Camilang, representatives, court staff and others
Tarlac, A.M. No. 97-6-182-RTC, Mar. 19, 1999) subject to their influence, direction or
control.
Note: The Constitution provides that all lower courts
must decide all cases filed within three months.
Note: Besides possessing the requisite learning in
Further, the Code of Judicial Conduct states that a
the law, a magistrate must exhibit that hallmark
judge shall dispose of the court’s business promptly
judicial temperament of utmost sobriety and self-
and decide the cases within the required periods.
restraint which are indispensable qualities of every
Delay in the disposition of cases erodes the faith and
judge. (Rodriguez v. Bonifacio, A.M. No. RTJ-99-1510,
confidence of the people in the judiciary, lowers its
Nov. 6, 2000)
standards, and brings it to disrepute. Judges should
not abuse the grant of an extension to decide a case,
and strive to decide the case within the extended
176
LEGAL ETHICS TEAM:
Q: Judge Belen was charged with conduct Note: Respondent Judge was found guilty of serious
unbecoming of a judge allegedly for humiliating, misconduct and inefficiency by reason of habitual
demeaning and berating a young lawyer who tardiness. He was fined and suspended for judicial
appeared in his sala. It was alleged that when indolence. (Yu-Asensi v. Villanueva A.M. No. MTJ-00-
the judge learned that the lawyer was an 1245, January 2000)
alumnus of MCQU and not of UP, the judge
made the following statement “you’re not from Sec. 7, Canon 6, NCJC: Judges shall not
UP”. Then you cannot equate yourself to me engage in conduct incompatible with the
because there is a saying and I know this, not all diligent discharge of judicial duties.
law students are created equal, not all law
schools are created equal, not all lawyers are
Q: What is the duty under this Section?
created equal despite what the Supreme Being
stated that we all are created equal in His form
A: A judge shall not accept duties that will
and substance.” Should the judge be disciplined?
interfere with his devotion to the expeditious and
proper administration of his official functions
A: Yes. The judge’s sarcastic, humiliating,
threatening and boastful remarks to a young Note: When a judge, along with two other people,
lawyer are improper. A judge must be aware that acted as real estate agents for the sale of a parcel of
an alumnus of a particular law school has no land for which he agreed to give a commission of
monopoly of knowledge of the law. By hurdling P100,000 to each of his companions, and after the
the Bar Examinations, taking of the Lawyer’s oath, transaction was completed only gave the
and signing of the Roll of Attorneys, a lawyer is complainants P25,000 each, the high Court held that
presumed to be competent to discharge his the judge violated the section of the prior Code of
functions and duties as, inter alia, an officer of Judicial Conduct. (Catbagan v. Barte, A.M. No. MTJ-
the court, irrespective of where he obtained his 02-1452, Apr. 6, 2005)
law degree. For a judge to determine the fitness
or competence of a lawyer primarily on the basis
of his alma mater is clearly an engagement in an
argumentumad hominem. As a judge, he must
address the merits of the case and not on the
person of the counsel. Judges must be that even
on the face of boorish behavior from those they
deal with, they ought to conduct themselves in a
manner befitting gentlemen and high officers of
the court. (Atty. Mane v. Judge Belen, A.M. No.
RTJ-08-2119, June 30, 2008)
Q: Judge Ante Jr. was charged with conduct

unbecoming of a judge. It was alleged that when
the court employee placed the docket book on
top of the filing cabinet, the same fell on the
floor causing loud sound. Unexpectedly, the
judge shouted saying “why did you throw the
docket book? You get out of here, punyeta, we
don’t need you!” The judge also threw a
monobloc chair at the court employee. Should
the judge be disciplined?
A: Yes. The judge, for shouting invectives and

hitting complainant with a chair displayed a
predisposition to use physical violence and
intemperate language which reveals a marked
lack of judicial temperament and self-restraint -
traits which, aside from the basic equipment of
learning in the law - are indispensable qualities of
every judge. (Briones v. Judge Ante Jr., A.M. No.
MTJ-02-1411, Apr. 11, 2002)
177
UST golden notes 2011
right to a speedy disposition of their case and

III. CODE OF JUDICIAL CONDUCT undermines the people’s faith in the judiciary.
(1989) Indeed, justice delayed is justice denied (Angelia
v. Grageda, A.M. No. RTJ-10-2220, February 7,
2011).
Q: What is the applicability of this Code?
A: This code applies suppletorily. Rule 1.02, Canon 1, CJC: A judge should
administer justice impartially and without
delay.
CANON 1, CJC
A JUDGE SHOULD UPHOLD THE INTEGRITY
AND INDEPENDENCE OF THE JUDICIARY.
Rule 1.03, Canon 1, CJC: A judge should be
vigilant against any attempt to subvert the
independence of the judiciary and should
Rule 1.01,Canon 1, CJC: A judge should be
forthwith resist any pressure from whatever
the embodiment of competence, integrity
source from whatever source intended to
and independence.
influence the performance of official
functions.
Q: A complaint was filed against respondent
Judge Grageda for the delay in the resolution of
motions relative to Civil Case No. 54-2001, CANON 2, CJC
entitled Pio Angelia v. Arnold Oghayan. Plaintiff A JUDGE SHOULD AVOID IMPROPRIETY AND
Angelia averred that the case was filed way back THE APPEARANCE OF IMPROPRIETY IN ALL
on August 8, 2001. After numerous ACTIVITES
postponements, pre-trial was finally set on
December 6, 2007. On December 20, 2007,
counsel for complainant received an order dated Rule 2.01, Canon 2, CJC: A judge should so
December 6, 2007 dismissing the case for failure behave at all times as to promote public
to prosecute. On December 28, 2007, Angelia confidence in the integrity and impartiality
filed a motion for reconsideration reasoning out of the judiciary.
that the failure to prosecute could not be
attributed to him. On July 28, 2008, he filed his Q: Judge Canoy was charged with several counts
Urgent Motion for the Early Resolution of said of gross ignorance of the law and/or procedures,
December 2007 Motion for Reconsideration. He grave abuse of authority, and appearance of
claimed that despite the lapse of a considerably impropriety (Canon 2, Code of Judicial Conduct)
long period of time, no action was taken by for granting bail to Melgazo, the accused in a
Judge Grageda. Is respondent Judge Gragela criminal case, without any application or
GUILTY of undue delay in resolving a motion in petition for the grant of bail filed before his
violation of Rule 1.02, Canon 1 and Rule 3.05, court or any court. He verbally ordered the
Canon 3 of the Code of Judicial Conduct? branch clerk of court to accept the cash deposit
as bail, to earmark an official receipt for the cash
A: Yes. Failure to decide cases and other matters deposit, and to date it the following day. He did
within the reglementary period constitutes gross not require Melgazo to sign a written
inefficiency and warrants the imposition of undertaking containing the conditions of the bail
administrative sanction against the erring under Sec. 2, Rule 114 to be complied with by
magistrate. Such delay is clearly violative of the Melgazo. Thus, Judge Canoy ordered the police
above-cited rules. Delay in resolving motions and escorts to release Melgazo without any written
incidents pending before a judge within the order of release. Should respondent Judge Canoy
reglementary period of ninety (90) days fixed by be held administratively liable for violating of
the Constitution and the law is not excusable and Supreme Court rules, directives and circulars
constitutes gross inefficiency. As a trial judge, under Sec. 9, Rule 140, RRC (as amended by A.M.
Judge Grageda was a frontline official of the No. 01-8-10-SC) ?
judiciary and should have at all times acted with
efficiency and with probity. A: Yes. Granting of bail without any application or
petition to grant bail is a clear deviation from the
Judges must decide cases and resolve matters procedure laid down in Sec. 17 of Rule 114.
with dispatch because any delay in the
administration of justice deprives litigants of their
178
LEGAL ETHICS TEAM:
Judicial Ethics – code of judicial conduct
As regards the insistence of Judge Canoy that and other identification purposes, it cannot be
such may be considered as “constructive bail,” used with the intent to use the prestige of his
there is no such species of bail under the Rules. judicial office to gainfully advance his personal,
Despite the noblest of reasons, the Rules of Court family or other pecuniary interests. Nor can the
may not be ignored at will and at random to the prestige of a judicial office be used or lent to
prejudice of the rights of another. Rules of advance the private interests of others, or to
procedure are intended to ensure the orderly convey or permit others to convey the impression
administration of justice and the protection of that they are in a special position to influence the
substantive rights in judicial and extrajudicial judge. (Canon 2, Rule 2.03 of the Code of Judicial
proceedings. In this case, the reason of Judge Conduct) To do any of these is to cross into the
Canoy is hardly persuasive enough to disregard prohibited field of impropriety. (Belen v. Belen,
the Rules. (Pantilo III v. Canoy, A.M. No. RTJ-11- A.M. No. RTJ-08-2139, August 9, 2010)
2262, February 9, 2011)
Rule 2.04, Canon 2,CJC: A judge should
Rule 2.02, Canon 2,CJC: A judge should not refrain from influencing in any manner the
seek Publicity for personal vainglory. the outcome of litigation or dispute pending
before another court or administrative
agency.
Rule 2.03, Canon 2,CJC: A judge shall not
allow family, social, or other relationships to
influence judicial conduct or judgment. The
prestige of judicial office shall not be used CANON 3, CJC
or lent to advance the private interests of
others, nor convey the impression that they A JUDGE SHOULD PERFOM OFFICIAL DUTIES
are in a special position to influence the HONESTLY, AND WITH IMPARTIALITY AND
DILIGENCE
judge.
Q: Judge Belen was charged with grave abuse of

authority and conduct unbecoming a judge. He ADJUDICATIVE RESPONSIBILITIES
filed a complaint for Estafa against
complainant’s father. However such was
dismissed by the city prosecutor for lack of Rule 3.01, Canon 3,CJC: A judge shall be
probable cause. After the dismissal of the faithful to the law and maintain
complaint, Judge Belen started harassing and professional competence.
threatening the complainant with filing of
several cases against the latter. He also wrote Q. Plaintiff Conquilla was charged for direct
using his personal stationary, several letters assault after respondent Judge B conducted a
addressed to certain local government preliminary investigation and found probable
authorities and employees, requesting cause to hold the complainant for trial for the
information on complainant’s piggery and said crime. Complainant then filed an
poultry business and advising them of the administrative complaint, alleging that under
alleged violations by the complainant of the A.M. No. 05-08-[2]6-SC, first level court judges
National Building Code and certain no longer have the authority to conduct
environmental laws. An administrative preliminary investigations. Is the respondent
complaint was filed against the judge for judge guilty of gross ignorance of the law?
violation of the New Code of Judicial Conduct on
the ground that by using the letter head A: Yes. When a law or a rule is basic, judges owe it
indicating his position as the Presiding Judge he to their office to simply apply the law. Anything
was trying to use the prestige of his judicial less is gross ignorance of the law. Judges should
office for his own personal interest. Is the judge exhibit more than just a cursory acquaintance
liable? with the statutes and procedural rules, and
should be diligent in keeping abreast with
A: YES. While the use of the title is an official developments in law and jurisprudence.
designation as well as an honor that an
incumbent has earned, a line still has to be drawn It was therefore incumbent upon respondent
based on the circumstances of the use of the judge to forward the records of the case to the
appellation. While the title can be used for social Office of the Provincial Prosecutor for preliminary
179
investigation, instead of conducting the prescribing the time within which certain acts must
preliminary investigation himself upon be done are indispensable to prevent needless
amendment of the law stripping the power of first delays in the orderly and speedy disposition of cases.
level court judges to conduct preliminary Thus, the 90-day period is mandatory. (Re: Cases
investigation. (Conquilla v. Bernando, A.M. No. Submitted for Decision Before Hon. Teresito A.
MTJ-09-1737, February 9, 2011) Andoy, A.M. No. 09-9-163-MTC, May 6, 2010)
Note: The Court has repeatedly emphasized the

Rule 3.02, Canon 3, CJC: In every case, a need for judges to resolve their cases with dispatch.
judge shall endeavor diligently to ascertain Delay does not only constitute a serious violation of
the facts and the applicable law unswayed the parties’ constitutional right to speedy disposition
by partisan interests, public opinion or fear of cases, it also erodes the faith and confidence of
of criticism. the people in the judiciary, lowers its standards, and
brings it into disrepute. (Office of the Court
Administrator v. Quilatan, A.M. No. MTJ-09-1745,
Note: A judge is expected to decide cases only on September 27, 2010)
the basis of the applicable law on the matter, not on
any other extraneous factors, such as public opinion,
personal convictions and partisan interests (Lapena, Rule 3.06, Canon 3, CJC: While a judge may,
2009). to promote justice, prevent waste of time or
clear up some obscurity, properly intervene in
Rule 3.03, Canon 3,CJC: A judge shall the presentation of evidence during the trial,
maintain order and proper decorum in the it should always be borne in mind that undue
court. interference may prevent the proper
presentation of the cause or the
ascertainment of truth.
Rule 3.04, Canon 3,CJC: A judge should be
patient, attentive, and courteous to lawyers, Rule 3.07, Canon 3; CJC: A judge should
especially the inexperienced, to litigants, abstain from making public comments on any
witnesses, and others appearing before the pending or impending case and should
court. A judge should avoid unconsciously require similar restraint on the part of court
falling into the attitude of mind that the personnel.
litigants are made for the courts, instead of
the courts for the litigants.
Q: How would you characterize the relationship ADMINISTRATIVE RESPONSIBILITIES

between the judge and a lawyer? Explain
A: The Code of Professional Responsibility Rule 3.08, Canon 3,CJC: A judge should
requires lawyers to observe and maintain respect diligently discharge administrative
for judicial officers (Canon 11,CPR). On the other responsibilities, maintain professional
hand, the Code of Judicial Conduct requires competence in court management, and
judges to be patient, attentive and courteous to facilitate the performance of the
lawyers (Rule 3.03, CJC). In a word, lawyers and administrative functions or other judges and
judges owe each other mutual respect and court personnel.
courtesy. (1996 Bar Question)
Rule 3.09, Canon 3,CJC: A judge should
Rule 3.05, Canon 3,CJC: A judge shall dispose organize and supervise the court personnel to
of the court’s business promptly and decide ensure the prompt and efficient dispatch of
cases within the required periods. business, and require at all times the
observance of high standards of public
service and fidelity.
Note: Article VIII, Section 15(1) of the 1987
Constitution mandates lower court judges to decide
a case within the reglementary period of 90 days.
Rule 3.10, Canon 3,CJC: A judge should take
The Code of Judicial Conduct under Rule 3.05 of
Canon 3 likewise enunciates that judges should or initiate appropriate disciplinary measures
administer justice without delay and directs every against lawyers or court personnel for
judge to dispose of the court’s business promptly unprofessional conduct of which the judge
within the period prescribed by law. Rules may have become aware.
180
LEGAL ETHICS TEAM:
A: There is no merit to the motion. Rule 3.12 of

Rule 3.11, Canon 3, CJC: A judge should the CJC provides that “a judge should take no part
appoint commissioners, receivers, trustees, where the judge’s impartiality might reasonably
guardians, administrators and others strictly be questioned. Among the instances for the
on the basis of merit and qualifications, disqualification of a judge is that he is related to a
avoiding nepotism and favoritism. Unless party litigant within the sixth degree or to counsel
otherwise allowed by law, the same criteria within the fourth degree of consanguinity or
should be observed in recommending affinity. But this refers to counsel of the parties.
appointment of court counsel. Where the As amicus, he represents no party to the case.
payment of compensation is allowed, it There is, therefore, no ground to fear the loss of
should be reasonable and commensurate the judge’s impartiality in this case if his son is
with the fair value of services rendered. appointed amicus curiae. (1996 Bar Question)
DISQUALIFICATION REMITTAL OF DISQUALIFICATION
Rule 3.12, Canon 3,CJC: A judge should take Rule 3.13, Canon 3, CJC: A judge disqualified
no part in a proceeding where the judge’s by the terms of rule 3.12 may, instead of
impartiality might reasonably be questioned. withdrawing from the proceeding, disclose
These cases include among others, on the record the basis of disqualification. If,
proceedings where: based on such disclosure the parties and
lawyers independently of the judge’s
a. The judge has personal knowledge of participation, all agree in writing that the
disputed evidentiary facts concerning reason for the inhibition is immaterial or
the proceeding; insubstantial, the judge may then participate
b. The judge served as executor, in the proceeding. The agreement signed by
administrator, guardian, trustee or the parties, shall be incorporated in the
lawyer in the case or matter in record of the proceeding.
controversy, or a former associate of
the judge served as counsel during
their association, or the judge or CANON 4, CJC
lawyer was a material witness
therein; A JUDGE MAY, WITH DUE REGARD TO
c. The judge’s ruling in a lower court is OFFICIAL DUTIES, ENGAGE IN ACTIVITIES TO
the subject of review IMPROVE THE LAW, THE LEGAL SYSTEM AND
d. The judge is related by consanguinity THE ADMINISTRATION OF JUSTICE.
or affinity to a party litigant within
the sixth degree or to counsel within
the fourth degree; Rule 4.01, Canon 4, CJC: A judge may, to the
e. The judge knows the judge’s spouse extent that the following activities do not
or child has a financial interest, as impair the performance of judicial duties or
heir, legatee, creditor, fiduciary, or cast doubt on the judge’s impartiality:
otherwise, in the subject matter in a. Speak, write, lecture, teach of
f. Controversy or in a party to the participate in activities concerning
proceeding, or any other interest that the law, the legal system and the
could be substantially affected by the administration of justice;
outcome of the proceeding. b. Appear at a public hearing before a
In every instance, the judge shall indicate the legislative or executive body on
legal reason for inhibition. matters concerning the law, the legal
system or the administration of
justice and otherwise consult with
Q: In a hearing before the Court of Tax Appeals,
them on matters concerning the
Atty. G was invited to appear as amicus curiae.
administration of justice;
One of the Judges hearing the tax case is the
c. Serve on any organization devoted to
father of Atty. G. The counsel for the respondent
the improvement of the law, the legal
moved for the inhibition of the judge in view of
system or the administration of
the father-son relationship. Is there merit to the
justice.
motion? Decide.
181
2. Interfere with the proper performance of

CANON 5, CJC
judicial activities; or
3. Increase involvement with lawyers or
A JUDGE SHOULD REGULATE EXTRAJUDICIAL
persons likely to come before the court.
ACTIVITIES TO MINIMIZE THE RISK OF
CONFLICT WITH JUDICIAL DUTIES.
A judge should so manage investments and other
(1995, 1997, 1999, 2000, 2002 Bar Question)
financial interests as to minimize the number of
cases giving grounds for disqualification. (Rule
5.02)
Note: A judge should regulate his extra-judicial
activities so as to minimize the risk of conflict
with judicial duties. Rule 5.03, Canon 5, CJC: Subject to the
provisions of the proceeding rule, a judge
may hold and manage investments but
ADVOCATIONAL, CIVIL AND should not serve as officer, director,
CHARITABLE ACTIVITES manager or advisor, or employee of any
business except as director of a family
business of the judge.
Rule 5.01, Canon 5, CJC: A judge may engage
in the following activities provided that
Q: May a judge hold and manage an investment?
they do not interfere with the performance
of judicial duties or detract from dignity of
A: Subject to the provisions of the preceding rule,
the court:
GR: A judge may hold and manage investments
a. Write, teach and speak on non-
but should not serve as:
legal subjects;
1. An officer
b. Engage in the arts, sports, and
2. Director
other special recreational
3. Manager
activities;
4. Advisor
c. Participate in civic and charitable
5. Employee of any business
activities;
d. Serve as an officer, director,
XPN: As director of a family business of the
trustee, or non-legal advisor of
judge. (Rule 5.03)
non-profit or non-political,
educational, religious, charitable,
fraternal, or civic organization.
Rule 5.04, Canon 5, CJC: A judge or any
immediate member of the family shall not
FINANCIAL ACTIVITIES accept a gift, bequest, factor or loan from
any one except as may be allowed by law.
Rule 5.02, Canon 5, CJC: A judge shall refrain

from financial and business dealing that Rule 5.05, Canon 5, CJC: No information
tend to reflect adversely on the court’s acquired in judicial capacity shall be sued of
impartiality, interfere with the proper disclosed by a judge in any financial dealing
performance of judicial activities or increase or for any other purpose not related to
involvement with lawyers or persons likely judicial activities.
to come before the court. A judge should so
manage investments and other financial
interests as to minimize the number of cases
giving grounds for disqualifications.
Q: What is the rule regarding financial activities?
A:A judge shall refrain from financial and business

dealings that tend to:
1. Reflect adversely on the court’s

impartiality;
182
LEGAL ETHICS TEAM:
FIDUCIARY ACTIVITIES PRACTICE OF LAW AND OTHER

PROFESSION
Rule 5.06, Canon 5, CJC: A judge should not

serve as the executor, administrator, trustee, Rule 5.07, Canon 5, CJC: A judge shall not
guardian, or other fiduciary, except for the engage in the private practice of law. Unless
estate, trusts, or person of a member of the prohibited by the Constitution or law, a
immediate family, and then only if such judge may engage in the practice of any
service will not interfere with the proper other profession provided that such practice
performance of judicial duties. will not conflict or tend to conflict with
judicial functions.
“Member of immediate family” shall be
limited to the spouse and relative within the
second degree of consanguinity. As a family, FINANCIAL DISCLOSURE
a judge shall not:
a. Serve in proceedings that might
Rule 5.08, Canon 5, CJC: A judge shall make
come before the court of said
full financial disclosure as required by law.
judge; or
b. Act as such contrary to rule 5.02 to
5.05. Q: What is the rule on financial disclosure?
Q: What is the rule regarding fiduciary activities? A: A judge shall make full financial disclosure as
required by law. (Rule 5.08)
A:
GR: A judge should not serve as;
1. Executor EXTRAJUDICIAL APPOINTMENTS
2. Administrator
3. Trustee
4. Guardian Rule 5.09, Canon 5, CJC: A judge shall not
5. Other fiduciary accept appointment or designation to any
agency performing quasi-judicial or
XPN: For the: administrative functions.
1. Estate;
2. Trust; or Note: The prohibition is based on Section 12, Article
3. Person of a member of the immediate VIII of the Constitution, which provides that, “The
family. members of the Supreme Court and of other courts
established by law shall not be designated to any
Provided, that such service shall not interfere agency performing quasi-judicial or administrative
with the proper performance of judicial office. functions.”
(Rule 5.06)
Reason: The appointment to such positions will likely
interfere with the performance of the judicial
Q: As a family fiduciary, what should a judge
functions of a judge.
refrain from doing?
A: As a Family Fiduciary, a judge shall not: POLITICAL ACTIVITIES
1. Serve in proceedings that might come

Rule 5.10, Canon 10, CJC: A judge is entitled
before the court of said judge; or
to entertain personal views on political
2. Act as such contrary to rules 5.02 and
questions. But to avoid suspicion of political
5.05
partisanship, a judge shall not make
Note: “Member of the immediate family” shall be political speeches, contribute to party fund,
limited to the spouse and relatives within the second publicly endorse candidates for political
degree of consanguinity. office or participate in other partisan
political activities.
The relationship mentioned is consanguinity not
affinity. Note: What is prohibited is partisan political activity.
183
rather than promote the orderly administration of

IV. DISCIPLINE OF MEMBERS OF justice. (Ocenar v. .Judge Mabutin, A.M. No. MTJ 05-
THE JUDICIARY 158, Feb. 2005)
B. DISCIPLINE OF LOWER COURT JUDGES AND

A. DISCIPLINE OF THE MEMBERS OF THE JUSTICES
SUPREME COURT
Note: The acts of a judge in his judicial capacity are
Q: Who has the power to discipline members of not subject to disciplinary action. In the absence of
fraud, malice or dishonesty in rendering the assailed
the bench?
decision or order, the remedy of the aggrieved party is
to elevate the assailed decision or order to the higher
A:
court for review and correction. However, an inquiry
1. The Supreme Court has exclusive into a judge’s civil, criminal and/or administrative
administrative supervision over all liability may be made after the available remedies
courts and its personnel. (Section 6, Art. have been exhausted and decided with finality.
VIII, 1986 Constitution) (Republic v. Caguioa, A.M. No. RTJ-07-2063, June 26,
2. The Court en banc has the power to 2009)
discipline all judges of lower courts
including justices of the Court of Q: How are the proceedings for the discipline of
Appeals. (Section 11, Art. VIII, 1986 judges instituted?
Constitution)
A: Proceedings for the discipline of judges of
Q: May judges and justices be disbarred? regular and special courts and justices of the
Court of Appeals and the Sandiganbayan may be
A: Yes. Judges and justices, being lawyers, may instituted:
also be disbarred, if found guilty of certain crimes
and/or other causes for disbarment under the 1. Motu propio by the Supreme Court;
Rules of Court. 2. Upon a verified complaint filed before the
Supreme Court supported by:
Justices of the Supreme Court however may not
be disbarred unless and until they shall have been a. Affidavit of persons who have
first impeached in accordance with the personal knowledge of the facts
Constitution. alleged therein; or
b. Documents which may substantiate
A. IMPEACHMENT said allegations.
Q: What is the nature of impeachment 3. Anonymous complaint supported by

proceedings against SC justices? public records of indubitable integrity filed
with the Supreme Court.
A: Penal in nature governed by rules on criminal
case. Q: What is the form of the complaint and what
should it state?
Q: What is the degree of proof required?
A: The complaint shall be in writing and shall
A: Requires proof beyond reasonable doubt. state clearly and concisely the acts and omissions
constituting violations of standards of conduct
Q: Who are subject to impeachment? prescribed for judges by law, the Rules of Court,
or the Code of Judicial Conduct.
A: Only SC Justices are subject to impeachment.
C. GROUNDS
Note: While it is the duty of the court to investigate
and determine the truth behind every matter in Q. What are the grounds for discipline of judges?
complaints against judges and other court
personnel, it is also their duty to see to it that they A.
are protected and exonerated from baseless
1. Serious Misconduct – implies malice or
administrative charges. The Court will not shirk from
wrongful intent, not mere error of
its responsibility of imposing discipline upon its
magistrates, but neither will it hesitate to shield
judgment.
them from unfounded suits that serve to disrupt
184
LEGAL ETHICS TEAM:
Judicial Ethics – discipline of members of the judiciary
Judicial acts complained of: complainants questioned both Orders for

a. Must be corrupt or inspired by an Release, alleging that the requirements for the
intention to violate the law; or bail bond had not been fulfilled and that the said
b. Were in persistent disregard for well- judge had no jurisdiction to order the release. Is
known legal rules. Judge Jovellanos guilty of gross incompetence
and gross ignorance of the law?
Note: There is misconduct when there is reliable
evidence showing that judicial actions are corrupt or A: Yes. A judge should be acquainted with legal
inspired by intent to violate the law or in persistent norms and precepts as well as with statutes and
disregard of legal rules. procedural rules. Unfamiliarity with the Rules of
Court is a sign of incompetence. He must have the
Note: Serious misconduct implies malice or a basic rules at the palm of his hands as he is
wrongful intent, not a mere error of judgment. For it expected to maintain professional competence at
to exist, there must be reliable evidence showing
all times. Here, there are two defects in the
that the judicial acts complained of were corrupt or
Orders for Release signed by Judge Jovellanos.
inspired by an intention to violate the law or were in
persistent disregard of well-known legal rules.
First, in both cases, the detainees had not
registered the bailbond in accordance with the
2. Inefficiency – implies negligence, Rules of Criminal Procedure. One may not be
incompetence, ignorance and given provisional liberty if the bailbond is not
carelessness. A judge would be registered with the proper office. Secondly, Judge
inexcusably negligent if he failed to Jovellanos did not have jurisdiction to order the
observe in the performance of his duties release of the detainees as the cases were not
that diligence, prudence and pending in his court and the suspects were not
circumspection which the law requires in arrested within his jurisdiction. (Santiago v. Judge
the rendition of any public service. Jovellanos, A.M. No. MTJ-00-1289, Aug. 1, 2000)
Q: Should a judge be held administratively liable Note: Judges are not expected to be infallible; not
every error or irregularity committed by judges in
for ignorance of the law for granting bail to an
the performance of official duties is subject to
accused in a criminal case without the requisite
administrative sanction. In the absence of bad faith,
bail hearing, and despite the fact that there was fraud, dishonesty, or deliberate intent to do
an eyewitness to the murder who made a injustice, incorrect rulings do not constitute
positive identification of the accused? misconduct and may give rise to a charge of gross
ignorance of the law. (Cruz v. Iturralde, A.M. No.
A: Yes. It is already settled that when a judge MTJ-03-1775, April 30. 2003).
grants bail to a person charged with a capital
offense, or an offense punishable by reclusion Q: Cruz was the defendant in an ejectment case
perpetua or life imprisonment without conducting filed by the Province of Bulacan involving a
the required bail hearing, he is considered guilty parcel of land owned by the said province. A
of ignorance or incompetence the gravity of decision was rendered against Cruz. He then
which cannot be excused by a claim of good faith filed an appeal and several motions for
or excusable negligence. When a judge displays reconsideration but all were subsequently
an utter unfamiliarity with the law and the rules, denied by Justice Alino-Hormachuelos before
he erodes the confidence of the public in the whom the motions were filed. Consequently,
courts. A judge owes the public and the court the Cruz charged all the judges and justices with
duty to be proficient in the law and is expected to grave misconduct, gross inexcusable negligence,
keep abreast of laws and the prevailing and rendering a void judgment. Should the
jurisprudence. Ignorance of the law by a judge judges be held liable for grave misconduct and
can easily be the mainspring of injustice.(Grageda gross ignorance of the law?
v. Judge Tresvalles, A.M. MTJ No. 04-1526, Feb. 2,
2004) A: No. The Court has consistently held that judges
will not be held administratively liable for mere
Q: Santiago and Sanchez were complainants in errors of judgment in their rulings or decisions
two different criminal cases before the MTC of absent a showing of malice or gross ignorance on
Bulacan and the RTC of Pampanga respectively. their part. Bad faith or malice cannot be inferred
The suspects in each of the criminal cases were simply because the judgment is adverse to a
caught and detained by authorities. However, party. To hold a judge administratively
both suspects were released by order of Judge accountable for every erroneous ruling or
Jovellanos of MCTC Pangasinan. The decision he renders, assuming that he has erred,
185
would be nothing short of harassment and would spoken with finality that the door to an inquiry
make his position unbearable. Here, the fact that into his criminal, civil, or administrative liability
the judge or justices rendered a decision not may be said to have opened, or closed. (Maquiran
favorable to Cruz is not enough to make them v. Grageda, A.M. No. RTJ-04-1888, Feb. 11, 2005)
liable for grave misconduct. (Cruz v. Justice Alino-
Hormachuelos et. al., A.M. No. CA-04-38, Mar. Q: Santiago’s Petition for Reconstitution of
31, 2004) Lost/Destroyed Original Certificate of Title was
granted by the Quezon City RTC. The Republic of
Q: Judge Caguioa cited attorney X in direct the Philippines through the Office of the Solicitor
contempt for allegedly using disrespectful General appealed the decision to the Court of
language in his pleadings, and directed the Appeals the case of which was raffled to the
latter’s arrest. Thereafter, the judge denied Atty. Division where Justice Enriquez was
X’ request to allow him to post a bond for his Chairperson. The special division reversed and
provisional liberty. Atty. X now charged Judge set aside the Decision of the Quezon City RTC.
Caguioa of gross ignorance of law for denying his Motion for Reconsideration having been denied,
request. Is the judge guilty of gross ignorance of complainant filed the present complaint before
law? the SC. Pending the decision of the SC, an
administrative charge of Gross Ignorance of the
A: Yes. When the law violated is so elementary, as law/Gross Incompetence was filed against
in this case, where there is a rule which provides respondent Associate Enriquez. Is the filing of
for the procedure to be followed in case of the administrative complaint against him
contempt, for a judge not to know or to act as if proper?
he does not know it constitutes gross ignorance.
The judge’s act therefore of denying the request A: No. The remedy of the aggrieved party is not
to post a bond despite the presence of a rule to file an administrative complaint against the
allowing such constitutes gross ignorance of the judge, but to elevate the assailed decision or
law. (Dantes v. Caguioa, A.M. No. RTJ-05-1919, order to the higher court for review and
June 27, 2005) correction. An administrative complaint is not an
appropriate remedy where judicial recourse is still
Note: Resort to administrative sanction is an available, such as a motion for reconsideration,
exceptional remedy. The normal course of action is an appeal, or a petition for certiorari, unless the
to correct the errors or irregularities in the assailed order or decision is tainted with fraud,
application of law by the judge by way of motion for malice, or dishonesty.
reconsideration, or where appropriate under the
rules of procedure, motion for new trial or special The failure to interpret the law or to properly
civil action of certiorari, prohibition or mandamus. appreciate the evidence presented does not
necessarily render a judge administratively liable.
An administrative case against the judge would not
lie, even if the actions were perceived to have gone
beyond the norms of propriety, where a sufficient A judicial officer cannot be called to account in a
judicial remedy exists. With much less reason could civil action for acts done by him in the exercise of
an administrative case against the judge be a vehicle his judicial function, however erroneous. In the
to correct possible mistakes of one’s counsel. words of Alzua and Arnalot v. Johnson, “ it is a
(Dadizon v. Judge Asis, A.M. No. RTJ-03-1760, general principle of the highest importance to the
January 15, 2004) proper administration of justice that a judicial
officer, in exercising the authority vested in him,
Q: Is a disciplinary and criminal action against a shall be free to act upon his own convictions,
judge a substitute for judicial remedies? without apprehension of personal consequences
to himself." This concept of judicial immunity
A: Disciplinary and criminal actions against a rests upon consideration of public policy, its
judge, are not complementary or suppletory of, purpose being to preserve the integrity and
nor a substitute for, judicial remedies, whether independence of the judiciary. This principle is of
ordinary or extraordinary. Resort to and universal application and applies to all grades of
exhaustion of judicial remedies are prerequisites judicial officers from the highest judge of the
for the taking of other measures against the nation and to the lowest officer who sits as a
persons of the judges concerned, whether of civil, court. (Santiago III v. Justice Enriquez, Jr. A.M. No.
administrative, or criminal nature. It is only after CA-09-47-J, February 13, 2009)
the available judicial remedies have been
exhausted and the appellate tribunals have
186
LEGAL ETHICS TEAM:
Q: What are the classifications of charges? Q: Are the proceedings against them
confidential?
A: Administrative charges are classified as:
1. Serious A: Proceedings against judges of regular and
2. Less serious special courts and justices of the Court of Appeals
3. Light. and the Sandiganbayan shall be private and
confidential, but a copy of the decision or
Q: What are considered as serious charges? resolution of the Court shall be attached to the
record of the respondent in the Office of the
A: Court Administrator. (Sec 12, Rule 140,RRC)
1. Bribery, direct or indirect;
2. Dishonesty and violations of the Anti-Graft Q: What is the effect of resignation or
and Corrupt Practices Law; (R.A. 3019) retirement of a judge when there is a pending
3. Gross misconduct constituting violations administrative case against him?
of the Code of Judicial Conduct
4. Knowingly rendering an unjust judgment A: The retirement of a judge or any judicial officer
or order as determined by a competent from service does not preclude the finding of any
court in an appropriate proceeding administrative liability to which he should still be
5. Conviction of a crime involving moral answerable. Also, the withdrawal or recantation
turpitude of the complaint does not necessarily result in the
6. Willful failure to pay a just debt dismissal of the case. (Atty. Molina v. Judge Paz,
7. Borrowing money or property from A.M. No. RTJ -01-1638, December 8, 2003)
lawyers and litigants in a case pending
before the court Note: The acceptance by the President of the
8. Immorality resignation does not necessarily render the case
9. Gross ignorance of the law or procedure moot or deprive the SC of the authority to
10. Partisan political activities investigate the charges. The court retains its
11. Alcoholism and/or vicious habits jurisdiction either to pronounce the respondent
official innocent of the charges or declare him guilty
Q: What are considered as less serious charges? thereof. A contrary rule will be fraught with injustice
and pregnant with dreadful and dangerous
implications (Pesole v. Rodriguez A.M. No. 755-MTJ,
A:
January 31, 1978)
1. Undue delay in rendering a decision or
order, or in transmitting the records of a Q:May the heirs of a judge who was found guilty
case of gross neglect of duty and dismissed from the
2. Frequently and unjustified absences service with disqualification from holding public
without leave or habitual tardiness office for an offense committed before he was
3. Unauthorized practice of law appointed judge, be entitled to gratuity
4. Violation of Supreme Court rules, benefits?
directives, and circulars
5. Receiving additional or double A: Yes. Upon demise, the administrative
compensation unless specifically complaint of the OCA had to be considered closed
authorized by law and terminated. Therefore, there is no valid
6. Untruthful statements in the certificate of reason why the heirs of the deceased should not
service be entitled to gratuity benefits for the period he
7. Simple misconduct rendered service as MTCC judge up to the finality
of the CSC Resolution which imposed the penalty
Q: What are considered as light charges? of "dismissal from service with all the accessory
penalties including disqualification from holding
A: public office and forfeiture of benefits”.
1. Vulgar and unbecoming conduct
2. Gambling in public The penalty of disqualification from holding
3. Fraternizing with lawyers and litigants public office and forfeiture of benefits may not be
with pending case/cases in his court applied retroactively, however, the judge should
4. Undue delay in the submission of monthly be considered terminated from service in the
reports judiciary as his appointment as MTCC judge is
deemed conditional upon his exoneration of the
CSC administrative charges against him. (Re:
187
Application for retirement/gratuity benefits under merely dispenses with the procedure laid down in
R.A. 910 as amended by R.A. 5095 and P.D. 1438 Rule 140, RRC. (Aguirre, 2006)
filed by Mrs. Butacan, surviving spouse of the late
Hon. Jimmy Butacan, former judge of MTC, Q: In Administrative Circular No. 1 addressed to
Tuguegarao City, who died on July 28, 2005,A.M. all lower courts dated January 28, 1988, the
No. 12535-Ret, Apr. 22, 2008) Supreme Court stressed:
Q: What is the quantum of evidence required for All judges are reminded that the Supreme Court
the removal of a judicial officer? has applied the Res Ipsa Loquitor rule in the
removal of judges even without any formal
A: The ground for removal of a judicial officer investigation whenever a decision, on its face,
should be established beyond reasonable doubt. indicates gross incompetence or gross ignorance
Such is the rule where the charge on which the of the law or gross misconduct (Cathay Pacific
removal is sought is misconduct in office, willful Airways v. Romillo, G.R. No. 64276, 12 August
neglect, corruption or incompetence. The general 1986)
rules in regard to admissibility of evidence in
criminal trials apply. The application of the res ipsa loquitor rule in
the removal of judges is assailed in various
Note: For liability to attach, the assailed order, quarters as inconsistent with due process and
decision or actuation of the judge in the fair play.
performance of official duties must not only found to
be erroneous but, most importantly, it must be Is there any basis for such a reaction? Explain.
established that he was moved by bad faith,
dishonesty, hatred or some other like motive. A:
Similarly, a judge will be held administratively liable 1. First view - there is a basis for the reaction
for rendering an unjust judgment – one which is against the res ipsa loquitor rule on removing
contrary to law or jurisprudence or is not supported judges. According to the position taken by the
by evidence - when he acts in bad faith, malice,
Philippine Bar Association, the res ipsa loquitor
revenge or some other similar motive. In other
rule might violate the principle of due process
words, in order to hold a judge liable for knowingly
rendering an unjust judgment, it must be shown
that is the right to be heard before one is
beyond reasonable doubt that the judgment was condemned.
made with a conscious and deliberate intent to do
an injustice. (Judge De Guzman v Dy A.M. No. RTJ- Moreover, Rule 140 of the Rules of Court
1755, July 3, 2003) provides for the procedure for the removal of
judges. Upon service of the complaint against
Q: May a judge be disciplined by the Supreme him, he is entitled to file an answer. If the
Court based solely on a complaint filed by the answer merits a hearing, it is referred to a
complainant and the answer of respondent justice of the Court of Appeals for investigation,
judge? If so, under what circumstances? What is the report of the investigation is submitted to
the rationale behind this power of the Supreme the Supreme Court for proper disposition.
Court?
The danger in applying the res ipsa loquitor rule
A: A judge may be disciplined by the Supreme is that the judge may have committed only an
Court based solely on the basis of the complaint error of judgment. His outright dismissal does
filed by the complainant and the answer of the violence to the jurisprudence set in (In Re
respondent judge, under the principle of res ipsa Horilleno, 43 Phil. 212, March 20, 1922)
loquitor. The Supreme Court has held that when
the facts alleged in the complaint are admitted or 2. Second view- According to the Supreme Court
are already shown on the record, and no credible the lawyer or a judge can be suspended or
explanation that would negate the strong dismissed based in his activities or decision, as
inference of evil intent is forthcoming, no further long as he has been given an opportunity to
hearing to establish such facts to support a explain his side. No investigation is necessary.
judgment as to culpability of the respondent is
necessary (In Re: Petition for dismissal of Judge Q: Does suspension pendente lite apply to
Dizon). (1996 Bar Question) judges?
Note: The doctrine of res ipsa loquitur does not and A: No. While it is true that preventive suspension
cannot dispense with the twin requirements of due pendente lite does not violate the right of the
process, notice and the opportunity to be heard. It accused to be presumed innocent as the same is
188
LEGAL ETHICS TEAM:
not a penalty, the rules on preventive suspension XPN: Where an error is gross or patent,
of judges, not having been expressly included in deliberate and malicious, or is incurred with
the Rules of Court, are amorphous at best. evident bad faith; or when there is fraud,
dishonesty, or corruption.
Moreover, it is established that any
administrative complaint leveled against a judge Q: What are the civil liabilities under the civil
must always be examined with a discriminating code?
eye, for its consequential effects are, by their
nature, highly penal, such that the respondent A:
judge stands to face the sanction of dismissal or 1. Article 27 – refusal or neglect without just
disbarment. As aforementioned, the filing of cause by a public servant to perform his
criminal cases against judges may be used as tools official duty.
to harass them and may in the long run create
adverse consequences. (Re: Conviction of Judge 2. Article 32 – directly or indirectly
Adoracion G. Angeles, A.M. No. 06-9-545-RTC, obstructing, defeating, violating or in any
Jan. 31, 2008) manner impeding or impairing civil
liberties guaranteed by the Constitution.
Q: May justices and judges be investigated under
the grievance procedure in the RRC? This responsibility for damages is not,
however, demandable of judges except
A: No. Complaints against justices and judges are when his act or omission constitutes a
filed with the Supreme Court which has exclusive violation of the Penal Code or other penal
administrative supervision over all courts and the statute.
personnel thereof pursuant to Section 6 Art. VIII,
Constitution. The Court en banc has the power to Q: What are the disabilities/restrictions under
discipline all judges of lower courts including the Civil Code?
justices of the Court of Appeals (Section 11, Art.
VIII, 1987 Constitution) A:
1. Article 1491 (5) – Justices, judges,
As a matter of practice, the Supreme Court has prosecuting attorneys, clerks of court of
assigned complaints against Municipal or superior and inferior courts and other
Metropolitan Trial Judges to an Executive Judge officers and employees connected with
of a Regional Trial Court and complaints against the administration of justice cannot
judges of Regional Trial Courts to a justice of the acquire by purchase, even at a public or
Court of Appeals, while a complaint against a judicial action, either in person or through
member of the Court of Appeals would probably the mediation of another the property and
be assigned to a member of the Supreme Court rights in litigation or levied upon an
for investigation, report and recommendation. execution before the court within whose
Retired SC Justices are now tasked for this jurisdiction or territory they exercise their
purpose. respective functions.
Q: What is the rule on the liability of judges? This prohibition includes the act of
acquiring by assignment and shall apply to
A: lawyers, with respect to the property and
GR: A judge is not liable administratively, civilly, rights which may be the object of any
or criminally, when he acts within his legal litigation in which they may take part by
powers and jurisdiction, even though such acts virtue of their profession. (1996 Bar
are erroneous so long as he acts in good faith. Question)
In such a case, the remedy of aggrieved party is
not to file an administrative complaint against 2. Article 739 – Donations made to a judge,
the judge but to elevate the error to a higher his wife, descendants and ascendants by
court for review and correction. reason of his office are void.
Reason: To free the judge from apprehension Q: What are the Criminal Liabilities under the
of personal consequences to himself and to RPC and the Anti-Graft and Corrupt Practices
preserve the integrity and independence of the Act?
judiciary.
189
A: 2. Suspension from office without salary and

1. Misfeasance other benefits for more than three (3) but
a. Article 204 – Knowingly rendering not exceeding six (6) months
unjust judgment.
b. Manifestly Unjust Judgment – one 3. A fine of more than P20,000.00 but not
which is so patently against the law, exceeding P40,000.00
public order, public policy and good
morals that a person of ordinary Q: What are the sanctions if the respondent is
discernment can easily sense its found guilty of a less serious charge?
invalidity and injustice.
A:
Note: It must be shown beyond doubt that the 1. Suspension from office without salary and
judgment is unjust as it is contrary to law or is not other benefits for not less than one (1) nor
supported by evidence and the same was made with more than three (3) months; or
conscious and deliberate intent to do an injustice. (In
Re: Climaco, A.C. No. 134-J, January 21, 1974) 2. A fine of more than P10,000.00 but not
exceeding P20,000.00.
If the decision rendered by the judge is still on
appeal, the judge cannot be disqualified on the
Note: The failure of a judge to decide even a single
ground of knowingly rendering an unjust judgment.
case within the 90-day period was considered gross
(Abad v. Bleza, A.M. No. R-227-RTJ, October 13,
inefficiency warranting the imposition of fine
1986)
equivalent to his 1 month salary. (In Re: Judge Danilo
Tenerife, A.M. No. 94-5-42-MTC, Mar. 1996)
2. Article 205 – Judgment rendered through
negligence – committed by reason of
Q: What are the sanctions if the respondent is
inexcusable negligence or ignorance.
found guilty of a light charge?
Note: Negligence and ignorance are inexcusable if
they imply a manifest injustice, which cannot be A: Any of the following sanctions shall be
explained by reasonable interpretation (In Re: imposed:
Climaco).
1. A fine of not less than P1,000.00 but not
3. Article 206 – Knowingly rendering an exceeding P10,000.00 and/or
unjust interlocutory order; and 2. Censure
3. Reprimand
4. Maliciously delaying the administration of 4. Admonition with warning
justice.
E. REINSTATEMENT OF A JUDGE PREVIOUSLY
Note: The act must be committed maliciously with DISCIPLINED
deliberate intent to prejudice a party in a case.
Q: When is reinstatement proper?
D. SANCTIONS IMPOSED BY THE SUPREME
COURT ON ERRING MEMBERS OF THE JUDICIARY A: Reinstatement is proper when there is no
indication that the judge is inspired by corrupt
Q: What are the sanctions if the judge is found motives or reprehensive purpose in the
guilty of a serious charge? performance of his functions.
A: Any of the following sanctions may be Q: What are the factors to be considered in
imposed: reinstatement?
1. Dismissal from the service, forfeiture of all A:

or part of the benefits as the Court may 1. Unsullied name and service of record
determine, and disqualification from prior to dismissal
reinstatement or appointment to any 2. Commitment to avoid situation that
public office, including government- spur suspicion of arbitrary conditions
owned or controlled corporations. 3. Complainant mellowed down in pushing
Provided, however, that the forfeiture of from his removal
benefits shall in no case include accrued 4. Length of time separated from service
leave credits
190
LEGAL ETHICS TEAM:
PROCEDURE FOR DISCIPLINE OF JUDGES OF

REGULAR AND SPECIAL COURTS.
AND JUSTICES.
OF THE COURT OF APPEALS AND THE SANDIGANBAYAN.
(A.M. NO. 01-8-10-SC).
(2005 Bar Question).
If the complaint is sufficient in form and
substance, a copy thereof shall be served
upon the respondent and he shall be
If the complaint is not sufficient
required to comment within 10 days from
in form and substance, the
date of service.
same shall be dismissed.
Upon the filing of the respondent’s comment or upon

the expiration of the time for filing the same and
unless other pleadings or documents are required,
the Supreme Court shall refer the matter to: The investigating justice or judge
shall set a day of the HEARING
and send notice thereof to both
Office of the Court Administrator for parties. At such hearing the
evaluation, report, and recommendation parties may present oral and
documentary evidence.
If, after due notice, the

Or assign the case for investigation, report, respondent fails to appear, the
and recommendation to a retired member investigation shall proceed ex
of the Supreme Court, if the respondent is parte.
a justice of the CA and the Sandiganbayan
The investigating justice or judge
shall terminate the investigation
within ninety (90) days from the
Or to a justice of the CA, if the respondent date of its commencement or
is a judge of a Regional Trial Court or of a within such extension as the
special court of equivalent rank Supreme Court may grant.
Or to a judge of the Regional Trial Court

if the respondent is a judge of an inferior
court.
Within thirty (30) days from the termination of the

investigation, the investigating Justice or Judge shall submit
to the Supreme Court a REPORT containing findings of fact
The Court shall take and recommendation. The report shall be accompanied by
such ACTION on the the record containing the evidence and the pleadings filed by
report as the facts and the parties. The report shall be confidential and shall be for
the law may warrant. the exclusive use of the Court.
Note: Before the Court approved this resolution, administrative and disbarment cases against members of the bar who were
likewise members of the court were treated separately. However, pursuant to the new rule, an administrative case against a
judge of a regular court based on grounds which are also grounds for the disciplinary action against members of the Bar shall
be automatically considered as disciplinary proceedings against such judge as a member of the Bar.
Since membership in the bar is an integral qualification for membership in the bench, the moral fitness of a judge also
reflects his moral fitness as a lawyer. A judge who disobeys the basic rules of judicial conduct also violates his oath as a
lawyer. (Samson v. Judge Caballero, A.M. No. RTJ-08-2138 ,Aug. 5, 2009)
191
I. COMMON FORMS
LEGAL FORMS
A. ACKNOWLEDGMENT
Note: Form is important when the law requires a
document or other special form, such as those Note: Acknowledgment is a statutory act such that
mentioned in Article 1358 of the New Civil Code, only those instruments that are required by law to
donation of an immovable property under Art. 749, be acknowledged shall be acknowledged; it is also a
NCC, pledge under Art. 2096, NCC. (Suarez, 2007) personal act such that it cannot be acknowledged by
a person other than the one who executed it.
Q: What does the study of Legal Forms include? (Suarez, 2007)
A: It includes the following: Q: What are examples of instruments that must

be acknowledged?
1. Business Forms – Forms used in conveyance,
or of the forms of deeds, instruments or A:
documents creating, transferring, modifying a. Deeds
or limiting rights to real as well as personal b. Conveyances
properties, and other forms related to c. Mortgages
business contracts or transactions. (Legal d. Leases
Forms, Suarez 2007) e. Releases and discharges affecting lands
2. Judicial Forms – Forms which pertain to whether registered under Act 496 or
different kinds of pleadings, applications, unregistered
petitions, affidavits, motions and the like.
(Ibid) Note: If not acknowledged, such documents will not
be accepted by the Register of Deeds for registration
Q: What is a document? (Suarez, 2007)
Note: The person who executed the instrument is

A: It is a writing or instrument by which a fact
the one who executes an acknowledgment.
may be proven or affirmed. A document may
either be private or public.
Q: When is an acknowledgment made?
1. Private Document – a deed or instrument
A: An acknowledgment is made in documents
executed by a private person, without the
where there is transfer or conveyance of title to
intervention of a notary public or of other
property, transmission of rights or manifestation
person legally authorized, by which a
of agreement of parties (fulfilment of a prestation
document, some disposition or agreement is
to give, to do or not to do)
proved, evidenced or set forth.
Note: It should be used only in contracts, never in
2. Public Document affidavits or sworn statements. (Albano, Albano, Jr.
a. An instrument authenticated by a and Albano, 2004)
notary public or a competent public
official, with the formalities required by Q: What is the meaning of Scilicet or “S.S.”?
law
b. An instrument executed in due form A: “S.S.” literally means more particularly (Suarez,
before a notary certified by him 2007), to wit, or namely (Guevara, 2010).It is used
c. That which is made by a notary public in to particularize a general statement. (Ibid)
the presence of the parties who
executed it, with the assistance of two In notarized documents, it indicates that the legal
witnesses. (Suarez, 2007) document was executed in the designated place
within that particular jurisdiction for such an act.
Note: The omission of “SS” in a legal document is

not material so as to invalidate it. (McCord, et al. v.
Glenn, 6 Utah 139, 21 Pac. 500; Guevara, 2010)
192
LEGAL ETHICS TEAM:
Ust golden notes 2011
Form 1: General Form of Acknowledgment
[1] ACKNOWLEDGMENT
[2] REPUBLIC OF THE PHILIPPINES)

PROVINCE OF _______________)
CITY/MUNICIPALITY OF _______) S.S.
[3] BEFORE ME, a NOTARY PUBLIC for and in the above jurisdiction, this ___ day of _____,
2011, personally appeared the following persons
[4] NAME [5] IDENTIFICATION [6] DATE AND PLACE

OF ISSUANCE
____________________ ___________________ _______________________
____________________ ___________________ _______________________
[7] Known to me to be the same persons who executed the foregoing instrument and they
acknowledged to me that the same is their own free and voluntary act and deed [12] and of the
corporations herein represented.
[8] This instrument refers to a (title of document) and consists of ___ pages including the
page on which this acknowledgment is written and signed by the parties and their instrumental
witnesses on each and every page thereof.
[9] WITNESS MY HAND AND SEAL on the date and at the place above written.
[10] JUAN DELA CRUZ

NOTARY PUBLIC- Makati City
Appointment No. ____
Until December 31, 2010
Roll no. ____
PTR no. ____, date of issue, place of issue
IBP no. _____, date of issue, place of issue
Office Address:
Email:
Contact Number:
[11] Doc. No._____;

Page No. ____;
Book No.____;
Series of 2011.
Q: What are the contents of an [6] Date and place of issue of the competent
acknowledgment? evidence of identity presented
[7] Acknowledgment made to the notary
A: public that it is the person’s voluntary act
[1] Title of the notarial act and deed
[2] Place of execution [8] Type of document executed and number
[3] Date of pages
[4] Name of person acknowledging the [9] Notarial certificate
document (as well as name/s of the [10] Identity of notary public
entity/ies being represented, if such is the [11] Details of the notarial register
case) [12] If executed in a representative capacity, a
[5] Competent evidence of identity presented statement to that effect.
193
UST- Golden Notes 2011
B. JURAT Q: When should jurats be executed?
Q: What is a Jurat? A: It is used in any notarized document that is

declaratory in nature, such as:
A: It is that part of an affidavit in which the officer
certifies that the instrument was sworn to before a. Affidavits
him. It is not part of the affidavit. (Suarez, 2007) b. Certifications
c. Whenever the person executing the
Note: Jurat is important as it gives the document a document makes a statement of facts
legal character.(Ibid) or attests to the truthfulness of an
event, under oath.
Q: Who executes a Jurat?
Note: A jurat should be used only in affidavits, sworn
A: The notary public. He certifies that the same statements, certifications, verifications and the like.
was sworn before him. Never use it in contracts. (Albano, Albano, Jr. and
Albano, 2004)
Form 2: Jurat
REPUBLIC OF THE PHILIPPINES)

PROVINCE OF _______________)
CITY/MUNICIPALITY OF ______ ) S.S.
[1] SUBSCRIBED AND SWORN to before me, in the municipality/ city of_____, this ____ day of ____,
20011, the affiant exhibiting to me his (any competent evidence of identity) issued by (issuing
agency) on (date of issue) at (place of issue).
[2] JUAN DELA CRUZ

NOTARY PUBLIC- Makati City
Appointment No. ____
Until December 31, 2010
Roll no. ____
PTR no. ____, date of issue, place of issue
IBP no. _____, date of issue, place of issue
Office Address:
Email:
Contact Number:
[3] Doc. No._____;
Page No. ____;
Book NO.____;
Series of 2011
Q: What are the contents of a Jurat? c. Expiration date of the Notarial

Commission
A: Remember its three (3) sections: d. Roll Number
e. PTR number
[1] The Notary’s declaration regarding when f. IBP Number
and where the person took an oath or g. Office address
affirmation as to the document or
instrument and his competent evidence of [3] The details of the Notarial Register
identity, bearing his picture and signature a. Document number
was presented. b. Page number
[2] The identity of the notary public with the c. Book number
following: a. Complete name of the d. Series number (year)
Notary Public
a. Place of commission
b. Appointment number
194 LEGAL ETHICS TEAM:

Legal Forms – Common Forms
C. PLEADING Q: What are the parts of a pleading?
Q: What are pleadings? A: Cap-Ti-BRA PLUS

[1] Caption
A: Pleadings are the written statements of the [2] Title
respective claims and defenses submitted to the [3] Body
court for appropriate judgment. (Sec. 1, Rule 6, [4] Relief
RRC) [5] Attorney
[6] PLUS
Q: What is the purpose of a pleading? a. Verification, if required
b. Certificate of non-forum shopping,
A: Its purpose is to define the issues and form the when appropriate
foundation of the proof to be submitted at the c. Notice of hearing, when required
trial. It narrows the case down to a specific issue d. Proof of service
or issues which will be submitted to the court for e. Explanation
trial and judgment. (Suarez, 2007)
Form 3: General Format of a Pleading
REPUBLIC OF THE PHILIPPINES

REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
BRANCH ________, MAKATI CITY
[1]________________________,
Plaintiff,
-versus- Civil Case No.____
For: ____________
________________________,
Defendant.
x--------------------------------------x
[2] (TITLE)
(Plaintiff/ Defendant), through Counsel, unto this Court, respectfully states:
[3] (BODY)
-allegations-
[4](PRAYER)
Makati City, Philippines, ________ (date) __________.

_________________
[5] Attorney
[6] VERIFICATION, if required

CERTIFICATE OF NON-FORUM SHOPPING, when appropriate
NOTICE OF HEARING, when required
PROOF OF SERVICE
EXPLANATION
195
ACADEMICS CHAIR: LESTER JAY ALLAN FLORES
VICE CHAIRS FOR ACADEMICS: KAREN SABUGO & JOHN HENRY MENDOZA
UNIVERSITY OF SANTO TOMAS
VICE CHAIR FOR MANAGEMENT AND FINANCE: JEANELLE LEE Facultad de Derecho Civil
VICE CHAIRS FOR LAY-OUT AND DESIGN: EARL LOUIE MASACAYAN & THEENA MARTINEZ
UST- Golden Notes 2011
D. PRAYER
Note: The relief or reliefs prayed for may be proper
Q: What is a Prayer? or not, but as long as the plaintiff deserves a relief,
the court will grant him the relief to which he is
A: This is a part of the pleading which states the entitled under the facts as proven. (Guidotte v
Yeung, CA-CR No. 6268, July 10, 1951)
relief or reliefs prayed for by the parties.
Note: It is not a part of the cause of action.
Form 4: Prayer
PRAYER
WHEREFORE, it is respectfully prayed, after notice and hearing, that the defendant be
ordered to pay the plaintiff the amount of One Million Pesos (Php1,000,000.00) for actual and
compensatory damages, Fifty Thousand Pesos (Php50,000.00) for moral damages, Fifty Thousand
Pesos (Php50,000.00) for exemplary damages and Fifty Thousand Pesos (Php50,000.00) for attorney’s
fees.
Other reliefs just and equitable under the circumstances are also prayed for.
E. PROOF OF SERVICE
Form 5: Proof of Service.
Copy furnished through personal service:

Atty. __________ Received By. ______
Counsel for _______________ Date: ____________
(firm name)
(office address)
Form 6: Proof of Service Through Registered Mail with Explanation
Copy furnished
Through registered mail:
Atty.____________ Registry Receipt No.___________
Counsel for ______ Date: _______________
(firm name) Post Office: ____________
(Office Address)
EXPLANATION
Pursuant to the Rules of Court, service of the above (designation of pleading or document)
was effected through registered mail because of the impracticability of personal service. The
office of the undersigned counsel is located at (Makati City for example) while that of the adverse
counsel is located at (Baguio City for example), and there are no messengerial personnel in the
employ of the undersigned counsel who could effect personal service.
Name and signature

Legal Forms – Common Forms
F. CERTIFICATION OF NON-FORUM SHOPPING

Q: What is the consequence on failure to
Q: What is a certificate of non-forum shopping? execute such certification when necessary?
A: It is a certification under oath in the complaint A: Failure to comply shall be cause for dismissal of
or other initiatory pleading asserting a claim for the case without prejudice, unless otherwise
relief, or in a sworn certification annexed to such provided, upon motion and hearing. The
pleading and simultaneously filed therewith, foregoing requirements shall not be curable by
where the party: mere amendment of the complaint or other
initiatory pleading. (Suarez, 2007)
a. Certifies that he has not theretofore
commenced any action or filed any Note: Submission of a false certification or non-
claim involving the same issues in any compliance with any of the undertakings shall
court, tribunal or quasi-judicial agency constitute indirect contempt of court, without
and, to the best of his knowledge, no prejudice to the corresponding administrative and
such other action or claim is pending. criminal actions.
b. If there is such other pending action or Q: Who executes the certification against forum
claim, gives a complete statement of shopping?
the present status thereof
A: The plaintiff or principal party
c. Undertakes that if he should thereafter
learn that the same or similar action or Q: When should the certification be executed?
claim has been filed or is pending, he
shall report that fact within five (5) days A: It is executed simultaneously with a complaint
therefrom to the court wherein his or any other initiatory pleading
aforesaid complaint or initiatory
pleading has been filed.
Form 7: Certification of Non-forum Shopping
Republic of the Philippines)

City of _______________ )s.s.
(Person verifying) after having been duly sworn deposes and says:
That he is the (usually the one executing is the plaintiff but it may be the defendant in the
case of a permissive counterclaim) in the above-entitled case and he certifies that he has not
heretofore commenced any action or filed any claim involving the same issues before any other
court, tribunal or quasi-judicial agency, that to the best of his knowledge, there is no other pending
action or claim, and that if he should thereafter learn that the same or similar action or claim has
been filed or is pending, he shall report such fact within five (5) days therefrom to this Honorable
Court.
Party executing
JURAT
197
G. VERIFICATION 4. Appeal from CTA and quasi-judicial

agencies to the CA (Rule 43, RRC)
Q: When is verification necessary? 5. Appeal by certiorari under Rule 45, RRC
6. Certiorari, prohibition and mandamus
A: Verification is necessary only when the law or (Rule 65, RRC)
rule specifically requires it. Example, under the
Rules of Court, verification is necessary in the Q: What are the contents of verification?
following pleadings:
A: It contains a statement that an affiant has read
1. Complaint and other initiatory pleadings the pleading, that he has caused the preparation
2. Answer, if there are actionable documents of said pleading and that the allegations therein
3. Petition for review under Rule 42, RRC are true and correct based on authentic records
and of his personal knowledge.
Form 8: Verification

City of _______________ )s.s.
(Person verifying) after having been duly sworn deposes and says that he is the (design-
nation) in the above-entitled (name of pleading); that he has caused its preparation; that he has
read it and the allegations therein are true and correct based on his personal knowledge and
based on authentic records.
Party verifying
JURAT
Form 9: Verification and Certification of Non-forum Shopping

City of _______________ )s.s.
(Person verifying) after having been duly sworn deposes and says:
1. That he is the (designation) in the above- entitled (name of pleading); that he has
caused its preparation; that he has read it and the allegations therein are true of his own
personal knowledge and based on authentic records;
2. That he certifies that he has not heretofore commenced any action or filed any claim
involving the same issues before any other court, tribunal or quasi-judicial agency, that to
the best of his knowledge, there is no other pending action or claim, and that if he should
thereafter learn that the same or similar action or claim has been filed or is pending, he
shall report such fact within five (5) days therefrom to this Honorable Court.
Party executing
JURAT

Legal Forms - Business Form
parties bind themselves in favor of another or

II. BUSINESS FORMS others, or reciprocally, to the fulfillment of a
prestation to give, to do or not to do.
Note: Conveyance is a deed whereby the ownership

of a real property is transferred from one person to Q: What are the parts of a contract of lease of
another. (Suarez, 2007) personal property?
A. CONTRACTS A: TAP-WAC-SA
[1] Title
Note: A contract is a meeting of minds between two [2] Announcement
persons whereby one binds himself, with respect to [3] Parties
the other, to give something or to render some [4] Conditions or terms
service. (Art. 1305, NCC) [5] Signatures
[6] Acknowledgement
Contract is a juridical convention manifested in legal
form, by virtue of which one or more persons or
Form 10: Contract of Lease of Personal Property
[1] Contract of Lease
[2] Know All Men by These Presents:
That [3] __________, of legal age, (citizenship), (single/married) an resident of ______,

Philippines, hereby leases his/her car (make/model), with Plate No. ____, Motor No. ____ and
Engine No. ____ to [3] _____, of legal age, (citizenship), single/married, and resident of _____, who
hereby accepts to leases the said motor vehicle, subject to the following terms and conditions:
[4] (State terms and conditions)
IN ITNESS WHEREOF, the parties have hereunto set their hands this ____day of ___,2009, in
______, Philippines.
[5]FELIPE DE GUZMAN ARTHUR MIRANDA

Lessor Lessee
[6] (ACKNOWLEDGMENT)
Q: What are the parts of a contract of lease of Note: State citizenship, if the transaction involves
real property? titled property. (Albano, Albano, Jr. and Albano,
2004)
A: TAP-WAC-SA
[1] Title Note: State marital status, if the transaction involves
[2] Announcement titles real property. If a party is married, state full
[3] Parties name and his/ her citizenship.(Ibid)
[4] Whereases
Note: in the “whereas” clauses, the representations
[5] Agreement proper
of the parties as well as their respective intentions or
[6] Conditions or terms motives, are usually stated. (Ibid)
[7] Signatures
[8] Acknowledgement
199
Form 11: Contract of Lease of Real Property
[1] Contract of Lease

[2] Know All Men by These Presents:
This Contract of Lease is made and executed by and between:
[3] FELIPE DE GUZMAN, , of legal age, Filipino, married to Linda Conanan, with address at # 28
Aurora Blvd., Quezon City, hereinafter called the LESSOR;
- and –
ARTHUR MIRANDA, of legal age, Filipino, married to Agnes Sison, with address at # 30 Aurora
Blvd., Quezon City, hereinafter called the LESSEE;
Witnesseth that:
[4] WHEREAS, the LESSOR is the true and absolute owner of a residential house and lot located at
#30 Aurora Boulevard, Quezon City, herein after referred to as “Property” ; and
WHEREAS, the LESSOR leases unto the lessee, and the latter hereby accepts the lease from the
former.
[5] NOW THEREFORE, for and in consideration of the above premises and covenants provided below,
the LESSOR hereby leases the PROPERTY to the LESSEE who accepts it [6] under the following terms
and conditions:
1. The lease shall be for one year from execution of this agreement;
2. The monthly rental on the PROPERTY leased shall be P5,000.00, payable in advance within
the first five (5) days of each month;
3. All ordinary repairs concerning the PROPERTY shall be for the sole account and expense of
the LESSEE, without right to reimbursement;
4. The LESSEE shall use the PROPERTY exclusively for family dwelling, and shall have no right
to use the same for business and other purposes;
The Lessee hereby acknowledge that he has received the Property in good, habitable
condition and undertake to maintain the such condition throughout the duration of the
lease;
[7] FELIPE DE GUZMAN ARTHUR MIRANDA
Lessor Lessee
With my marital consent:
Zenaida de Guzman
Signed in the Presence of:

_____________________ ________________

Form 12: Contract of Real Estate Mortgage.
[1] Real Estate Mortgage
Know All Men By These Presents:
[2] I, ______________, of legal age, Filipino, single/married to __________ and with

residence at ________, Philippines, for and in consideration of [3]________________ Pesos
(Php__________), Philippines currency, to me and in hand paid by [4] _____________ of legal age,
Filipino, single/married to __________ and with residence at ________, Philippines, do hereby
convey, by way of MORTGAGE unto said _________(full name of the mortgagee), his/her heirs and
assigns, that certain parcel of land, together with all the buildings and improvements thereon,
situated in _______, particularly described as follows:
[5] (description of property)
“Containing an area of ___ Square meters, more or less.

xxx xxx xxx
Bounded on the S. along 1-2 by Lot 1234; on the W. along lines 2-3-4-5-6 by Lot 4567; on the
N. along lines 7-8-9 by Lot 2345 and on the E., along line 9-1 by Lot 3456, all Cad-7890,
Manila Cadastre.”
xxx xxx xxx
[6] Of which real property I am the registered owner as evidenced by Original/ Transfer
Certificate of Title No. ____ of the Registry of Deeds of ____: [7] PROVIDED, HOWEVER, that if said
__________( Full name of mortgagor) shall pay or cause to be paid to the said (Full name of
mortgagee), his heirs or assigns, the said sum of ___________ pesos (Php________), Philippine
Currency, within the period of ___________ (__) years from and after the execution of this
MORTGAGE together with the interest thereon at the rate of _______ per centum (__%) per
annum, this MORTGAGE shall be discharged and be of no effect; OTHERWISE, it shall remain in full
force and effect and shall be enforceable in the manner provided for by law.
IN WITNESS WHEREOF, these presents are signed at the City of ____, Philippines, on this
____ day of ____, 2011.
________________ _______________
Mortgagor Mortgagee
With my marital consent (if married):

__________________
(Wife of mortgagor)
_______________ ________________
Q: What are the parts of a real estate mortgage? [4] Mortgagee

[5] Conveyance of real property with
A: VeT-Mam-CODAck technical description
[1] Venue and Title [6] Ownership of real property
[2] Mortgagor [7] Discharge of mortgage
[3] Amount of loan [8] Acknowledgment
201
Form 13: Chattel Mortgage.
[2] JUAN DE LA CRUZ, of legal age, Filipino, single with residence at

_______________________, hereinafter referred to as the “MORTGAGOR”
And
PEDRO DE LOS SANTOS, of legal age, Filipino, married with residence at

___________________, hereinafter referred to as the “MORTGAGEE”,
WITNESSETH: That:
[3] The Mortgagor does hereby convey by way of chattel mortgage unto the Mortgagee, the
following described personal property, ordinarily situated and presently in the possession of the
said Mortgagor, to wit:
(Specify and describe the article/s mortgaged)

Make and type:
Serial/ Chassis No.:
Motor No.:
Plate No.:
Q: What are the parts of a chattel mortgage?
[4] That this Chattel Mortgage is given as security for the payment to the Mortgagee, of a
certain promissory note, dated ______ for the A: sum of ___________ Pesos (Php_______),
Vet-PeCon-SDAG
Philippine Currency, with interest thereon at the rate of1. _____
Venueperand
centum
Title (___%)per annum,
according to the terms and in the words and figures following: (optionCircumstances
2. Personal 2: attach theofpromissory
the Parties
note and make reference to such attachment) 3. Conveyance of mortgage and technical
description of personal property
(Copy of the promissory note)
4. Fact that the property was given as a
Date______
Security for a loan or a copy of the PN
P_____________ 5. Discharge of the mortgage
6. Acknowledgment
_____ days after date, I, ______, promise to
7.payAffidavit
to the order of ______,
of Good Faith the sum of
_____ pesos (Php______).
Maker_____
[5] That the condition of this Chattel Mortgage is such that if the said Mortgagor, his heirs,
executors, or administrators shall well and truly perform the full obligation above-stated according
to the terms thereof, this Chattel Mortgage shall be discharged and be of no effect, otherwise, it
shall remain in full force and effect and shall be enforceable in the manner provided by law.
IN WITNESS WHEREOF, the parties have hereunto set their hands this ___ day of ____ 2011 in
_____, Philippines.
________________ _______________
Mortgagor Mortgagee

______________ ________________
[7] (AFFIDAVIT OF GOOD FAITH)
[8] (JURAT)

Q: What are the parts of a Chattel Mortgage?

[4] Fact that the property was given as a
A: Vet-PeCon-SDAGJ Security for a loan or a copy of the PN
[1] Venue and Title [5] Discharge of the mortgage
[2] Personal Circumstances of the Parties [6] Acknowledgment
[3] Conveyance of mortgage and technical [7] Affidavit of Good Faith
description of personal property [8] Jurat
Form 14: Pledge Agreement.
This AGREEMENT, made and entered into this ___ day of ____ 2011 by and between
__________, of legal age, Filipino, single and residing at _____, Philippines, now and hereinafter
called the Pledgor, and _____________, likewise of legal age, married and residing at ________,
Philippines, now and hereinafter called the Pledgee.
Witnesseth that:
WHEREAS the Pledgor has executed a promissory note dated ____, 2011 in favor of the
Pledgee and made payable within ___ (___) days after date at _______. Philippines, for the amount
of _____ (Php______), Philippine currency;
WHEREAS, the Pledgor has agreed with the Pledgee to secure the payment of said note;
NOW, THEREFORE, for and in consideration of the premises and mutual covenants herein
contained, the Pledgor has, as collateral security for the payment of the aforementioned note and
by way of pledge, deposited with the said Pledgee the following personal property of his own
exclusive ownership, and of which he has the free disposal, to wit:
(Description of the property)
And the said parties to this instrument agree that the Pledgee who acknowledges the
receipt of the aforementioned personal property of the Pledgor shall take good care of the said
property until redeemed by the said Pledgor;
That should the said note or any part thereof, or interest to grow thereon, remain due and
unpaid, after the note shall have been due, according to the terms thereof, the said Pledgor,
irrevocably empowers and authorizes the said Pledgee, his heirs, executors, administrators and
assigns, to sell or dispose of the above-mentioned property or any part thereof at public auction as
provided for in Article 2112, of the Civil Code, from the proceeds of such sale to pay the principal
and interests due therefore, otherwise, this Agreement shall become null and void and of no
further effect and the above-named securities are to be returned to the Pledgor.
IN WITNESS WHEREOF, we have set our hands this ____ day of ____, 2011 at ______,
Philippines.
____________________ __________________
Pledgor Pledgee
In the Presence of:

__________________ __________________
203
B. DEED the maker. During his lifetime, it is ambulatory

and revocable.
Q: What is a deed?
Q: What are the typical parts of a deed?
A: A deed is a written instrument under seal
containing a contract or agreement which has A: TAP-CAP-SA
been delivered by the parties to be bound and [1] Title
accepted by the obligee or covenantee. (Suarez, [2] Announcement
2007) [3] Party one
[4] Consideration
Note: In a deed, a person disposes of his property or [5] Act or Conveyance
right in favor of another. [6] Party two
[7] Signatures
Q: What is the difference between a deed and a [8] Acknowledgment
will?
Note: You can use this pattern for all kinds of deeds.
A: A deed, once executed and delivered is You need only vary the “act or conveyance” portion
irrevocable in the absence of reservation of the to convert it into a deed of assignment, a deed of
right to revoke. On the other hand, a will easement of right of way, a deed of real estate
operates only upon and by reason of the death of mortgage, a deed of chattel mortgage, and others.
Form 15 :Deed of Sale of Personal Property
[1] DEED OF SALE OF MOTOR VEHICLE
[2] KNOW ALL MEN BY THESE PRESENTS:
[3] I, ANGEL CRUZ, of legal age, Filipino, married, with address at No. 12 Apo St., Quezon City
(SELLER), [4] for and in consideration of the sum of One Hundred Thousand Pesos (P100,000.00),
[5] hereby sell, convey, and transfer my motor vehicle, more particularly described as follows:
Make ________, Type ________, Motor No. ________,

Serial/Chassis No. ___________, File No.___________,
Reg. Cert. No. ______________, Plate No.__________,
[6] to RICARDO LIM, of legal age, married, with postal address at No. 2 Bangkal St., Manila
(BUYER).
[7] ANGEL CRUZ

Seller
With my consent:
Helen Cruz
Wife
[8] ACKNOWLEDGMENT

Form 16: Deed of Sale of Unregistered Land.
DEED OF ABSOLUTE SALE
I, ____________, of legal age, Filipino, single, and resident of _______________ (VENDOR),

for and in consideration of the amount of ______________, paid to me today by _______________,
of legal age, Filipino, single and resident of _______________(VENDEE), do hereby SELL, TRANSFER,
and CONVEY absolutely and unconditionally unto said ____________ that certain parcel (s) of land,
together with the buildings and improvements thereon situated in the City of Makati, and more
particularly described as follows:
(description: state the nature of each piece of land and its improvements, situations and
boundaries, area in square meters, whether or not the boundaries are visible on the land by means
of monuments or otherwise; and if they are, what they consist of, the permanent improvements, if
any, the page number of the assessment of each property for current year (s) when registration is
made, the assessed value of the property for the year)
It is hereby declared that the boundaries of the foregoing land are visible by means of
_______________; that permanent improvements existing thereon consist of ________ (if none,
state so); that the land is assessed for the current year at Php___________ as per Tax Declaration
No.________, and the buildings and/or improvements, at Php___________ as per Tax declaration
No._______________, of the City Assessor of Makati.
The above described real estate, not having been registered under Act No. 496 nor under the
Spanish Mortgage Law, the parties hereto have agreed to register this instrument under the
provisions of Sec. 194 of the Revised Administrative Code, as amended.
IN WITNESS WHEREOF, I have signed this deed this ____ day of ______, 2011 at _________.
________________
(Vendor)
With my consent:
___________________
(Vendor’s wife)

_______________ _______________
Acknowledgment
205
Form 17: Deed of Sale with Pacto de Retro
DEED OF SALE WITH PACTO DE RETRO
This Deed of Sale with Pacto de Retro made and executed by and between:
____________________,of legal age, Filipino, married to ______, with residence at

______________ (Vendor);
-and-
__________________, Filipino, of legal age, married to _________, with residence at

________________ (Vendee);
WITNESSETH: That
The VENDOR is the absolute owner of a certain parcel of land with all the buildings and
improvements thereon, situated in the City of Makati, covered by Transfer (or Original) Certificate
of Title (TCT/OCT) No.__________ issued by the Registry of Deeds of Makati City and more
particularly described as follows:
(Copy technical description in TCT/OCT)
The VENDOR, for and in consideration of the amount of _________ Pesos (Php________),
to him paid by VENDEE and receipt of which is acknowledged, does hereby SELL, TRANSFER and
CONVEY under pacto de retro unto the said VENDEE, his heirs and assigns, the said property with
all the buildings and improvements thereon, free from all liens and encumbrances whatsoever;
The VENDOR, in executing this conveyance, hereby reserves the right to REPURCHASE, and
the VENDEE, in accepting the same, hereby obligates himself to RESELL the property herein
conveyed within a period of _____ years from date of this Deed for the same price of ______
(Php_______); provided, however, that if the VENDOR shall fail to exercise his right to repurchase
as herein granted within the period provided, then this conveyance shall become absolute and
irrevocable, without need of a new Deed of Absolute Sale, subject to the requirements of law
regarding consolidation of ownership of real property.
IN WITNESS WHEREOF, the parties have signed this Deed this ____ day of ____, 2011 at
_________.
________________ ________________
(Vendor) (Vendee)
With my consent:
___________________
(Vendor’s wife)

_________________ _________________
Acknowledgment

Form 18: Deed of Repurchase of Land Sold Under Pacto de Retro
DEED OF RESALE
I, ______________, of legal age, Filipino, married to ______, with residence at

______________ (VENDOR), for and in consideration of __________________ Pesos
(Php___________), to me paid by _______________, of legal age, Filipino married and resident of
____________________ (VENDEE), do hereby RESELL, RETRANSFER and RECONVEY unto said
___________that certain parcel of land, with all the buildings and improvements thereon, situated
at Makati City, covered by Transfer (or Original) Certificate of Title No. _____ of the Registry of
Deeds of Makati City, and more particularly described as follows:
(Copy technical description of title)
and which property was previously sold under pacto de retro by the said ____________,
executed before Notary Public ______ and bearing Notarial Registration No. ____, Page No. ____,
Book No. ____ and Series of 2011 of his Notarial Register, a copy of which is attached as ANNEX A.
IN WITNESS WHEREOF, the parties have signed this Deed this ____ day of ____, 2011 at
Makati City.
________________ ________________
(Vendor) (Vendee)
With my consent: With my consent:

___________________ ______________________
(Vendor’s wife) (Vendee’s Wife)

_________________ _________________
Acknowledgment
207
Form 19: Deed of Assignment.
DEED OF ASSIGNMENT
That I, _____, of legal age, Filipino, single/ married to __________ and residing at
_____________, Philippines (ASSIGNOR), for and in consideration of the sum of ___________
pesos (Php______________) to me and in hand paid by ______________, of legal age, Filipino,
single/married to _______________, and residing at ____________, Philippines (ASSIGNEE), the
receipt of which is hereby acknowledged, do hereby sell, assign, transfer and set over unto said
_____________, his heirs, executors, administrators and assigns, a certain debt now due and
owing to me by _________________, of legal age, Filipino, single/married to _______, and
residing at ______________, Philippines, amounting to ________________ pesos
(Php___________), plus interest due and accruing thereon, for money loaned by me to the said
______________.
And I do hereby grant said __________, his heirs, executors, administrators and assigns,
the full power and authority, for his/their own use and benefit, but at his/their own cost and
expense, to demand, collect, receive, compound, compromise and give acquaintance for the
same or any part thereof, and in my name and stead or otherwise to prosecute and withdraw any
suit or proceeding thereof.
And I do hereby agree and stipulate to and with said ____________, his heirs, assigns,
executors, administrators and assigns that the said debt is justly owing and due to me from said
_________ and that I have not done and will not cause anything to be done that will diminish or
discharge said debt, or to delay or prevent said ________, his heirs, assigns, executors or
administrators, from collecting the same.
And I further agree and stipulate as aforesaid that I, my heirs, executors, administrators,
assigns, shall and will at all times hereafter at the request of said __________, his heirs,
executors, administrators and assigns at his cost and expense, execute and do all such further
acts and deeds as shall be reasonably necessary for proving said debt and to more effectually
enable him to recover same in accordance with the true intent and meaning of these presents.
IN WITNESS WHEREOF, we have hereunto set our hands on this __ day of ______, 2008 at
the city of _____________.
___________________________
(Assignor)
___________________________
(Assignee)
In the presence of:

______________________
______________________
Acknowledgment

Form 20: Deed of Donation Inter Vivos.
This DEED OF DONATION made and executed in ____________, Philippines, by

_______________, of legal age, single/ married to ______________, Filipino citizen and with
residence and postal address at ________________, hereinafter called the DONOR
-In favor of-
_____________, of legal age, single/married to ____________, Filipino citizen and with

residence and postal address at ________________, hereinafter called the DONEE
WITNESSETH:
WHEREAS, the Donor is the absolute owner of that certain real property situated at
____________-- and more particularly described as follows:
(Description of Property)
“Containing an area of ___ square meters, more or less.

xxx xxx xxx
Bounded on the S. along 1-2 by Lot 1234; on the W. along lines 2-3-4-5-6 by Lot 4567; on the N. along
lines 7-8-9 by Lot 2345 and on the E., along line 9-1 by Lot 3456, all Cad-7890, Manila Cadastre.
xxx xxx xxx
NOW, THEREFORE, for and in consideration of the love and affection of the Donor for the
Donee (and for the faithful services the latter has rendered in the past to the former), the said
DONOR by these presents, hereby cedes, transfers and conveys, by way of donation, unto said Donee
the real property above described, together with all the buildings and improvements existing thereon,
free and clear of all liens and encumbrances.
That the Donor hereby states that, for the purpose of giving effect to the donation, he has
reserved for himself in full ownership sufficient property to support him in a manner appropriate to
his needs.
ACCEPTANCE
That the Donee hereby accepts the foregoing donation of the above-described property for
which he/she expresses his/her sincerest appreciation and gratitude for the kindness and liberality
shown by the Donor.
IN WITNESS WHEREOF, we have hereunto signed this deed of sale, this _____ day of
______, 2009 at _____________, Philippines.
__________________
Donor
Accepted:
__________________
Donee
Signed in the presence of:
__________________ _______________
JOINT ACKNOWLEDGMENT
209
Form 21: Deed of Donation Mortis Causa.
This DEED OF DONATION made and executed in ____________, Philippines by

_______________, of legal age, single/ married to ______________, Filipino citizen and with
residence and postal address at ________________, hereinafter called the DONOR, in favor of
_____________, of legal age, single/married to ____________, Filipino citizen and with residence and
postal address at ________________, hereinafter called the DONEE
WITNESSETH:
That the Donor is the absolute owner of that certain real property situated at ____________
and more particularly described in Original/Transfer Certificate of Title NO. _____ of the Land registry
of ______, as follows:
(Description of Property)
“Containing an area of ___ square meters, more or less.

xxx xxx xxx
Bounded on the S. along 1-2 by Lot 1234; on the W. along lines 2-3-4-5-6 by Lot 4567; on the N. along
lines 7-8-9 by Lot 2345 and on the E., along line 9-1 by Lot 3456, all Cad-7890, Manila Cadastre.
xxx xxx xxx
That for and in consideration of the love and affection which the Donor has for the Donee,
said Donor by these presents do hereby cedes, transfers and conveys unto said Donee the real
property above described, together with all the buildings and improvements existing thereon, to
become effective upon the death of the Donor, but in the event that the Donee should die before the
Donor, the present donation shall be deemed rescinded and of no further force and effect.
That the Donee does hereby accepts this donation of the above-described real property and
do hereby expresses gratitude for the kindness and liberality of the Donor.
That the Donor hereby retains the right to rescind the right to control and dispose at will the
above-described property before his death, without need of the consent or intervention of the
Donee.
IN WITNESS WHEREOF, we have hereunto signed this deed of sale, this _____ day of ______,
2009 at _____________, Philippines.
___________________ ___________________
(Donor) (Donee)
ATTESTATION CLAUSE
We, the undersigned attesting witnesses, whose residences are stated opposite our respective
names, do hereby certify: That the donor, ________, has made known unto us the foregoing
donation mortis causa consisting of ____ pages numbered correlatively in letters on the upper part of
each page, as her donation mortis causa and has signed the same and every page therein in the left
margin, in our joint presence and we, in turn, at his request have witnesses and signed the same and
every page thereof, on the left margin, in the presence of the donor and in the presence of each and
all of us.
__________________________ ___________________________________________
(name and signature of witness) (residence)
__________________________ ___________________________________________
__________________________ ___________________________________________

C. POWER OF ATTORNEY [3] Appointment operative words

[4] Power
Q: How is a General Power of Attorney different [5] Granting authority operatives
from Special Power of Attorney? [6] Acknowledgment
A: A special power of attorney is a very limited Q: What are the parts of a special power of
power of attorney as it allows the Attorney-in- attorney?
Fact to do only those things specified by the
principal. The authority granted is usually very A: VeT-PAP-GA
limited and clearly defined in the power of [1] Venue and Title
attorney form. A general power of attorney [2] Personal Circumstance
allows the Attorney-in-Fact to do anything the [3] Appointment operative words
principal would legally be able to do in his name. [4] Power
[5] Granting authority operatives
Q: What are the parts of a general power of [6] Acknowledgment
attorney?
A: VeT-PAP-GA
[1] Venue and Title
[2] Personal Circumstance
Form 22: General Power of Attorney
KNOW ALL MEN BY THESE PRESENTS:
[2] I, ____________, of legal age, Filipino, single/married to ____________, resident of

___________, do hereby [3] name, constitute and appoint ____________, of legal age, Filipino,
single/married, resident of ___________, to be my true and lawful attorney-in-fact, and in my
name, place and stead, to do and perform the following acts, to wit:
[4] (specify general acts that Attorney-in-Fact may do)
[5] GIVING AND GRANTING unto the said Attorney-in-Fact full power and authority necessary to
carry out the acts stated above as fully to all intents and purposes as I might or could lawfully do if
personally present, with full power of substitution, and hereby ratifying and confirming all that my
said attorney-in-fact or his substitute shall lawfully do or cause to be done under and by virtue of
these presents.
IN WITNESS WHEREOF, we have set our hands this __day of __________, 2011, in ___________,
Philippines.
_________________
(Principal)
Conforme:
___________________
(Attorney-in-Fact)

________________ ___________________
[6] JOINT ACKNOWLEDGMENT
211
Form 23: Special Power of Attorney
[2] I, ____________, of legal age, Filipino, single/married to ____________, resident of

___________, do hereby [3] name, constitute and appoint ____________, of legal age, Filipino,
single/married, resident of ___________, to be my true and lawful attorney-in-fact, for me and in
my name, place and stead within the period of ____ months (or years), [4] to SELL, TRANSFER and
CONVEY, for the price not less than ___________ PESOS (Php_____), Philippine Currency, to
whosoever may purchase or buy the parcel of land, with (or without) improvements, located in
__________, and more particularly described, to wit:
(copy technical description of property from the TCT)
of which I am the registered owner in fee simple, my title thereto being evidenced by
Transfer/Original Certificate of Title No. _______________, issued by the Registry of Deeds of
_________, free from all liens and encumbrances; and,
[5] HEREBY GIVING AND GRANTING unto the said attorney-in-fact full powers and authority
to do and perform all and every act requisite or necessary to carry into effect the foregoing
authority to sell, as fully to all intents and purposes as I might or could lawfully do if personally
present, with full power of substitution, and hereby ratifying and confirming all that the said
attorney or his substitute shall lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, we have set our hands this __day of __________, 2011, in
___________, Philippines.
_________________
(Principal)
Conforme:
___________________
(Attorney-in-Fact)
____________________ ______________________
[6] JOINT ACKNOWLEDGMENT

Form 24: Revocation of Power of Attorney
WHEREAS, I, _________________, of legal age, Filipino, single/married to ___________,

resident of _______________, by certain public instrument made and executed in
_______________ on ________________ before ____________, Notary Public for and in the City
of ____________, and bearing Notarial Register No. ___, Page No. ___, Book No. ___, Series of
20__ of his notarial register, did name, constitute, and appoint ______________, resident of
_______________ as my true and lawful ATTORNEY-IN-FACT, for the purpose and with powers
mentioned in the said public instrument.
WHEREAS, the said public instrument or Power of Attorney, was duly registered in the
Office of the Register of Deeds of _______ on ___________, 20__, as per Entry No. ___, Vol.___,
Book___ of said Office.
NOW, THEREFORE, I _______________, by virtue of these presents, hereby REVOKE,

ANNUL, and make VOID the said power of attorney and all powers and authority therein or
thereby given and granted, or intended to be given or granted to said _______________.
IN WITNESS WHEREOF, I have hereunto set my hand this ______ day of ______________,
20__, in ______________, Philippines.
_________________
(signature)

_____________________ ______________________
ACKNOWLEDGMENT
213
D. CORPORATION
Form 25: Articles of Incorporation
ARTICLES OF INCORPORATION
OF ___________(Name of Corporation)
The undersigned incorporators, all of legal age and a majority of whom are residents of the Philippines,
have this day voluntarily agreed to form a stock (non-stock) corporation under the laws of the Republic
of the Philippines;
AND WE HEREBY CERTIFY:
FIRST: That the name of said corporation shall be “………………………………………., INC. (NB: Must end with
Inc., Incorporated, Corp. or Corporated)
SECOND: That the purpose or purposes for which such corporation is incorporated are: (If there is more
than one purpose, indicate primary and secondary purposes);
THIRD: That the principal office of the corporation is located in the City/Municipality of
………………………………………, Province of ………………………………………….., Philippines;
FOURTH: That the term for which said corporation is to exist is fifty years from and after the date of
issuance of the certificate of incorporation;
FIFTH: That the names, nationalities and residences of the incorporators of the corporation are as
follows:
NAME NATIONALITY RESIDENCE
………………………………. ………………………………. ……………………………….
………………………………. ………………………………. ……………………………….
………………………………. ………………………………. ……………………………….
………………………………. ………………………………. ……………………………….
………………………………. ………………………………. ……………………………….
SIXTH: That the number of directors of the corporation shall be ………….; and the names, nationalities
and residences of the first directors or trustees of the corporation who are to serve until their successors
are elected and qualified as provided by the by-laws are as follows:
NAME NATIONALITY RESIDENCE
………………………………. ………………………………. ……………………………….
………………………………. ………………………………. ……………………………….
………………………………. ………………………………. ……………………………….
………………………………. ………………………………. ……………………………….
………………………………. ………………………………. ……………………………….
SEVENTH: That the authorized capital stock of the corporation is …………………………… (P………………….)
PESOS in lawful money of the Philippines, divided into …………… shares with the par value of
…………………………….. (P…………………..) Pesos per share.
(In case all the share are without par value):

That the capital stock of the corporation is ……………………… shares without par value. (In case some
shares have par value and some are without par value): That the capital stock of said corporation
consists of …………………… shares of which ………………….. shares are of the par value of …………………………
(P…………………) PESOS each, and of which ………………………….. shares are without par value.

(Articles of Incorporation: continuation...)

EIGHTH: That the amount of said capital stock which has been actually subscribed is
__________________ PESOS (P________________) and the following persons have subscribed for
the number of shares and amount of capital stock set out after their respective names which
constitutes at least twenty five (25%) per cent of the authorized capital:
Name of Subscriber Residence Nationality No of Shares Amount Subscribed

……………………………. ……………….. …………………… ………………….. …………………..
……………………………. ……………….. …………………… ………………….. …………………..
……………………………. ……………….. …………………… ………………….. …………………..
……………………………. ……………….. …………………… ………………….. …………………..
……………………………. ……………….. …………………… ………………….. …………………..
NINTH: That the above-named subscribers have paid at least twenty-five (25%) percent of the total
subscription as follows:
Name of Subscriber Amount Subscribed Total Paid-In
…………………………….. ……………………………….. ………………………….
…………………………….. ……………………………….. ………………………….
…………………………….. ……………………………….. ………………………….
…………………………….. ……………………………….. ………………………….
…………………………….. ……………………………….. ………………………….
(Modify Nos. 8 and 9 if shares are with no par value. In case the corporation is non-stock, Nos. 7, 8
and 9 of the above articles may be modified accordingly, and it is sufficient if the articles state the
amount of capital or money contributed or donated by specified persons, stating the names,
nationalities and residences of the contributors or donors and the respective amount given by
each.)
TENTH: That ………………………………… has been elected by the subscribers as Treasurer of the
Corporation to act as such until his successor is duly elected and qualified in accordance with the
by-laws, and that as such Treasurer, he has been authorized to receive for and in the name and for
the benefit of the corporation, all subscription (or fees) or contributions or donations paid or given
by the subscribers or members.
ELEVENTH: That no transfer of stock or interest which shall reduce the ownership of Filipino
citizens to less than the required percentage of the capital stock as provided by existing laws shall
be allowed or permitted to recorded in the proper books of the corporation and this restriction
shall be indicated in all stock certificates issued by the corporation.
TWELFTH: That the incorporators undertake to change the name of the corporation immediately
upon receipt of notice or directive from the Securities and Exchange Commission that another
corporation, partnership or person has acquired a prior right to the use of that name or that the
name has been declared as misleading, deceptive, confusingly similar to a registered name, or
contrary to public morals, good customs or public policy.
IN WITNESS WHEREOF, we have hereunto signed these Articles of Incorporation, this ……………….
day of …………………………, 2011 in the City/Municipality of …………………………………., Province of
…………………………………………., Republic of the Philippines.
…………………………………….. ………………………………………
…………………………………….. ………………………………………
…………………………………………
(Names and signatures of the incorporators WITH Taxpayer Identification Number)
SIGNED IN THE PRESENCE OF:

………………………………… ………………………………………
(Acknowledgment)
215
Form 26: Waiver of Pre-emptive Rights
WAIVER OF PRE-EMPTIVE RIGHTS
We, the stockholders of XXX REALTY DEVELOPMENT, INC. (the “Corporation”), hereby waive
our right to subscribe to the increase in the authorized capital stock (or additional issuance from the
unissued capital stock, as the case may be) of the Corporation from ONE BILLION PESOS
(P1,000,000,000.00) to TWO BILLION PESOS (P2,000,000,000.00), as approved by at least majority of
the board of directors and stockholders owning or representing at least two-thirds (2/3) of the
outstanding capital stock of the Corporation in meetings both held on ___________________.
Signed this ___ day of ____________, 2011.
_________________________ _________________________
(Signature of Stockholder) (Signature of Stockholder)
________________________
(Signature of Stockholder)
Form 27: Secretary’s Certificate
Republic of the Philippines )

_____________________ ) S.S.
SECRETARY’S CERTIFICATE
[1] I, _______________, of legal age, Filipino, single/married with residence at ____________

after having been sworn in accordance with law hereby depose and state that:
1. I am the corporate secretary of X corporation, a corporation duly organized and

existing under the laws of the Philippines with principal office at ______________;
2. As such officer of the Corporation, I have custody and access to all the corporate
records of X corporation;
3. [2]On _______________, the board of directors of X corporation, in a meeting duly

called for the purpose, wherein quorum was present and acted throughout, passed
the following resolution;]
Resolution No. ______________
RESOLVED as it is hereby RESOLVED, that the President, Mr. Jose Cruz,

__________ be, as he is hereby authorized to enter into a Service
Agremeent with Y Corporation
REOLVED FURTHER that Mr. Cruz be authorized to negotiate and

determine the terms and conditions of said Agreement as may be
beneficial to the Corporation, to sign, excute and deliver any and all
documents necessary and desirable and to do such acts and deeds as
may be proper and necessary to implement the foregoing authority.
[3]The above-quoted resolution is still in force and has not yet been revoked by the board
as of this date.
IN WITNESS WHEREOF, I have hereunto affixed my signature and the seal of the
corporation, this ___ day of ____, 2011.
______________________________
(Name & Signature of Secretary)
[4] JURAT

Q: What does a secretary’s certificate contain? Note: Being regular on its face, a Secretary's
Certificate is sufficient for a third party to rely on. It
A: does not have to investigate the truth of the facts
[1] Personal circumstances of the secretary contained in such certification; otherwise business
[2] Date of the Meeting and Resolution of transaction of corporations would become
the Board tortuously slow and unnecessarily hampered.
[3] Resolutions still in force
[4] Jurat
Form 28: Treasurer’s Affidavit

PROVINCE OF ______________ S. S.
CITY/MUNICIPALITY OF_______
TREASURER’S AFFIDAVIT
[1] I, _________________, of legal age, Filipino, single, after having been sowrn in
accordance with law, hereby depose and state that;
[2] 1. I have been elected by the subscribers as the Corporate Treasurer of

____________________________, to act until my successor has been duly elected and
qualified in accordance with the By-laws of the Corporation.
[3] 2. As such Treasurer, I hereby certify under oath that at least 25% of the authorized capital
stock of the Corporation has been subscribed and that at least 25% of the total subscriptions
has been paid, and received by me in cash, in the amount not less that P5,000.00, in
accordance with the Corporation Code.
[4] 3.The Securities and Exchange Commission and Bangko Sentral ng Pilipinas are hereby
authorized to examine and verify the deposit in the ____________ ,
_________________ Branch, in my name as treasurer in trust for
__________________________ in the amount of _______________________________
Pesos (P________________) representing the paid-up capital of the said corporation which is
in the process of incorporation. This authority is valid and inspection of said deposit may be
made even after the issuance of the Certificate of Incorporation to the corporation. Should
the deposit be transferred to another bank prior to or after incorporation, this will also serve
as authority to verify and examine the same. The representative of the Securities and
Exchange Commission is also authorized to examine the pertinent books and records of
accounts of the corporation as well as all supporting papers to determine the utilization and
disbursement of said paid-up capital.
In case the paid-up capital is not deposited or withdrawn prior to the approval of
the Articles of Incorporation, I, on behalf of the above named corporation, waive our right to
a notice and hearing in the revocation of our Certificate of Incorporation.
___________________________
(Treasurer’s name & signature)
[6] JURAT
Note: The following are parts of a treasurer’s affidavit:

[1] Name of treasurer
[2] Election as treasurer
[3] Certification as to amount of subscription received (25%-25% rule)
[4] Authority to examine account
[6] Jurat
217
E. PARTNERSHIP
Form 29: Articles of General Partnership
ARTICLES OF PARTNERSHIP OF
______________________________________
KNOW ALL MEN BY THESE PRESENTS
[1] These Articles of Partnership made and executed by and among;

__________, (citizenship), residing at _______________________;
__________, (citizenship), residing at _______________________; and
__________, (citizenship), residing at _______________________; all of legal age,
WITNESSETH:
[2] They have formed a partnership among themselves under the name and style of
_________________.
[3]The purposes for which said partnership is formed are:
(here state purposes of the firm)
[4]The principal office for which said partnership shall be located is at _________________;
[5]It is hereby stipulated that ________________ shall be the partner upon whom the
management of the firm and the use of its signature shall be entrusted; that he shall exercise such
powers necessary to attain the purpose of this partnership, including the power to draw drafts, bills
of exchange and other negotiable instruments and accept the same the same for in the name of the
firm; to appoint and dismiss employees and to fix their tenure and compensation; to deposit money
in banks and with the counter-signature of the Treasurer, withdraw the same for purposes of the
partnership; and (others).
[6]The term of existence of this partnership shall be ___ years commence from and after the
execution of these articles;
[7]The capital of the partnership as contributed by the partners is as follows, to wit:
__________________ Php______;
__________________ Php______;
Thereby making a TOTAL CAPITAL of Php______;
[8]The profits and losses shall be divided share and share alike among the partners of the
partnership (or in proportion to their respective capital);
The treasurer shall be ___________________;
[9]The managing partner is hereby given a salary of _____________PESOS (Php________)
per month;
[10]If during the term of the partnership, any of the partners shall die, the partnership shall
continue among the surviving partners, unless one of the latter expressly requests for dissolution.
IN WITNESS WHEREOF, the parties have hereunto set their hands, this ___day of _______,
2011, in _____________, Philippines.
_______________________
_______________________
_______________________
(Name and Signature of
partners)
___________________ ___________________
[11]JOINT ACKNOWLEDGMENT

Q: What are the contents of an Articles of [5] Managing partner and duties
Partnership? [6] Term of existence
[7] Capital contribution of each partner
A: PeN-POM-TeCa-DiSa-Dis-Jack [8] Division of profits
[1] Personal circumstances of the partners [9] Salary of managing partner
[2] Name of partnership [10] Dissolution of partnership
[3] Purposes of partnership [11] Joint Acknowledgment
[4] Principal Office address
Form 30: Articles of Limited Partnership
ARTICLES OF PARTNERSHIP OF
______________________________ LTD
[1] These Articles of Partnership made and executed by and among:

__________, general partner, (citizenship), residing at __________;
__________, general partner, (citizenship), residing at __________ ;( and)
__________, general partner, (citizenship), residing at __________; all of legal age,
WITNESSETH:
[2]That above-named partners have formed a limited partnership among themselves

under the name and style of _________________Ltd;
[3]That the purposes for which said partnership is formed are;
(state the object or character of the business);
[4]That the principal place of business of the partnership shall be at__________;
[5]That the term for which the partnership is to exist shall be ___ years from and after
the execution of this agreement;
[6]That the capital of this partnership shall be ____PESOS (Php__________), Philippine

currency, contributed by the partners, as follows, to wit:
_____________ (general partner)….. Php_______________;
_____________ (limited partner)…... Php_______________; and
_____________ (limited partner)…… Php_______________;
[7]That ___________, general partner, is hereby designated the manager of the

partnership, with a monthly salary of Php_______________;
[8]That the profits and losses shall be apportioned among the partners of the
partnership___________ (state in what proportion they shall share in the profits and in the
losses).
IN WITNESS WHEREOF, the parties hereto have hereunto set their hands this ____ day
of ___________, 2011, in ___________________, Philippines.
_______________________
_______________________
(Name and Signature of partners)

__________________ _________________
[9]JOINT ACKNOWLEDGEMENT
219
Q: What are the parts of the articles of limited [3] Purposes of limited partnership
partnership? [4] Principal place of business
[5] Term of existence
A: PNP-PrinTeC-DDJ [6] Capital contribution
[1] Personal circumstances of partners [7] Designation and salary of general
[2] Name of limited partnership should partner
always be accompanied by LTD after the [8] Division of profits
name [9] Joint Acknowledgment
F. NEGOTIABLE INSTRUMENTS
Form 31: Promissory Note.
(Date)
P _________ _______________, Philippines
_____________ month (or days) after date, I promise to pay, for value received, to
_______________ or order the sum of ________________ Pesos, with interest at ____ per centum
per annum until fully paid. The makers and endorsers severally waive presentment for payment,
protest and notice of non-payment of this note.
________________
(Maker)
Form 32: Bill of Exchange.
Manila, August ____, 2011
For value received, pay to ______ (name of payee) or order the sum of ______
(Php________) pesos, Philippine Currency, and charge the same to the account of _______ (name of
drawer).
___________________
(Name & Signature of
Drawer)
To: (Name of Drawee)
(Address)
G. WILL
Form 33: Holographic Will .
(Date)
I, _____________________, of ________________, being of sound and disposing mind, do

hereby declare this to be my last will and testament which I have written in my own handwriting in
English, a language known to me, and I hereby declare that all my properties shall upon my death be
distributed to my wife ______________ and to my only child ____________ share and share alike.
______________________
(Name & Signature)
Note: A holographic will-

1. Should be entirely written, dated and signed by the hand of the testator (Art. 810, NCC)
2. Need not be acknowledged or subscribed before a notary public
3. For purposes of its PROBATE, it is better that the signature of the testator of a holographic will be
witnessed by at least three (3) witnesses. (Art. 811, NCC)

Form 34: Notarial Will .
Last Will and Testament

Of
____________________
I, ____________, of legal age, Filipino, single/ married to ____________, a native of

_______________, now actually residing at _____________, being of sound and disposing mind and
memory, and not acting under influence, violence, fraud or intimidation of whatever kind, by these
presents declare this to be my Last Will and Testament which I have caused to be written in English,
the language which is known to me and I hereby declare that:
The following are my children and their addresses:
(names and addresses)
I give and bequeath to my children ___________, _____________, and ______________, in equal

shares, the following properties, real and personal, whatsoever and wheresoever located:
(Description)
I designate _______________ as the sole executor of this Last Will and Testament.
IN WITNESS WHEREOF, I have hereunto set my hand this ____ day of ________, 2011, in
____________, Philippines.
__________________
(Signature of testator)
ATTESTATION CLAUSE
We, the undersigned attesting witnesses, whose residences are stated opposite our
respective names, do hereby certify: That the donor, ________, has made known unto us the
foregoing donation mortis causa consisting of ____ pages numbered correlatively in letters on the
upper part of each page, as her donation mortis causa and has signed the same and every page
therein in the left margin, in our joint presence and we, in turn, at his request have witnessed and
signed the same and every page thereof, on the left margin, in the presence of the donor and in the
presence of each and all of us.
__________________________ ___________________________________________
__________________________ ___________________________________________
__________________________ ___________________________________________
221
(Notarial Will: continuation…)

City of ___________ ) s.s.
At the City of __________, on this ___ day of (month and year), personally appeared the
Testator “X”, and his three (3) instrumental witnesses to wit: AB, BC and CD, all known to me to be
the same persons who executed and attested, respectively, the foregoing Last Will and Testament,
consisting (number of pages), including this page on which this acknowledgment is written, and they
all acknowledged to me that the Testator signed the will and every page thereof on the left margin in
the presence of the instrumental witnesses, that the latter signed and witnessed the will on every
page thereof on the left margin in the presence of the testator and of one another ; that all the pages
of said will are numbered correlatively in letters placed on the upper part of each page, and that the
attestation clause is in English, a language known to the instrumental witnesses; they further
acknowledged to me that the said will and attestation are their own free and voluntary act and deed.
The community tax certificates and competent evidences of identities of the said Testator and three
(3) instrumental witnesses were exhibited to me, to wit:
Com. Tax Cert. Date and Sr. Citizen Place of

No. Place of Issue I.D. No. Issue
WITNESS MY HAND AND SEAL at the place and date first above stated.
NOTARY PUBLIC
For the City of ________
Commission serial no. __
Until December 31, 200__
Office address _________
Roll No._______________
PTR OR No. ___________
issued at ______________
on ________________
IBP Membership No. ____
Doc. No.___
Page No.___
Book No. ___
Series of 200__
Note: A notarial will must be- 5. Testator and witnesses must sign in each and
1. In writing every page thereof, except the last page, on
2. In a language or dialect known to the the left margin
testator 6. Pages should be numbered correlatively in
3. Subscribed at the end by the testator or by letters on the upper part of each page
testator’s name written by a person in its 7. Attestation clause
presence 8. Acknowledged before a notary public (Art.
4. Attested and subscribed by at least three 797, 798, 802, 819, NCC)
instrumental witnesses

Legal Forms – judicial forms
Q: Is oath similar from an affidavit?

III. JUDICIAL FORMS
A: No. An affidavit consists of statement of fact
which is sworn as to the truth, while an oath is a
Note: All judicial forms have one mold or pattern. pledge. (Suarez, 2007)
The parts of a typical judicial form are:
Q: Who is an affiant?
[1] Caption
[2] Title A: It refers to a person who signs an affidavit and
[3] Introduction swears to its truth before a Notary Public or some
[4] Body person authorized to take oath.
[5] Relief
[6] Attorney Q: What are the parts of a typical sworn
[7] Plus or addendums statement or affidavit?
A. AFFIDAVITS A:
[1] Venue
Q: What is an Affidavit? [2] Title
[3] Person
A: It is an ex parte statement in writng made [4] Oath
under oath before a notary public or other officer [5] Statement
authorized to administer oaths, about facts which [6] Signature
the affiant either knows of his personal [7] Jurat
knowledge or is aware of to the best of his
knowledge. (Khan, Jr.,2007)
Form 35: Affidavit
[1] REPUBLIC OF THE PHILIPPINES)

CITY OF MANILA ……………………) SS.
[2] AFFIDAVIT
[3] I, HENRY ROBLES, of legal age, married, residing at 5 V.G. Cruz, Sampaloc, Manila, [4]
state under oath that:
[5] 1. I am a licensed physician.
2. I examined accused Raul Ramos at 5 p.m. today and found him suffering from
intestinal flu for which I prescribed medicine and bed rest for three days.
[6] HENRY ROBLES

Affiant
[7] SUBSCRIBED AND SWORN to before me in the City of Manila, Philippines, this 10th
day of July, 2011. I have identified affiant through his LTO Driver's License No. N10-68-034785
dated May 22, 2011.
Name _______________________
Notary Public for (City/ Province)
Office Address of Notary Public
Appointment No. _______ until (date)
Roll of Attorney No.
PTR No.__, __ (date and place of issue)
IBP No. __, __ (date of issue) (chapter)
Serial No. of Commission_____
Doc. No._____;
Page No. ____;
Book NO.____;
Series of 2011.
223
Form 36: Affidavit of Merit substantial and not merely technical nature and
stating the facts constituting the same.
Q: What is an Affidavit of Merit?
Note: In executing an affidavit, the affiant’s primary
A: It is an affidavit which states that the qualification is that he has knowledge of the facts
defendant has a meritorious defense of a which he states, and the truth of which he affirms.
(Suarez, 2007)

CITY OF MAKATI ) s.s.
AFFIDAVIT OF MERIT
I, ___________, of legal age, Filipino and resident of _______________, after being duly
sworn to in accordance with law, hereby depose and state that:
1. I am the Petitioner in the case entitled ___________docketed as Civil/ Criminal Case

No._______ and pending before the Regional Trial Court;
2. I have caused the preparation of the “Motion for Reconsideration” to which this
affidavit is attached;
3. I have read the allegations contained therein and I hereby state that the same is true
and correct of my personal knowledge and based on authentic records;
4. I have received a copy of the resolution of the Regional Trial Court dismissing my
petition for failure to prosecute for an unreasonable length of time;
5. The reason for my failure to proceed with the steps necessary for my case was due to
the fact that my counsel, Atty. _____ was admitted in the National Kidney Institute for
an emergency operation;
6. The partners of my lawyer were not able to handle my case because of their individual
work load and hectic schedule;
7. The foregoing circumstance that led to the dismissal of my petition constitute mistake
and/or excusable negligence which ordinary prudence could not have guarded against
and by reason of which I have been impaired of my rights, especially because a
judgment was rendered by the court without affording me the chance to present my
evidence;
8. I voluntarily execute this Affidavit of Merit to attest to the truth of the foregoing facts
and in order to support the grounds in my “Motion for Reconsideration” as it really
shows that the same is meritorious and in order that the Order or Judgment rendered
against me be reconsidered and set aside and a new one be issued reinstating the
instant case.
Affiant adds nothing more at this time.
August 1, 2011, Makati City

___________________
(Affiant)
(JURAT)

Legal Forms – judicial forms
Form 37: Affidavit of Good Faith

mortgagee that the mortgage is constituted to
Q: What is an Affidavit of Good Faith? secure the specified obligation, and that the said
obligation is a valid, just and subsisting obligation
A: A certificate included in the chattel mortgage and not one entered into for the purpose of
contract executed by both the mortgagor and fraud. (Sec. 5, Chattel Mortgage Law)
We, the undersigned MORTGAGOR and MORTGAGEE, severally swear that the foregoing
chattel mortgage is made and executed for the purpose of securing the obligation specified therein, and
for no other purpose and that the same is a just and valid obligation and one not entered into for
purposes of fraud.
August 1, 2011, Makati City.
______________ _____________
(Mortgagor) (Mortgagee)
(JURAT)
B. MOTIONS need to give an explanation why personal filing or

service could not be done.
Q: What is a motion?
A: A motion is an application for relief other than Q: What are the parts of a motion:
by a pleading. (Sec. 1, Rule 15) [1] Caption
[2] Title of the case
Note: A motion shall state the relief sought to be [3] Body of the motion
obtained and the grounds upon which it is based,
and if required by the Rules or necessary to prove Note: The body of a motion usually has two
facts alleged therein, shall be accompanied by parts:
a. The ground for the motion
supporting affidavits and other papers. (Sec. 3,
b. The argument in support of the motion
Rule 15, RRC)
[4] Prayer
Note: The plus for a motion is the notice of hearing
(mandatory if the motion is a litigated motion). If [5] Place, date and signature
filing of a pleading or service of its copy on adverse [6] Notice of Hearing
party is done by registered mail, another plus is the [7] Proof of Service
225
Form 38: Motion for Judgment on the Pleadings
[1] Republic of the Philippines

National Capital Judicial Region
Branch ___
Manila
[2] A,
Plaintiff,
- versus- Civil Case No. ___
B,
Defendant,
X- - - - - - - - - - - - - - - -x
Plaintiff, by counsel, respectfully states that:
[3] 1. In the answer of the defendant filed on _________--- he admitted having signed the
promissory note and merely interposed the defense that he was asking for time within which to pay
the obligation;
2. Said answer does not tender any issue and in fact it can be read therefrom that
defendant admitted his obligation.
[4] WHEREFORE, it is respectfully prayed that this Honorable Court render judgment on the
pleadings.
[5]________ City, Philippines, this _____ day of _______2011 .
Name ____________________________
Office Address ____________________
Roll of Attorney No. ________________
PTR No.___, ___ (date and place of issue)
IBP No. ____, ___ (date of issue) (chapter)
MCLE Compliance No.
[6] NOTICE OF HEARING

[7] PROOF OF SERVICE (affidavit of service by mail)
EXPLANATION
Following the above format, the body and prayer for other types of motions should be as follows:
Form 39: Motion to Declare Defendant in Default
1. Plaintiff filed this Complaint against defendant on _________; summons were served on
defendant on _________ as indicated by the Sheriff’s return of even date, a copy of which is attached
as Annex A;
2. Defendant’s reglementary period to file Answer ended on ________; no motion for

extension of such period was filed nor was any granted motu propio by this Honorable Court. Despite
the lapse of time, defendant has failed to answer the Complaint against her; plaintiff is entitled to a
declaration of default and the right to present evidence ex parte against defendant.
WHEREFORE, plaintiff respectfully prays that defendant be declared in default and that
plaintiff be allowed to present evidence ex parte before the Clerk of Court acting as Commissioner.

Legal forms - judicial form
Form 40: Motion to Lift Order of Default
Note: A motion to lift an order of default based on FAME, should be accompanied by an affidavit of merits. However
if it is grounded on the very root of the proceedings, i.e. invalid service of summons, affidavit of merits is not
necessary.
1. That ten (10) days after the summons of the complaint was received by this defendant,
she filed a motion to dismiss;
2. That plaintiff had not filed any opposition to said motion and no hearing was held on said
motion to dismiss;
3. That while the said motion to dismiss was still pending, this Honorable Court declared
defendant in default; and
That said order declaring defendant in default is premature and without legal basis since there is still
a pending motion to dismiss.
Form 41: Motion for Postponement of Hearing
Note: For a motion to postpone trial on the ground of illness by a party or counsel, the following must appear in
an affidavit or sworn certification:
1. The appearance of counsel or party is indispensable

2. The illness is such as to render his non-attendance excusable (Sec. 4, RRC)
1. That the above-entitled case is set for hearing on __________;

2. That counsel for defendant is afflicted with chicken pox and is now under the medical
care of Dr. ________. A copy of the physician’s certificate under is hereto attached;
WHEREFORE, it is respectfully prayed that the hearing set for ___________ be reset to
another day preferably on the first week of June 2010 or at the convenience of this Honorable
Court.
Form 42: Motion to Dismiss
Defendant, by counsel, respectfully moves that the complaint be dismissed on the following
grounds:
(Here mention one or more grounds provided for in Rule 16, Rules of Court: Lack of Jurisdiction,
Payment; Novation; Prescription; lack of Capacity)
ARGUMENTS
(Here set forth the reasons in support of the grounds mentioned)
PRAYER
WHEREFORE, it is respectfully prayed that the complaint be dismissed.
227
Form 43: Motion to Intervene
NAME, by counsel, respectfully prays that he be permitted to intervene in this case as a party
plaintiff/party-defendant on the ground that he has legal interest in the matter under litigation and
that he may be adversely affected in these proceedings as shown in the attached Complaint-in-
Intervention/ Answer-in-Intervention.
WHEREFORE, it is respectfully prayed that ______________ be allowed to intervene as party

plaintiff/ party defendant and the attached complaint or answer in intervention be admitted and that
herein intervenor be allowed to serve copy of the same to the plaintiff/defendant.
Form 44: Motion for New Trial
Note: Grounds for filing a Motion for New Trial include:

1. Fraud
2. Accident
3. Mistake
4. Excusable negligence
5. Newly discovered evidence which with reasonable diligence have discovered and produced at the trial,
which if presented will alter the results.
Defendant/Plaintiff, by counsel, respectfully moves that the decision of this Honorable Court dated
_________ and received on _________ be set aside and new trial be granted on the following
grounds:
(Here give the grounds provided for in Rule 37, Rules of Court; such as fraud, accident, mistake, or
newly discovered evidence or excessive damages awarded)
ARGUMENTS
(Here set forth the reasons in support of the ground/s mentioned)
WHEREFORE, it is respectfully prayed that the decision of this Honorable Court be set aside
and new trial be granted.
Form 45: Motion for Extension
1. That on _____ he received a copy of a summons in the above-entitled case, with a copy of a
summons in the above-entitled case, with a copy of the complaint attached thereto, giving him a
period of fifteen (15) days within which to file his answer, or until _______;
2. That considering the numerous causes of actions raised in the complaint, and the other
equally important cases which require the almost daily attendance in court by the under-signed, he
may not be able to file the defend-ant’s answer by ____ and would require an additional fifteen (15)
days from that day or until ______ within which to file the requisite answer;
3. That this motion is filed solely for the above reason and is not interposed for delay.
PRAYER
WHEREFORE, it is respectfully prayed that the defendant be given an extension of time of fifteen (15)
days from ______ or until _______ within which to file defendant’s answer to the complaint. Other
just and equitable reliefs are also prayed.

Form 46: Motion for Bail
1. That the defendant is presently in custody of the law for the alleged commission of a
capital offense and is being detained at ____________;
2. That no bail has been recommended for his temporary release on the assumption
that the evidence of guilt is strong;
3. That the burden of showing that evidence of guilt is strong is on the prosecution and
unless this fact is satisfactorily shown, the defendant may be granted bail at the court’s
discretion.
WHEREFORE, upon prior notice and hearing, it is respectfully prayed that the defendant
be admitted to bail in such amount as this Honorable Court may fix.
Form 47: Motion to Quash
Accused, by counsel, respectfully moves to quash the information filed against him on
the ground that:
Lack of Jurisdiction
Prescription
Facts alleged do not constitute an offense, etc.
ARGUMENTS
(Here set forth the reasons in support of the motion to quash)
WHEREFORE, it is respectfully prayed that the information filed against the accused be
dismissed.
Form 48: Demurrer to Evidence
Accused, __________________, through counsel, and pursuant to leave granted by this Honorable
Court, in its order dated _____________ respectfully submits this motion to dismiss by way of
demurrer to evidence and alleges that:
THE INDICTMENT
THE EVIDENCE FOR THE PROSECUTION
ARGUMENTS
(why the case should be dismissed; insufficiency of evidence should be among those enumerated
showing why the same is insufficient)
WHEREFORE, it is respectfully prayed that the case against the accused be dismissed.

229
VICE CHAIRS FOR ACADEMICS: KAREN JOY G. SABUGO & JOHN HENRY C. MENDOZA
VICE CHAIR FOR MANAGEMENT AND FINANCE: JEANELLE C. LEE
Facultad de Derecho Civil
VICE CHAIRS FOR LAY-OUT AND DESIGN: EARL LOUIE M. MASACAYAN & THEENA C. MARTINEZ
C. COMPLAINT
Forum 49: Complaint
COMPLAINT
Plaintiff, by counsel, respectfully alleges:
1. That the plaintiff is of legal age, single and a resident of ______, while the defendant is
of legal age, single and a resident of _______ where he may be served with summons;
2. That on _______ (date), defendant obtained a loan from the plaintiff in the amount of
________ pesos (Php__________) for which he executed and delivered to plaintiff a promissory
note, a copy of which is hereto attached as “Annex A”, and made part of this complaint, to wit:
(copy promissory note)
Date_____________
P___________
__________ after date, I ______, promise to pay to the order of _______, the sum of
________ pesos (Php_____________).
____________
Maker
3. That despite the lapse of the period for the payment of the amount stated in said note,
defendant has not paid the same, or any part thereof or interest thereon;
WHEREFORE, it is respectfully prayed that judgment be rendered in favor of plaintiff and

against defendant for the sum of _____________ (total sum of the promissory notes) pesos
(Php________) with interest at the rate of twelve per centum (12%) per annum on each of the
aforesaid notes, until paid; interest at the legal rate on the interest due from the time of the filing
of the complaint and attorney’s fees plus costs.
Such other reliefs as may be just and equitable under the premises are likewise prayed for.
________ City, Philippines, this _____ day of _______2011.
Name ____________________________
Office Address ____________________
IBP No. ____, ___ (date of issue) (chapter)
VERIFICATION with CERTIFICATION OF NON-FORUM SHOPPING

Following the above format, the body and prayer for other types of Complaints should be as follows:
1. That the plaintiff and the defendant are both of age and residents of _____________;
2. That the said parties are co-owners, by virtue of intestate inheritance from their
deceased parents, of certain real properties located in ______________, more particularly
described as follows, to wit:
(description of the estate which partition is demanded)
3. That the plaintiff desired that the above real estate be partitioned between the plaintiff
and the defendant;
4. That the plaintiff has requested of the defendant that the above-described real estate
be amicably partitioned between them by mutual agreement, but said defendant refused and
continued to refuse to do so.
WHEREFORE, it is respectfully prayed:
1. That after due hearing, the partition of the above-described real estate be ordered
between the plaintiff and the defendant, share and share alike;
2. That the costs and expenses of these proceedings be taxed solely against the
defendant.
3. Other reliefs just and equitable under the premises are likewise prayed for.
Form 50: Complaint for Unlawful Detainer
1. That Plaintiff is married, Filipino citizen and residing at _________-- where he may be
served with court processes, motions and decisions while defendant is a Filipino citizen, married
and residing at _______ where he may be served with summons and other court processes;
2. That plaintiff is the owner of a land over which an apartment had been constructed,
located at ______;
3. That by virtue of a contract of lease, plaintiff leased unto the defendant the aforesaid
apartment for a consideration so _______________ (Php__________________) a month as
rental to be paid within the first ten (10) days of each month starting______ (date);
4. That defendant failed to pay the agreed rental for several months starting from ______
up to present;
5. That on ______, plaintiff sent a letter of demand to vacate the apartment which was
received by the defendant as shown in the registry return receipt hereto attached;
6. That despite said letter of demand which was repeated by oral demands defendant
failed and still refused to pay the agreed rentals and to vacate the apartment;
7. That by reason of the failure of the defendant to vacate the premises and to pay the
unpaid rentals, plaintiff was compelled to file this complaint engaging the services of counsel in
the amount of ______;
WHEREFORE, it is respectfully prayed that judgment be rendered ordering the defendant

to vacate the premises to pay the unpaid monthly rentals in the amount of ______ and further
rentals until the said defendant fully vacates the premises and to pay the costs of the suit.
Plaintiff prays for such other reliefs, as the Honorable Court may deem just and equitable
under the premises.

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Form 51: Complaint for Replevin
1. That both the plaintiff and the defendant are of age and residents of ______________;
2. That said plaintiff is the lawful owner of a personal property, namely, _____________,
valued at _____________ and more particularly described as follows:
(description of property)
3. That on or about the ____ day of _____, herein defendant borrowed said property from
Plaintiff promising to return the same the next day;
4. That on _____, and for ten (10) days thereafter, the herein Plaintiff demanded for the
return of the said property but despite repeated demands, said Defendant refused and still refuses
the said property claiming that the same belongs to him;
5. That plaintiff, in accordance with the Rules of Court, hereby applies for an order for the
delivery of said ________________- and hereby files the necessary affidavit and bond hereto
attached, as “Annex A” and “Annex B”, respectively, and made integral parts of this application and
complaint;
6. That the herein plaintiff is ready and willing to file a bond, executed to the defendant in
double the value of the property stated above, for the return of the property to the Defendant if the
return thereof be adjudged and for the payment to the Defendant of such sum as he may recover
from the Plaintiff in the action.
1. That the property in question be ordered delivered to the plaintiff or if material delivery
be not possible, that defendant be ordered to pay the plaintiff its actual value, namely the sum of
_________.
2. That the defendant be made to pay the costs of this suit, and plaintiff be granted such
other equitable relief consistent with law and equity.

Form 52: Complaint for Interpleader
CAPTION AND TITLE

COMPLAINT
1. Averment of names, personal circumstances and residences of the parties;

2. That on December 18, 2000, XYZ took a life insurance policy for P2 million from the
plaintiff and that the primary beneficiary designated was simply “wife”;
3. That said XYZ died intestate on June 30, 2008;
4. That both defendants, claiming to be the wife of XYZ, filed their respective claims with
the plaintiff;
5. That the plaintiff is ready, willing and able to pay the proceeds of such insurance policy,
however, it has no means of knowing definitely to whom as to the two defendants
payment should be made;
6. That defendants should interplead and litigate their conflicting claims to the insurance
proceeds.
PRAYER
WHEREFORE it is respectfully prayed that judgment issue:
1. Ordering defendants to interplead and litigate their conflicting claims between them;
2. Ordering the deposit with this Honorable Court the insurance proceeds and that the plaintiff
be discharged from whatever claims that may be had against it relative to the life
insurance policy of XYZ.
Other just and equitable reliefs are also prayed.
PLACE AND DATE
COUNSEL’S NAME,
ADDRESS, etc.
VERIFICATION AND CERTIFICATION AGAINST FORUM SHOPPING
D. ANSWER 1. The admissions and denials,

2. The special and affirmative defenses,
Q: What is an answer? 3. The counterclaim.
A: An answer is a pleading in which a defending Note: The plus in an answer is a statement of copy
party sets forth his defenses. (Sec. 4, Rule 6, RRC) furnished the adverse party. When an actionable
document has to be denied, verification has to be
Q: What does the body of an answer contain? added to the answer. If it includes a permissible
counterclaim, a certification of non-forum shopping
must also be added.
A: The body of an answer usually has three parts

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Form 53: Answer with Special and Affirmative Defenses and Counterclaim
ANSWER
Defendant, by counsel, respectfully alleges:
1. Defendant admits the averment in paragraph 1, 2 and 3 of the complaint;

2. Defendant specifically denies the allegation in paragraph 4 of the complaint, the truth
being that (state here the fact being claimed by the defendant as the true state of facts or the
truth being those stated in the special and affirmative defenses herein set forth);
3. Defendant has no knowledge or information to form a belief as to the truth of the
averment on paragraphs 5, 6, 7 and 8 of the complaint;
By way of special and affirmative defenses, defendant avers:

4. (state defenses, e.g. that the obligation has already been paid)
By way of counterclaim, defendant alleges:

Form 53: Complaint for Ejectmente.g. attorney’s fees at Php50,000.00)
5. (state counterclaim,
WHEREFORE, it is respectfully prayed that the complaint be dismissed and defendant be

awarded the amount of _________________ pesos (Php____________). Other reliefs just and
equitable under the premises are likewise prayed or.
Name ____________________________
Office Address_____________________
IBP No. ____, ___ (date of issue)
(chapter)
MCLE Compliance No. _______________
Copy furnished:
_________________________________
Name and Address of adverse counsel
PROOF OF SERVICE (affidavit of service by mail)

EXPLANATION

Following the above format, the body and prayer for other types of Answer should be as follows:
Form 54: Answer with Third Party Complaint
1. He admits the allegations contained in paragraph 1 of the complaint;

2. He admits paragraphs 3 and 4 of the complaint;
3. He admits partially the allegations of paragraph 3 of the complaint in the sense that he
signed a promissory note for five thousand (Php5,000.00) pesos, but he qualifies his admission in
the sense that not a single centavo of the loan was used by him, he being only an accommodation
maker;
4. He admits that the loan is now long overdue but he specifically denies that he has failed
and refused to pay the same, because he did not get anything out of the loan, as it was Jose Maximo
who pocketed the whole amount of said loan;
5. He admits that he has not paid any interest on said loan, because he had no obligation of
paying said interest, the whole amount having accrued to the benefit of Jose Maximo;
6. He specifically denied the allegation s of paragraph 7 of the complaint, because his failure
to pay the loan is not justified nor was there any refusal on his part;
7. He has no knowledge or information to form a belief as to the truth of paragraph 8 of the
complaint and therefore, he specifically denies the same.
BY WAY OF THIRD-PARTY COMPLAINT, he alleges:
1. Third-party plaintiff is of legal age, married and with residence and postal address at
________________;
2. Defendant Jose Maximo is likewise of legal age, and he may be served with summons at
_____________;
3. (here state the circumstances how Jose Maximo got involved)
BY WAY OF SPECIAL AND AFFIRMATIVE DEFENSES TO THE COMPLAINT, defendant alleges:
1. The complaint states no cause of action, because the obligation has been satisfied, for, on
___________, the plaintiff proceeded before the notary public _______________ for the sale of the
100 shares of stock put up as collateral of the loan mentioned in “Annex A” of plaintiff’s complaint;
2. Defendant was only an accommodation maker, as may be seen from the promissory note
itself that the amount of Php5,000.00 was credited to Jose Maximo which reads as follows: “Please
credit Php5,000.00 to Jose Maximo”;
WHEREFORE, it is most respectfully prayed that judgment be rendered as follows:
1. Dismissing plaintiff’s complaint for failure to state a cause of action, the obligation having
been fully satisfied;
2. Ordering the plaintiff to pay the costs, and granting unto defendant such other remedy
which this honourable Court may deem proper.
ON THE THIRD-PARTY COMPLAINT
1. That summons be issued against third-party defendant, Jose Maximo;

2. That after sue hearing, he be sentenced to pay the defendant whatever amount this Honorable
Court may order him to pay unto the plaintiff;
3. That he be ordered to pay unto third-party plaintiff the sum of Php5,000.00 as and for attorney’s
fees;
4. That Jose Maximo be ordered to pay the costs; Third-party plaintiff prays for such other relief that
may be reasonable in the premises.

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Form 55: Answer with Specific Denial of Document Under Oath
THAT defendant, by counsel,,specifically denies under oath the genuineness and due
execution of the instrument a copy of which is attached to Plaintiff’s complaint as Annex “A”, the
truth being that his signature thereon is forged and that he did not in fact sign the said instrument.
E. PETITIONS
Form 56: Petition for Adoption
CAPTION/TITLE
PETITION
PETITIONERS, by counsel, respectfully state that:
1. Petitioners are husband and wife, both of legal age, and residents of _________;
2. They have no legitimate children of their own and desire to jointly adopt a minor named
_______________, ______ years old, the legitimate child of _______;
3. The parents of the minor are not insane, intemperate and are in full possession of civil
capacity; they have not abandoned the minor child. With full knowledge of petitioner’s intention
they have expressly given their written consent to the adoption, as shown by their statement, a
copy of which is attached as ANNEX A;
4. Petitioners are qualified to adopt the minor and are financially capable of supporting the
minor; they are also morally qualified to bring up and educate the said minor;
WHEREFORE, it is respectfully prayed that judgment be rendered in petitioner’s favor

adjudging the minor child _______ freed from all legal obligations of obedience and maintenance
with respect to his/her natural parents and that he/she be declared to all legal intents and purposes,
the child of herein petitioners and that his/her surname be changed to that of the petitioners.
________ City, Philippines, this _____ day of _______2011
Name _______________________________
Appointment No. _____________________
Roll of Attorney No. ___________________
PTR No.____, ____ (date and place of issue)
IBP No. ____, ____ (date of issue) (chapter)
Office Address________________________
Email Address ________________________
Contact No. __________________________
MCLE Compliance (or Exemption) No._____
VERIFICATION AND CERTIFICATION AGAINST FORUM-SHOPPING

Following the above format, the body and prayer for other types of Petitions should be as follows:
Form 57: Petition for Guardianship
Q: What shall the petition contain? 6. Personal circumstances of the relatives of

the minor within the fourth civil degree
A: and reasons having himself the care and
1. Jurisdictional facts custody
2. Personal circumstance of the ward 7. Probable value, character and location of
3. Ground for guardianship property
4. Death of parents of the minor or 8. Personal circumstances of the prospective
termination or suspension of parental guardian
authority 9. Verification and certification of non-forum
5. Remarriage of minor’s surviving parent shopping
1. That he is the father of the minor _____;

2. That minor _____ is presently a resident of the City of _____;
3. That minor ______ is the owner of a parcel of land located in the City of Manila valued at
________ pesos (Php_______) and as such minor can make no transactions regarding the same;
4. That the nearest of kin of minor _____ are the following:
(here mention the nearest kin and their addresses)
5. That due to the minority of the said ______, it is necessary and convenient that a guardian
over his person and property be appointed;
6. That, as above states, _______ is the person having the said minor in his care, and that he
possesses all qualifications of a person to whom letters of guardianship should issue.
(furnish a bond of not less than 10% of the value of the property or annual income if it exceeds
P50,000.00)
WHEREFORE, it is respectfully prayed that, after due notice and hearing, petitioner be
appointed guardian over the estate of ______.
Form 58: Petition for Habeas Corpus
Q: What is habeas corpus?

Q: Who files the petition for writ of habeas
A: This is a writ directed to a person detaining corpus?
another and commanding him to produce the
body of the prisoner at a certain time and place A: it is filed by the party for whose relief it is
and to state the cause of his capture and intended, or by some person on his behalf.
detention. Habeas corpus is a remedy to relieve
persons from unlawful restraint.
1. That he is the father of Y, who is presently in the custody of Z, maternal grandmother of Y,

who (Z) forcibly abducted him (Y) and up to now actually restrains him (Y) of his liberty;
2. That despite demands, Z refuses to turn over the custody to petitioner;
WHEREFORE, it is respectfully prayed that an order be issued to Z to bring the minor to this
Honorable Court at the hour and date to be set by this Honorable Court, and thereafter that the
custody of the minor Y be turned over to the petitioner.

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Form 59: Petition for Writ of Amparo
Q: What is writ of amparo? 3. Any concerned citizen, organization,

association or institution, if there is no
A: It is a remedy available to any person whose known member of the immediate family
right to life, liberty and security is violated or or relative of the aggrieved party. The
threatened with violation by an unlawful actor o filing of a petition by the aggrieved party
omission of a public official or employee, or fo a suspends the right of all other authorized
private individual or entity. The writ shall cover parties to file similar petitions. Likewise,
extralegal killings and enforced disappearances or the fling of the petition by an authorized
threats thereof. (Sec 1, Rule on the Writ of party on behalf of the aggrieved party
Amparo) suspends the right of all others, observing
the order established herein. (Sec. 2, Writ
Q: Who may file? of Amparo)
A: It may be filed by the aggrieved party or by any Q: Where is the petition filed?
qualified person or entity in the following order:
1. Any member of the immediate family, A: The petition may be filed on any day and at any
namely, the spouse, children and parents time with the RTC of the place where the threat,
of the aggrieved party act or omission was committed or any of its
2. Any ascendant, descendant or collateral elements occurred, or with the Sandiganbayan,
relative of the aggrieved party within the the Court of Appeals, the Supreme Court, or any
fourth civil degree of consanguinity or justice of such courts. The writ shall be
affinity, in default of those mentioned in enforceable anywhere in the Philippines.
the preceding paragraph (Sec. 3, Writ of Amparo)
1. That petitioner is a Filipino citizen, of legal age, with address at ________ and the
respondent is a Filipino citizen , of legal age , with address at _________;
2. That the petitioner, ______, in whose behalf this application is being made, is actually
restrained of his liberty by the respondent, _____ at the latter’s residence at _________;
3. (State facts pertaining to the right to life, liberty and security of the aggrieved party
violated or threatened with violation by the unlawful act or omission of the respondent, and how
such threat or violation is committed with the attendant circumstance detained in supporting
affidavits);
4. (The investigation conducted, if any, specifying the names, personal circumstances and
addresses of the investigating authority or individuals, as well as the manner and conduct of the
investigation together with any report);
5. (The actions and recourses taken by the petitioner to determine the fate and whereabouts
of the aggrieved party and the identity of the person responsible for the threat, act or omission).
PRAYER
WHEREFORE, petitioner respectfully prays that a WRIT OF AMPARO be issued by this

Honorable Court, ordering respondents ________ to immediately release from their custody the
person of _________ to petitioners if still alive, or if already dead, to show the place where his
remains is placed or buried and to pay the petitioner _____________.
(may also include prayer for:

1. Order enjoining respondent from doing harm or harassment.
2. Order allowing inspection by the court of the premises
3. Order respondents to produce documents to or in their custody related to the detention.)

Form 60: Petition for Habeas Data
I.
NATURE OF THE PETITION
1. This is a petition for the writ of habeas data filed under A.M. No. 08-1-16-SC, also known as
the Rule on the Writ of Habeas Data to require the respondent/s to produce and, if necessary
update and rectify, or, in the alternative, suppress or destroy information within its control and/or
contained in its database, which relates to petitioner, his/her family, his/her home and his/her
correspondence.
2. Petitioner respectfully submits that respondent obtained the information through an
unlawful act, has unjustifiably failed to disclose the information to petitioner, and/or has
unjustifiably refused to update, rectify, suppress or destroy the information.
3. This act or omission of respondent to comply with petitioner's demand is a violation of, or
poses a threat of violation to, petitioner's right to privacy in life, liberty and security.
4. In view of the foregoing, petitioner brings this petition before this Honorable Court praying
that the respondent be required to cause the immediate production of the information requested so
that the same may be revealed to petitioner for proper updating, rectification or, in the alternative,
for its suppression or destruction, whatever may be necessary to protect petitioner's privacy.
5. Finally, petitioner respectfully submits that he/she is an indigent person and prays that this
Honorable Court exempt him/her from docket and other legal fees in this case, subject to the
submission of proof of his/her indigency within fifteen days from the filing of this petition.
II
PARTIES
6. Petitioner is a Filipino, of legal age, and residing at [state address]. He/She may be served
with notices from this Honorable Court through his/her undersigned counsel.
7. Respondent is being impleaded in his capacity as a public officer or employee, in charge of
the information or database of [state office], which office is engaged in the gathering, collecting, and
storing of data. He/She may be served summons and other processes of this Honorable Court at the
[state office address]. Respondent is of legal age, residing at [state address] and is engaged in the
gathering, collecting, and storing of data. He/She may be served summons and other processes of
this Honorable Court at the [state office address].
8. Respondent is a corporation organized and existing by virtue of the laws of the Republic of
the Philippines. It is engaged in the gathering, collecting, and storing of data. It may be served
summons and other processes of this Honorable Court at [state office address].
III
MATERIAL ALLEGATIONS
9. Petitioner is a citizen of the Republic of the Philippines whose right to privacy is protected
by the Bill of Rights found in Article III of the 1987 Philippine Constitution, which provides:
Section 3. (1) The privacy of communication and correspondence shall be inviolable except
upon lawful order of the court, or when public safety or order requires otherwise as prescribed
by law.
Any evidence obtained in violation of this or the preceding section shall be inadmissible for any
purpose in any proceeding.
Section 7. The right of the people to information of matters of public concern shall be
recognized.
Access to official records and documents, and papers pertaining to official acts, transactions, or
decisions as well as to government research data used as basis for policy development, shall be
afforded the citizen, subject to such limitations as may be provided by law.
10. Also, in Lourdes T. Marquez vs. Hon. Aniano A. Desierto, et al., this Honorable Court had
occasion to rule:

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(Petition for Habeas Data: Continuation…)

Zones of privacy are recognized and protected in our laws. The Civil Code provides that
"[e]very person shall respect the dignity, personality, privacy, and peace of mind of his
neighbors and other persons" and punishes as actionable torts several acts for meddling and
prying into the privacy of another. It also holds a public officer or employee or any private
individual liable for damages for any violation of the rights and liberties of another person,
and recognizes the privacy of letters and other private communications. The Revised Penal
Code makes a crime of the violation of secrets by an officer, the revelation of trade and
industrial secrets, and trespass to dwelling. Invasion of privacy is an offense in special laws
like the Anti-Wiretapping Law, the Secrecy of Bank Deposits Act, and the Intellectual Property
Code. (G.R. No. 135882, June 27, 2001.)
11. Finally, Republic Act 6713, known as the Code of Conduct and Ethical Standards for Public
Officials and Employees, makes it a duty of every public officer and employee to allow the inspection
of all public documents, and to respond to requests within fifteen days. Viz:
Section 5. Duties of Public Officials and Employees. — In the performance of their duties, all
public officials and employees are under obligation to:
(a) Act promptly on letters and requests. — All public officials and employees shall, within
fifteen (15) working days from receipt thereof, respond to letters, telegrams or other means
of communications sent by the public. The reply must contain the action taken on the
request.
xxx xxx xxx
(e) Make documents accessible to the public. — All public documents must be made
accessible to, and readily available for inspection by, the public within reasonable working
hours.
12. On [date], petitioner requested access to all information held about him/her by the
respondent, within fifteen days from respondent's receipt. A copy of the written request is attached
as Annex "A".
13. The period given to respondent to allow petitioner access to its database has already
lapsed.
14. As a result of respondent's failure or unjustifiable refusal to allow access to its database,
petitioner’s right to privacy is being violated.
15. The use and possible dissemination of the information held by respondent is an unlawful
intrusion into petitioner's privacy, which intrusion threatens to ultimately violate petitioner's right to
life, liberty and security.
16. The information which remains hidden from petitioner is in the database of respondent
located in the following offices: [state the offices or known location of the information].
PRAYER
WHEREFORE, petitioner prays that this Honorable Court give due course to this petition and
issue the writ of habeas data and rule, as follows:
1. Upon the filing of the petition, ENJOIN respondent from disseminating the information;
2. Upon notice and hearing, ORDER respondent to:
a. Produce the information in its possession regarding petitioner's person, his/her family,
home and correspondence;
b. Correct, suppress or destroy the information in its database, whatever may be applicable
as determined by this Honorable Court; and
c. Rectify the damage caused to petitioner's reputation by making a public apology to
petitioner, which shall be circulated in the manner and to such persons as the petitioner may deem
appropriate.
Other reliefs just and equitable under the premises are likewise prayed for.

Q: What is the writ of habeas data? Note: The petition may also be filed with the
Supreme Court or the Court of Appeals or the
A: It is a remedy available to any person whose Sandiganbayan when the action concerns public data
right to privacy in life, liberty or security is files of government offices.
violated or threatened by an unlawful act or
omission of a public official or employee, or for a Note: Any aggrieved party may file a petition for the
private individual or entity engaged in the writ of habeas data. However, in cases of extralegal
killings and enforced disappearances, the petition
gathering, collecting or storing of data or
may be filed by:
information regarding the person, family, home
1. Any member of the immediate family of the
and correspondence of the aggrieved party. aggrieved party, namely: the spouse,
children and parents
Note: The petition may be filed with the RTC where 2. Any ascendant, descendant or collateral
the petitioner or respondent resides, or that which relative of the aggrieved party within the
has jurisdiction over the place where the data or fourth civil degree of consanguinity or
information is gathered, collected or stored, at the affinity, in default of those mentioned in the
option of the petitioner. preceding paragraph
Form 61: Petition for Change of Name
Q: Who shall file the petition for change of Q: What are the grounds for change of name?
name?
A:
A: A person desiring to change his name shall file 1. Name is ridiculous dishonourable and
his petition to the RTC of the province in which he extremely difficult to pronounce
resides or in the City of Manila, to the Juvenile 2. Change of name is a legal consequence as
and Domestic Court or RTC. in legitimation
3. When the change will avoid confusion
Q: What shall the petition contain? 4. Having continuously used and been known
since childhood by a Filipino name,
A: It shall be signed and verified by the person unaware of her alien parentage
desiring to change his name or some other 5. A sincere desire to adopt a Filipino name
persons in his behalf. The petition shall set forth: to erase signs of former alienage, all in
1. That the petitioner has been bona fide good faith and without prejudicing
resident of the province where the anybody
petition is filed for at least three (3) years 6. When the surname causes embarrassment
prior to the date of such filing no fraudulent purpose is intended for such
2. The cause for which the change of the change
petitioner’s name is sought
3. The name asked for
1. That the petitioner is of age, single/married, and a resident of ___________;

2. That he has been a bona fide resident of the province of _______ since year ______ or for
at least three (3) yeas prior to the date of the filing of this petition;
3. That his present name is______________;
4. That the petitioner is also knows as (a.k.a.) __________________;
5. That (here state the reason for which the change of petitioner’s name is sought);
6. That petitioner requests that his present name be change to ______;
WHEREFORE, it is respectfully prayed that, after due notice and publication in accordance
with the Rules of Court, and hearing this Honorable Court adjudge that the petitioner’s name of
_____________ be change to _________________.

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Form 62: Petition for Certiorari
1. That the petitioner is of legal age, (state the capacity and residence of the petitioner, and
of the public and private respondents);
2. That (state the facts and circumstances under which the respondent tribunal, board or
officer, exercising judicial functions) has acted without, or in excess of its jurisdiction, or with grave
abuse of discretion in the exercise of his judicial functions (including your arguments);
3. That (state that there is no appeal from such decision or any plain, speedy and adequate
remedy in the ordinary course of law);
4. That a certified true copy of the decision (or order) herein sought to be annulled is
hereto attached as “Annex A”, together with copies of all pleadings and documents relevant and
pertinent thereto.
5. That (state the material dates showing when notice of judgment or final order or
resolution subject thereof was received, when a motion for new consideration, if any, was filed
and when notice of the denial thereof was received).
WHEREFORE, it is respectfully prayed, that a writ of certiorari be issued annulling the judgment or
order herein complained of (with prayer for a preliminary injunction as the case may be, for the
protection of the rights of petitioner pending such proceedings), and after due hearing, that
judgment be rendered annulling or modifying the decision or order subject of this petition and the
proceedings of (the defendant tribunal, board or officer), with costs against private respondent.

Form 63: Complaint Declaratory Relief
Q: What is declaratory relief?

or ordinance before breach or violation thereof in
A: It is a special civil action instituted by any order to determine any question of construction
person interested under a deed, will, contract, or or validity arising under the instrument or statue
other written instrument, or whose right are and for a declaration of his right or duties
affected by statute, executive order or regulation, thereunder.
(Caption and Title)
COMPLAINT
PLAINTIFF, thru counsel, respectfully avers that:
1. (State the capacity, civil status, and residence of the plaintiff and defendant/s, who have or claim
any interest which would be affected by the declaration.)
2. (State the deed, will, contract, or statute or ordinance under which a declaratory relief is sought.)
3. (State or quote in full the particular parts of the instrument or statue or ordinance which affect the
rights of the plaintiff, or in which he is particularly interested.)
4. ( If the plaintiff or petitioner attacks the validity of the statute, state why such law is invalid or
unconstitutional.)
5. (State or show why the plaintiff is interested under such instrument, or how his rights are affected
by such statute or ordinance.)
6. (Make an allegation that the declaration by the court on this question is necessary and proper at
the time all the circumstances, and that the declaration would terminate the uncertainty or
controversy which gave rise to the action.)
WHEREFORE, it is respectfully prayed of this Honorable Court to determine the validity of the
statue in question (or the construction of the instrument in question) and to declare plaintiff’s rights
and duties thereunder.
(Venue, date, signature)
(VERIFICATION/CERTIFICATION OF NON-FORUM SHOPPING)
Form 64: Petition for Prohibition
Q: What is prohibition? speedy, and adequate remedy in the ordinary

course of law. All these must be alleged by the
A: it is a special civil action directed against any plaintiff through a verified petition filed in the
tribunal, corporation, board or person whether proper court and praying the judgment be
exercising judicial or ministerial functions claiming rendered commanding the defendant to desist
that said tribunal, corporation, board or persons from further proceedings in the action or matter
acted without jurisdiction or with grave abuse of specified therein. (Suarez, 2007)
discretion and there is no appeal, nor any plain,

243
2. That (state the facts and circumstances under which the respondent-tribunal, board or
officer, exercising judicial functions, has acted without, or in excess of its jurisdiction, or with grave
abuse of discretion in the proceedings complained of);
3. That (state that there is no appeal from such act or any plain, speedy and adequate
remedy in the ordinary course of law);
4. That a certified true copy of the decision (or order) herein sought to be annulled is hereto
attached as “Annex A”, together with copies of all pleadings and documents relevant and pertinent
thereto.
5. That (state the material dates showing when notice of judgment or final order or
resolution subject thereof was received, when a motion for new consideration, if any, was filed and
when notice of the denial thereof was received).
WHEREFORE, it is respectfully prayed, that pending the proceedings in the action, a

preliminary injunction be granted ordering the respondent _________ to desist and refrain from
further proceedings in the premises, and that after due notice and hearing, a Writ of Prohibition be
issued commanding the said respondent to desist absolutely and perpetually from further
proceedings (in the action or matter in question), with costs.
Form 65: Mandamus
Q: What is mandamus? and adequate remedy in the ordinary course of

law. All these must be alleged by the plaintiff
A: It is a special civil action directed against any through a verified petition filed in a proper court
tribunal, corporation, board or person claiming and praying that judgment be rendered
that said tribunal, corporation, board or person commanding the defendant immediately or at
has unlawfully neglected the performance of an some other specified time to do the act required
act which the law specifically enjoins as a duty to be done to protect the life of the petitioner
resulting from an office, trust or station or has and to pay the damages sustained by the
excluded another from the use and enjoyment or petitioner by reason of the wrongful acts of the
the right or office to which such person is entitled defendant.
form the use and there is no other plain, speedy,
1. That the petitioner is of legal age, (state the capacity and residence of the petitioner, and of
the public and private respondents);
2. That (state the facts and circumstances under which the respondent-tribunal, board or
officer) unlawfully neglected the performance of an act which the law specifically enjoins as a duty
resulting from an office, trust or station, or unlawfully excluded the petitioner from the enjoyment of a
right or office to which the petitioner is entitled;
3. That the petitioner has no other plain, speedy and adequate remedies in the ordinary course
of law other than this action;
4. That (state the material dates showing when notice of judgment or final order or resolution
subject thereof was received, when a motion for new consideration, if any, was filed and when notice
of the denial thereof was received).
5. That the petitioner by reason of the wrongful act of the respondent has sustained damages
in the sum of __________ pesos (Php___________);
WHEREFORE, it is respectfully prayed, that after due notice and hearing, a Writ of mandamus
be issued, commanding the respondent forthwith to: (here state the act required to be done, with
damages and costs.)

Form 66: Probate of Will
Petitioner, by counsel, respectfully avers:
1. That the petitioner, of legal age and resident of ______, is the executor named in the last
will and testament of _______, deceased who died in ______, on ______;
2. That the said last will and testament (photostatic copy only) is hereto attached as Annex
“A” and made an integral part of this petition, the original thereof to be presented to this Honorable
Court at the time of the probate;
3. That the subscribing witnesses to said will are ____-, _____, ________, all of whom are
residents of ________;
4. That the decedent is an inhabitant of the Philippines and a resident of _______ at the time
of his death;
5. That the petitioner, named in the will as executor thereof, is legally qualified to act as such
and hereby consents and agrees to accept said trust;
6. That the following persons, all of age, have been named in the said will as devisees of the
deceased, to wit: ___________
7. That the property left by the deceased consists of the real and personal property, the gross
value of which is _______;
8. That the testator, at the time of the execution of the said will, was _____ years old, of
sound and disposing mind, and not acting under duress, fraud, or undue influence and was in every
respect capacitated to dispose of his estate by will.
1. That, upon proper notice and hearing, the above-mentioned Will be admitted to probate;
2. That letters testamentary (or of administration) be issued to herein petitioner, without
bond;
3. That such other relief be granted as may be deemed just and equitable in the premises.
Name _______________________________
Appointment No. _____________________
Office Address________________________
Email Address ________________________
Contact No. __________________________
VERIFICATION WITH CERTIFICATION OF NON-FORUM SHOPPING

245
Form 67: Quo Warranto
2. That (state fully and clearly the facts and circumstances showing that the defendant is in
unlawful possession of a public office and that the plaintiff is entitled to hold the same)
3. That (state that the plaintiff has demanded of defendant to vacate the office in question
and to deliver the same to the plaintiff, but the defendant unlawfully refused);
1. That a writ of quo warranto be issued ousting and altogether excluding the defendant from
the office of _________;
2. That the plaintiff be declared entitled to said office and that he be placed forthwith in
possession thereof;
3. That the plaintiff recovers his costs.
Form 68: Petition for Extradition
In view of the Extradition Treaty entered into between the Republic of the Philippines and (country
where the fugitive is), effective (date of effectively of the treaty), the Solicitor General of the
Republic of the Philippines requests that the (Officer in charge) of the (state where the fugitive is
found) issue a requisition for the return of a fugitive who is charged with violations of the (specific
offense) and with being a fugitive from justice. I offer the following information to request that the
(country) law enforcement officer(s) cited herein be empowered as authorized agents to receive and
return the fugitive to the Republic of the Philippines.
In support of this application, I certify that:
1. The fugitive who is the subject of this application was in the republic of the Philippines at
the time of the commission of the crime;
2. In my opinion, the end of justice required that this fugitive be brought to the republic of
the Philippines at public expense for trial;
3. In my opinion, I have sufficient evidence to secure the conviction of the fugitive;
4. The Philippine law enforcement officer(s) who are proposed to receive and return the
fugitive are qualified to do so and have no private interest in the arrest of the fugitive;
5. No other application has been made for a requisition of this fugitive growing out of the
same transaction herein alleged;
6. This fugitive is not known to be under either civil or criminal arrest in my jurisdiction,
except as set forth in this application;
7. This application is not made for the purpose of enforcing the collection of a debt, for
removing the fugitive to a foreign jurisdiction with a view there to serve him with civil process or for
any private purpose whatsoever. If this application for requisition is granted the criminal proceedings
shall not be used for any other purpose not set forth in this application;
8. There has been no avoidable delay in making this application;

(Petition for Extradition: continuation....)
9. The fugitive has been indicted;
FULL NAME AND GENDER OF THIS FUGITIVE AND ALL KNOWN ALIASES.
JURISDICTION THAT WILL BE RENDERING THIS FUGITIVE:
TITILES, FIRST AND LAST NAMES AND GENDERS OF QUALIFIED PHILIPPINE LAW
ENFORCEMENT OFFICERS WHO ARE TO BE EMPOWERED TO RECEIVE AND RETURN THIS FUGITIVE TO
THE PHILIPPINES
NAME IF OTHER JURISDICTION IN WHICH THIS FUGITIVE IS KNOWN TO BE UNDER CIVIL OR

CRIMINAL ARREST
A LISTING OF THE NATURE OF EACH CRIME THAT THIS FUGITIVE IS CHARGED WITH
COMMITTING INCLUDING THE CITATIONS OF WHAT SECTION OF THE PHILPPINE LAWS FOR THE
CRIME AND THE PUNISHMENT THEREFORE,
DATE OF THIS FUGITIVE’S ARREST BY THE RENDERING JURISDICTION
NAME OF THE RENDERING JURISDICTION
This application is submitted this ____ day of ______ 2010.
_________________________
Solicitor General

247
F. CRIMINAL ACTIONS
Form 69: Criminal Complaint-Affidavit surrounding the alleged crime, based on the point
of view of the complainant. The narration may
Note: A complaint affidavit is in the form of an also include the elements of the crime as applied
affidavit, narrating the facts and circumstances in the set of facts or circumstances.

METROPOLITAN TRIAL COURT
BRANCH ____, QUEZON CITY
THE PEOPLE OF THE PHILIPPINES,

Complainant,
-versus- Criminal Case No._____________

Xxx For: ________________________
Accused,
x--------------------------------------------x
CRIMINAL COMPLAINT
The undersigned accuses ________________ of the crime of ______________, committed as

follows:
(Here set out the time and place, when and where the crime is committed, and the facts
constituting the offense.)
Contrary to law.
________________________
Complainant
VERIFICATION
A preliminary investigation has been conducted in this case under my direction, having examined
the witnesses under oath.
(MTC Judge)
Witnesses:

Form 70: Counter- Affidavit
CAPTION
COUNTER-AFFIDAVIT
1. I, _______, of legal age, with assistance of counsel, do hereby state under oath that:
(state the circumstances)
6. It is utterly inexplicable that _____ would hold me liable for estafa when all that I did was to
refer ______ to Mr. _____; to a certain extent, I even exerted my best efforts to see that Ms.____ was
paid due simply to my great embarrassment at the prospect of being accused of referring a person
who does not know how to pay for an obligation.
I performed no act of deceit or fraud against her in ordering the units. I performed NO ACT that even
remotely resembles ANY of the acts punished under Article 315 of the Revised Penal Code. If at all, any
cause of action is PURELY CIVIL in nature and that liability does not pertain to my personal account in
the absence of a showing that I benefited from the Nextel units; any liability should pertain to the
office of the mayor, not to me.
8. Considering the foregoing, I respectfully submit that there is no prima facie basis to conclude
that the crime of estafa or that any crime at all has been committed. The complaint against me should,
thus, be dismissed.
To the truth of the foregoing, I have signed this Counter-Affidavit on _____________.
Affiant
Jurat

249
Form 71: General Form of Information I
[1]REPUBLIC OF THE PHILIPPINES

BRANCH ________, MAKATI
[2]________________________,
Plaintiff,
-versus- Criminal Case No.____
I.S. No.__________
For: ____________
________________________,
Accused,
x--------------------------------------x
INFORMATION
[3]The undersigned Public Prosecutor accuses (name of accused) of the crime of (name of the crime)
punishable under (Revised Penal Code or state the special law violated) committed as follows:
[4] That on (date when crime was committed), the said accused did then and there willfully, and
unlawfully (include feloniously if it is a violation of the Revised Penal Code) (state how committed
and the name of the private offended party) in the (place where committed) within the City of
(place where committed) resulting to damage to the private offended party in the amount of (state
amount).
[5]Contrary to law.
date and place
Asst. Public Prosecutor
[6]CERTIFICATION OF PRELIMINARY INVESTIGATION
I hereby certify a) that I have conducted a preliminary investigation in the case; b) that I examined the
complainant and his witnesses; c) that based on the evidence presented, there is reasonable ground to
believe that the accused is probably guilty of the offense charged; d) that I gave the accused the
opportunity to submit controverting evidence; and e) that the filing of this information has been
approved by the City Prosecutor.
Asst. City Prosecutor
[7]JURAT
[8] 1st Public Prosecutor
[9]List of Witnesses:
[10]Bail Recommended:
Note: Essential parts of information include:

[1] Heading
[2] Caption
[3] Opening sentence
[4] Body alleging the acts or omissions constituting the crime
[5] Contrary to law
[6] Certification of preliminary investigation
[7] Jurat
[8] Approval of city prosecutor if filed by assistant city prosecutor
[9] List of witnesses
[10] Bail recommended

"Following the above format, you may draft the information for other crimes using the following accusatory
portions."
i. Acts of Lasciviousness.
That on or about ____________, in the Municipality of ______________, Province of

_________________, Philippines, within the jurisdiction of this Court, the said accused, actuated by lust,
did then and there, willfully, unlawfully, and feloniously, commit an act of lasciviousness on the person of
___________ by then and there embracing and kissing her and touching her breasts and sexual organs,
against her will, and by means of force.
ii. Serious Illegal Detention.
That about and during the period beginning the _____ day of _____, 2010, in the Municipality of
______________, Province of _________________, Philippines, and within the jurisdiction of this Court,
said accused suspecting that one ____ had knowledge of the elopement of her sister, did then and there
willfully, unlawfully, feloniously and by force, take said _______, a man of 50 years old, while the latter
was walking in _______, to whom said accused detained and kept locked in his room from ____________
to ___________ or a period of ____ days under restraint and against the will of the said ____, and said
accused did, during said period of detention, maltreat and refuse to release said ____ until the sister of
the accused was found.
iii. Simple Seduction.
That on or about ____________, 2010, in _____________, province of _____________, Philippines,

within the jurisdiction of this court, the said accused did then and there willfully, unlawfully, and
feloniously, and by means of deceit, have sexual intercourse with _________, an unmarried girl over
twelve but under eighteen years of age.
iv. Attempted Rape.
That on or about _____, in __________, the accused did then and there willfully, unlawfully, and
feloniously enter the house of ____________, a married woman, and finding that her husband was away,
with lewd designs and by means of force and intimidation, commenced directly by overt acts to commit
the crime of attempted rape upon her person, to wit: while ______ was cooking lunch, the accused
seized her from behind, threw her to the floor, raised her skirt, pulled down her underwear and
attempted to penetrate her with his sexual organ and would have succeeded in doing so had not her loud
protests and vigorous resistance brought her neighbors to her assistance, causing the accused to flee
from the premises without completing all the acts of execution.
v. Frustrated Murder.
That on or about _____, in __________, the accused did then and there take a loaded .45 Caliber
Magnum Pistol, directly aim the same firearm at the person of ___________, an invalid septuagenarian
and at point blank range, with intent to kill, discharge the firearm twice against the person of said
___________, inflicting on said _______ two (2) wounds on his chest and stomach, which would have
been fatal had not timely medical assistance been rendered to the said _______.

251
vi. Rape.
That on or about _______________, province of ___________, Philippines, within the

jurisdiction of this court, the said accused entered the house of ________ who was then and there alone,
and by means of force and intimidation, willfully, unlawfully, and feloniously did lie and succeeded in
having carnal knowledge of said ___________, without her consent.
vii. Murder.
That on or about _______, in the Province of _________, Philippines, within the jurisdiction of
this court, the said accused did, then and there, with malice aforethought and with deliberate intent to
take the life of ___________, willfully unlawfully, feloniously, suddenly, unexpectedly, and treacherously,
attack the latter with a knife, first wounding him in the chest, and afterwards, when enfeebled and
unable to defend himself, again stabbed him in the stomach, both wounds being necessarily mortal,
thereby causing the direct and immediate death of said ________.
viii. Bigamy.
That on or about _______, in the City of _________, Philippines, within the jurisdiction of this
Honorable Court, the said accused being legally married to ___________ and without such marriage
having been legally dissolved and thus valid and existing, did willfully, unlawfully and felicitously contract
a second marriage with ________ in the City of _______.
ix. Theft.
That on or about _______, in the City of _________, Philippines, within the jurisdiction of this
court, the said accused, then 11 years old and without any known address, willfully unlawfully,
feloniously, with intent to gain, without force upon things or violence upon persons and without the
knowledge and consent of ________, the owner, took a gold necklace studded with diamonds valued at
____________ to the prejudice of said owner.
x. Homicide thru Reckless Imprudence.
That on or about the ___ day of _____, ____, in the City of _____, the said accused, being then the
driver and person in charge of service jeepney bearing plate no. _____, did then and there unlawfully and
feloniously drive, manage and operate the said vehicle along _____ Blvd. in the City of _____, in a
careless, reckless and imprudent manner, by then and there making the vehicle run at a speed greater
than was reasonable and proper, without taking the necessary precaution to avoid accident to person or
damage to property, causing by such carelessness, recklessness, imprudence and lack of precaution the
said vehicle so driven, managed and operated y him to hit and bump, as in fact it hit and bumped Y, a
pedestrian who was crossing said _____________ Blvd., thereby inflicting upon said Y mortal physical
injuries which were the direct and immediate cause of his death soon thereafter.

xi. Anti-graft and Corrupt Practices Act (RA 3019) filed by Ombudsman.
That on or about ________________ in ____________, province of __________, Philippines,

within the jurisdiction of this court (or the Sandiganbayan depending on the salary grade of the accused),
the said accused did, then and there a, with malice afterthought and with deliberate intent committed a
violation of Section 3 (e) of RA 3019, otherwise known as the Anti-graft and Corrupt Practices Act (or
whatever private complainant is involved, you may include the amount malversed if it is the case or the
specific act complained of).
xii. Information for Highway Robbery::
That on (date when crime was committed), the said accused did then and there willfully, and
unlawfully (state how committed and the name of the private offended party) in the (place where
committed) within the City of (place where committed) resulting to damage to the private offended party
in the amount of (state amount).

253
OTHER FORMS
Form 72: Substitution of Counsel
THE UNDERSIGNED respectfully enters his appearance as counsel for defendant ________ in
substitution of former counsel ______, as shown by her express conformity below. Henceforth, kindly
address all pertinent notices to the undersigned at the address given below.
RESPECTFULLY SUBMITTED.
Name _______________________________
Appointment No. _____________________
Office Address________________________
Email Address ________________________
Contact No. __________________________
With my conformity:
_________________
Defendant
Form 73: Notice of Appeal
The defendant, (or plaintiff as the case may be) by counsel, hereby gives notice that he is
appealing from the judgment of this Honorable Court in the above-entitled case, dated ___________, a
copy of which was received by him on ________________, to the Court of Appeals.
Name ______________________________
Appointment No. _____________________
Office Address________________________
Email Address ________________________
Contact No. _________________________
Copy furnished:
_________________________________
Name and Address of adverse counsel
PROOF OF SERVICE (affidavit of service by mail)

Form 74: Comment/ Opposition to Offer
COMMENT ON THE PROSECUTION’S

FORMAL OFFER OF EVIDENCE
THE ACCUSED, by counsel, respectfully opposes the Prosecution’s Offer of Evidence for the
following reasons:
Exhibit A, the sworn statement of “A”, the private complainant, and Exhibit A-1, his signature
are INADMISSIBLE because the private complainant was never presented to authenticate the
document or subjected to cross-examination, thus, the document is hearsay and inadmissible.
Exhibit B, the post-dated check dated ________, issued by the accused in the amount of
__________________; Exhibit B-1, the dorsal side of the check with notation “DAIF”, Exhibit B-2, the
signature of accused on face of the check are INADMISSIBLE for violation of the Best Evidence Rule as
the original check was never presented; and no basis for the presentation of secondary evidence laid.
ACCORDINGLY, the ACCUSED respectfully submits that the prosecution’s Exhibits are
INADMISSIBLE and must, thus, be EXCLUDED.

Name _______________________________
Appointment No. _____________________
Office Address________________________
Email Address ________________________
Contact No. __________________________
Copy furnished:
________________
Public Prosecutor
_________________
Private Prosecutor

255
A. ELECTION FORMS
Form 75: Certificate of Candidacy
CERTIFICATE OF CANDIDACY
OF
___________________
To: The Commission on Elections

Manila
Sir:
Pursuant to the requirements of the Election Code, the undersigned hereby files his certificate
of candidacy for the general elections on _______________, and states the following:
1. That his full name is ______________, also generally known with the nickname of ________;
2. That he announces his candidacy for the office of ________;
3. That he is eligible for the said office, he being a natural-born citizen of the Philippines,
____years of age, having been born in _________ on _______, a qualified voter, and a resident
of the Province of __________ and of the city/municipality of ________ for the last ____years;
4. That his residence is ______, and that his post-office address for all election purposes is that
his profession or occupation is _______________, his civil status is _______ and that the full
name of his spouse is ________;
5. That the name of the political party to which he belongs is ________;
6. That for the last two years of _____ and _____ his gross incomes, including deductions and
exemptions therefrom, income tax payment, were as follows:
(income)
______________________
Signature of Candidate
PROVINCE OF ______________ )
CITY/MUNICIPALITY OF ______ ) S.S.
I, _________________, being sworn to in accordance with law, hereby declare that I will
support and defend the Constitution of the Philippines and will maintain true faith and
allegiance thereto; that I will obey the laws, legal orders, and decrees promulgated by its duly
constituted authorities; that the obligation imposed by my oath is assumed voluntarily by me,
without mental reservation or purpose of evasion; and that the facts stated in this certificate of
candidacy are true to the best of my knowledge.
______________________
Signature of Candidate
JURAT

Form 76: Election Protest
PETITION
Petitioner through counsel respectfully alleges:
1. That he is a qualified voter and was one of the registered candidates voted for in the
general election held on _____________ in the province of _______________, Philippines, within
the jurisdiction of the court;
2. That according to the certificate of canvass of the provincial board of canvassers for the
province of ________, the total votes for the office of the provincial Governor for the said province
was ___________ the respondent appearing to have received ______ votes, the petitioner
____________votes and the other registered candidate voted for, as follows:_______________
3. That on _______, the said provincial board of canvassers proclaimed the respondent
________ elected to the office of the provincial Governor of the province of _______;
4. That the petitioner contests the election of the said respondent on the following grounds:
__________________-
5. That the petitioner is willing to give a bond, as this Honorable Court may determine to
cover all reasonable expenses and costs and damages, incidental to these proceedings;
1. That upon service of summons in accordance with law, a day be set for the hearing of the
protest;
2. That an order be issued to the municipal treasurers of the Municipalities of ______ to
bring and present before the Honorable Court on or before the day of the hearing of this protest the
ballot boxes, copies of the registry list, the election statements, the voter’s affidavits, and other
documents used in the said election in said municipalities, in order that this Honorable Court may
re-examine and revise the same;
3. That after due proceedings, the election of the respondent, and ________________ for
the office of Provincial Governor ____________ be annulled and that the petitioner be declared duly
elected instead;
4. That the expenses and costs incurred in these proceedings be assessed against the
respondent.
Name _______________________________
Appointment No. _____________________
Office Address________________________
Email Address ________________________
Contact No. __________________________
Copy Furnished:
_________________________________
Name and address of adverse counsel
(Personal Service)
VERIFICATION

257
- narrates the transaction or event that created the

IV. LEGAL OPINION legal dispute and led to the filing of the suit.
3. THE POSITION YOU TAKE ON THOSE ISSUES

HOW TO WRITE A LEGAL OPINION: a. State the issue or issues – this is the query in which
the client seeks out your opinion concerning the facts
Points to remember in writing a legal opinon: surrounding the issue. (Ibid.)
b. State the position you take on those issues - This is
1. Ascertain the purpose for which your client seeks
the part where you answer the query, answering
your opinion; (Abad, 2009)
based on relevant laws and jurisprudence. (Ibid.)
2. Do pre-work.
a. Get all the facts you need for forming a
competent opinion; How to create an argument?
b. Make a summary of the relevant facts of the The legal argument is the right rule and the right
case and put them in correct sequence. fact put together. A legal argument is made up of three
c. Identify the issues that have to be resolved and statements:
rough out the arguments that support your a. The statement of a rule that applies to a given fact
thesis; (Ibid.) or set of facts (the rule statement);
b. The statement of the fact of a particular case that
Note: Determine preliminarily the principal issue opens up such case or closes it to the application of
or issues involved in the case. (Ibid.) the rule (the case fact statement); and
c. The conclusion that the rule applies or does not
3. After pre-work, do write up.(Ibid.) apply to the particular case (the conclusion
statement).
Note: As a general rule, there is no prescribed form for Legal
Opinion. However, the substance must meet certain Knowing the essential statements of your legal
minimum requirements of content. (Abad,2009) argument is important because the effectiveness of
your argument depends on how ably you write up
PARTS OF A LEGAL OPINION: each statement of your argument into a convincing
part. Knowing the essentials enables you to
1. HEADING AND INTRODUCTION dismantle your argument, reinforce or improve the
- Consist of the letter head of the law firm, date, name weak parts, emphasize the strong, and put them
and address (inside address) of the client, salutation and together again to produce a persuasive argument
a short introduction. (Tabucanon, 2010) (Abad, 2009).
2. BACKGROUND FACTS THAT ADEQUATELY INTRODUCE 4. THE ARGUMENTS THAT MAY BE MADE AGAINST YOU
THE ISSUES IN THE CASE - List all the pertinent laws and jurisprudence which are
- Introduce the issues by providing the background facts not in your favor to show your client both sides as to
that are need to understand those issues. (Abad, 2009) not incite overexcitement to a winning case nor distress
over a possibly losing case.
Note: Only as much background facts as are needed for an
understanding of the issue or issues included. (Ibid.)
5. ARGUMENTS IN YOUR FAVOR
- Standard of sufficiency in introducing an issue or issues
of the case requires the following: 4. CONCLUSION AND RECOMMENDATION (WHAT YOU
WHAT YOUR READER TO UNDER THE CIRCUMSTANCES)
a. The Statement of the Case - In the Conclusion, reiterate the answer to the question
Purpose: To provide a clear and concise statement raised in the issue/issues. (Tabucanon, 2010)
of the nature of the action. (Ibid.) - The Recommendation on the other hand answers the
- it describes the nature of the action and the question: “What do you propose the client would do?”
proceedings it had gone through. (Ibid.) It states the proposed solution to the issue. (Ibid.)
b. The Statement of Facts The idea behind every closing statement is to depart on
Purpose: To provide a background of the a good note after pacing your pleading with every sort
transaction or event involved to enable the court of argument in support of your stand. The closing
or reader to see the issues in the proper context. statement should not appear to argue even if it may
(Ibid.) appeal to the good sense of the judge exercised in your
favor (Abad, 2009).

Legal forms – legal opinion
ILLUSTRATION 1: LEGAL OPINION:
Page 1 of 5
September 14, 2009
Mr. Rogelio G. Chan HEADING AND

Milan Furniture Co., Inc. INTRODUCTION
245 Juan Luna Street
Binondo, Manila
Dear Mr. Chan:
Here is the opinion that you requested.
The facts, as I gather from you and your documents, are as follows:
On May 12, 2008 you applied with the Century Bank in Binondo, Manila, on
behalf of Milan Furniture Co., Inc., for a letter of credit, Annex “A”, covering its
importation of hardwood from Vietnam. On arrival of the goods, the bank
agreed to advance the payment of their price to your supplier. In turn, you
executed a promissory note in the name of Milan Furniture, Annex “B”,
undertaking to pay back the bank’s advance within three months of the date of
the note. You also signed a trust receipt, Annex “C”, covering receipt of the
goods. BACKGROUND
FACTS THAT
The trust receipt provided that, in case of the sale of the imported ADEQUATELY
hardwood, Milan Furniture would turn over the proceeds of that sale to the bank INTRODUCE
to apply to your loan. Because Milan Furniture had been unable to pay its THE ISSUES IN
promissory note to the bank when it fell due, on October 17,2008 the lawyers of THE CASE
the bank sent you a demand letter, Annex “D”, requesting full payment of the
debt of return of the goods.
I understand that, on receipt of the letter, you tried to negotiate with the
manager of the bank, offering to return the imported hardwood that you were
yet unable to sell or use. But the bank manager rejected your offer, stating that
the bank did not accept goods in payment of debts owed it. Since further
negotiations also failed, the bank sent you a final demand for payment on
December 4 under a threat of filing a criminal complaint for estafa involving the
trust receipt that you executed in its favor.
The question you pose is whether or not, under the above facts, you may
be held liable for estafa under PD 115, the Trust Receipt Law, in relation to
Section 1(b) of Article 315 of the Revised Penal Code.
In my opinion, since the bank opted not to accept the goods even when
you offered to return them on behalf of Milan Furniture, it should be deemed to
have withdrawn its earlier demand from you to pay or “ return the goods
covered by said Trust Receipt.” Effectively, the bank chose to consider Milan
Furniture to have already bought those goods, altogether removing the THE POSITION YOU
transaction from the coverage of Section 13 of the Trust Receipt Law. TAKE ON THOSE
ISSUES
I base my opinion on the following:
The relevant provision of the Trust Receipt Law or PD 115 provides:

259
Page 2 of 5
SEC.13. Penalty Clause.—The failure of an entrustee to turn

over the proceeds of the sale of goods, documents or instruments
covered by a trust receipt to the extent of the amount owing to the
entruster or as appears in the trust receipt or to return said goods,
documents or instruments if they were not sold or disposed of in
accordance with the terms of the trust receipt shall constitute the
crime of estafa, punishable under the provisions of Article Three
Hundred and Fifteen, Paragraph One (b), of Act Numbered Three
Thousand Eight Hundred and Fifteen, as amended, otherwise known
as the Revised Penal Code.xxx
The related provisions of Section 1(b), Article 315 of the Revised Penal
Code, under which the vi9olation is made to fall, states:
ART. 315. Swindling (estafa).—Any person who shall defraud

another by any of the means mentioned herein below xxx:
1. With unfaithfulness or abuse of confidence, namely:

xxx xxx xxx
b. By misappropriating or converting, to the prejudice of

another, money, goods or any other personal property received by
the offender in trust or on commission, or for administration, or
under any other obligation involving the duty to make delivery of or
to return the same, even though such obligation be totally or
partially guaranteed by a bond; or by denying having received such
money, goods, or other property.”
From the above, the following are the elements of estafa involving a
trust receipt: THE POSITION YOU
TAKE ON THOSE
1. The entrustee received the goods under a trust receipt from the ISSUES
entruster under an obligation to turn over the proceeds of the sale of goods
or to return said goods;
2. The entrustee misappropriated or converted the goods by failing to

turn over the proceeds of their sale or to return said goods to the entruster;
3. The misappropriation or conversion is to the prejudice of the entruster; and
4. The entruster made a demand on the entrustee.
One of the elements of estafa involving a trust receipt is that the

entrustee [in this case, you or Milan Furniture] received the goods under a
trust receipt from the entruster [in this case, Century Bank] under an
obligation to turn over the proceeds of the sale of the goods or to return said
goods. The Trust Receipt Law, PD 115, provides in Section 11 that the liability
for estafa under paragraph 1(b) of Article 315 of the Penal Code arises in case
of “the failure of an entrustee to turn over the proceeds of the sale of the
goods… or to return said goods.”
The trust receipt in this case, Annex “A”, echoes the above provisions of
the Trust Receipt Law. Under it, Milan Furniture or you as its signatory,

Page 3 of 5
undertook “to turn over to the BANK the proceeds” of the sale of the
goods1 or, “in case on non-sale,” to “return the goods covered by this Trust
Receipt to the BANK upon its demand.”2
But the terms of the trust receipt does not end there. The trust receipt,
Annex “A”, gives Century Bank an option not “to accept the return of the
goods.” In effect, Century Bank could chose to regard such goods already
sold to Milan Furniture even though the latter could and wanted to return
them. The seventh paragraph f the Trust Receipt, Annex “A”, thus reads:
We agree that the BANK is not obliged to accept any return

of the goods under this Trust Receipt by us or to consider any
return thereof if accepted or demanded by the BANK, as
satisfaction of our indebtedness to the BANK.
Century Bank in fact availed itself of the above option. It opted not to
accept the goods even when you offered to return them. Consequently,
Century Bank should be deemed to have withdrawn its earlier demand that
you or Milan Furniture pay or “return the goods covered by said Trust
Receipt immediately.” Effectively, Century Bank chose by its action to
consider the subject goods sold to Milan Furniture, altogether removing the
transaction from the coverage of Section 13 of the Trust Receipt Law.
The essence of the crime of conversion or misappropriation is that the ARGUMENTS IN

offender to whom money or goods has been entrusted has unfaithfully or YOUR FAVOR
with abuse of confidence failed to return what was merely entrusted to him
and appropriated it for his own. Here, neither Milan Furniture nor you could
be considered as having unfaithfully or with abuse of confidence
misappropriated and converted the goods subject of the trust receipt.
Century Bank did
not want those goods back. It had regarded them sold outright to Milan
Furniture. The latter’s liability for the goods should, therefore, be
considered purely civil.
Moreover, Section 13 of the Trust Receipt Law provides that the

“failure of an entrustee to turn over the proceeds of the sale of the goods…
or to return said goods… if they were not sold or disposed of in accordance
with the terms of the trust receipt shall constitute the crime of estafa.” The
essence of the penal provision of the law, therefore, is that the entrusted
[here, Century Bank] has entrusted the good to the entrustee [Milan
Furniture or you] for him to sell. Once sold, the entrustee was to turn over
the proceeds of the sale to the entruster.
Section 13 does not embrace instances where the goods are turned
over by the entrustor to the entrustee for the latter’s use in his own
business. This is clear from the ruling of the Supreme Court in Colinares v.
Court of Appeals3 that reads:
_____________________
1
Third paragraph, Trust Receipt, Annex “B”.
2
Id., fifth paragraph.

261
Page 4 of 5
Also, noteworthy is the fact that Petitioners are not importers

acquiring the goods for re-sale, contrary to the express provision
embodied in the trust receipt. They are contractors who obtained
the fungible goods for their construction project. At no time did
title over the construction materials pass to the bank, but directly
to the Petitioners from CM Builders Centre. This impresses upon
the trust receipt in question vagueness and ambiguity, which
should not be the basis for criminal prosecution in the event of
violation of its provisions.4
In this case, on May 12, 2008 Century Bank agreed with Milan Furniture
to open a letter of credit (LC) on the latter’s behalf to cover a shipment of
hardwood from Vietnam for use in its manufacture of furniture.
Notwithstanding that Milan Furniture imported the hardwood in

question so it could use them in manufacturing furniture, Century Bank made
you, a representative of your company, sign a trust receipt that made it
appear as if Century Bank had turned over the hardwood to Milan Furniture
for it to sell to others and to turn over to the bank the proceeds of the sale.
The Supreme Court has long condemned such practice. Thus, it said in the
Colinares case:
The practice of banks of making borrowers sign trust receipts

to facilitate collection of loans and place them under the threats of
criminal prosecution should they be unable to pay it may the
unjust and inequitable, if not reprehensible. Such agreements are
contracts of adhesion which borrowers have no option to sign lest
their loan be disapproved. The resort to this scheme leaves poor
and hapless borrowers at the mercy of banks, and is prone to
misinterpretation, as had happened in this case. Eventually, PBC
showed its true colors and admitted that it was only after collection
of the money as manifested by its Affidavit of Desistance.5
That the transaction was a loan is made clear from paragraph 1 of the
agreement for the opening of a letter of credit between Century Bank and
MHTI, Annex “A”. It provides that, in consideration of the opening of the
letter of credit on behalf of Milan Furniture in the amount of US$39,060, the
latter undertook to pay the bank on demand for all drafts drawn against such
letter of credit, with 13% per annum. The title to the goods never really
passed to the bank. Century bank did not import them from Vietnam; it
merely opened a letter of credit for the benefit of Milan Furniture. The
supplier shipped the hardwood to Milan Furniture under the cover of that
letter of credit. In short, Century Bank merely provided the loan that financed
the shipment.
Since the transaction was a loan, Milan Furniture’s liability to Century

Bank should only be regarded as civil. The criminal action against you must
fail. It is but fair and the investigating prosecutor or the court should see the
point.
_______________________
3
339 SCRA 609 (2000)
4
At pp. 623.
5
Supra, at pp. 623-624.

Page 5 of 5
A word of reservation: I base my opinion on the language of the laws

involved as well as on settled judicial precedents. But, in the event the bank
files criminal complaint against you, there is the chance, however small, that
the public prosecutor may just decide to file it in court, subjecting you to the
hassle, expense, and risk that criminal trials entail. But I am confident that,
ultimately, you will be absolved. CONCLUSION AND
RECOMMENDATION
Please let me know if I can be of further service to you in this matter.
Very truly yours,

ANNA ELIZABETH A. DE DIOS
There is one last point. Legal opinions have their limitations. You have to
realize that not all legal disputes are best resolved through judicial remedies.
Litigations are best avoided if the economics do not make sense as when your
client’s debtor is practically bankrupt. In such a case, your client would merely
be throwing away good money after bad by incurring expenses for docket fees
and attorney’s fees with no hope of recovering anything. Further, a legal
confrontation could irreparably damage relationships that may be far more
valuable than the benefits derived from a judicial resolution of the dispute.
Law is based on wisdom but law is not wisdom.
_______________
Source: Abad, Roberto. The Fundamentals of

Legal Writing. 2009.

263
SAMPLE: LEGAL OPINION
Page 1 of 3
OPINION NO. 51, S.2010
November 11, 2010
Secretary Rogelio L. Singson

Department of Public Works and Highways
Manila
Dear Secretary Singson:
This refers to your request for legal opinion on the amount of just compensation
Mesdames Nelly S. Sarabia and Louce S. Ozoa are entitled to when their property was partially
taken by the Department of Public Works and Highways (DPWH) in 2001 in connection with
the Construction of the Metro Manila Flood Control Project – West of Manggahan
As a backgrounder, it appears that the DPWH offered the claimants to acquire their
property needed as right-of-way in the construction of the Metro Manila Flood Control
Project-West of Manggahan through a negotiated sale; that the latter accepted the value of
P600.00 per square meter as just compensation based on the Bureau of Internal Revenue (BIR)
zonal valuation of the property per certification dated December 15, 2004, of the Acting
Revenue District Officer who classified it as agricultural lot; that however, when the claimants
went to the BIR to pay the capital gains tax on the sale of the said property, it refused to
accept the said payment based on the zonal valuation of land of P600.00 per square meter on
the ground that the current zonal valuation of the property is P2,000.00 per square meter as
shown by the certification previously issued by the BIR dated October 4, 2004, stating that the
current zonal valuation of the said property is P2,000.00 per square meter and categorized it
as residential in nature; that on account of the refusal of the BIR to accept the payment of the
capital gains tax based on the zonal valuation of land of P600.00 per square meter, the Deed of
Sale for the property cannot be registered in the Office of the Registry of Deeds for Taguig City
resulting in the non-registration of the certificate of title of the property in the name of the
Republic of the Philippines and the non-payment of just compensation to the claimants up to
the present.
It also appears that on July 4, 2007, the claimants executed a notarized Revocation and
Rescission of the subject Deed of Sale invoking the Civil Code Provisions on void and inexistent
contracts because of the two (2) conflicting zonal valuations issued by the BIR; that, however,
the Office of the Solicitor General opined in its letter dated November 29, 2007, that the Deed
of Sale executed by the parties is a perfected contract, and the fact that the BIR assessed a
capital gains tax based on a higher zonal value does not affect the validity of the sale, and its
mere inadequacy of the purchase price is not a valid ground for rescission.
It further appears that to clarify the true zonal valuation for the subject property, the BIR
stated in its BIR Technical Committee on Real Property Valuation (TCPRV) Resolution No. 17-
2008 dated March 4, 2008, that pursuant to revenue Memorandum Order (RMO) No. 41-91
dated November 11, 1991, the actual consideration appearing on the Deed of Absolute Sale
shall be an acceptable tax base in the computation of capital gains and documentary stamp
taxes in cases of negotiated purchase and/or sale of land by a government agency or
government-owned corporation; that, however, the Central IROW-Committee passed a
resolution recommending the reformation of the Deed of Sale by adopting the P2,000.00 per
square meter as the just compensation for the property based on equity and Article 1359 of
the Civil Code, which provides that when there having been a meeting of the minds of the
parties to a contract, their true intention is not expressed in the instrument purporting to
embody the agreement, by reason of mistake, fraud, inequitable conduct or accident, one of
the parties may ask for reformation of the instrument to the end that such true intention may
be expressed.
With regret, this Department has to decline rendition of the requested opinion.

Page 2 of 3
Please be informed that as a matter of policy and established precedents, this
Department does not render opinion on questions of just compensation, which is a
justiciable matter and could at best resolved only tentatively by the administrative
authorities because the final decision rests not with them but with the courts of justice.
(Secretary of Justie Opinion No. 95, s. 2002)
Moreover, the specific issue raised in the instant query necessarily affects the
substantive rights of private parties upon whom the opinion of the Secretary of Justice
which is merely advisory in nature, has no binding effect, and who may, in all probability,
contest the same in court if the opinion turns out to be adverse to the interests. Inasmuch
as the matter herein might subsequently be the subject of judicial controversy, it is
neither advisable nor proper for this Office to comment thereon. (Secretary of Justice
Opinions No. 89, s. 1999 and No. 31, s. 1997)
Further, the resolution of the issue would require us to pass upon the
legality/validity of the action of the BIR relative to the payment of the capital gains tax
and the refusal of the Registry of Deeds to register the Deed of Sale. Both the BIR and the
register of Deeds of Taguig City are, however, beyond the revisory authority of the
Department. Pursuant to settled practice and precedents, the Secretary of Justice does
not render opinion or express any comments on questions involving the interpretation
and/or application of administrative rules and regulations of other departments/offices
over which he exercises neither supervisory nor revisory authority, unless requested by
the issuing agencies/departments by reason of their familiarity with the intent and
purposes of the issuance and the extent of the application thereof. (Secretary of Justice
Opinions No. 88, s. 1998; No. 74, s. 1989)
Nonetheless, for your information and guidance, we invite your attention to Section
7 of the Implementing Rules and Regulations (IRR) of R.A. No. 8974 which directs the
Implementing Agency to offer “as just compensation the price indicated in the current
zonal valuation issued by the Bureau of Internal Revenue (BIR) for the area where the
private property is located,” to wit:
“Section 7. Negotiated Sale of Purchase. – If the owner of the property needed for a
ROW is not willing to donate his property to the government, the Implementing Agency
shall negotiate with the owner for the purchase of the property, offering as just
compensation the price indicated by the Bureau of Internal Revenue (BIR) for the area
where the private property is located….” (Emphasis supplied.)
Just compensation has been described as “the just and complete equivalent of the
loss which the owner of the thing expropriated has to suffer by reason of the
expropriation.” (Bernas, Joaquin G., The 1987 Philippine Constitution, A Reviewer-Primer,
1997 Ed., pp. 118, citing Province of Tayabas v. Perez, 66 Phil. 467, 469 (1938)) The
measure is not the taker’s gain, but the owner’s loss. (NPC v. Manubay Agro-Industrial,
G.R. No. 150936, 18 August 2004) To compensate is to render something which is equal in
value to that taken or received. The word “just” is used to intensify the meaning of the
word “compensation”; to convey the idea that the equivalent to be rendered for the
property taken shall be real substantial, full, and ample. (Jose Y. Feria and Maria
Concepcion S. Noche, Civil Procedure Annonated, Vol. 2, 2001 Ed., p. 543; citing Manila
Railroad Co. v. Velasquez, 32 Phil. 286, 313-314 (1915) and Province of Tayabas v. Perez,
66 Phil. 467 (1938) It includes not only the correct determination of the amount to be
paid to the owner of the land but also the payment of the land within a reasonable period
of time from its taking. (Ibid., p. 119, citing Municipality of Makati v. Court of Appeals, 190
SCRA 206, 213 (1990) Expressed differently, the compensation given to the owner is just if
he receives for his property a sum equivalent to its “market value” (Ibid.) which, according
to Section 6 (Section 6. Guidelines for Negotiated Sale. – Should the implementing agency
and the owner of the property agree on a negotiated sale for the acquisition of right-of-
way, site or location for any national government infrastructure project, the standards
prescribed under Section 5 hereof shall be used to determine the fair market value of the
property, subject to review and approval by the head of the agency or department
concerned. (Italics supplied.) of R.A. No. 8974, must be determined following the
standards prescribed by Section 5 thereof.

265
Page 3 of 3
Section 5 of R.A. No. 8974 reads as follows:
“Section 5. Standards for the Assessment of the Value of the Land Subject of
Expropriation Proceedings or Negotiated Sale. – In order to facilitate the determination of
just compensation, the court may consider, among other well-established factors, the
following relevant standards:
(a) The classification and use for which the property is suited;
(b) The developmental costs for improving the land;
(c) The value declared by the owners;
(c) The value declared by the owners;
(d) The current selling price of similar lands in the vicinity;
(e) The reasonable disturbance compensation for the removal and/or demolition of
certain improvement on the land and for the value of improvements thereon;
(f) This size, shape or location, tax declaration and zonal valuation of the land;
(g) The price of the land as manifested in the ocular findings, oral as well as
documentary evidence presented; and
(h) Such facts and events as to enable the affected property owners to have sufficient
funds to acquire similarly-situated lands of approximate areas as those required
from them by the government, and thereby rehabilitate themselves as early as
possible.”
Finally, it may not be amiss to state that it is an elementary rule in administrative law that
administrative rules and regulations or policies enacted by administrative bodies to
interpret the law which they are entrusted to enforce, have the force of law, and are
entitled to grant weight and respect. (Rizal Empire Insurance Co. v. National Labor
Relations Commission, 150 SCRA 565 (1987), Gonzales v Landbank of the Philippines, 183
SCRA 520 (1990); Nestle Philippines, Inc. v. Court of Appeals, 203 SCRA 504 (1991)) The
best authority to interpret a rule is the source of the rule itself. (Bacobo v. Commission on
Elections, 191 SCRA 576 (1990))
Since it appears that the two (2) conflicting zonal valuation of the land were both
issued by the BIR over a span of only two (2) months, the best authority to interpret the
rule on zonal valuation of the land is the source itself, which is the BIR. Thus, if the BIR
state that the zonal valuation of the subject land is P2,000.00 per square meter, then the
said valuation should be controlling.
Very truly yours,
(Sgd.) LEILA M. DE LIMA

Secretary
Source: The Lawyer’s Review, 2010

Legal forms – trial memoranda
V. TRIAL MEMORANDA - Rough out your argument on a paper, using

the balance sheet format (Ibid.). You need
to be guided by your proposition or where
HOW TO WRITE A TRIAL MEMORANDUM: you stand on the issue. Draft out arguments
against you as well as those arguments in
Note: Pre-work is indispensable to a substantial your favor.
and convincing trial memorandum. It will do well
for you, therefore, to go over the pleadings, the - Lastly, write your closing statement
transcript of testimonies of the witnesses, and appealing to the good senses of the reader.
the documentary exhibits. Working on these - Write up your memorandum
materials, identify the legal dispute involved and introducing the issue/issues, arguments and
based on it, draw up the principal issue in the closing statement. Edit your work to rid out
case. From there, proceed to make an outline of of needless words.
the relevant facts that the opposing parties claim
and pin point the issues that you need to address. Below is the structure of a memorandum,
(Abad, 2009) opinion, brief, petition, comment, position paper,
decision, or similar legal writing: (Ibid.)
1. HEADING
2. SUMMARY OF THE NATURE OF THE ACTION Statement of the Case
- Determine what actions were filed by the Statement of the Facts
plaintiff against the defendant and other Plaintiff’s version of Defendant’s version
proceedings which the parties have the facts of the facts
undergone prior to the filing of the present The issue or issues
action. (Ibid.) Body of Arguments
Relief
3. A SUMMARY OF THE FACTS OF THE CASE
- This refers to the transaction or event that
brought about the legal dispute and the
lawsuit as seen from the opposing points of
view of the parties. (Ibid.)
- Read the materials and make an outline of

the relevant facts of the case, arranging
them the order of time and carefully
narrating each if the parties’ version without
veering towards any of the parties’ side.
(Ibid.)
- Determine the legal dispute by ascertaining

what right of a party the other has violated.
Afterwards, study the laws and rules
involved in such dispute. (Abad, 2009)
4. STATEMENT OF RELEVANT ISSUES THAT THE

PARTIES PRESENT FOR RESOLUTION
- List down all the issues involved and
identify the controlling issue or issues that,
when resolved, will end the legal dispute.
(Ibid.)
5. AN ORDERLY PRESENTATIONS OF THE

ARGUMENTS THAT SUPPORT YOUR CLIENT’S
POSITION
267
ILLUSTRATION 2: TRIAL MEMORANDUM:

Page 1 of 7
Republic of the Philippines

National Capital Judicial Region
Mandaluyong City, Branch 156 HEADING
RAMON C. MARANAN,
Plaintiff,
-versus- SCA No. CV 0341
GONZALO REALTY CORP.,
Defendant
x--------------------------------x
DEFENDANT’S MEMORANDUM
Defendant, by counsel, respectfully submits its memorandum in

the case:
The Case
Plaintiff Ramon C. Maranan filed this action for declaratory

relief and damages against the defendant Gonzalo Realty
Corporation, claiming that the Court needed to ascertain the rights SUMMARY OF THE
of the parties under a contract of lease between them before its NATURE OF THE
terms were violated. In its answer, Gonzalo Realty claimed that it ACTION AND THE
did not authorize the contract of lease and that the action was COURT PROCEEDING
improper for declaratory relief. The parties claimed moral damages
and attorney’s fees against each other.
The Facts
At the trial, Maranan gave his version of the events. He had

been renting the land in question from Gonzalo Realty from April
1998 under a Contract of Lease, Exhibit “A”, (Transcript of
Stenographic Notes, August 27, 2008, p.5). Ted Gonzalo, its
president and director, represented Gonzalo Realty in that contract
(id., p.6). The contract was for twenty-five years at P3,000.00 rent
per month, which he had always paid. At the beginning Ted or Celia,
his secretary, gave Maranan unofficial receipts for the rents but
from August 2006 Gonzalo Realty began to give him official receipts
(id., p.13). From September 2007, however, Gonzalo Realty refused
to take his monthly rents, insisting that he should increase this A SUMMARY OF THE
P8,000 (id., p.14). FACTS OF THE CASE
Maranan went to Gonzalo Realty’s office and asked Edmundo

Gonzalo, its new president, to honor the contract signed by the
former president, Ted Gonzalo. But Edmund and her sister, Judith
Gonzalo, told him that the contract was void. Maranan had not
since seen Ted Gonzalo. These events prompted him to file the
present action. A second witness, Fred Simon testified that he had
been paying Maranan’s rents to Susan, the secretary of Gonzalo
Realty at its office and that, although Edmund knew of such
payments, he did not object to them (Exh. “H”).

Page 2 of 7
Judith Gonzalo, a stockholder, a member of the board of directors,

and the corporate secretary of Gonzalo Realty (TSN January 30, 2009,
p.5-6), presented her company’s version. She served as company
president from August 2006 to December 2007, succeeding her
brother Ted (id., p.7) who served from 2000 to July 2006. Later, her
other brother Edmund took over as president. Gonzalo Realty had
been leasing lots and a building in San Dionisio, Baclaran and Tambo in
Paranaque (id., p.8), including the two small lots subject of this
case(id., p.9).
Judith first learned of the lease of the two small lots to Maranan
in 2006 when, on becoming Gonzalo Realty’s president, she asked their
secretary to instruct all the tenants to pay their rents directly to
Gonzalo Realty and no longer to Ted. Beginning in August 2006
Maranan paid his rents to Gonzalo Realty, which issued him official
receipts (id., p. 10; Exhs. “B” to “B-19”). The company did not issue the
other receipts that Maranan presented in court (Exhs. “D” to “D-34”),
some of which included official receipts issued by his brother Ted’s
company, the TRG Enterprises (id., p.11). TRG stood for Ted R. Gonzalo.
Gonzalo Realty did not authorize Ted to enter into the lease
contract, Exh. “A”, with Maranan (id., p.12). Judith first saw it only in
August or September 2007 while she was making her rounds of their
properties. When Judith asked Maranan if they could already increase
his rents, the latter produced a lease contract with Ted Gonzalo for
twenty-five years at P2,000.00 rent per month with no escalation (id.,
p.13). As soon as she saw the contract, Judith wrote Maranan
informing him of its invalidity and demanded an increase in his rent to
P8,000.00 per month, subject to a 10% yearly increase (id., p.14).
According to Gonzalo Realty’s by-laws, its president’s powers

were purely managerial or administrative (id., p.14; see Sections 4 and
5). This allowed him to lease corporate properties for not more than
one year; for lease corporate properties for not more than one year;
for leases over one year, the contracts had to pass Judith and be
approved by the board of directors of the company (id., p. 15). In this
case, the board learned of Maranan’s contract with Ted only in August
2007. It neither authorized nor ratified the contract (id., p.17). To
defend itself against the suit, Gonzalo Realty had to hire the services of
counsel for P100,000.00 and P3,000.00 for every hearing he attend (id.,
pp. 17-18).
The Issues
The Court defined the issues in this case in its pre-trial order as follows: STATEMENT OF
RELEVANT ISSUES
1. Whether or not the Contract of Lease executed by and between PARTIES PRESENT
Ted Gonzalo and Ramon Maranan binds Gonzalo Realty; and FOR RESOLUTION
2. Whether or not either party is entitled to damages and
attorney’s fees.
The Arguments
I.
TED GONZALO DID NOT HAVE AUTHORITY TO BIND GONZALO

REALTY TO THE LONG-TERM LEASE AGREEMENT THAT HE SIGNED
WITH MARANAN
269
Page 3 of 7
Maranan claims that Gonzalo Realty is bound by the contract that

he entered into with Ted Gonzalo since, as president of Gonzalo
Realty’s president in 1998 did not mean that all his acts were the acts
of the corporation. Consider the following:
First. Ted did not enter into the subject contract of lease on
behalf of Gonzalo Realty, either as its president or as its agent. The
portion of the contract, Exhibit “A”, which identified who the parties
were to that agreement, shows that Maranan contracted only with Ted
in the personal capacity. Thus –
This Contract is made and entered into by and between:
TED R. GONZALO, of legal age, Filipino, married,

with residence and postal address at 336 J.P. Rizal St.,
Mandaluyong City, hereinafter referred to as the
LESSOR;
-and-
RAMON C. MARANAN, of legal age, Filipino with

residence and postal address at 478 Tangco St.,
Mandaluyong City, hereinafter referred to as the
LESSEE.
Since the above contract specified Ted Gonzalo as the “lessor” of

the property, Maranan cannot pretend that he entered into that
contract with Gonzalo Realty itself. The latter’s name does not appear
on the face of the contract at all. As a businessman, Maranan is
intelligent and his eyes were open. He should be held bound by the
representations in that contract that he had dealt only with Ted in his
personal capacity.
Second: The contract falsely claimed that Ted owned the subject BODY OF
lots. The “whereases” clause unmistakably states: ARGUMENTS
WITNESSETH:
WHEREAS, the LESSOR [Ted Gonzalo] is the

registered owner of two (2) parcel of land, covered and
embraced by Lot 25, containing an area of 102 square
meters and Lot 26 with an area of 15 square meters,
both situated at Banaba Subdivision, Poblacion,
Mandaluyong City.
WHEREAS, the LESSEE desires to lease the above

mentioned two (2) Lots and the Lessor is willing to lease
the same unto said Lessee, under the following terms
and conditions, to wit:”
XXX XXX XXX XXX
Maranan testified that he knew that the two lots belonged to Gonzalo
Realty even before he leased them (TSN, August 27, 2008, p. 29). He,
therefore, acted with malice and bad faith when he nonetheless agreed to
lease them from Ted under an understanding, which was a false one as
Maranan very well knew, that Ted owned the property. A party who had
acted in this way could not avail himself of any equitable relief from the
consequences of his improper conduct.

Page 4 of 7
Third. It does not help Maranan’s case that he admitted in the

course of re-cross that before he leased the property from Ted, he had
seen the deed of exchange, Exhibit “G,” which Gonzalo Realty entered
into with Acme Realty Corp. for a swap of the lots between them. Since
the document was a sample of how Gonzalo Realty, a corporation,
contracted with third persons, Maranan was familiar with the form
used. Indeed, he admitted that he read the front portion of the deed of
exchange and saw that, although the contracting party was Gonzalo
Realty, the document declared that Ted, its president, represented it in
the transaction.
Still, when it came to the two lots that Maranan allegedly leased
from Gonzalo Realty, he went along with the idea that Ted would act
on his own, in a personal capacity, rather than as Gonzalo Realty’s
representative. Maranan could not, therefore, claim ignorance of what
it took to bind a corporation to a contract. He knew that the lease
contact did not bind Gonzalo Realty.
Fourth: Even if Maranan and Ted had wanted the latter to bind
Gonzalo Realty into that contract, still Ted could not do so. Section 23
of the Corporation Code vests in the board of directors the corporate
powers of a corporation, including the power of control over all its
properties.
Sec.23. The board of directors or trustees.-

Unless otherwise provided in this Code, the corporate
powers of all corporations formed under this Code shall BODY OF
be exercised, all business conducted and all property of ARGUMENTS
such corporation controlled and held by the board of
directors or trustees to be elected from among the
holders of stocks, or where there is no stock, from
among the members of the corporation, who shall hold
office for one (1) year and until their successors are
elected and qualified.
As president, Ted only had powers of general administration

under the corporation’s by-laws (TSN, January 30,2007, p.14). Article
1877 of the Civil Code governs the scope of his authority. Thus:
Art. 1877. An agency couched in general terms

comprises only acts of administration, even if the
principal should state that he withholds no power or
that the agent may execute such acts as he may
consider appropriate, or even though the agency
should authorize a general and unlimited
management.
Consequently, with his limited powers, Ted could not encumber

the properties of the corporation for a twenty-five-year lease with no
adjustments in rent. Such is not an act of general administration.
Indeed, Article 1878 (8) of the Civil Code provides that a person acting
for his principal, like Ted acting for Gonzalo Realty, needs a special
power of attorney “ to lease any real property to another for more
than one year.“ Thus:

271
Page 5 of 7
Art. 1878. Special powers of attorney are

necessary in the following cases:
XXX XXX XXX XXX
8. To lease any real property to another person

for more than one year;
XXX XXX XXX XXX
Here, neither the complainant nor the contract of lease states

that Ted had been empowered with a special power of attorney
approved by the Board of Directors of Gonzalo Realty to lease its
two lots to Maranan for twenty-five years with no change in rental.
Fifth. Assuming that Ted had the authority to enter into long-
term lease contracts on behalf of Gonzalo Realty even without a
special power of attorney from its board of directors (a point that is
not conceded), still he could not have bound Gonzalo Realty to the
particular contract subject of this case. Article 1883 of the Civil Code
provides that, if an agent “ acts in his own name, the principal has
not right of action against the persons with whom the agent has
contracted; neither have such persons against the principal.”
Here, clearly, Ted acted in his own name. Consequently,

Maranan had no right of action against Gonzalo Realty.
II.
GONZALO REALTY HAS NOT RATIFIED THE CONTRACT OF LEASE

BETWEEN TED GONZALO AND MARANAN
Maranan next claims that Gonzalo Realty should be considered

as having ratified the contract in question considering how it had
received monthly rents from him as evidenced by the receipts that it
issued.
But Gonzalo Realty could not ratify a contract that it did not
know existed. Judith Gonzalo testified that they learned of the
contract of lease between Ted and Maranan only in August 2006and
Gonzalo Realty lost no time to assail it. Indeed, neither Maranan nor
his warehouseman, Fred Simon, testified to having previously
BODY OF
discussed with Judith or Edmund Gonzalo, whom they knew were
directors and later presidents of the company, the matter of the ARGUMENTS
twenty-five year contract of lease.
Nor could Maranan capitalize on the fact that he had

faithfully paid monthly rentals of P2,000.00 for the property from
2003 to August 2007. Consider the following:
1. As Judith Gonzalo testified, when she took over

from Ted as president of Gonzalo Realty in August 2006, she
simply continued to have the rentals collected from the known
existing tenants on their properties. She had assumed, in the
absence of any written contract in the files of the corporation,
that these tenants were, consistent with Guillermo’s limited
authority, on a month-to-month lease only since they were paying
rents on a monthly basis.

Page 6 of 7
Consequently, Maranan cannot infer from the fact of

Gonzalo Realty’s receipt of rentals from him beginning in August
2006 that it had knowledge and approved of his 2003 contract of
lease. Only when Maranan invoked his alleged twenty-five year
contract with Ted and sent a copy of it to Gonzalo Realty around
August 2007 did the latter learn of its existence. And Gonzalo
Realty promptly informed Maranan that the contract was void.
2. The receipts that Maranan got for the rents he paid

are consistent with Gonzalo Realty’s lack of knowledge of the
contract and his occupation of the property in 2003. The paper
trail of receipts he offered is interesting and proves this point.
Consider the following:
First. The lease evidently ran for over two years from April
2003 to July 2006 as a secret, illicit agreement solely between
Maranan and Ted. The receipts corresponding to this period were
mostly unofficial, written on scratch papers of various sizes (Exhs.
“D” to “D-34”). In some cases, official receipts had been issued
but these were in the name of TRG Enterprises, a business that
belonged to Ted. TRG stood for Ted R. Gonzalo. For five years,
therefore, Maranan and Ted actually cheated Gonzalo Realty of
earnings from its property. BODY OF
ARGUMENTS
Second. Official receipts from Gonzalo Realty appeared
only from August 2006, consistent with Judith Gonzalo’s
testimony that only from that month did their company begin to
collect rents from Maranan (Exhs. “B” to “B-19”). She testified
that they assumed that Maranan had been leasing the property
on a month-to-month basis and they collected rents from him in
good faith on the basis of that belief.
III.
GONZALO REALTY IS ENTITLED TO DAMAGES
For having instituted this baseless and malicious suit,

Maranan should be held liable to Gonzalo Realty for moral
damages and attorney’s fees.
WHEREFORE, defendant Gonzalo Realty Corporation

respectfully prays the Court to render judgment:
1. Dismissing the petition for lack of merit; and RELIEF

2. Ordering plaintiff Ramon C. Maranan to pay defendant
moral damages of P1 million and attorney’s fees of P100,000.00
plus appearance fee for counsel at P3,000.00 per hearing.
[Explanation: A copy of this memorandum has been served

on the adverse party by registered mail in view of the distance
and the absence of a messenger who could make a personal
service.]

273
Page 7 of 7
Manila for Muntinlupa City, May 12, 2009.
ISABELA H. FONTANILA
Counsel for Gonzalo Realty Corp.
2nd Flr. Olympia Bldg
445 Buendia Avenue
Makati City
Atty. Roll No. 23456
IBP 544498 12-21-09
PTR 8723254 01-02-09
MCLE Compliance III-295
Email: ihfontanilla@yahoo.com
Copy furnished:
Atty. Shaira A. Cruz

346 President Avenue
Parañaque City
Source: Abad, Roberto. The Fundamentals of

Legal Writing. 2009.

Index
LEGAL ETHICS Two-fold Aspects of

power of contempt 13
Legal ethics 1
Sources of ethical standard 1 II. DUTIES AND RESPONSIBILITIES
OF A LAWYER
I. PRACTICE OF LAW
Four-Fold Duties of a Lawyer 19
Administrative Complaint 11
Amicus curiae par excellence 2 A. The Lawyer and the Society 20
Amicus curiae 2
Assumpsit 2 Adverse-interest conflicts 39
Attorney ad hoc 2 Ambulance chasing 26
Attorney in Fact 2 Any matter 39
Attorney of record 2 Barratry 26
Attorney 8 Canon 1 20
Attorney-at-law 2 Canon 1, Rule 1.01 21
Attorney-Client Relationship 4 Canon 1, Rule 1.02 25
Bar association 2 Canon 1, Rule 1.03 26
Bar Matter 1161 6 Canon 1, Rule 1.04 27
Bar 1 Canon 2 27
Bench 1 Canon 2, Rule 2.01 28
Client 3 Canon 2, Rule 2.02 32
Compensation 4 Canon 2, Rule 2.03 32
Contempt (Civil) 13 Canon 2, Rule 2.04 34
Contempt (Criminal) 13 Canon 3 35
Contempt (Direct) 12 Canon 3, Rule 3.01 35
Contempt (Indirect) 12, 13, 14 Canon 3, Rule 3.02 35
Contempt of Court 11, 12 Canon 3, Rule 3.03 36
Continuing Requirements 8 Canon 3, Rule 3.04 36
Counsel de parte 2 Canon 4 37
Counsel/attorney de officio 2 Canon 5 37
Declaratory Relief 11, 12 Canon 6 37
Disqualification 11 Canon 6, Rule 6.01 38
Estafa 11, 12 Canon 6, Rule 6.02 38
Habituality 4 Canon 6, Rule 6.03 38
In-house or house counsel 2 Congruent-interest
Katarungang Pambarangay 11 representation conflicts 39
Law student practice rule 8 Crime of maintenance 26
Lawyer’s oath 17 Deceitful conduct 23
Lead counsel 2 Defenseless 28
Notarial Act 4 Dishonest Conduct 21
Obligations of a newly free legal aid services 29
constituted lawyer 8 Free Legal Assistance Act of 2010 31
Of Counsel 2 Gross Immoral Conduct 21
Petition for Injunction 11, 12 Grossly immoral(ity) 23, 24
Power to disbar 13 Immoral conduct 21, 23
Practice of law 1 Immoral Conduct 21
Practicing lawyer 1 Indigent and pauper litigants 29
Private practice 5 Indirect solicitation 33
Private prosecutor 3 Intervene 39
Pro se 3 Just debts 23
Pro Se 10 Legal advice 32
Public officials 15 Legal Aid Cases 29
Public prosecutor 3 Mandatory Legal Aid Service 28
Shari’a Bar 6, 7 Moral turpitude 25
Small Claims Court 11 Morality 23
Solicitor General 16 Oppressed 28
Trial lawyer 3 Practicing lawyers 28
275
ACADEMICS CHAIR: LESTER JAY ALAN E. FLORES II UNIVERSITY OF SANTO TOMAS
VICE CHAIRS FOR ACADEMICS: KAREN JOY G. SABUGO & JOHN HENRY C. MENDOZA Facultad de Derecho Civil
R.A. 9999 31 D. The Lawyer and the Client

Rule of Law 20
Rule on Mandatory Legal Aid Services 28 Acceptance fee 99
Unlawful Conduct 21 Appearance 95
Attorney-Client Relationship 66, 83
B. The Lawyer and the Legal Profession Canon 14 68
Canon 14, Rule 14. 01 69
Canon 7 40 Canon 14, Rule 14. 02 69
Canon 7, Rule 7.01 45 Canon 14, Rule 14. 03 71
Canon 7, Rule 7.02 45 Canon 14, Rule 14.04 72
Canon 7, Rule 7.03 46 Canon 15 73
Canon 8 47 Canon 15, Rule 15.01 76
Integrated Bar of the Philippines 40 Canon 15, Rule 15.07 81
Integration of the Bar 40 Canon 15, Rule 15.08 82
fitness to practice law 46 Canon 16 82
Privileges and Duties of a Lawyer 47 Canon 16, Rule 16.01 83
Board of Governors 40 Canon 16, Rule 16.02 85
Membership 43 Canon 16, Rule 16.03 85
Membership dues 44 Canon 16, Rule 16.04 87
Canon 17 87
C. The Lawyer and the Courts Canon 18 89
Canon 18, Rule 18.01 89
Administrative complaint 58 Canon 18, Rule 18.02 90
Canon 12, 59 Canon 21 106
Canon 12, Rule 12.05 63 Canon 21, Rule 21. 05 108
Canon 12, Rule 12.08 64 Canon 22 109
Canon 13 65 Canon 22, Rule 22.01 111
Canon 13, Rule 13.02 65 Champertous contract 102
Canon 13, Rule 13.03 66 charging lien 104
Cardinal condition of criticism 59 Collaborating Counsel 89
Forum shopping certification 61 Compromise 93
Forum-shopping 60 Concurrent or
Proper authorities 58 multiple representations 76
Witness 63 Confidence 106
Confidentiality Rule 73
276
LEGAL ETHICS TEAM:
Index
Conflict search 76 V. MANDATORY CONTINUTING LEGAL

Contingency fee arrangement 101 EDUCATION
Contingent fee 96
Contingent contract 102 MCLE 131
Counsel de Officio 70 Non-Participatory Credit 131
Damages, kinds 112 Participatory Credit 131
Doctrine of imputed knowledge 91
Extraordinary attorney's fee 98 VI. NOTARIAL PRACTICE
fiduciary duty 84
Fixed or absolute fee 96 Acknowledgement 136
General appearance 95 Affirmation/Oath 137
General retainer/retaining fee 101 Commission 135
Hot Potato Doctrine 111 Copy Certification 139
Lawyer- Referral System 103 Competent Evidence of Identity 144
Notice to counsel Jurats 138
is notice to client rule 91 Loose notarial certificate 140
Ordinary attorney's fee 98 Notarial Certificate 140
plea of guilty 92 Notarial Commission 135
Principal Types of Notarial Register 141
Professional Activity 67 Notary Public 133
Privilege communication 74 Regular Place of Business 143
Quantum meruit 97 Signature Witnessing 138
Retainer 100
Retaining lien 103
Secret 106 JUDICIAL ETHICS
Sequential or
successive representation 77 I. PRELIMINARY
Special appearance 95
Special retainer 101 De Facto Judge 147
Conflict of Interest, test 76 De Jure Judge 147
Conflict of Interest, types 76 Judge 147
Judicial Deportment 147
III. DISCIPLINE OF LAWYERS Judicial Ethics 147
Proper Judicial Conduct 148
Admonition 114
Censure 114
Deceit 116 II. NEW CODE OF JUDICIAL CONDUCT
Disbarment 114
Gross Immorality 116 Any proceeding 158
Gross Misconduct 116 Canon 1, Independence 148
Grossly Immoral Conduct 116 Canon 1, section 1 149
Interim Suspension 115 Canon 1, section 2 150
Malpractice 116 Canon 1, section 3 150
Moral Turpitude 117 Canon 1, section 4 151
Non-professional misconduct 117 Canon 1, section 5 151
Probation 115 Canon 1, section 6 152
Reprimand 114 Canon 1, section 7 152
Sui Generis 118 Canon 1, section 8 152
Suspension 114 Canon 2, Integrity 152
Warning 114 Canon 2, section 1 153
Canon 2, section 2 153
IV. READMISSION TO THE BAR Canon 2, section 3 154
Canon 3, Impartiality 154
Reinstatement 127 Canon 3, section 1 155
277
Canon 3, section 6 159 Canon 3, Rule 3.02 180

Canon 4, Propriety 161 Canon 3, Rule 3.03 180
Canon 4, section 11 167 Canon 4 181
Canon 4, section 13 168 Canon 5 182
Canon 5, Equality 170 Canon 5, Rule 5.03 182
Canon 6, Competence and Diligence 172 Canon 5, Rule 5.09 183
Canon 6, section 2 173 Disqualification 181
Canon 6, section 3 174 Extrajudicial Appointments 183
Canon 6, section 4 175 Fiduciary Activities 183
Canon 6, section 5 175 Financial Disclosure 183
Canon 6, section 7 177 IV. DISCIPLINE OF MEMBERS OF
Cold neutrality of an impartial judge 155 THE JUDICIARY
Dignified conduct 163
Disqualification, types 159 Impeachment 184
Duty to sit 156 Inefficiency 185
Extra-judicial source rule 155 Less serious charges 187
Individual Judicial Independence 149 Light charges 187
Institutional Judicial Independence 149 Reinstatement 19
Inhibition 160 Serious Misconduct 184
Judge’s Family 151 Serious charges 187
Rule of Necessity 157
Ticket fixing 166 LEGAL FORMS
Undue interference 156
I. COMMON FORMS
III. CODE OF JUDICIAL CONDUCT
Acknowledgement 192
Adjudicative Responsibilities 179 Business Forms 192
Canon 1 178 Certificate of Non-Forum Shopping 196
Canon 1, Rule 1.01 178 Document 192
Canon 1, Rule 1.02 178 Judicial Forms 192
Canon 1, Rule 1.03 178 Jurat 193
Canon 2 178 Pleading 194
Canon 2, Rule 2.01 178 Prayer 195
Canon 2, Rule 2.02 179 Private Document 192
Canon 2, Rule 2.03 179 Proof of service, form 196
Canon 2, Rule 2.04 179 Public Document 192
Canon 3 179 Scilicet / S.S. 192
Canon 3, Rule 3.01 179 Verification 198
278
LEGAL ETHICS TEAM:
Index
II. BUSINESS FORMS Motion for postponement of hearing 227

Motion to declare defendant in default 226
Contracts 199 Motion to dismiss 227
Conveyance 199 Motion to intervene 228
Corporation, forms 213 Motion to lift order of default 227
Deed 204 Motion to quash 229
Holographic will 220 Motions 230
Negotiable instruments, forms 220 Notice of Appeal 254
Notarial will 221 Petition 235
Partnership, forms 218 Petition for Adoption 236
Power of attorney, general 211 Petition for change of name 240
Power of attorney, special 212 Petition for Certiorari 242
Will, forms 220 Petition for extradition 246
Petition for guardianship 237
III. JUDICIAL FORMS Petition for habeas data 239
Petition for Habeas Corpus 237
Affiant 223 Petition for writ of Amparo 238
Affidavit 223 Probate of will 245
Affidavit of Good Faith 225 Prohibition 243
Affidavit of Merit 224 Quo Warranto 246
Answer 233 Trial Memoranda 267
Answer with special and affirmative Writ of amparo 237
defenses and counterclaim 234 Writ of habeas data 240
Answer with specific Substitution of Counsel 254
denial under oath 236
Answer with third party complaint 235
Certificate of candidacy 256
Certificate of preliminary investigation 257
Certiorari 241
Comment/Opposition to offer 254
Complaint 230
Complaint for collection
of sum of money 236
Complaint for ejectment 238
Complaint for interpleader 233
Complaint for judicial partition
of estate 237
Complaint for replevin 232
Complaint for unlawful detainer 231
Complaint with several
causes of action 234
Counter-affidavit 249
Criminal Action 248
Criminal Complaint 247
Declaratory Relief 243
Demurrer to evidence 229
Election forms 255
Election protest 257
General form of information 249
Habeas corpus 236
Information 250
Legal Opinion 258
Mandamus 244
Motions 225
Motion for Bail 229
Motion for extension 228
Motion for Judgment on the Pleadings 226
Motion for new trial 228
279
Bibliography
Abad, Roberto A. Fundamentals of Legal Writing. Quezon City: Central Book Supply, Inc. 2009.
Agpalo, Ruben E. Legal and Judicial Ethics. Quezon City: Rex Printing Company, Inc. 2009.
Aguirre, Vyva Victoria M. Legal and Judicial Ethics : A Pre Week Reviewer. Quezon City : Quicklaw. 2006.
Albano, Judge Ed Vincent S. and Albano II, Ed Vincent A. Bar Reviewer in Legal Ethics. Quezon City: Rex
Printing Company, Inc. 2004.
Antiquiera, Eldrid C. Comments on the Code of Professional Responsibility for Lawyers. Manila, Philippines :
Rex Book Store. 2007.
Code of Professional Responsibility (Annotated), Philippine Judicial Academy.
Funa, Dennis B. Legal and Judicial Ethics : With Bar Examination Questions. Quezon City : Central Book Supply.
2009.
Guevara, Sulpicio. Legal Forms Annotated. Quezon City: Rex Printing Company, Inc. 1991.
Lapeña Jr., Nicolas P. Bar Review Guide in Legal and Judicial Ethics. Quezon City: Central Book Supply. 2009.
Pamaran, Manuel R. Trial Practice in Philippine Courts. Quezon City: Central Book Supply, Inc. 2004.
Paňo, Ernani Cruz. Bar Reviewer in Legal and Judicial Ethics. Quezon City: Rex Printing Company, Inc. 2005.
Philippine Judicial Academy. ABA-Rule of Law Initiative and the UP Law Center-Institute of Judicial Admin.
New Code of Judicial Conduct for the Philippine Judiciary Annotated. 2007.
Pineda, Ernesto. Judicial Ethics. Quezon City: Central Book Supply, Inc. 2009.
Pineda, Ernesto. Legal Ethics. Quezon City: Central Book Supply, Inc. 2009.
Pineda, Ernesto. Legal and Judicial Ethics. Quezon City: Central Book Supply, Inc. 1999.
Suarez, Rolando A. Legal Forms. Manila: Rex Bookstore. 2007.
Tabucanan, Gil Marvel P., Legal Writing: A Competency-Based Approach. Manila, Philippines. 2010.
Te, Theodore O., Pleadings, Petitions, Motions and Other Judicial and Legal Forms. 2007.
http://www.chanrobles.com
http:// www.lawphil.net
http:// sc.judiciary.gov.ph
280
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Legal Ethics - practice of law

Q: What constitutes practice of law?

Q: What is a bar association? appointing him. His authority is provided in a

Q: What is pro se? lawyer for legal advice for purposes of

1. Nature of the privilege and on the B. QUALIFICATIONS

2. A corporation cannot perform the A: Any person heretofore duly admitted as a

A: He must: MIP-MEJ The appearance of the law student authorized by

3. Civil – Is the failure to do something 7. Aiding in unauthorized practice of law

A: Note: The word “appearance” includes not

accused of an offense committed in PROHIBITION OR DISQUALIFICATION OF FORMER

2. Any person appointed to appear for the

G. LAWYER’S OATH retained her husband, Atty. Samuel C. Occeña,

Q: Grande was the private offended party in a

A: Yes, Atty. De Silva had committed a breach of

Moreover, the attitude of Atty. De Silva in

4. Clients – The lawyer owes entire devotion Canons 10-13

Chapter 1. Canons 14-22

A: Note: By indicating “IBP Rizal 259060” in his

complainant and promises to marry suggests a 6. Conviction of falsification of public

Rule 1.04 of the Code of Professional

3. Upon approval of the NCLA’s 3. Provide relief to the Public Attorney’s

3. It will help relieve the Public Attorney’s A: It is not a business because it is a:

Note: Advertising is NOT malum in se and what A:

3. TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE A:

A: Yes. Fiscal Salva should be publicly CANON 5, CPR

Note: A Chapter of the Integrated Bar shall be

b. Membership and Dues A: A member may terminate his membership by

Payment of dues is a necessary consequence of A: Consequences of knowingly making a false

Note: The concealment of an attorney in his

1. To maintain Allegiance to the Republic of Q: Gretel’s residence in Makati Village was

A: He can advice her to terminate the services of

whom defined functions are reserved. To

Note: Labor Arbiter Almirante and Atty. Durano

A: Yes, because he knowingly used the old law to

Allegations of Plagiarism and Misrepresentation conversations-both actual and/or by telephone".

A: Note: A lawyer must exert every effort and consider

filed. Did the lawyers violate Canon 12 of the

Note: All persons shall have the right to a speedy

Note: A lawyer shall rely upon the merits of his

Assume he devoted a significant portion of the Attorney-Client Relationship

A: Professor Dumbledore may be sanctioned by A:

6. Any matter in which he knows or has

A: Q: Atty. DD’s services were engaged by Mr. BB

c. Valid Grounds for Refusal Q: If Atty. Bonanza is requested to act as counsel

Nevertheless, Atty. Dajoyag Jr. exerted efforts to a. Confidentiality rule

A: Did Atty. Acejas violate the legal ethics of the

Q: Bureau of Immigration and Deportation (BID) Q: When is communication not privileged?

2. Sequential or successive representation – were reportedly contracted for P100,000. 00.

Q: Can a lawyer engaged by a corporation GR: An attorney cannot represent diverse

Q: Atty. Sagucio was the former Personnel

Q: Nicanor Gonzales and Salud Pantanosas were

He did not seasonably file with the CA the

A: Yes. The Code of Professional Responsibility 4. Libelous words in pleadings; violation of

Lawyers who convert the funds entrusted to them

Q: Atty Lozada was the retained counsel and

Q: What is a plea of guilty? 2. Will possess the requisite degree of

A: F-CEPA Q: Is a lawyer required to show his authority to

Q: May an attorney voluntarily appear for a A:

designed to secure a leverage to compel the

Note: Counsel's failure to file formal offer of exhibits

Q: What is appearance? XPN: A lawyer may divide a fee for legal

A: 2. There is a Pre-existing agreement with a

2. Special appearance – When a defendant 3. A lawyer or law firm includes non-