UP 2014 Legal Ethics

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LEGAL AND JUDICIAL ETHICS

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TABLE OF CONTENTS

TO SOCIETY...................................... 11

LEGAL ETHICS

RESPECT FOR LAW AND LEGAL PROCESSES ......... 11 EFFICIENT AND CONVENIENT LEGAL SERVICES .... 12 TRUE,  HONEST,  FAIR,  DIGNIFIED AND OBJECTIVE INFORMATION ON LEGAL SERVICES ................... 13 PARTICIPATION IN THE IMPROVEMENT AND REFORMS IN LEGAL SYSTEM ................................ 15 PARTICIPATION IN LEGAL EDUCATION PROGRAM 15

Supervision & Control of the Legal Profession ....................... 1 Practice of Law .........................1 CONCEPT .......................................... 1

THE LEGAL PROFESSION ............... 16 BAR INTEGRATION ......................................... 16 UPHOLDING THE DIGNITY AND INTEGRITY OF THE PROFESSION ................................................. 17 COURTESY,  FAIRNESS AND CANDOR TOWARDS PROFESSIONAL COLLEAGUES ........................... 18 NO ASSISTANCE IN UNAUTHORIZED PRACTICE OF LAW ............................................................. 19

FOUR FACTORS IN DETERMINING PRACTICE OF LAW ........................... 1 NATURE ............................................ 1 QUALIFICATIONS.............................. 2

THE COURTS ................................. 20

APPEARANCE OF NON-LAWYERS ... 5

CANDOR,  FAIRNESS AND GOOD FAITH TOWARDS THE COURTS ................................................ 20 RESPECT FOR COURTS AND JUDICIAL OFFICERS ..22 ASSISTANCE IN THE SPEEDY AND EFFICIENT ADMINISTRATION OF JUSTICE .............................. 23 RELIANCE ON MERITS OF HIS CAUSE ,  NOT FROM IMPROPER INFLUENCE UPON THE COURTS ......... 27

LAW STUDENT PRACTICE .................................. 5 NON-LAWYERS IN COURTS ................................ 6 NON-LAWYERS IN ADMINISTRATIVE TRIBUNALS .... 7 PROCEEDINGS WHERE LAWYERS ARE PROHIBITED FROM APPEARING ............................................ 7

SANCTIONS FOR PRACTICE OR APPEARANCE WITHOUT AUTHORITY .. 7

THE CLIENTS ................................. 28 ATTORNEY-CLIENT RELATIONSHIP ................... 28 AVAILABILITY OF SERVICE WITHOUT DISCRIMINATION ........................................................... 28 CANDOR, FAIRNESS AND LOYALTY TO CLIENTS .. 30 CLIENT’S MONEY AND PROPERTIES .................. 34 FIDELITY TO CLIENT’S CAUSE ............................ 35 COMPETENCE AND DILIGENCE........................... 36 REPRESENTATION WITH ZEAL WITHIN LEGAL BOUNDS ................................................. ...... 37 ATTORNEY’S FEES.......................................... 38 PRESERVATION OF CLIENT’S CONFIDENCES ........ 41 WITHDRAWAL OF SERVICES ............................ 43

PUBLIC OFFICIALS AND PRACTICE OF LAW ................................................ 8 PROHIBITION OR DISQUALIFICATION OF FORMER GOVERNMENT ATTORNEYS ............................... 8 PUBLIC OFFICIALS WHO CANNOT PRACTICE LAW OR WITH RESTRICTIONS ........................................ 8

LAWYERS AUTHORIZED TO REPRESENT THE GOVERNMENT ................ 9 LAWYER’S OATH ............................. 9 IMPORTANT TERMS TO REMEMBER

Suspension, Disbarment & Discipline of Lawyers ....... 44

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Duties & Responsibilities of Lawyers ................................. 10

NATURE AND CHARACTERISTICS OF DISCIPLINARY ACTIONS AGAINST LAWYERS ...................................... 44

IN GENERAL ................................... 10

GROUNDS ..................................... 46

THE FOUR-FOLD DUTIES OF A LAW YER ................................................ 10

PROCEEDINGS................................ 47

LAWYER’S DUTIES TO SOCIETY ......................... 10 LAWYER’S DUTIES TO THE LEGAL PROFESSION . 10 LAWYER’S DUTIES TO THE COURTS ................... 10 LAWYER’S DUTIES TO THE CLIENT ..................... 10

DISCIPLINE OF FILIPINO LAWYERS PRACTICING ABROAD ................... 49 PAGE i

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DISCIPLINE OF LAWYERS IN GOVERNMENT ..................................... 49

SANCTIONS ................................... 59

QUANTUM OF PROOF .................... 49

CANONS OF PROFESSIONAL ETHICS . ....................................................... 59

Readmission to the Bar ........ 51

JUDICIAL ETHICS

LAWYERS WHO HAVE BEEN SUSPENDED ........................................ 51

Rules on Judicial Ethics ....... 62

LAWYERS WHO HAVE BEEN DISBARRED ......................................... 51

Qualities ............................... 62

LAWYERS WHO HAVE BEEN REPATRIATED .......................................... 51

INTEGRITY .................................... 64

Mandatory Continuing Legal Education ...................52

PROPRIETY .................................. 68

INDEPENDENCE ............................ 62

IMPARTIALITY ............................... 65

PURPOSE ....................................... 52

EQUALITY ...................................... 72

REQUIREMENTS OF COMPLETION OF THE MCLE .......................................52

COMPETENCE AND DILIGENCE ..... 73

Discipline of Members of the Judiciary ................................. 75

COMPLIANCE .................................52 COMPLIANCE GROUPS ................................... COMPLIANCE PERIOD ....................................

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MEMBERS OF THE SUPREME COURT . ........................................................ 75 IMPEACHMENT..............................................

EXEMPTIONS ................................. 53

JUDGES OF THE LOWER COURTS AND JUSTICES OF THE COURT OF APPEALS AND SANDIGANBAYAN . 76

SANCTIONS .................................... 53 BAR MATTER 2012 ........................ 54

AUTOMATIC CONVERSION OF ADMINISTRATIVE CASES AGAINST CA AND SANDIGANBAYAN JUSTICES AND LOWER COURT JUDGES......... 78

Notarial Practice ...................55 QUALIFICATIONS OF NOTARY PUBLIC ................................................. 55 TERM OF OFFICE OF NOTARY PUBLIC

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EFFECT OF WITHDRAWAL OR DESISTANCE ...................................... 78

POWERS AND LIMITATIONS ......... 55 NOTARIAL REGISTER .................... 58

GROUNDS ..................................... 78

JURISDICTION OF NOTARY PUBLIC AND PLACE OF NOTARIZATION .... 58

IMPEACHMENT ETHICAL ASPECTS .... ........................................................ 79

REVOCATION OF COMMISSION .... 59

SANCTIONS IMPOSED BY THE SUPREME COURT ON ERRING MEMBERS OF THE JUDICIARY ................ 79

COMPETENT EVIDENCE OF IDENTITY ....................................................... 59 PAGE ii

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Disqualifications of Justices & Judges .................................. 80 COMPULSORY ............................... 80 VOLUNTARY ................................. 80

Powers and Duties of Courts & Judicial Officers ................... 80 Court Records & General Duties of Clerk Stenographer ........................82 Legal Fees ............................ 84 Recovery of Costs ................ 85

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Supervision & Control of the Legal Profession

LEGAL AND JUDICIAL ETHICS

Practice of Law CONCEPT The practice of law is any activity, in or out of court, which requires the application of law, legal procedure, knowledge, training and experience. It is to give notice or render any kind of service, which device or service requires the use in any degree of legal knowledge or skill. [Cayetano v. Monsod (1991)]. (1991)].

CONSTITUTIONAL BASIS Const. Art. VIII, sec. 5(5): 5(5 ): The Supreme Court shall have the following powers: xxx (5) Promulgate rules concerning the protection and enforcement of constitutional rights, pleading, practice and procedure in all courts, the admission to the practice of law, the integrated bar, and legal assistance to the under-privileged. xxx

FOUR FACTORS IN DETERMINING PRACTICE OF LAW [HACA]: [Padilla’s dissent in Cayetano v. Monsod] Monsod] (1) –  customarily or habitually holding one's self out to the public as a lawyer; more than an isolated appearance (2) –  calls for legal knowledge, training and experience. Teaching law is considered practice of law because the fact of their being law professors is inextricably intertwined with the fact that they are lawyers (Re: Letter of UP Law Faculty (2011)) (2011)).. (3) –  one must have presented himself to be in the active and continued practice of the legal profession and that his professional services are available to the public for compensation or as a source of livelihood. Giving advice for compensation regarding the legal status and rights of another and for one’s conduct conduct with respect thereto constitutes practice of law (Ulep v. The Legal Clinic, Inc. (1993)). (4) – where no such relationship exists, such as in cases of teaching law or writing law books or articles, there is no practice of law.

The provision recognizes the disciplinary authority of the Court over the members of the bar to be merely incidental to the Court's exclusive power to admit applicants to the practice of law [Garrido [Garrido v. Garrido (2010)]. (2010)].

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In the judicial system from which ours has been evolved, the admission, suspension, disbarment and reinstatement of attorneys at law in the practice of the profession and their supervision have been disputably a judicial function and responsibility Congress has no power to regulate the bar (admission to practice). But in the exercise of police power it may enact laws regulating the practice of law to protect the public. [In re: Cunanan (1954)]. (1954)].

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REGULATORY POWERS The power of the SC to regulate the practice of law includes: includes: (1) Authority to define practice of law; (2) Prescribe the qualifications of a candidate to and the subjects of the bar examinations; (3) Decide who will be admitted to practice; (4) Discipline, suspend or disbar any unfit and unworthy member of the bar; (5) Reinstate any disbarred or indefinitely suspended attorney; (6) Ordain the integration of the Bar; (7) Punish for contempt any person for unauthorized practice of law; and (8) In general, exercise overall supervision of the legal profession.

NATURE Privilege The practice of law is a privilege bestowed only to those who are morally fit. A bar candidate who is morally unfit cannot practice law even if he passes the bar examinations (Aguirre v. Rana (2003)). (2003)).

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CITIZENSHIP

PROFESSION, NOT BUSINESS Lawyering is not a business; it is a profession in which duty to public service, not money, is the primary consideration [Burbe v. Magulta (2002)]. (2002)].

Const., Art. XII, Sec. 14. The practice of all professions in the Philippines shall be limited to Filipino citizens save in cases prescribed by law.

QUALIFICATIONS Rules of Court, Rule 138, Sec. 2. Every applicant for admission as admission as a member of the bar must be a citizen of the Philippines.

Rules of Court, Rule 138, Sec.1. Sec.1 . Any person admitted to the bar and who is in good and regular standing is entitled to practice law. : Only members of the bar are entitled to practice law.

Ratio: Citizenship ensures allegiance to the Republic and its laws.

: The following are also allowed in exceptional circumstances: (1) Law students; (2) By an agent/friend; (3) By the litigant himself.

The loss of Filipino citizenship ipso jure terminates the privilege to practice law in the Philippines except when citizenship is lost by reason of naturalization and reacquired through RA 9225 (Petition to Resume Practice of Law of Dacanay [2007)].

REQUISITES TO PRACTICE LAW: ADMISSION TO THE BAR: [CRAGEBOR] (1) itizenship; (2) esidence; (3) ge (at least 21 y/o); (4) ood moral character and no charges involving moral turpitude; (5) Legal ducation (pre-law & law proper); (6) Passing the ar examination; (7) Take the Lawyer’s Lawyer’s ath;* (8) Sign the oll of Attorneys.* It is the signing in the roll of attorneys that finally makes one a full-fledged lawyer passing the bar is not the only qualification to become an attorney-at-law. Two essential requisites for becoming a lawyer still had to be performed, namely: his lawyer’s oath to be administered by this Court and his signature in the roll of attorneys [Aguirre v. Rana (2003)]. (2003)].

A Filipino lawyer who has lost and reacquired his citizenship under RA 9225 is 9225 is deemed not to have lost his Philippine citizenship. However, he still needs to apply with the Supreme Court for a license or permit to engage in such practice after compliance with the following: [Section 5(4), RA 9225]. 9225]. (1) Updating and payment of annual membership dues in the IBP; (2) Payment of professional tax; (3) Completion of 36 hours of MCLE; (4) Retaking of the lawyer’s oath. oath.

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RESIDENCE Rules of Court, Rule 138, Sec. 2. Every applicant for admission as admission as a member of the bar must xxx be a resident of the Philippines.

GOOD AND REGULAR STANDING: [MDRD] (1) Remain a ember of the Integrated Bar of the Philippines (IBP); (2) Regularly pay all IBP ues and other lawful assessments (e.g., (e.g., annual privilege tax); (3) Faithful observance of the ules and ethics of the legal profession (e.g., (e.g., Mandatory Continuing Legal Education (MCLE)); (4) Be continually subject to judicial isciplinary control (Agpalo, Comments on the Code of Professional Responsibility and the Code of  Judicial  Judicial Conduct Conduct (2004)). (2004)).

Ratio: His/her duties to his client and to the court will require that he be readily accessible and available. AGE Rules of Court, Rule 138, Sec. 2. Every applicant for admission as admission as a member of the bar must xxx be at least 21 years of age. Ratio: Maturity and discretion are required in the practice of law.

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GOOD MORAL CHARACTER Rules of Court, Rule 138, Sec. 2 Every applicant for admission as a member of the bar must xxx be of good moral character…and must produce before the Supreme Court satisfactory evidence of good moral character, and the no charges against him, involving moral turpitude, have been filled or are pending in any court in the Philippines.

LEGAL AND JUDICIAL ETHICS

LEGAL EDUCATION Pre-Law Rules of Court, Rule 138, Sec. 6. No applicant for admission to the bar examination shall be admitted unless he presents a certificate that he has satisfied the Secretary of Education that, before he began the study of law, he had pursued and satisfactorily completed in an authorized and recognized university or college, requiring for admission thereto the completion of a four-year high school course, the course of study prescribed therein for a bachelor’s degree in arts or sciences with any of the following subjects as major or field of concentration: political science, logic, english, spanish, history and economics.

Good moral character is a continuing qualification required of every member of the bar, it is not only a qualification precedent to the practice of law [Narag v. Narag (1998)]. Definitions Absence of a proven conduct or act which has been historically and traditionally considered as a manifestation of moral turpitude. The act or conduct need not amount to a crime; and even if it does constitute an offense, a conviction upon a criminal charge is not necessary to demonstrate bad moral character although it may show moral depravity [Agpalo (2004)].

Law Proper Rules of Court, Rule 138, Sec. 5(1). All applicants for admission shall, before being admitted to the examination, satisfactorily show that they have regularly studied law for four years, and successfully completed all prescribed courses, in a law school or university, officially approved and recognized by the Secretary of Education. The affidavit of the candidate, accompanied by a certificate from the university or school of law, shall be filed as evidence of such facts, and further evidence may be required by the court.

Good moral character is what a person really is, as distinguished from good reputation or from the opinion generally entertained of him, the estimate in which he is held by the public in the place where he is known [In the matter of of Haron Meling (2004)].

Rules of Court, Rule 138, Sec. 5(2) All applicants for admission… must show they have satisfactorily completed the following courses in a law school… (1) Civil law (2) Commercial law (3) Remedial law (4) Criminal law (5) Public and private international law (6) Political law (7) Labor and social legislation (8) Medical jurisprudence (9) Taxation (10) Legal ethics

The Supreme Court may deny lawyer’s oathtaking based on a conviction for reckless imprudence resulting in homicide (hazing case). But after submission of evidence and various certifications “he may now be regarded as complying with the requirements of good moral character xxx he is not inherently of bad moral fiber” [In re: Argosino (1997)]. Concealment of pending criminal cases constitutes lack of good moral character (in petition to take the bar examinations) [In the matter of Haron Meling (2004)].

Filipino citizens who are graduates of foreign law schools are allowed to take the bar examinations provided they show the following: (1) Completion of all courses leading to the degree of Bachelor of Laws or its equivalent

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(2) Recognition or accreditation of the law school by the proper authority (3) Completion of all the fourth year subjects in a law school duly recognized by the Philippine Government [SC Bar Matter 1153: Re: Letter of Atty. Estelito Mendoza (2010)].

LEGAL AND JUDICIAL ETHICS

When And Where To Take Examinations Rules of Court, Rule 138, Sec. 11. …take place annually in the City of Manila. They shall be held in four days to be designated by the chairman of the committee on bar examiners. Distribution Of Subjects

BAR EXAMINATIONS When To File Permit Rules of Court, Rule 138, Sec. All applicants for admission shall file with the clerk of the Supreme Court the evidence required by Section  2   at least 15 days before the beginning of the examination. They shall also file within the same period the affidavit and certificate required by Section 5.

First Day

Second Day

morning Political and International Law afternoon Labor and Social Legislation morning Civil Law afternoon Taxation morning Mercantile Law

Notice Rules of Court, Rule 138, Sec. 8. Notice of applications for admission shall be published by the clerk of the Supreme Court in newspapers published in Filipino, English and Spanish, for at least ten days before the beginning of the examination.

Third Day

Conduct Of Examinations Rules of Court, Rule 138, Sec. 10. Persons taking the examination shall not bring papers, books or notes into the examination rooms. The questions shall be the same for all examinees and a copy thereof, in English or Spanish, shall be given to each examinee. Examinees shall answer the questions personally without help from anyone.

Passing Average Rules of Court, Rule 138, Sec. 14. In order that a candidate may be deemed to have passed his examinations successfully, he must have obtained a general average of 75 percent in all subjects, without falling below 50 percent in any subject.

afternoon Criminal Law Fourth Day

morning Remedial Law afternoon Legal Ethics and Practical Exercises

The relative weights of the subjects used in determining the average are as follows: Civil Law 15% Labor and Social Legislation 10% Mercantile Law 15% Criminal Law 10% Political and International Law 15% Taxation 10% Remedial Law 20% Legal Ethics and Practical Exercises 5%

Upon verified application made by an examinee stating that his penmanship is so poor that it will be difficult to read his answers without much loss of time, the Supreme Court may allow such examinee to use a typewriter in answering the questions. Only noiseless typewriters shall be allowed to be used. The committee of bar examines shall take such precautions as are necessary to prevent the substitution of papers or commission of other frauds. Examinees shall not place their names on the examination papers. No oral examination shall be given.

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Committee Of Examiners Rules of Court, Rule 138, Sec. 12. Examinations shall be conducted by a committee of bar examiners to be appointed by the Supreme Court. This committee shall be composed of a Justice of the Supreme Court, who shall act as chairman, and who shall be designated by the court to serve for one year, and eight members of the bar of the Philippines, who shall hold office for a period of one year. The names of the members of this committee shall be published in each volume of the official reports.

LEGAL AND JUDICIAL ETHICS

Disciplinary Measures Rules of Court, Rule 138, Sec.  13. No candidate shall endeavor to influence any member of the committee, and during examination the candidates shall not communicate with each other nor shall they give or receive any assistance. The candidate who violates this provision, or any other provision of this rule, shall be barred from the examination, and the same to count as a failure against him, and further disciplinary action, including permanent disqualification, may be taken in the discretion of the court.

Pursuant to Bar Matter No. 1161 (2009), since that year, two examiners are designated per bar subject.

Civil Service Eligibility  [RA 1080, as amended by RA 1844] The bar examinations is declared as civil service examinations equivalent to: (1) First grade regular examination  for appointment to a position which requires proficiency in law; and (2) Second grade regular examination  for appointment to a position which does not require proficiency in law.

The Bar Confidant acts as a sort of liaison officer between the court and the Bar Chairman on the other hand, and the individual members of the committee on the other. He is at the same time a deputy clerk of court. Results Rules of Court, Rule 138, Sec. 15. Not later than February 15th after the examination, or as soon thereafter as may be practicable, the committee shall file its report on the result of such examination. The examination papers and notes of the committee shall be filed with the clerk and may there be examined by the parties in interest, after the court has approved the report.

APPEARANCE OF NON-LAWYERS Law Student Practice Rules of Court, Rule 138-A, Sec. 1. A law student who has successfully completed third year of the regular four-year prescribed law curriculum and is enrolled in a recognized law school's clinical legal education program approved by the Supreme Court, may appear without compensation in any civil, criminal or administrative case before any trial court, tribunal, board or officer, to represent indigent clients accepted by the legal clinic of the law school.

Flunkers Rules of Court, Rule 138, Sec. 16. Candidates who have failed the bar examinations for three times shall be disqualified from taking another examination unless they show to the satisfaction of the court that they have enrolled in and passed regular fourth year review classes as well as attended a pre-bar review course in a recognized law school.

Rules of Court, Rule 138-A, Sec. 2. The appearance of the law student authorized by this rule, shall be under the direct supervision and control of a member of the Integrated Bar of the Philippines duly accredited by the law school. Any and all pleadings, motions, briefs, memoranda or other papers to be filed, must be signed by the supervising attorney for and in behalf of the legal clinic.

The professors of the individual review subjects attended by the candidates under this rule shall certify under oath that the candidates have regularly attended classes and passed the subjects under the same conditions as ordinary students and the ratings obtained by them in the particular subject.

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Agent or friend Rules of Court, Rule 138, Sec.34. In such cases, no attorney client relationship exists; not habitual. An agent is usually appointed or a friend choses in a locality where a licensed member of the bar is not available.

Rules of Court, Rule 138-A, Sec. 3 The Rules safeguarding privileged communications between attorney and client shall apply to similar communications made to or received by the law student, acting for the legal clinic.

Civil case – a party in a civil suit may conduct his litigation either personally or with the aid of an attorney unless the party is a juridical person.  ALLOWED IN: MTC, RTC, appellate court (where the party must appear personally or by counsel)

Rules of Court, Rule 138-A, Sec. 4.  The law student shall comply with the standards of professional conduct governing members of the bar. Failure of an attorney to provide adequate supervision of student practice may be a ground for disciplinary action.

Criminal cases – [Rules of Court, Rule 116, Sec. 7.] in localities where members of the bar are not available, the court may appoint any person (i.e., non-lawyer), who is: A resident of the province Of good repute for probity Ability to defend the accused, in lieu of a counsel de oficio  ALLOWED IN: MTC only!

Rules of Court, Rule 138, Sec. 34.  A law student may appear in his personal capacity without the supervision of a lawyer in inferior courts.

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Clear that appearance before the inferior courts by a non-lawyer is allowed, irrespective of whether or not he is a law student [Cruz v. Mina (2007)].

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Self-representation Rules of Court, Rule 138, Sec. 34. By whom litigation conducted. In the court of a municipality a party may conduct his litigation in person, with the aid of an agent or friend appointed by him for that purpose, or with the aid of an attorney. In any other court, a party may conduct his litigation personally  by aid of an attorney, and his appearance must be either personal or by a duly authorized member of the bar.

Thus, a law student may appear under the circumstances of Section 38, as an agent or a friend of a party litigant, without complying with the requirements of Rule 138-A, e.g., supervision of a lawyer. Ratio: The issues involved are relatively simple. NON-LAWYERS IN COURTS Rules of Court, Rule 138, Sec. 34. In the court of a municipality a party may conduct his litigation in person, with the aid of an agent or friend appointed by him for that purpose, or with the aid of an attorney. In any other court, a party may conduct his litigation personally or by aid of an attorney, and his appearance must be either personal or by a duly authorized member of the bar.

An attorney who is otherwise disqualified to practice law, or has been disbarred or suspended from practice, can validly prosecute or defend his own litigation, he having as much right as that of a layman in that regard [Danforth v. Egan (1920)]. When a person conducts his litigation in person, he is not engaged in the practice of law. One does not practice law by acting for himself any more than he practices medicine by rendering first aid to himself [[Agpalo]].

Public policy demands that legal work in representation of parties should be entrusted only to those possessing tested qualifications [PAFLU v. Binalbagan (1971)]. The Supreme Court, in the exercise of its judicial power, can validly authorize a layman to represent a litigant in court [Agpalo (2004)].

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A juridical person may also appear through its non-lawyer agents or officers in the municipal trial court. Otherwise, it must be represented by a lawyer.

LEGAL AND JUDICIAL ETHICS

(2) Under Section 9, Act 2259 (Cadastral Act), a claimant may appear by himself, or by some person in his behalf, before a cadastral court. In order that these laws will not infringe upon the power of the Supreme Court to regulate the practice of law, the following limitations must be observed: The non-lawyer should confine his work to non-adversary contentions and should not undertake purely legal work (i.e., examination of witness, presentation of evidence); The services should not be habitual; Attorney’s fees should not be charged [Agpalo]).

Section 34  does not distinguish between civil and criminal cases. However, in criminal cases, the rule is qualified: Under Section 1(c), Rule 115,  the accused may defend himself in person “when it sufficiently appears to the court that he can properly protect his rights without the assistance of counsel.” Under Section 7, Rule 116, in determining whether a counsel de oficio  should be appointed, or, for that matter, whether a counsel de parte  should be required (conversely, whether the accused should be allowed to defend himself in person), the gravity of the offense and the difficulty of the questions that may arise should be considered.

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PROCEEDINGS WHERE LAWYERS PROHIBITED FROM APPEARING

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Small Claims Cases Rules of Procedure in Small Claims, Sec. 17. No attorney shall appear in behalf of or represent a party at the hearing, unless the attorney is the plaintiff or defendant. If the court determines that a party cannot properly present his/her claim or defense and needs assistance, the court may, in its discretion, allow another individual who is not an attorney to assist that party upon the latter's consent.

While the right to be represented by counsel is immutable, the option to secure the services of counsel de parte is not absolute. The court may restrict the accused’s option to retain a counsel de parte if: He insists on an attorney he cannot afford; He chose a person not a member of the bar; The attorney declines for a valid reason (e.g., conflict of interest) (People v. Serzo (1997)).  

Katarungang Pambarangay Proceedings Local Government Code (RA 7160), Sec. 45. The parties must appear in person without the assistance of the counsel or representative, except for minors and incompetents who may be assisted by their next of kin who are not lawyers.

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Consistently with Section 34, a party may also appear on his own behalf, his organization or members thereof, before administrative bodies. This is also expressly allowed in  Article 222, Labor Code.

SANCTIONS FOR PRACTICE APPEARANCE WITHOUT AUTHORITY

There are laws which allow representation of another by non-lawyers before such bodies: (1) The  2011 NLRC Rule of Procedure, promulgated pursuant to  Article 218(a), Labor Code, allows (a) non-lawyers, who are not necessarily a party to the case, to represent a union or members thereof, and (b) non-lawyer owners of establishments, to appear before it.

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Lawyers without authority Rules of Court, Rule 138, Sec. 27.  Corruptly or willfully appearing as an attorney for a party to a case without authority to do so is a ground for disbarment or suspension.

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Shari’a Bar passesrs are not full-pledged Philippine Bar members so they may only practive before Shari’a Courts. Both are counselors, but only the latter is an “attorney” [ Alawi v Alauya (1997)]

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Public officials who cannot practice law or  with restrictions (1) Judges and other officials or employees of superior courts as [Section 35, Rule 148]; (2) Officials and employees of the Office of the Solicitor General [Section 35, Rule 148]; (3) Government prosecutors [Lim-Santiago v. Sagucio (2006)]; (4) President, vice-president, cabinet members, their deputies and assistants [Section 15,  Article VII, Constitution]; (5) Chairmen and members of constitutional commissions [Section 2, Article IX-A, Constitution]; (6) Ombudsman and his deputies [Section 8,  2nd par., Article X, Constitution]; (7) All governors, city and municipal mayors [Section 90(a), RA 7160]; (8) Those who, by special law, are prohibited from engaging in the practice of their legal profession.

Persons not lawyers : (1) Petition for injunction; (2) Declaratory relief; (3) Contempt of court; (4) Disqualification; (5) Criminal complaint for estafa  against the person who falsely represented himself as a lawyer to the damage of another. PUBLIC OFFICIALS AND PRACTICE OF LAW Prohibition or disqualification of former government attorneys RA 6713, Sec. 7(b). Public officials and employees during their incumbency shall not: Own, control, manage or accept employment as officer employee, consultant, counsel, broker, agent, trustee or nominee / in any private enterprise regulated, supervised or licensed by their office / unless expressly allowed by law; Engage in the private practice of their profession unless authorized by the Constitution or law, provided that such practice will not conflict or tend to conflict with their official functions; Recommend any person to any position in a private enterprise which has a regular or pending official transaction with their office.

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(1) No senator or member of the House of Representatives may personally appear as counsel before any court of justice or before the Electoral Tribunals, or quasi-judicial and other administrative bodies [Section 14,  Article VI, Constitution]; (2) Sanggunian  members may practice law except during session hours and provided they shall not: (a) Appear as counsel before any court in any civil case wherein a local government unit or any office, agency, or instrumentality of the government is the adverse party; (b) Appear as counsel in any criminal case wherein an officer or employee of the national or local government is accused of an offense committed in relation to his office; (c) Collect any fee for their appearance in administrative proceedings involving the local government unit of which he is an official; and (d) Use property and personnel of the government except when the sanggunian member concerned is defending the interest of the government [Section 90(b), RA 7160].

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These prohibitions shall continue to apply for a period of one year after resignation, retirement or separation from public office, except in case of the second. Also, the one year prohibition applies to practice of profession in connection with any matter before the office he used to be with.

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LEGAL AND JUDICIAL ETHICS

I will delay no man for money or malice, and will conduct myself as a lawyer according to the best of my knowledge and discretion with all fidelity as well to the courts as to my clients;

RA 910, Sec. 1. The pension of justices therein is provided with a condition that no retiring justice, during the time that he is receiving said pension shall: Appear as counsel before any court in any civil case wherein the Government or any subdivision or instrumentality thereof is the adverse party; In any criminal case wherein and officer or employee of the government is accused of an offense committed in relation to his office; or  Collect any fee for his appearance in any administrative proceedings to maintain an interest adverse to the Government, insular, provincial or municipal, or to any of its legally constituted officers.

 And I impose upon myself this voluntary obligation without any mental reservation or purpose of evasion. So help me God.

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The lawyer's oath is not a mere ceremony or formality for practicing law. Every lawyer should at all times  weigh his actions according to the sworn promises he makes when taking the lawyer's oath. If all lawyers conducted themselves strictly according to the lawyer's oath and the Code of Professional Responsibility , the administration of justice will undoubtedly be faster, fairer and easier for everyone concerned [In re: Argosino (1997)].

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LAWYERS AUTHORIZED TO REPRESENT THE GOVERNMENT Any person appointed to appear for the Government of the Philippines shall be allowed to appear in court, subject to pertinent laws.

IMPORTANT TERMS TO REMEMBER: AMICUS CURIAE - Latin for “friend of court”, a lawyer who assits the court by giving information or advice regarding questions of law or of fact. He does not represent any party.

LAWYER’S OATH

Rules of Court, Rule 138, Sec. 17. An applicant who has passed the required examination, or has been otherwise found to be entitled to admission to the bar, shall take and subscribe before the Supreme Court the corresponding oath of office. Form 28 of the Judicial Standard Forms prescirbes the following oath to be taken by the applicant

ATTORNEY - Officers of the courts, empowered to appear, prosecute and defend, and upon whom peculiar duties, responsibilities and liabilities are developed by law as a consequence [Cui v. Cui (1964)] BAR - Refers to the whole body of attorneys, collectively, the members of the legal profession.

I, _______________, do solemnly swear that: BARRISTER - In England, a person entitled to practice law as an advocate or counsel in the superior court.

I will maintain allegiance to the Republic of the Philippines; I will support its Constitution and obey the laws as well as the legal orders of the duly constituted authorities therein;

BENCH - Denotes the whole body of judges NOTARY PUBLIC - A public officer authorized to certify documents, take affidavits, and administer oaths. Under 2004 Rules Notarial Practice, all notaries must be lawyers.

I will do no falsehood, nor consent to the doing of any in court; I will not wittingly or willingly promote or sue any groundless, false or unlawful suit, nor give aid nor consent to the same;

SOLICITOR - Government lawyer attached with the OSG

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LEGAL AND JUDICIAL ETHICS

THE FOUR-FOLD DUTIES OF A LAWYER:

Duties & Responsibilities of a Lawyer

DUTIES TO SOCIETY

IN GENERAL

Canon 1:

Rules of Court, Rule 138, Sec. 20. (1) To maintain allegiance to the Republic of the Philippines and to support the Constitution and obey the laws of the Philippines; (2) To observe and maintain the respect due to the courts of justice and judicial officers; (3) To counsel or maintain such actions or proceedings only as appear to him to be just, and such defenses only as he believes to be honestly debatable under the law; (4) To employ, for the purpose of maintaining the causes confided to him, such means only as are consistent with truth and honor, and never seek to mislead the judge or any  judicial officer by an artifice or false statement of fact or law; (5) To maintain inviolate the confidence, and at every peril to himself, to preserve the secrets of his client, and to accept no compensation in connection with his client’s business except from him or with his knowledge and approval; (6) To abstain from all offensive personality and to advance no fact prejudicial to the honor or reputation of a party or witness, unless required by the justice of the cause with which he is charge; (7) Not to encourage either the commencement or the continuance of an action or proceeding, or delay any man’s cause, from any corrupt motive or interest; (8) Never to reject, for any consideration personal to himself, the cause of the defenseless or oppressed; (9) In the defense of a person accused of crime, by all fair and honorable means, regardless of his personal opinion as to the guilt of the accused, to present every defense that the law permits, to the end that no person may be deprived of life or liberty, but by due process of law.

Canon 2: Canon 3: Canon 4: Canon 5: Canon 6:

Promote and Respect the Law and Legal Process Provide Efficient and Convenient Legal Services Information on Legal Services that is True, Honest, Fair, and Dignified Support for Legal Reforms and Administration of Justice Participate in Legal Education Canons Apply to Lawyers in Government Service

DUTIES TO THE LEGAL PROFESSION Canon 7:

Uphold the Dignity and Integrity in the Profession Canon 8: Courtesy, Fairness, Candor towards Professional Colleagues Canon 9: Unauthorized Practice of Law

DUTIES TO THE COURTS Canon 10: Observe Candor, Fairness and Good Faith Canon 11: Respect Courts and Judicial Officers Canon 12: Assist in Speedy and Efficient Administration of Justice Canon 13: Refrain from Act Giving Appearance of Influence

DUTIES TO THE CLIENT Canon 14: Service to the Needy Canon 15: Observe Candor, Fairness, Loyalty Canon 16: Hold in Trust Client’s Moneys and Properties Canon 17: Trust and Confidence Canon 18: Competence and Diligence Canon 19: Representation with Zeal Canon 20: Attorney’s Fees Canon 21: Preserve Client’s Confidence Canon 22: Withdrawal of Services for a Good Cause

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Examples of act which are NOT grossly immoral: (1) Mere intimacy between a man and a woman, both of whom possess no impediment to marry, voluntarily carried and devoid of deceit on the part of the respondent, even if a child was born out of wedlock of such relationship; it may suggest a doubtful moral character but not grossly immoral [Figueroa v. Barranco (1997)]. (2) Stealing a kiss from a client [Advincula v. Macabata (2007)].

TO SOCIETY RESPECT FOR PROCESSES

LAW

&

LEGAL AND JUDICIAL ETHICS

LEGAL

Canon 1. A lawyer shall uphold the Constitution, obey the laws of the land and promote respect for law and legal process. Rule 1.01. A lawyer shall not engage in unlawful, dishonest, immoral or deceitful conduct. UNLAWFUL CONDUCT Act or omission which is against the law. Dishonesty involves lying or cheating [Agpalo].

MORAL TURPITUDE Includes everything which is done contrary to  justice, honesty, modesty, or good morals. It involves an act of baseness, vileness, or depravity in the private duties which a man owed his fellowmen, or to society in general, contrary to the accepted and customary rule of right and duty between man and woman, or conduct contrary to justice, honesty, modesty, or good morals (Barrios v. Martinez (2004)).

When lawyers are convicted of frustrated homicide, the attending circumstances, not the mere fact of their conviction would demonstrate their fitness to remain in the legal profession [Soriano v. Dizon (2006)]. IMMORAL OR DECEITFUL CONDUCT That which is willful, flagrant or shameless and which shows a moral indifference to the opinion of the good and respectable members of the community [Aguirre, Legal and Judicial Ethics: A Pre-Week Reviewer (2006)].

Examples of crimes involving moral turpitude Murder, estafa, rape, violation of BP 22 , bribery, bigamy, adultery, seduction, abduction, concubinage and smuggling are considered crimes involving moral turpitude.

Immorality connotes conduct that shows indifference to the moral norms of society. For such conduct to warrant disciplinary action, the same must be grossly immoral, it must be so corrupt and false as to constitute a criminal act or so unprincipled as to be reprehensible to a high degree [Ui v. Bonifacio (2000)].

Rule 1.02 . A lawyer shall not counsel or abet activities aimed at defiance of the law or at lessening confidence in the legal profession. The promotion of organizations, with knowledge of their objectives, for the purpose of violating or evading the laws constitutes such misconduct in his office [In re: Terrell (1903)].

Examples of grossly immoral acts: (1) Wanton disregard for the sanctity of marriage as shown when the lawyer pursued a married woman and thereafter cohabited with her (Guevarra v. Eala (2007)); (2) Rape of a neighbor’s wife, which constitutes serious moral depravity, even if his guilt was not proved beyond reasonable doubt in the criminal prosecution for rape (Calub v. Suller (2000)).

The Supreme Court will not countenance any wrongdoing nor allow erosion of the people’s faith in the judicial system [Estrada v. Sandiganbayan (2003)]. Rule 1.03. A lawyer shall not, for any corrupt motive or interest, encourage any suit or delay any man’s cause. Barratry or “Maintenance”  - Inciting or stirring

up quarrels, litigation or groundless lawsuits is known as barratry or maintenance.

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EFFICIENT, SERVICE

(1) Volunteering advice to bring lawsuit, except in rare cases where ties of blood, relationship or trust make it his duty to do so; (2) Hunting up defects in titles or other causes of action in order to be employed to bring suit or breed litigation.

LEGAL AND JUDICIAL ETHICS

CONVENIENT

LEGAL

Canon 2 . A lawyer shall make his legal services available in an efficient and convenient manner compatible with the independence, integrity and effectiveness of the profession.

Ambulance chasing Refers to accident-site solicitation of almost any kind of legal business by laymen employed by an attorney for the purpose or by the attorney himself.

Rule 2.01. A lawyer shall not reject, except for valid reasons, the cause of the defenseless or the oppressed. Const. Art. III, Sec. 11. Free access to the courts and quasi-judicial bodies and adequate legal assistance shall not be denied to any person by reason of poverty.

It is prohibited because it encourages perjury, the defrauding of innocent persons by  judgments upon manufactured causes of actions, and the defrauding of injured persons having proper causes of action but ignorant of legal rights and court procedure.

The legal profession is a burdened privilege not many are qualified to undertake. A lawyer owes fidelity to the duty required of the legal profession. If there is no incompatibility between the defense of the client and the position of the lawyer, he should not decline his appointment as counsel de oficio [Ledesma v. Climaco (1974)].

The filing of multiple complaints reflects on a lawyer’s fitness to be a member of the legal profession. His conduct of vindictiveness is a decidedly undesirable trait especially when one resorts to using the court not to secure justice but merely to exact revenge. It warrants dismissal from the judiciary [Saburnido v. Madrono (2001)].

Legal aid is not a matter of charity. It is a means for the correction of social imbalance that may and often do lead to injustice, for which reason it is a public responsibility of the bar (IBP Handbook, Guidelines Governing the Establishment and Operation of the Legal Aid Office).

Rule 1.04. A lawyer shall encourage his clients to avoid, end or settle a controversy if it will admit of a fair settlement. The function of a lawyer is not only to conduct litigation but to avoid it where possible, by advising settlement or withholding suit. He must act as mediator for compromise rather than an instigator and conflict [Agpalo]. A lawyer who abets his client into using the courts to subvert the very ends of justice by instigating controversy and conflict although the client’s cause is without merit. It is every duty of a counsel to advise his client on the merit of his case. A lawyer must resist the whims and caprices of his clients, and temper his client’s propensity to litigate [Castaneda v.  Ago (1975)].

Rule 2.02 . In such cases, even if the lawyer does not accept a case, he shall not refuse to render legal advice to the person concerned if only to the extent necessary to safeguard the latter’s rights. Advice may be on what preliminary steps to take until the client has secured the services of counsel. But he shall refrain from giving legal advice if the reason for not accepting the case is that there involves a conflict of interest between him and a prospective client or between a present client and a prospective client. [ Agpalo]

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Rule 2.03. A lawyer shall not do or permit to be done any act designed to primarily solicit legal business.

LEGAL AND JUDICIAL ETHICS

Rule 3.01. A lawyer shall not use or permit the use of any false, fraudulent, misleading, deceptive, undignified, self-laudatory or unfair statement or claim regarding his qualifications or legal services.

The legal practice is not a business but a profession. Unlike a businessman, the lawyer has: Relation to the administration of justice involving sincerity, integrity and reliability as an officer of the court; Duty of public service; Relation to clients with the highest degree of fiduciary; Relation to colleagues at the bar characterized by candor, fairness and unwillingness to resort to business methods of advertising and encroachment on their practice, or dealing directly with their clients [Agpalo]).

The most worthy and effective advertisement possible, even for a young lawyer, and especially with his brother lawyers, is the establishment of a well-merited reputation for professional capacity and fidelity to trust. This cannot be forced, but must be the outcome of character and conduct [Canon 27, Canons of Professional Ethics; In re: Tagorda (1929)].

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The following are considered allowable advertisement: (1) Ordinary professional card; (2) Publication in reputable law list with brief biographical and other informative data which may include: (a) Name; (b) Associates; (c) Address; (d) Phone numbers; (e) Branches of law practiced; (f) Birthday; (g) Day admitted to the bar; (h) Schools and dates attended; (i) Degrees and distinctions; (j) Public or quasi-public offices; (k) Posts of honor; (l) Legal authorships; (m) Teaching positions; (n) Associations; (o) Legal fraternities and societies; (p) References and regularly represented clients must be published for that purpose (Ulep v. The Legal Clinic, Inc. (1993)); (3) Publication of simple announcement of opening of law firm, change of firm; (4) Listing in telephone directory but not under designation of special branch of law; (5) If acting as an associate (specializing in a branch of law), may publish a brief and dignified announcement to lawyers (law list, law journal); (6) If in media, those acts incidental to his practice and not of his own initiative; (7) Writing legal articles;

Thus, the practice of soliciting cases at law for the purpose of gain, either personally or through paid agents or brokers, constitutes malpractice [Section 27, Rule 138]. Rule 2.04. A lawyer shall not charge rates lower than those customarily prescribed unless the circumstances so warrant. This rule prohibits the competition in the matter of charging professional fees for the purposed of attracting clients in favor of the lawyer who offers lower rates. The rule does not prohibit a lawyer from charging a reduced fee or none at all to an indigent or to a person who would have difficulty paying the fee usually charged for such services [Agpalo (2004)].

TRUE, HONEST, FAIR, DIGNIFIED & OBJECTIVE INFORMATION ON LEGAL SERVICES Canon  3. A lawyer in making known his legal services shall use only true, honest, fair, dignified and objective information or statement of facts.

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(8) Activity of an association for the purpose of legal representation.

LEGAL AND JUDICIAL ETHICS

: All partners by their joint efforts over a period of years contributed to the goodwill attached to the firm name, and the removal of the deceased partner’s name disturbs the client goodwill built through the years.

It is advisable that they be entirely separate and apart such that a layman could distinguish between the two functions.

Firms may not use misleading names showing association with other firms to purport legal services of highest quality and ties with multinational business enterprise especially when such firm attached as an associate cannot legally practice law in the Philippines [Dacanay v. Baker and McKenzie (1985)].

: (Section 27, Canon of Professional Ethics) (1) Through touters of any kind whether allied real estate firms or trust companies advertising to secure the drawing of deeds or wills; (2) Offering retainers in exchange for executorships or trusteeships to be influenced by the lawyer; (3) Furnishing or inspiring newspaper comments concerning the manner of their conduct, the magnitude of the interests involved, the importance of lawyer’s position, and all other like self-laudation.

Rule 3.03. Where a partner accepts public office, he shall withdraw from the firm and his name shall be dropped from the firm name unless the law allows him to practice law concurrently. The purpose of the rule is to prevent the law firm from using his name to attract legal business and to avoid suspicion of undue influence.

A lawyer may not properly publish his brief biographical and informative data in a daily paper, magazine, trade journal or society program in order to solicit legal business [Khan v. Simbillo (2003)].

A civil service officer or employee whose duty or responsibility does not require his entire time to be at the disposal of the government may not engage in the private practice of law without the written permit from the head of the department concerned [Agpalo (2004)].

It is highly unethical for an attorney to advertise his talents or skill as a merchant advertises his wares. The law is a profession not a business. Solicitation of cases by himself or through others is unprofessional and lowers the standards of the legal profession. [In re: Tagorda (1929)].

It is unlawful for a public official or employee to, among others, engage in the private practice of their profession, unless authorized by the Constitution or law, provided that such practice will not conflict or tend to conflict with official functions [Samonte v. Gatdula (1999)]. If the unauthorized practice on the part of a person who assumes to be an attorney causes damage to a party, the former may be held liable for estafa.

Rule 3.02 . In the choice of a firm name, no false, misleading or assumed name shall be used. The continued use of the name of a deceased partner is permissible provided that the firm indicates in all its communications that said partner is deceased.

Rule 3.04. A lawyer shall not pay or give any thing of value to representatives of the mass media in anticipation of, or in return for, publicity to attract legal business.

The continued use of the name of a deceased partner is permissible provided that the firm indicates in all its communications that said partner is deceased [Agpalo (2004)].

The purpose of this rule is to prevent some lawyers from gaining an unfair advantage over others through the use of gimmickry, press agentry or other artificial means.

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APPLICABILITY LAWYERS

This rule prohibits from making indirect publicity gimmick, such as furnishing or inspiring newspaper comments, procuring his photograph to be published in connection with cases which he is handling, making a courtroom scene to attract the attention of newspapermen, or arranging for the purpose an interview with him by media people [Agpalo (2004)].

TO

GOVERNMENT

Canon 6. These canons shall apply to lawyers in government service in the discharge of their official duties. A member of the bar who assumes public office does not shed his professional obligation Lawyers in government are public servants who owe the utmost fidelity to the public service. A lawyer in public service is a keeper of public faith and is burdened with a high degree of social responsibility, perhaps higher than her brethren in private practice [Vitriolo v. Dasig (2003)].

PARTICIPATION IN THE IMPROVEMENT AND REFORMS IN THE LEGAL SYSTEM Canon 4. A lawyer shall participate in the development of the legal system by initiating or supporting efforts in law reform and in the improvement of the administration of justice.

Rule 6.01. The primary duty of a lawyer engaged in public prosecution is not to convict but to see that justice is done. The suppression of facts or the concealment of witnesses capable of establishing the innocence of the accused is highly reprehensible and is cause for disciplinary action.

: (1) Presenting position papers or resolutions for the introduction of pertinent bills in Congress; (2) Submitting petitions to the Supreme Court for the amendment of the Rules of Court.

A public prosecutor is a quasi-judicial officer with the two-fold aim of which is that guilt shall not escape or innocence suffer. He should not hesitate to recommend to the court the acquittal of an accused if the evidence in his possession shows that the accused is innocent [Agpalo (2004)].

The Misamis Oriental Chapter of the IBP has been commended by the Supreme Court when it promulgated a resolution wherein it requested the IBP’s National Committee on Legal Aid to ask for the exemption from the payment of filing, docket and other fees of clients of the legal aid offices in the various IBP chapters [Re: Request of NCLA to Exempt Legal  Aid Clients from Paying Filing, Docket and Other Fees (2009)].

PARTICIPATION IN EDUCATION PROGRAM

LEGAL AND JUDICIAL ETHICS

It is upon the discretion of the prosecutor to decide what charge to file upon proper appreciation of facts and evidences. Fiscals are not precluded from exercising their sound discretion in investigation. His primary duty is not to convict but to see that justice is served [People v. Pineda (1967)].

LEGAL

Canon 5. A lawyer shall keep abreast of legal developments, participate in continuing legal education programs, support efforts to achieve high standards in law schools as well as in the practical training of law students and assist in disseminating information regarding the law and jurisprudence.

Rule 6.02 . A lawyer in the government service shall not use his public position to promote or advance his private interests, nor allow the latter to interfere with his public duties.

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In relation to Rule 3.03, Canon 3, if the law allows a public official to practice law concurrently, he must not use his public position to feather his law practice. Moreover, he should not only avoid all impropriety. Neither should he even inferentially create a public image that he is utilizing his public position to advance his professional success or personal interest at the expense of the public [Agpalo].

LEGAL AND JUDICIAL ETHICS

TO THE LEGAL PROFESSION INVOLVEMENT IN THE IBP Canon 7 . A lawyer shall at all times uphold the integrity and dignity of the legal profession and support the activities of the Integrated Bar. BAR INTEGRATION RA 6397 , Sec. 1. The Supreme Court may adopt rules of court to effect the integration of the Philippine Bar under such conditions as it shall see fit in order to raise the standards of the legal profession improve the administration of  justice and enable the bar to discharge its public responsibility more effectively.

It bears stressing also that government lawyers who are public servants owe fidelity to the public service, a public trust. As such, they should be more sensitive to their professional obligations as their disreputable conduct is more likely to be magnified in the public eye [Huyssen v. Gutierrez (2006)].

Integration does not make a lawyer a member of any group of which he is not already a member. He became a member of the bar when he passed the bar examinations. All that integration actually does is to provide an official national organization for the well-defined but unorganized and incohesive group of which every lawyer is already a member [In the matter of the IBP (1973)].

Rule 6.03.  A lawyer shall not, after leaving government service, accept engagement or employment in connection with any matter in which he had intervened while in said service. HOW GOVERNMENT LAWYERS MAY LEAVE GOVERNMENT SERVICE: (1) Retirement; (2) Resignation; (3) Expiration of the term of office; (4) Dismissal; (5) Abandonment.

The IBP is essentially a semi-governmental entity, a private organization endowed with certain governmental attributes. While it is composed of lawyers who are private individuals, the IBP exists to perform certain vital public functions and to assist the government particularly in the improvement of the administration of justice, the upgrading of the standards of the legal profession, and its proper regulation.

General rule: Practice of profession is allowed immediately after leaving public service. Exceptions: The lawyer cannot practice as to matters with which he had connection during his term. This prohibition lasts: (1) For one year, if he had not intervened; (2) Permanently, if he had intervened.

The basic postulate of the IBP is that it is nonpolitical in character and that there shall be neither lobbying nor campaigning in the choice of the IBP Officers. The fundamental assumption is that the officers would be chosen on the basis of professional merit and willingness and ability to serve. The unseemly ardor with which the candidates pursued the presidency of the association detracted from the dignity of the legal profession. The spectacle of lawyers bribing or being bribed to vote did not uphold the honor of the profession nor elevate it in the public’s esteem [In re: 1989 Elections of the IBP (1989)].

The “matter” contemplated are those that are adverse-interest conflicts (substantial relatedness and adversity between the government matter and the new client’ matter in interest) and congruent-interest representation conflicts. “Intervention” should be significant and substantial which can or have affected the interest of others [PCGG v. Sandiganbayan (2005)].

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OBJECTIVES AND PURPOSE OF THE IBP General Objectives (1) To elevate the standards of the legal profession; (2) To improve the administration of justice; (3) To enable the bar to discharge its public responsibility more effectively.

LEGAL AND JUDICIAL ETHICS

A membership fee in the IBP is an exaction for regulation, while the purpose of a tax is revenue. If the Court has inherent power to regulate the bar, it follows that as an incident to regulation, it may impose a membership fee for that purpose. It would not be possible to push through an Integrated Bar program without means to defray the concomitant expenses. The doctrine of implied powers necessarily includes the power to impose such an exaction [In the matter of the IBP (1973)].

Purposes (1) To assist in the administration of justice; (2) To foster and maintain on the part of its members high ideals of integrity, learning, professional competence, public service and conduct; (3) To safeguard the professional interest of its members; (4) To cultivate among its members a spirit of cordiality and brotherhood; (5) To provide a forum for the discussion of law,  jurisprudence, law reform, pleading, practice and procedure, and the relations of the bar to the bench and to the public, and publish information relating thereto; (6) To encourage and foster legal education; (7) To promote a continuing program of legal research in substantive and adjective law, and make reports and recommendations thereon.

A lawyer can engage in the practice of law only by paying his dues, and it does not matter if his practice is “limited.” Moreover, senior citizens are not exempted from paying membership dues [Santos v. Llamas (2000)]. In a case involving a Filipino lawyer staying abroad, the Supreme Court said that there is nothing in the law or rules, which allows his exemption from payment of membership dues. At most, he could have informed the Secretary of the Integrated Bar of his intention to stay abroad before he left. In such case, his membership in the IBP could have been terminated and his obligation to pay dues discontinued [Letter of Atty. Arevalo (2005)].

MEMBERSHIP AND DUES Rules of Court, Rule 139-A, Sec. 9. Every member of the IBP shall pay such annual dues as the Board of Governors shall determine with the approval of the Supreme Court. A fixed sum equivalent to ten percent of the collection from each Chapter shall be set aside as a Welfare Fund for disabled members of the Chapter and the compulsory heirs of deceased members thereof.

UPHOLDING THE DIGNITY INTEGRITY OF THE PROFESSION

&

Canon 7 . A lawyer shall at all times uphold the integrity and dignity of the legal profession and support the activities of the Integrated Bar. Rule 7.01. A lawyer shall be answerable for knowingly making a false statement or suppressing a material fact in connection with his application for admission to the bar.

Rules of Court, Rule 139-A, Sec. 10. Default in the payment of annual dues: (1) For six months shall warrant suspension of membership in the IBP; and (2) For one year shall be a ground for the removal of the name of the delinquent member from the roll of attorneys.

A lawyer must be a disciple of truth. While a lawyer has the solemn duty to defend his client’s rights and is expected to display the utmost zeal in defense of his client’s cause, his conduct must never be at the expense of truth [Young v. Batuegas (2003)]. Penalties: (1) Disqualification of the applicant from taking the bar, if the concealment is discovered before he takes the bar examinations;

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(2) Prohibition from taking the lawyer’s oath, if the concealment is discovered after the candidate has taken the bar examinations; or  (3) Revocation of license to practice, if the concealment was discovered after he has taken his lawyer’s oath [In re: Diao (1963)].

LEGAL AND JUDICIAL ETHICS

(4) Commission of fraud or falsehood.

COURTESY, FAIRNESS & CANDOR TOWARDS PROFESSIONAL COLLEAGUES Canon 8. A lawyer shall conduct himself with courtesy, fairness and candor toward his professional colleagues, and shall avoid harassing tactics against opposing counsel.

A declaration in one’s application for admission to the bar examinations that the applicant was “single”, when he was in fact married, was a gross misrepresentation of a material fact made in utter bad faith, for which the applicant should be made answerable. It indubitably exhibits lack of good moral character [Leda v. Tabang (1992)].

Lawyer DON’Ts:

(1) Take advantage of the excusable unpreparedness or absence of counsel during the trial of a case; (2) Make use, to his or to his client’s benefit, the secrets of the adverse party acquired through design or inadvertence; (3) Criticize or impute ill motive to the lawyer who accepts what in his opinion is a weak case; (4) Proceed to negotiate with the client of another lawyer to waive all kinds of claim when the latter is still handling the civil case [Camacho v. Pagulayan (2000)].

Rule 7.02 . A lawyer shall not support the application for admission to the bar of any person known by him to be unqualified in respect to character, education, or other relevant attribute. A lawyer should volunteer information or cooperate in any investigation concerning alleged anomaly in the bar examination so that those candidates who failed therein can be ferreted out and those lawyers responsible therefor can be disbarred [In re: Parazo (1948)].

Rule 8.01. A lawyer shall not, in his professional dealings, use language, which is abusive, offensive or otherwise improper.

A lawyer should not readily execute an affidavit of good moral character in favor of an applicant who has not live up to the standard set by law [Agpalo].

A lawyer should treat the opposing counsel and his brethren in the law profession with courtesy, dignity, and civility. They may do as adversaries do in law: strive mightily but eat and drink as friends [Valencia v. Cabanting (1991)].

Rule 7.03. A lawyer shall not engage in conduct that adversely reflects on his fitness to practice law, nor shall he, whether in public or private life, behave in a scandalous manner to the discredit of the legal profession.

Improper Language: (1) Behaving without due regard for the trial court and the opposing counsel and threatening the court that he would file a petition for certiorari [Bugaring v. Espanol (2001)]; (2) Filing of a civil case against the opposing counsel without justification but only to get a leverage in the pending case [Reyes v. Chiong (2003)]; (3) Calling an adverse counsel as “bobo” or using the word “ay que bobo” in reference to the manner of offering evidence [Castillo v. Padilla (1984)].

It is not necessary for a lawyer to be convicted for an offense before a lawyer can be disciplined for gross immorality [Agpalo]. Acts which adversely reflect on a lawyer’s fitness to practice law: (1) Having adulterous relationships or keeping mistresses; (2) Siring a child with a woman other than legal wife (Zaguirre v. Castillo (2003)); (3) Conviction of a crime involving moral turpitude;

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(4) In the absence of the adverse party’s counsel, interview the adverse party and question him as to the facts of the case even if the adverse party was willing to do so; (5) Sanction the attempt of his client to settle a litigated matter with the adverse party without the consent nor knowledge of the latter’s counsel.

Rule 8.02 . A lawyer shall not, directly or indirectly, encroach upon the professional employment of another lawyer; however, it is the right of any lawyer, without fear or favor, to give proper advice and assistance to those seeking relief against unfaithful or neglectful counsel. A lawyer MAY: (1) Accept employment to handle a matter previously handled by another lawyer: (a) Provided the other lawyer has been given notice of termination of service lest it amounts to an improper encroachment upon the professional employment of the original counsel (Laput v. Remotigue (1962)); or  (b) In the absence of a notice of termination from the client, provided he has obtained the conformity of the counsel whom he would substitute; or  (c) In the absence of such conformity, a lawyer must at least give sufficient notice to original counsel so that original counsel has the opportunity to protect his claim against the client. (2) Give advice or assistance to any person who seeks relief against an unfaithful or neglectful lawyer; (3) Associate as a colleague in a case,  provided he communicate with the original counsel before making an appearance as co-counsel: (a) Should the original lawyer object, he should decline association but if the original lawyer is relieved, he may come into the case; (b) Should it be impracticable for him, whose  judgment has been overruled by his cocounsel to cooperate effectively, he should ask client to relieve him.

NO ASSISTANCE IN UNAUTHORIZED PRACTICE OF LAW Canon 9. A lawyer shall not, directly or indirectly, assist in the unauthorized practice of law. Examples of practice of law: (1) Legal advice and instructions to clients to inform them of their rights and obligations; (2) Preparation for clients of documents requiring knowledge of legal principles not possessed by ordinary laymen; (3) Appearance for clients before public tribunals, whether, administrative, quasi judicial or legislative agency. Examples of unauthorized practice of law: (1) Appearing as counsel even before taking lawyer’s oath [Aguirre v. Rana (2003)]; (2) Using the title “Attorney” in his name even though he is a Shari’a lawyer [Alawi v. Alauya (1997)]. A corporation cannot engage in the practice law directly or indirectly. It may only hire in-house lawyers to attend to its legal business. A corporation cannot employ a lawyer to appear for others for its benefit. A corporation cannot perform the conditions required membership to the bar. In addition, the confidential and trust relation between an attorney and his client cannot arise if the attorney is employed by a corporation.

A lawyer MAY NOT: (1) Steal another lawyer’s client; (2) Induce a client to retain him by promise of better service, good result or reduced fees for his services; (3) Disparage another lawyer, make comparisons or publicize his talent as a means to further his law practice;

NOT allowed: (1) Automobile club that solicits membership by advertising that it offers free legal services of its legal department to members; (2) Collection agency or credit exchange that exploits lawyer’s services;

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(3) Bank using lawyer’s name as director in advertising its services in drawing wills and other legal documents.

LEGAL AND JUDICIAL ETHICS

Ratio: Allowing non-lawyers to get attorney’s fees would confuse the public as to whom they should consult. It would leave the bar in a chaotic condition because non-lawyers are also not subject to disciplinary action.

Unauthorized practice of law applies to both non-lawyers and lawyers prohibited from the private practice of law. Rule 9.01. A lawyer shall not delegate to any unqualified person the performance of any task which by law may only be performed by a member of the bar in good standing.

An agreement between a union lawyer and a layman president of the union to divide equally the attorney’s fees that may be awarded in a labor case violates this rule, and is illegal and immoral [Amalgamated Laborers Assn. v. CIR (1968)].

Ratio: The practice of law is limited only to individuals who have the necessary educational qualifications and good moral character. Moreover, an attorney-client relationship is a strictly personal one.

A donation by a lawyer to a labor union of part of his attorney’s fees taken from the proceeds of a judgment secured by him for the labor union is improper because it amounts to a rebate or commission [Halili v. CIR (1965)].

The following may only be undertaken by a lawyer: (1) The computation and determination of the period within which to appeal an adverse  judgment [Eco v. Rodriguez (1960)]; (2) The examination of witnesses or the presentation of evidence [Robinson v. Villafuerte (1911)].

A contract between a lawyer and a layman granting the latter a percentage of the fees collected from clients secured by the layman and enjoining the lawyer not to deal directly with said clients is null and void, and the lawyer may be disciplined for unethical conduct [Tan Tek Beng v. David (1983)]. While non-lawyers may appear before the NLRC or any labor arbiter, they are still not entitled to receive professional fees. The statutory rule that an attorney shall be entitled to have and recover from his client a reasonable compensation or remuneration for the services they have rendered presupposes the existence of an attorney-client relationship.

Tasks that may be delegated to non-lawyers: (1) The examination of case law; (2) Finding and interviewing witnesses; (3) Examining court records; (4) Delivering papers and similar matters.

Rule 9.02 . A lawyer shall not divide or stipulate to divide a fee for legal services with persons not licensed to practice law, except: (a) Where there is a pre-existing agreement with a partner or associate that, upon the latter’s death, money shall be paid over a reasonable period of time to his estate or to persons specified in the agreement; or (b) Where a lawyer undertakes to complete unfinished legal business of a deceased lawyer; or (c) Where a lawyer or law firm includes nonlawyer employees in a retirement plan, even if the plan is based in whole or in part, on a profitable sharing arrangement.

Such a relationship cannot exist when the client’s  representative is a non-lawyer [Five J Taxi v. NLRC (1994)].

TO THE COURTS CANDOR, FAIRNESS & GOOD FAITH TOWARDS THE COURTS Canon 10. A lawyer owes candor, fairness and good faith to the court.

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A lawyer is, first and foremost, an officer of the court. Accordingly, should there be a conflict between his duty to his client and that to the court, he should resolve the conflict against the former and in favor of the latter, his primary responsibility being to uphold the cause of  justice [Cobb Perez v. Lantin (1968)].

LEGAL AND JUDICIAL ETHICS

A lawyer who deliberately made it appear that the quotations in his motion for reconsiderations were findings of the Supreme Court, when they were just part of the memorandum of the Court Administrator, and who misspelled the name of the complainant and made the wrong citation of authority is guilty of violation of this rule [COMELEC v. Noynay (1998)].

Candor in all of the lawyer’s dealings is the very essence of honorable membership in the legal profession [Cuaresma v. Daquis (1975)].

It is the bounden duty of courts, judges and lawyers to reproduce or copy the same wordfor-word and punctuation mark-for-punctuation mark the decisions of the Supreme Court. Ever present is the danger that if not faithfully and exactly quoted, the decisions and rulings may lose their proper and correct meaning, to the detriment of other courts, lawyers and the public who may thereby be misled [Insular Life Employees Co. v. Insular Life Association (1971)].

A lawyer’s conduct before the court should be characterized by candor and fairness. The administration of justice would gravely suffer if lawyers do not act with complete candor and honesty before the courts [Serena v. Sandiganbayan (2008)]. A lawyer must be a disciple of truth. While a lawyer has the solemn duty to defend his client’s cause, his conduct must never be at the expense of truth [Young v. Batuegas (2003)].

The legal profession demands that lawyers thoroughly go over pleadings, motions and other documents dictated or prepared by them, typed or transcribed by their secretaries or clerks, before filing them with the court. If a client is bound by the acts of his counsel, with more reason should counsel be bound by the acts of his secretary who merely follows his orders [Adez Realty, Inc. v. CA (1992)].

Rule 10.01. A lawyer shall not do any falsehood, nor consent to the doing of any in court; nor shall he mislead, or allow the court to be misled by any artifice. A lawyer should not conceal the truth from the court, nor mislead the court in any manner no matter how demanding his duties to clients may be. His duties to his client should yield to his duty to deal candidly with the court. For no client is entitled to receive from the lawyer any service involving dishonesty to the courts [Comments of IBP Committee].

Rule 10.03. A lawyer shall observe the rules of procedure and shall not misuse them to defeat the ends of justice. Filing multiple actions constitutes an abuse of the court’s processes. Those who file multiple or repetitive actions subject themselves to disciplinary action for incompetence or willful violation of their duties as attorneys to act with good fidelity to the courts, and to maintain only such actions that appear to be just and consistent with truth and honor [Olivares v. Villalon (2007)].

Rule 10.02.  A lawyer shall not knowingly misquote or misrepresent the contents of a paper, the language or the argument of opposing counsel, or the text of a decision or authority, or knowingly cite as law a provision already rendered inoperative by repeal or amendment, or assert as a fact that which has not been proved.

A lawyer should not abuse his right of recourse to the courts for the purpose of arguing a cause that had been repeatedly rebuffed. [Garcia v. Francisco (1993)].

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PROPER ATTIRE : Long-sleeve Barong Tagalog or coat and tie : Semi-formal attires : same attire as above in addition to black robes

RESPECT FOR COURTS & JUDICIAL OFFICERS Canon 11. A lawyer shall observe and maintain the respect due to the courts and to judicial officers and should insist on similar conduct by others.

Courts have ordered a male attorney to wear a necktie and have prohibited a female attorney from wearing a hat. However, the permission of a dress with a hemline five inches above the knee was held to be acceptable as such “had become an accepted mode of dress even in places of worship” [Aguirre (2006)]

Observing respect due to the courts means that a lawyer should conduct himself toward judges: (1) With courtesy everyone is entitled to expect [Paragas v Cruz (1965)]; (2) With the propriety and dignity required by the courts [Salcedo v Hernandez (1935)]. Lawyers are duty bound to uphold the dignity and authority of the Court to promote the administration of justice. Respect to the courts guarantees the stability of other institutions. [In re: Sotto (1949)].

Rule 11.02 . A lawyer shall punctually appear at court hearings. Inexcusable absence from, or repeated tardiness in, attending a pre-trial or hearing may subject the lawyer to disciplinary action as his actions show disrespect to the court and are therefore considered contemptuous behavior [Agpalo].

If a pleading containing derogatory, offensive and malicious statements is submitted in the same court or judge in which the proceedings are pending, it is direct contempt, equivalent as it is to a misbehavior committed in the presence of or so near a court or judge as to interrupt the administration of justice. Direct contempt is punishable summarily  [In re: Letter of Atty. Sorreda (2006)].

Non-appearance at hearings on the ground that the issue to be heard has become moot and academic is a lapse in judicial propriety [De Gracia v. Warden of Makati (1976)]. Rule 11.03.  A lawyer shall abstain from scandalous, offensive or menacing language or behavior before the courts.

Liberally imputing sinister and devious motives and questioning the impartiality, integrity, and authority of the members of the Court result in the obstruction and perversion of the dispensation of justice [Estrada v. Sandiganbayan (2000)].

A lawyer’s language should be forceful but dignified, emphatic but respectful, as befitting an advocate and in keeping with the dignity of the legal profession [Surigao Mineral Reservation Board v. Cloribel (1970)].

Rule 11.01.  A lawyer shall appear in court properly attired.

Lawyers may use strong language to drive home a point; they have a right to be in pursuing a client’s cause [The British Co. v De Los Angeles (1975)].

Respect begins with the lawyer’s outward physical appearance in court. Sloppy or informal attire adversely reflects on the lawyer and demeans the dignity and solemnity of court proceedings. A lawyer who dresses improperly may be cited with contempt [Agpalo].

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However, the use of abusive language by counsel against the opposing counsel constitutes at the same time a disrespect to the dignity of the court justice. Moreover, the use of impassioned language in pleadings, more often than not, creates more heat than light [Buenaseda v. Flavier (1993)].

LEGAL AND JUDICIAL ETHICS

Rule 11.05. A lawyer shall submit grievances against a Judge to the proper authorities only.

Can still act as counsel for clients who have legitimate grievances against them.

Lawyers cannot resort to scurrilous remarks that have the tendency to degrade the courts and destroy the public confidence in them [In re:  Almacen (1970)].

However, the lawyer shall not file an administrative case until he has exhausted  judicial remedies which result in a finding that the judge has gravely erred [Agpalo].

The court does not close itself to comments and criticisms so long as they are fair and dignified. Going beyond the limits of fair comments by using insulting, disparaging and, intemperate language necessitates and warrants a rebuke from the court. While it is expected of lawyers to advocate their client’s cause, they are not at liberty to resort to arrogance, intimidation and innuendo [Sangalang v. IAC (1988)].

It has been held in Maceda v. Vasquez  that in criminal complaints against a judge or other court employees arising from their administrative duties, the Ombudsman must defer action and refer the same to the Supreme Court for determination whether said judges or court employees acted within the scope of their administrative duties.

Rule 11.04. A lawyer shall not attribute to a Judge motives not supported by the record or have no materiality to the case.

Otherwise, in the absence of any administrative action, the investigation being conducted by the Ombudsman encroaches into the court’s power of administrative supervision over all courts and its personnel, in violation of the doctrine of separation of powers.

The rule allows criticism so long as it is supported by the record or it is material to the case. A lawyer’s right to criticize the acts of courts and judges in a proper and respectful way and through legitimate channels is well recognized [Agpalo]. The cardinal condition of all such criticism is that it shall be bona fide, and shall not spill over the wall of decency and propriety [Zaldivar v. Gonzales (1989)].

ASSISTANCE IN THE SPEEDY & EFFICIENT ADMINISTRATION OF JUSTICE Canon 12 . A lawyer shall exert every effort and consider it his duty to assist in the speedy and efficient administration of justice.

Any serious accusation against a judicial officer that is utterly baseless, unsubstantiated and unjustified shall not be countenanced [Go v.  Abrogar].

Const. Art. III, Sec. 6. All persons shall have the right to a speedy disposition of their cases before all judicial, quasi-judicial, or administrative bodies.

The constitutional right to freedom of expression of members of the bar may be circumscribed by their ethical duties as lawyers to give due respect to the courts and to uphold the public’s faith in the legal profession and the  justice system [Re: Letter of UP Faculty (2011)].

Rules of Court, Rule 138, Sec. 20(g). It is the duty of an attorney not to encourage either the commencement or the continuance of an action or proceeding or delay any man’s cause from any corrupt motive or interest.

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The filing of another action containing the same subject matter, in violation of the doctrine of res  judicata, runs contrary to this canon [Siy Lim v. Montano (2006)].

LEGAL AND JUDICIAL ETHICS

CIRCUMSTANCE OF FORUM SHOPPING (1) When, as a result or in anticipation of an adverse decision in one forum, a party seeks a favorable opinion in another forum through means other than appeal or certiorari by raising identical causes of action, subject matter and issues. (2) The institution of two or more actions involving the same parties for the same cause of action, either simultaneously or successively, on the supposition that one or the other court would come out with a favorable disposition [Brown-Araneta v.  Araneta (2013)].

Rule 12.01. A lawyer shall not appear for trial unless he has adequately prepared himself on the law and the facts of his case, the evidence he will adduce and the order of its proferrence. He should also be ready with the original documents for comparison with the copies. Without adequate preparation, the lawyer may not be able to effectively assist the court in the efficient administration of justice.

An indicium of the presence of, or the test for determining whether a litigant violated the rule against, forum shopping is where the elements of litis pendentia  are present or where a final  judgment in one case will amount to res judicata in the other case.

NON-OBSERVANCE OF PREPARATION: (1) The postponement of the pre-trial or hearing, which would thus entail delay in the early disposition of the case; (2) The judge may consider the client non-suited or in default; (3) The judge may consider the case deemed submitted for decision without client’s evidence, to his prejudice [Agpalo]).

FOR THE BAR OF LITIS PENDENTIA  TO BE INVOKED, THE CONCURRING REQUISITES MUST BE PRESENT: (1) Identity of parties, or at least such parties as represent the same interests in both actions; (2) Identity of rights asserted and relief prayed for, the relief being founded on the same facts; and (3) Identity of the two preceding particulars is such that any judgment rendered in the pending case, regardless of which party is successful, would amount to res judicata in the other [HSBC v. Catalan (2004)].

Half of the work of the lawyer is done in the office. It is spent in the study and research. Inadequate preparation obstructs the administration of justice [ Martin’s Legal Ethics (1988)]. A newly hired counsel who appears in a case in the midstream is presumed and obliged to acquaint himself with all the antecedent processes and proceedings that have transpired in the record prior to his takeover [Villasis v. CA (1974)].

RES JUDICATA REQUIRES

THAT: (1) There be a decision on the merits by a court of competent jurisdiction; (2) The decision is final; and (3) The two actions involved identical parties, subject matter, and causes of action.

Rule 12.02 . A lawyer shall not file multiple actions arising from the same cause. : There is an affirmative duty of a lawyer to check against useless litigations. His signature in every pleading constitutes a certificate by him that to the best of his knowledge there is a good ground to support it and that it is not to interpose for delay. The willful violation of this rule may subject him to appropriate disciplinary action or render him liable for the costs of litigation [Agpalo].

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COMPLAINT SHOULD BE CERTIFIED CONTAINING: (1) He has not theretofore commenced any action or filed any claim involving the same issues in any court, tribunal or quasi-judicial agency and, to the best of his knowledge, no such other action or claim is pending therein; if there is such other pending action or claim, a complete statement of the present status thereof; and (2) If he should thereafter learn that the same or similar action or claim has been filed or is pending, he shall report that fact within five days there from to the court wherein his aforesaid complaint or initiatory pleading has been filed.

LEGAL AND JUDICIAL ETHICS

Rule 12.03. A lawyer shall not, after obtaining extensions of time to file pleadings, memoranda or briefs, let the period lapse without submitting the same or offering an explanation for his failure to do so. The court censures the practice of counsels who secures repeated extensions of time to file their pleadings and thereafter simply let the period lapse without submitting the pleading on even an explanation or manifestation of their failure to do so. There exists a breach of duty not only to the court but also to the client [Achacoso v. CA (1973)]. An attorney is bound to protect his client’s interest to the best of his ability and with utmost diligence. A failure to file brief for his client certainly constitutes inexcusable negligence on his part [Ford v. Daitol (1995)].

Rules of Court, Rule 7, Sec. 5. Failure to comply with the foregoing requirements shall not be curable by mere amendment of the complaint or other initiatory pleading but shall cause for the dismissal of the case without prejudice, unless otherwise provided, upon motion after hearing.

Rule 12.04. A lawyer shall not unduly delay a case, impede the execution of a judgment or misuse court processes.

Submission of a false certification or noncompliance with any of the undertakings in a certification of no forum shopping Shall constitute indirect contempt of court; Without prejudice to the corresponding administrative and criminal actions.

It is one thing to exert to the utmost one’s ability to protect the interest of one’s client. It is quite another thing to delay if not defeat the recovery of what is justly due and demandable due to the misleading acts of a lawyer [Manila Pest Control v. WCC (1968)].

If acts of the party or his counsel constitute  willful and deliberate forum shopping: (1) Be a ground for summary dismissal with prejudice; (2) Constitute direct contempt; (3) Be a cause for administrative sanctions.

Once a judgment becomes final and executory, the prevailing party should not be denied the fruits of his victory by some subterfuge devised by the losing part. Unjustified delay in the enforcement of a judgment sets at naught the role of courts in disposing justiciable controversies with finality [Aguilar v. Manila Banking Corporation (2006)].

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The rule against forum shopping and the requirement that a certification to that effect be complied with in the filing of complaints, petitions or other initiatory pleadings in all courts and agencies applies to quasi-judicial bodies, such as the NLRC or Labor Arbiter [Agpalo].

Rule 12.05. A lawyer shall refrain from talking to his witness during a break or recess in the trial, while the witness is still under examination.

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: The purpose is to prevent the suspicion that he is coaching the witness what to say during the resumption of the examination; to uphold and maintain fair play with the other party and to prevent the examining lawyer from being tempted to coach his own witness to suit his purpose [Callanta, Legal and Judicial Ethics Reviewer].

LEGAL AND JUDICIAL ETHICS

PD 1829   penalizes

the following acts: (1) Threatening directly or indirectly another with the infliction of any wrong upon his person, honor or property or that of any immediate member or members of his family in order to prevent such person from appearing in the investigation of, or official proceedings in, criminal cases, or imposing a condition, whether lawful or unlawful, in order to prevent a person from appearing in the investigation of or in official proceedings in, criminal cases; (2) Giving of false or fabricated information to mislead or prevent the law enforcement agencies from apprehending the offender or from protecting the life or property of the victim; or fabricating information from the data gathered in confidence by investigating authorities for purposes of background information and not for publication and publishing or disseminating the same to mislead the investigator or to the court.

Rule 12.06 . A lawyer shall not knowingly assist a witness to misrepresent himself or to impersonate another. Revised Penal Code, Art. 184.  The lawyer who presented a witness knowing him to be a false witness is criminally liable for offering false testimony in evidence. The lawyer is both criminally and administratively liable. Subornation of perjury is committed by a person who knowingly and willfully procures another to swear falsely and the witness suborned [or induced] does testify under circumstances rendering him guilty of perjury [US v. Ballena (1911)].

Rule 12.08. A lawyer shall avoid testifying in behalf of his client, except: (a) On formal matters, such as the mailing, authentication or custody of an instrument, and the like; or (b) On substantial matters, in cases where his testimony is essential to the ends of justice, in which event he must, during his testimony, entrust the trial of the case to another counsel.

Rule 12.07 . A lawyer shall not abuse, browbeat or harass a witness nor needlessly inconvenience him. RIGHTS OF WITNESSES [Rules of Court, Rule 132, Sec. 3.] (1) To be protected from irrelevant, improper or insulting questions and from a harsh or insulting demeanor; (2) Not to be detained longer than the interests of justice require (3) Not to be examined except as to matters pertinent to the issues before the court; (4) Not to give an answer which will tend to subject him to a penalty for an offense unless otherwise provided by law; (5) Not to give an answer which will tend to degrade the witness’ reputation, but a witness must answer the fact of any previous final conviction for a criminal offense.

: The underlying reason for the impropriety of a lawyer acting in such dual capacity lies in the difference between the function of a witness and that of an advocate. The function of a witness is to tell the facts as he recalls then in answer to questions. The function of an advocate is that of a partisan.

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It is difficult to distinguish between the zeal of an advocate and the fairness and impartiality of a disinterested witness. The lawyer will find it hard to disassociate his relation to his client as an attorney and his relation to the party as a witness [Agpalo].

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When a lawyer is a witness for his client, except as to merely formal matters, such as the attestation or custody of an instrument and the like, he should leave the trial of the case to other counsel. Except when essential to the ends of  justice, a lawyer should avoid testifying in court in behalf of his client [PNB v. Uy Teng Piao (1932)].

LEGAL AND JUDICIAL ETHICS

: Newspaper publications regarding a pending or anticipated litigation may interfere with a fair trial, prejudice the administration of  justice, or subject a respondent or an accused to a trial by publicity and create a public inference of guilt against him [Agpalo].

RELIANCE ON MERITS OF HIS CAUSE & AVOIDANCE OF ANY IMPROPRIETY WHICH TENDS TO INFLUENCE OR GIVES THE APPEARANCE OF INFLUENCE UPON THE COURTS

. A lawyer enjoys wider latitude to comment or criticize the actions of the judge than pending litigation [In re: Lozano (1930)].

Canon 13. A lawyer shall rely upon the merits of his cause and refrain from any impropriety which tends to influence, or gives the appearance of influencing the court.

In the original decision of the Supreme Court in Re: Request Radio-TV Coverage of the Trial in the Sandiganbayan of the Plunder Cases against Former President Joseph Estrada (2001), it was stated that the propriety of granting or denying the petition involve the weighing out of the constitutional guarantees of freedom of the press and the right to public information, on the one hand, and the fundamental rights of the accused, on the other hand, along with the constitutional power of a court to control its proceedings in ensuring a fair and impartial trial. It was held that when these rights race against one another, the right of the accused must be preferred to win, considering the possibility of losing not only the precious liberty but also the very life of an accused.

Rule 13.01. A lawyer shall not extend extraordinary attention or hospitality to, nor seek opportunity for cultivating familiarity with Judges. Canon 3, Code of Professional Ethics also provide that a lawyer should avoid marked attention and unusual hospitality to a judge uncalled for by the personal relations of the parties because they subject him and the judge to misconceptions of motives. In order not to subject both the judge and the lawyer to suspicion, the common practice of some lawyers of making judges and prosecutors godfathers of their children to enhance their influence and their law practice should be avoided by judges and lawyers alike [Report of IBP Committee].

In the resolution of the motion for reconsideration, the Supreme Court allowed the video recording of proceedings, but provided that the release of the tapes for broadcast should be delayed. In so doing, concerns that those taking part in the proceedings will be playing to the cameras and will thus be distracted from the proper performance of their roles –  whether as counsel, witnesses, court personnel, or judges – will be allayed.

It is improper for a litigant or counsel to see a  judge in chambers and talk to him about a matter related to the case pending in the court of said judge [Austria v. Masaquel (1967)].

Rule 13.03.  A lawyer shall not brook or invite interference by another branch or agency of the government in the normal course of judicial proceedings.

Rule 13.02 . A lawyer shall not make public statements in the media regarding a pending case tending to arouse public opinion for or against a party.

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: The rule is based upon the principle of separation of powers [ Aguirre (2006)].

LEGAL AND JUDICIAL ETHICS

RA 9999, Free Legal Assistance Act of 2010. It is a declared policy of the state to value the dignity of every human person and guarantee the rights of every individual, particularly those who cannot afford the services of counsel

A complaint against justices cannot be filed with the Office of the President [Maglasang v. People (1990)].

RA 9999 provides incentives for free legal service. Thus, a lawyer or professional partnerships rendering actual free legal services shall be entitled to an allowable deduction from the gross income, the amount that could have been collected for the actual free legal services rendered or up to 10% of the gross income derived from the actual performance of legal profession, whichever is lower.

RELATED TO Canon 11, Rule 11.5A lawyer shall submit grievances against a Judge to the proper authorities only.

TO THE CLIENTS THE ATTORNEY-CLIENT RELATIONSHIP IS: (1) Strictly personal; (2) Highly confidential; (3) Fiduciary.

 from the 60-hour mandatory legal aid services under Bar Matter 2012 . INDIGENT: A person who has no visible means of income or whose income is insufficient for the subsistence of his family, to be determined by the fiscal or judge, taking into account the members of his family dependent upon him for subsistence (Section 2, RA 6033). A person who has no visible means of support or whose income does not exceed P300.00 per month or whose income even in excess of P300.00 per month is insufficient for the subsistence of his family (Section 2, RA 6035).

The contract of employment of a counsel may be express (oral or written) or implied.

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A  between the counsel and the client is the best evidence to show the presence of an attorney-client relationship. However, it is  for the employment of an attorney.

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AVAILABILITY OF SERVICE WITHOUT DISCRIMINATION Canon 14. A lawyer shall not refuse his services to the needy.

LAWS THAT TREATS INDIGENT OR LOW INCOME LITIGANTS: (1) (Section 1, RA 6033) All courts shall give preference to the hearing and/or disposition of criminal cases where an indigent is involved either as the offended party or accused. (2) (Section 1, RA 6034) Any indigent litigant may, upon motion, ask the Court for adequate travel allowance to enable him and his indigent witnesses to attendant the hearing of a criminal case commenced by his complaint or filed against him. The allowance shall cover actual transportation expenses by the cheapest means from his place of residence to the court and back.

SERVICES REGARDLESS OF A PERSON’S

STATUS Rule 14.01. A lawyer shall not decline to represent a person solely on account of the latter’s race, sex, creed or status of life, or because of his own opinion regarding the guilt of said person. Rules of Court, Rule 138, Sec. 20(i). It is the duty of an attorney, in the defense of a person accused of a crime, by all fair and honorable means, regardless of his personal opinion as to the guilt of the accused, to present every defense that the law permits, to the end that no person may be deprived of life or liberty, but by due process of law.

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When the hearing of the case requires the presence of the indigent litigant and/or his indigent witnesses in court the whole day or for two or more consecutive days, allowances may, in the discretion of the Court, also cover reasonable expenses for meal and lodging. (3) (Section 1, RA 6035) A stenographer who has attended a hearing before an investigating fiscal or trial judge or hearing commissioner of any quasi-judicial body or administrative tribunal and has officially taken notes of the proceeding thereof shall, upon written request of an indigent or low income litigant, his counsel or duly authorized representative in the case concerned, give within a reasonable period to be determined by the fiscal, judge, commissioner or tribunal hearing the case, a free certified transcript of notes take by him on the case.

LEGAL AND JUDICIAL ETHICS

Counsel De Oficio - Appointed or assigned by the court from among members of the bar in good standing who, by reason of their experience and ability. A counsel de oficio  is expected to render effective service and to exert his best efforts on behalf of an indigent accused. MAY BE APPOINTED COUNSEL DE OFICIO: (1) A member of the bar in good standing; (2) In localities without lawyers: (a) Any person of good repute for probity and ability (Section 7, Rule 116); (b) A municipal judge or a lawyer employed in any branch, subdivision or instrumentality of the government within the province (Section 1, PD 543). THINGS TO CONSIDER IN THE APPOINTMENT OF A COUNSEL DE OFICIO: (1) Gravity of the offense; (2) Difficulty of the questions that may arise; (3) Experience and ability of the appointee.

SERVICES AS COUNSEL DE OFICIO Rule 14.02 . A lawyer shall not decline, except for serious and sufficient cause, an appointment as counsel de oficio or as amicus curiae, or a request from the Integrated Bar of the Philippines or any of its chapters for rendition of free legal aid.

(a) Before arraignment, the court shall inform the accused of his right to counsel and ask him if he desires to have one. The court must assign a counsel de oficio to defend him, unless the accused is allowed to defend himself in person, or has employed counsel of his choice (Section 6, Rule 116); (b) It is the duty of the clerk of the trial court, upon filing of a notice of appeal, to ascertain from the appellant, if confined in prison, whether he desires the Regional Trial Court, Court of Appeals or the Supreme Court to appoint a counsel de oficio; (c) If it appears from the record that: (a) the accused is confined in prison, (b) is without counsel de parte on appeal, or (c) has signed the notice of appeal himself, the clerk of Court of Appeals shall designate a counsel de oficio [Agpalo]).

Rules of Court, Rule 138, Sec. 20(h) It is the duty of an attorney never to reject for any consideration personal to himself the cause of the defenseless or oppressed ; Rules of Court, Rule 138, Sec. 31. A court may assign an attorney to render professional aid free of charge to any party in a case if upon investigation it appears that the party is destitute and unable to employ an attorney and that the services of counsel are necessary to secure the ends of justice and to protect the rights of the party. It shall be the duty of the attorney so assigned to render the required service unless he is excused therefrom by the court for sufficient cause shown. Counsel De Parte  - Employed or retained by the party himself.

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If a lawyer volunteers his services to a client, and therefore not entitled to attorney’s fees, he is still bound to attend to a client’s case with all due diligence and zeal. By volunteering his services, he has established a client-lawyer relationship [Blanza v. Arcangel (1967)].

Rules of Court, Rule 124, Sec. 2. An appellant who is not confined in prison may, upon request, be assigned a counsel de oficio within ten days from receipt of the notice to file brief and he establishes his right thereto. A lawyer ought to know that membership in the bar is a privilege burdened with conditions. It could be that for some lawyers, especially the neophytes in the profession, being appointed counsel de oficio is an irksome chore. For those holding such belief, it may come as a surprise that counsel of repute and of eminence welcome such an opportunity. It makes even more manifest that law is indeed a profession dedicated to the ideal of service and not a mere trade [Ledesma v. Climaco (1974)].

CANDOR, FAIRNESS AND LOYALTY TO CLIENTS Canon 15. A lawyer shall observe candor, fairness and loyalty in all his dealings and transactions with his clients. CONFIDENTIALITY RULE Rule 15.01. A lawyer, in conferring with a prospective client, shall ascertain as soon as practicable whether the matter would involve a conflict with another client or his own interest, and if so, shall forthwith inform the prospective client.

VALID GROUNDS FOR REFUSAL Rule 14.03. A lawyer may not refuse to accept representation of an indigent client unless: (a) He is in no position to carry out the work effectively or competently; (b) He labors under a conflict of interest between him and the prospective client or between a present client and the prospective client.

The purpose of the rule of confidentiality is actually to protect the client from possible breach of confidence as a result of a consultation with a lawyer [Hadjula v. Madianda (2007)]. Should be kept in mind: (1) A confidential communication refers to information transmitted by voluntary act of disclosure between attorney and client in confidence and by means which so far as the client is aware, discloses the information to no third person other than one reasonably necessary for the transmission of the information or the accomplishment of the purpose for which it was given [Mercado v. Vitriolo (2005)]. (2) There is a difference between confidences and secrets of clients. While confidences refer to information protected by attorneyclient privilege under the Rules of Court (i.e., information pertinent to the case being handled), secrets are those other information gained in the professional relationship that the client has requested to be held inviolate or the disclosure of which would be embarrassing or would likely be detrimental to client (i.e., information not exactly pertinent to case).

A lawyer shall not decline an appointment as counsel de oficio  or as amicus curiae, or a request from the IBP or any of its chapters for rendition of free legal aid except  for serious and sufficient cause. The reason is that one of the burdens of the privilege to practice law which an attorney voluntarily assumed when he took his oath as a lawyer is to render, when so required by the court, free legal services to indigent litigant. Under Rule 2.02, Canon 2 , even if the lawyer does not accept a case, he shall not refuse to render legal advice to the person concerned if only to the extent necessary to safeguard the latter’s rights. Rule 14.04. A lawyer who accepts the cause of a person unable to pay his professional fees shall observe the same standard of conduct governing his relations with paying clients.

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(3) The intent of client to make communication confidential must be apparent. But once conveyed to lawyer, confidentiality attaches not only to statements but also to other forms of communication. (4) Communication may be transmitted by any form of agency, such as a messenger, an interpreter or any other form of transmission. It is immaterial whether the agent is the agent of the attorney, the client or both. (5) The question of privilege determined by court. The burden of proof is on the party who asserts the privilege.

LEGAL AND JUDICIAL ETHICS

(3) Legal advice must be sought from the attorney in his professional capacity with respect to communications relating to that purpose. The information is not privileged if the advice is not within lawyer’s professional capacity; (4) The client must intend the communication be confidential. Includes: (1) The privilege against disclosure of confidential communications or information is limited only to communications which are legitimately and properly within the scope of a lawful employment of a lawyer. It does not extend to those made in contemplation of a crime or perpetration of a fraud. It is not within the profession of a lawyer to advise a client as to how he may commit a crime. Thus, the attorney-client privilege does not attach, there being no professional employment in the strict sense (Genato v. Silapan (2003)). (2) Confidentiality embraces not only oral or written statements but actions, signs or other means of communications.

Canon 21 enjoins a lawyer to preserve the confidence and secrets of his client even after the attorney-client relation is terminated. PRIVILEGED COMMUNICATIONS Rule 15.02 . A lawyer shall be bound by the rule on privileged communication in respect of matters disclosed to him by a prospective client. Rules of Court, Rule 130, Sec. 24(b). An assignee of the client’s interest may claim the privilege as far as the communication affects the realization of the assigned interest.

People entitled to claim privilege: Generally, the privilege covers the lawyer, client and third persons who by reason of their work have acquired information about the case being handled, including: (a) The attorney’s secretary, stenographer and clerk; (b) The interpreter, messengers, or agents transmitting communication; (c) An accountant, scientist, physician, engineer who has been hired for effective consultation;

An attorney cannot, without the consent of his client, be examined as to any communication made by the client to him or his advice given thereon in the course of professional employment; nor can an attorney’s secretary, stenographer, or clerk be examined, without the consent of the client and his employer, concerning any fact the knowledge of which has been acquired in such capacity. Requisites: (1) The person to whom information is given is a lawyer. However, if a person is pretending to be a lawyer and client discloses confidential communications, the attorney-client privilege applies; (2) There is legal relationship existing, except in cases of prospective clients;

Requisites for information to be considered privilege: (1) There is an attorney-client relationship or a kind of consultancy requirement with a prospective client; (2) The communication was made by the client to the lawyer in the course of the lawyer’s professional employment; (3) The communication must be intended to be confidential.

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Exceptions: (1) When a lawyer is accused by the client and he needs to reveal information to defend himself; (2) When the client discloses the intention to commit a crime or unlawful act [Aguirre (2006)].

(3) Where the government's lawyers have no case against an attorney's client unless, by revealing the client’s name, the said name would furnish the only link that would form the chain of testimony necessary to convict an individual of a crime, the client's name is privileged.

For attorney-client privilege to apply, however, the period to be considered is the date when the privileged communication was made by the client to the attorney in relation to either a crime committed in the past or with respect to a crime intended to be committed in the future. If the crime was committed in the part, the privilege applies. If it is still to be committee, the privilege does not apply, because the communication between a lawyer and his client must be for a lawful purpose or in furtherance of a lawful end to be privileged [People v. Sandiganbayan (1996)].

Information relating to the identity of the client may fall within the ambit of the privilege when the client’s name itself has an independent significance, such that disclosure would then reveal client confidences [Regala v. Sandiganbayan (1996)]. General rule: The protection given to the client is perpetual and does not cease with the termination of the litigation, nor is it affected by the client’s ceasing to employ the attorney and retaining another, or by any other change of relation between them. It even survives the death of the client [Bun Siong Yao v. Aurelio (2006)].

General rule: As a matter of public policy, a client’s identity should not be shrouded in mystery. Thus, a lawyer may not invoke the privilege and refuse to divulge the name or identity of this client.

Exception: Some privileged communications lose their privileged character by some supervening act done pursuant to the purpose of the communication (e.g., a communication intended by the client to be sent to a third person through his attorney loses confidential character once it reached the third party).

: (1) The court has a right to know that the client whose privileged information is sought to be protected is flesh and blood; (2) The privilege begins to exist only after the attorney-client relationship has been established. The attorney-client privilege does not attach until there is a client. (3) The privilege generally pertains to the subject matter of the relationship. (4) Due process considerations require that the opposing party should, as a general rule, know his adversary.

Examples of privileged matters: (1) Work product of lawyer (his effort, research and thought contained in his file); (2) A report of a physician, an accountant, an engineer or a technician, whose services have been secured by a client as part of his communication to his attorney or by the attorney to assist him render effective legal assistance to his client; (3) Records concerning an accident in which a party is involve; (4) Consultation which has to do the preparation of a client to take the witness stand.

Principal exceptions: (1) Client identity is privileged where a strong probability exists that revealing the client's name would implicate that client in the very activity for which he sought the lawyer's advice. (2) Where disclosure would open the client to civil liability, his identity is privileged.

CONFLICT OF INTEREST Rule 15.03. A lawyer shall not represent conflicting interests except by written consent of all concerned given after a full disclosure of the facts.

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There is conflict of interest when a lawyer represents inconsistent interests of two or more opposing parties. The test is “whether or not in behalf of one client, it is the lawyer’s duty to fight for an issue or claim, but it is his duty to oppose it for the other client. In brief, if he argues for one client, this argument will be opposed by him when he argues for the other client” [Hornilla v. Salunat (2003)]. (2003)].

LEGAL AND JUDICIAL ETHICS

An attorney’s knowledge of the law and his reputation for fidelity may make it easy for the disputants to settle their differences amicably. However, he shall not act as counsel for any of them. [Agpalo] Generally an attorney is prohibited from representing parties with contending positions. However at a certain stage of the controversy, before it reaches the court, a lawyer may represent conflicting interests with the consent of the parties [Dee v. CA (1989)]. (1989)].

General rule: rule: A lawyer may not represent two opposing parties at any point in time. A lawyer need not be the counsel-of-record of either party. He does not have to publicly hold himself as the counsel of the adverse party nor make efforts to advance the adverse party’s conflicting interests of record. It is enough that the counsel had a hand in the preparation of the pleading of one party.

CANDID AND HONEST ADVICE TO CLIENTS Rule 15.05.  15.05.  A lawyer when advising his client shall give a candid and honest opinion on the merits and probable results of the client’s case, neither overstating nor understating the prospects of the case. A lawyer is bound to give candid and honest opinion opinion on the merit or lack of merit of client’s case, neither overstating nor understating the prospect of the case. He should also give an honest opinion as to the probable results of the case, with the end in view of promoting respect for the law and the legal processes [Agpalo]. [Agpalo].

Exception: Exception: When the parties agree, and for amicable settlement [Agpalo]) There is conflict of interest when: when: (1) When there are conflicting duties; (2) When the acceptance of the new relations invites or actually lead to unfaithfulness or double-dealing to another client; or  (3) When the attorney will be called upon to use against his first client any knowledge acquired in the previous employment.

COMPLIANCE WITH LAWS Rule 15.06 . A lawyer shall not state or imply that he is able to influence any public official, tribunal or legislative body.

Note: The test to determine whether there is a conflict of interest in the representation is probability, not certainty of conflict.

Rule 15.07 . A lawyer shall impress upon his client compliance with the laws and principles of fairness.

Representing adverse interest may result in: in: (1) Disqualification as counsel in the new case; (2) If prejudicial to interests of latter client, setting aside of a judgment; (3) Administrative and criminal (for betrayal of trust) liability; (4) Forfeiture of attorney’s fees.

This rule protects against influence peddling. Some prospective clients secure the services of a particular lawyer or law firm precisely because he can exert a lot of influence on a judge and some lawyers exact big fees for such influence [Agpalo]. [Agpalo].

Rule 15.04. A lawyer may, with the written consent of all concerned, act as mediator, conciliator or arbitrator in settling disputes.

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CONCURRENT PRACTICE OF ANOTHER PROFESSION Rule 15.08. 15.08. A lawyer who is engaged in another profession or occupation concurrently with the practice of law shall make clear to his client whether he is acting as a lawyer or in another capacity.

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(4) The attorney purchases or acquires the property or right, by himself or through another, during pendency of litigation. The prohibition includes mortgage of property in litigation to the lawyer. In this case, acquisition is merely postponed until foreclosure but effect is the same. It also includes assignment of property [Ordonio v. Eduarte (1992)]. (1992)].

Exercise of dual profession is not prohibited but a lawyer must make it clear when he is acting as a lawyer and when he is otherwise, especially in occupations related to the practice of law.

The purchase by a lawyer of the property in litigation from his client is void and could produce no legal effect [Article 1409(7), Civil Code) (Rubias v. Batiller (1973)]. (1973)].

: Certain ethical considerations may be operative in one profession and not in the other [Agpalo]. [Agpalo].

 Article  Article 1491, 1491, however, is not applicable in the following cases: (1) When the attorney is not a counsel in the case involving the same property at the time of acquisition; (2) When purchaser is a corporation, even if the attorney was an officer (Tuason v. Tuason (1974)); (3) When sale took place after termination of litigation, except  if   if there was fraud or abuse of confidential information or where lawyer exercised undue influence; (4) Where property in question is stipulated as part of attorney’s fees, provided that, the same is contingent upon the favorable outcome of litigation and, provided further, that the fee must be reasonable.

A lawyer is not barred from dealing with his client but the business transaction must be characterized with utmost honesty and good faith. Business transactions between an attorney and his client are disfavored and discouraged by policy of law because by virtue of a lawyer’s office, he is an easy position to take advantage of the credulity and ignorance of his client. Thus, there is no presumption of innocence or improbability of wrongdoing in favor of lawyers (Nakpil v. Valdez [1998)] [1998)].. CLIENT’S MONEY AND PROPERTIES

Canon 16 . A lawyer shall hold in trust all moneys and properties of his client that may come into his possession.

FIDUCIARY RELATIONSHIP Rule 16.01. 16.01. A lawyer shall account for all money or property collected or received for or from the client.

New Civil Code, Art. 1491(5).  1491(5).  Lawyers cannot acquire or purchase, even at a public or judicial auction, either in person or through the mediation of another, the property and rights which may be the object of any litigation in which they take part by virtue of their profession.

Money collected by a lawyer in pursuance of a  judgment  judgment in favor of his clients clients is held in trust and must be immediately turned over to them [Busiños v. Ricafort (1997)]. (1997)].

: The prohibition is based on the existing relation of trust or the lawyer’s peculiar control over the property.

The fact that a lawyer has a lien for fees on money in his hands would not relieve him from the duty of promptly accounting for the funds received [Daroy v. v. Legaspi (1975)]. (1975)].

Requisites: Requisites: (1) Attorney-client relationship; (2) The property or interest is in litigation; (3) The attorney takes part as counsel in the case;

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COMMINGLING OF FUNDS Rule 16.02 . A lawyer shall keep the funds of each client separate and apart from his own and those of others kept by him.

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However, an attorney has a lien upon the funds documents and papers of his client which have lawfully come into his possession and may retain  retain  the same until his lawful fees and disbursements have been paid and may apply such funds to the satisfaction thereof [Section 137, Rule 138]. 138].

A lawyer, under his oath, pledges himself not to delay any man for money or malice and is bound to conduct himself with all good fidelity to his clients. He is obligated to report promptly the money of his clients that has come into his possession. Otherwise, he violates Section 25, Rule 138. 138. He should not commingle it without his client’s consent. He should maintain a reputation for honesty and fidelity to private trust [Daroy v. v. Legaspi (1975)]. (1975)].

BORROWING AND LENDING Rule 16.04. 16.04. A lawyer shall not borrow money from his client unless the client’s interests are fully protected by the nature of the case or by independent advice. Neither shall a lawyer lend money to a client except when, in the interest of  justice,  justice, he he has to advan advance ce necessary necessary expenses expenses in a legal matter he is handling for the client.

DELIVERY OF FUNDS Rule 16.03. 16.03. A lawyer shall deliver the funds and property of his client when due or upon demand. However, he shall have a lien over the funds and may apply so much thereof as may be necessary to satisfy his lawful fees and disbursements, giving notice promptly thereafter to his client. He shall also have a lien to the same extent on all judgments and executions he has secured for his client as provided for in the Rules of Court.

The relation of attorney and client is highly fiduciary in nature and is of a very delicate, exacting and confidential character. A lawyer is duty-bound to observe candor, fairness and loyalty in all his dealings and transactions with his clients. The profession, therefore, demands of an attorney an absolute abdication of every personal advantage conflicting in any way, directly or indirectly, with the interest of his client [Barnachea v. Quicho (2003)]. (2003)]. FIDELITY TO CLIENT’S CAUSE

The failure of an attorney to return the client’s money upon demand gives rise to the presumption that he has misappropriated it for his own use to the prejudice of and in violation of the trust reposed in him by the client [Jinon v.  Jiz (2013)] (2013)].. Every lawyer has the responsibility to protect and advance the interests of his client such that he must promptly account for whatever money or property his client may have entrusted to him. As a mere trustee of said said money money or property, he must hold them separate from that of his own and make sure that they are used for their intended purpose. If not used, used, he must return the money or property immediately to his client upon demand, otherwise the lawyer shall be presumed to have misappropriated the same in violation of the trust reposed reposed on on him. A lawyer’s conversion of funds entrusted to him is a gross violation of professional ethics [Arellano University, Inc. v. Mijares III (2009)]. (2009)] .

Canon 17 . A lawyer owes fidelity to the cause of his client and he shall be mindful of the trust and confidence reposed in him. When a lawyer takes a client’s cause, he thereby covenants that he will exert all effort for its protection until its final conclusion. The failure to exercise due diligence and the abandonment of a client’s cause make such a lawyer unworthy of the trust which the client has reposed on him [Cantilller v. Potenciano (1989)]. (1989)]. No lawyer is obliged to act either as adviser or advocate for every person who may wish to become his client. He has the right to decline employment, except as prescribed in Canon 14 of the Code of Professional Responsibility . But once he agrees to take up the cause of the client, no fear or judicial disfavor or public unpopularity should restrain him from the full discharge of his duty [Santiago v. Fojas (1995)]. (1995)].

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COMPETENCE AND DILIGENCE Canon 18. A lawyer shall serve his client with competence and diligence.

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A lawyer should give adequate attention, care and time to his cases. This is the reason why a  practicing lawyer should accept only so many cases he can handle. Once he agrees to handle a case, he should undertake the task with dedication and care. If he should do any less then he is not true to his oath as a lawyer [Legarda v. CA (1991)].

COLLABORATING COUNSEL Rule 18.01. A lawyer shall not undertake a legal service which he knows or should know that he is not qualified to render. However, he may render such service if, with the consent of his client, he can obtain as collaborating counsel a lawyer who is competent on the matter.

Negligence General rule: A client is bound by attorney’s conduct, negligence and mistake in handling case or in management of litigation and in procedural technique, and he cannot be heard to complain that result might have been different had his lawyer proceeded differently.

There is implied representation when: (1) That he possess the requisite degree of academic learning, skill and ability in the practice of his profession; (2) That he will exert his best judgment in the prosecution or defense of the litigation entrusted to him; (3) That he will exercise reasonable and ordinary care and diligence in the pursuit or defense of the case; and (4) That he will take steps as will adequately safeguard his client’s interests [Islas v. Platon (1924)].

Exceptions: He is not so bound where the ignorance, incompetence or inexperience of lawyer is so great and error so serious that client, who has good cause is prejudiced and denied a day in court [People v. Manzanilla (1922); Alarcon v. CA (2000)]. : (1) Failure of counsel to ask for additional time to answer a complaint resulting in a default  judgment against his client [Mapua v. Mendoza (1993)]; (2) Failure to bring suit immediately, as when it was filed when the defendant had already become insolvent and recovery could no longer be had; (3) Failure to ascertain date of receipt from post office of notice of decision resulting in the non-perfection of the appellant’s appeal [Joven-De Jesus v. PNB (1964)]; (4) Failure to file briefs within the reglementary period [People v. Cawili (1970)]; (5) Failure to attend to trial without filing a motion for postponement or without requesting either of his two partners in the law office to take his place and appear for the defendants [Gaerlan v. Bernal (1952)]; (6) Failure to appear at pre-trial [Agravante v. Patriarca (1990)]; (7) Failure of counsel to notify clients of the scheduled trial which prevented the latter to look to another lawyer to represent them while counsel was in the hospital [Ventura v. Santos (1993)];

Some cases involve specialized fields of law and require special training. A lawyer should not accept an undertaking in specific area of law which he knows or should know he is not qualified to enter [Agpalo]. ADEQUATE PREPARATION Rule 18.02. A lawyer shall not handle any legal matter without adequate preparation. A lawyer should safeguard his client’s rights and interests by thorough study and preparation, mastering applicable law and facts involved in a case, regardless of the nature of the assignment, and keeping constantly abreast of the latest jurisprudence and developments in all branches of the law [Agpalo].

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(8) Failure to appear simply because the client did not go to counsel’s office on the date of the trial as was agreed upon [Alcoriza v. Lumakang (1978)]; (9) Failure to pay the appellate docket fee after receiving the amount for the purpose [Capulong v. Alino (1968)].Rule 18.03. A lawyer shall not neglect a legal matter entrusted to him, and his negligence in connection therewith shall render him liable.

REPRESENTATION WITH ZEAL WITHIN LEGAL BOUNDS Canon 19. A lawyer shall represent his client with zeal within the bounds of the law.

If by reason of the lawyer’s negligence, actual loss has been caused to his client, the latter has a cause of action against him for damages. However, for the lawyer to be held liable, his failure to exercise reasonable care, skill and diligence must be proximate cause of the loss (Callanta).

USE OF FAIR & HONEST MEANS Rule 19.01. A lawyer shall employ only fair and honest means to attain the lawful objectives of his client and shall not present, participate in presenting or threaten to present unfounded criminal charges to obtain an improper advantage in any case or proceeding.

In the discharge of his duty of entire devotion to the client’s cause, a lawyer should present every remedy or defense authorized by law in support of his client’s cause regardless of his personal views [Legarda v. CA (1991)].

Every case a lawyer accepts deserves his full attention, diligence, skill and competence, regardless of its importance or whether he accepts for a fee or free. By agreeing to be someone’s counsel, he represents that he will exercise ordinary diligence or that reasonable degree of care and skill demanded of the business he undertakes to do, to protect the client’s interests and take all steps or do all acts necessary thereof [Uy v. Tansinin (2009)].

Rules of Court, Rule 138, Sec. 20(d). It is the duty of an attorney to employ for the purpose of maintaining the causes confided to him such means only as are consistent with truth and honor and never seek to mislead the judge or any judicial officer by an artifice or false statement of fact or law. Thus, a lawyer should not file or threaten to file any unfounded or baseless criminal case or cases against the adversaries of his client designed to secure a leverage to compel adversaries to yield or withdraw their own cases against the lawyer’s client [Pena v Aparicio (2007)].

A client is entitled to the benefit of any and every remedy and defense authorized by law, and is expected to rely on the lawyer to assert every such remedy or defense [Garcia v. Bala (2005)]. DUTY TO APPRISE CLIENT Rule 18.04. A lawyer shall keep the client informed of the status of his case and shall respond within a reasonable period of time to client’s request for information.

CLIENT’S FRAUD

Rule 19.02 . A lawyer who has received information that his client has, in the course of the representation, perpetrated a fraud upon a person or tribunal, shall promptly call upon the client to rectify the same, and failing which he shall terminate the relationship with such client in accordance with the Rules of Court.

It was unnecessary to have the clients wait, and hope, for six long years on their pension claims. Upon their refusal to cooperate, the lawyer should have forthwith terminated their professional relationship instead of keeping them hanging indefinitely  [Blanza v. Arcangel (1967)].

This rule merely requires the lawyer to terminate his relationship with the client in the event the latter fails or refuses to rectify the fraud [Agpalo].

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PROCEDURE IN HANDLING THE CASE Rule 19.03. A lawyer shall not allow his client to dictate the procedure on handling the case.

A written contract for services shall control the amount to be paid therefore unless found by the court to be unconscionable or unreasonable.

The broad implied or apparent powers of an attorney with respect to the conduct or control of litigation are, however, limited to matters which relate only to the procedure or remedy.

A lawyer : (1) When the services were not performed, and the lawyer withdrew before the case was finished, he will be allowed only reasonable fees; (2) When there is justified dismissal of an attorney, the contract will be nullified and payment will be on quantum meruit  basis (3) When the stipulated fees are unconscionable or unreasonable; (4) When the stipulated fees are in excess of what is expressly provided by law; (5) When the lawyer is guilty of fraud or bad faith in the manner of his employment; (6) When the counsel’s services are worthless because of negligence; (7) When the contract is contrary to laws, morals, and good policies.

The employment of itself confers upon the attorney no implied power or authority over the subject matter of the cause of action or defense; and, unless the attorney has expressly been granted authority with respect thereto, the power to deal with or surrender these matters is regarded as remaining exclusively in the client. The line of demarcation between the respective rights and powers of an attorney and his client is clearly defined. The cause of action, the claim or demand sued upon, and the subject matter of the litigation are all within the exclusive control of a client, and an attorney may not impair, compromise, settle, surrender, or destroy them without his client's consent.

The mere fact that an agreement had been reached between attorney and client fixing the amount of the attorney’s fees, does not insulate such agreement from review and modification by the Court where the fees clearly appear to be excessive or unreasonable [Tanhueco v. De Dumo (1989)].

But all the proceedings in court to enforce the remedy, to bring the claim, demand, cause of action, or subject matter of the suit to hearing, trial, determination, judgment, and execution, are within the exclusive control of the attorney [Belandres v. Lopez Sugar Central Mill (1955)].

In the absence of an express contract, payment of attorney’s fees may be justified by virtue of the innominate contract of facio ut des (I do and you give) which is based on the principle that “no one shall enrich himself at the expense of another” [Corpuz v. CA (1980)].

ATTORNEY’S FEES

Canon 20. A lawyer shall charge only fair and reasonable fees. An attorney is e   no more than a reasonable compensation for his services with a view to: (1) The importance of the subject matter of the controversy; (2) The extent of the services rendered; and (3) The professional standing of the attorney.

The counsel, if worthy of his hire, is entitled to be fully recompensed for his services. With his capital consisting solely of his brains and his skill, acquired at tremendous cost not only in money but in the expenditure of time and energy, he is entitled to the protection of any  judicial tribunal against any attempt on the part of a client to escape payment of his fees. [Albano v. Coloma (1967)].

Rules of Court, Rule 138, Sec. 24. No court shall be bound by the opinion of attorneys as expert witnesses as to the proper compensation but may disregard such testimony and base its conclusion on its own professional knowledge.

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(2) When although there is a formal contract of attorney’s fees, the stipulated fees are found unconscionable or unreasonable by the court; (3) When the contract for attorney’s fees is void due to purely formal matters or defects of execution; (4) When the counsel, for justifiable cause, was not able to finish the case to its conclusion; (5) When lawyer and client disregard the contract of attorney’s fees; (6) When there is a contract but no stipulation as to attorney’s fees;

Rule 20.01. A lawyer shall be guided by the following factors in determining his fees: (a) The time spent and the extent of the services rendered or required; (b) The novelty and difficulty of the questions involved; (c) The importance of the subject matter; (d) The skill demanded; (e) The probability of losing other employment as a result of acceptance of the proffered case; (f) The customary charges for similar services and the schedule of fees of the IBP chapter to which he belongs; (g) The amount involved in the controversy and the benefits resulting to the client from the service; (h) The contingency or certainty of compensation; (i) The character of the employment, whether occasional or established; and (j) The professional standing of the lawyer.

Guideline in determining attorney’s fees in quantum meruit basis: (1) Time spent and extent of the services rendered. A lawyer is justified in fixing higher fees when the case is so complicated and requires more time and efforts to finish it. (2) Importance of subject matter. The more important the subject matter or the bigger value of the interest or property in litigation, the higher is the attorney’s fee. (3) Novelty and difficulty of questions involved. When the questions in a case are novel and difficult, greater efforts, deeper study and research, are bound to burn the lawyer’s time and stamina considering that there are no local precedents to rely upon. (4) Skill demanded of the lawyer. The totality of the lawyer’s experience provides him the skill and competence admired in lawyers.

(1) A fixed or absolute fee which is payable regardless of the result of the case; (2) A contingent fee that is conditioned to the securing of a favorable judgment and recovery of money or property and the amount of which may be on a percentage basis; (3) A fixed fee payable per appearance; (4) A fixed fee computed by the number of hours spent; (5) A fixed fee based on a piece of work; (6) A combination of any of the above stipulated fees.

The above rules apply in the case of a counsel de parte. In the case of a counsel de oficio, the counsel may not demand from the accused attorney’s fees even if he wins the case. However, subject to availability of funds, the court may, in its discretion, order an attorney employed as counsel de oficio  to be compensated in such sum as the court may fix.

Quantum meruit “as much as a lawyer deserves.” Its  essential requisite is acceptance of the benefits by one sought to be charged for services rendered under circumstances as reasonably to notify him that lawyer expects compensation.

Criteria of the court in fixing the amount: (1) The importance of the subject matter of the controversy; (2) The extent of the services rendered; and (3) The professional standing of the attorney.

: (1) There is no express contract for attorney’s fees agreed upon between the lawyer and the client;

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ACCEPTANCE FEES Acceptance of money from a client establishes an attorney-client relationship and gives rise to the duty of fidelity to the client’s cause. The canons of the legal profession require that once an attorney agrees to handle a case, he should undertake the task with zeal, care and utmost devotion. [Emiliano Court Townhouses Homeowners Association v. Dioneda (2003)]

ATTORNEY’S LIENS

Retaining lien An attorney shall have a lien upon the funds, documents and papers of his client which have lawfully come into his possession. Thus: (1) He may retain the same until his lawful fees and disbursements have been paid; and (2) May apply such funds to the satisfaction thereof (Section 37, Rule 138).

Failure to render the legal services agreed upon, despite receipt of an acceptance fee, is a clear violation of the Code of Professional Responsibility [Macarulay v. Seriña (2005)].

: (1) Attorney-client relationship; (2) Lawful possession by lawyer of the client’s funds, documents and papers in his professional capacity; (3) Unsatisfied claim for attorney’s fees or disbursements.

CONTINGENCY FEE ARRANGEMENTS

Champertous contract 

Contigent contract 

The lawyer stipulates with his client that he will bear all the expenses for the prosecution of the case, the recovery of things or property being claimed, and the latter pays only upon successful litigation.

the lawyer’s fee, usually a fixed percentage of what may be recovered in the action, is made to depend upon the success in the effort to enforce or defend the client’s right. The lawyer does not undertake to shoulder the expenses of litigation.

This contract is void for being against public policy

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Charging lien He shall also have a lien to the same extent upon all judgments for the payment of money, and executions issued in pursuance of such  judgments, which he has secured in a litigation of his client. This lien exists from and after the time when he shall have caused: (1) A statement of his claim of such lien to be entered upon the records of the court rendering such judgment, or issuing such execution; and (2) Written notice thereof to be delivered to his client and to the adverse party. From then on, he shall have the same right and power over such judgments and executions as his client would have to enforce his lien and secure the payment of his just fees and disbursements (Section 37, Rule 138).

It is a valid agreement

: (1) Attorney-client relationship; (2) The attorney has rendered services; (3) A money judgment favorable to the client has been secured in the action; (4) The attorney has a claim for attorney’s fees or advances statement of his claim has been duly recorded in the case with notice thereof served upon the client and adverse party.

Rule 20.02 . A lawyer shall, in cases of referral, with the consent of the client, be entitled to a division of fees in proportion to work performed and responsibility assumed. Rule 20.03. A lawyer shall not, without the full knowledge and consent of the client, accept any fee, reward, costs, commission, interest, rebate or forwarding allowance or other compensation whatsoever related to his professional employment from anyone other than the client.

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Retaining lien

Judicial actions to recover attorney’s fees : (1) An appropriate motion or petition as an incident in the main action where he rendered legal services; (2) A separate civil action for collection of attorney’s fees.

Charging lien Nature

Passive lien. It cannot be actively enforced. It is a general lien.

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Active lien. It can be enforced by execution. It is a special lien.

Suits to collect fees should be avoided and only when the circumstances imperatively require should a lawyer resort to lawsuit to enforce payment of fees. This is but a logical consequence of the legal profession not primarily being for economic compensation [Agpalo].

Basis Lawful possession of Securing of a funds, papers, favorable money documents, property  judgment for client belonging to client Coverage Covers only funds, Covers all papers, documents, and  judgments for the property in the lawful payment of money possession of the and executions attorney by reason of his issued in pursuance professional of such judgment employment

CONCEPTS OF ATTORNEY’S FEES

Ordinary concept An attorney’s fee is the reasonable compensation paid to a lawyer for the legal services he has rendered to a client. Its basis of this compensation is the fact of employment by the client.

Effectivity As soon as the lawyer gets possession of the funds, papers, documents, property

Extraordinary concept An attorney’s fee is an indemnity for damages ordered by the court to be paid by the losing party to the prevailing party in a litigation. The basis of this is any of the cases authorized by law and is payable not to the lawyer but to the client – unless they have agreed that the award shall pertain to the lawyer as additional compensation or as part thereof [Traders Royal Bank Employees Union-Independent v. NLRC (1997)].

As soon as the claim for attorney’s fees had been entered into the records of the case

Notice Client need not be notified to make it effective

Client and adverse party need to notified to make it effective

 Applicability May be exercised before  judgment or execution, or regardless thereof

PRESERVATION OF CLIENT’S CONFIDENCES

Generally, it is exercisable only when the attorney had already secured a favorable  judgment for his client

Canon 21. A lawyer shall preserve the confidence and secrets of his client even after the attorneyclient relation is terminated. : This duty exists: (1) Because unless the client knows that his attorney cannot be compelled to reveal what is told to him, he will suppress what he thinks to be unfavorable and the advice which follows will be useless if not misleading; (2) To encourage a client to make full disclosure to his attorney and to place unrestricted confidence in him in matters affecting his rights or obligations.

FEES AND CONTROVERSIES WITH CLIENTS Rule 20.04. A lawyer shall avoid controversies with clients concerning his compensation and shall resort to judicial action only to prevent imposition, injustice or fraud.

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Related Statues Rules of Court, Rule 138, Sec. 20(3). It is the duty of an attorney to maintain inviolate the confidence, and at every peril to himself to preserve, the secrets of his client and to accept no compensation in connection with his client’s business except from him or with his knowledge and approval.

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Rule 21.03. A lawyer shall not, without the written consent of his client, give information from his files to an outside agency seeking such information for auditing, statistical, bookkeeping, accounting, data processing, or any similar purpose. The work and product of a lawyer, such as his effort, research, and thought, and the records of his client, contained in his files are privileged matters.

Rules of Court, Rule 130, Sec. 21(b). An attorney cannot, without the consent of his client, be examined as to any communication made by the client to him or his advice given thereon in the course of professional employment; nor can an attorney’s secretary stenographer or clerk be examined without the consent of the client and his employer concerning any fact the knowledge of which has been acquired in such capacity.

Neither the lawyer nor, after his death, his heir, or legal representative may properly disclose the contents of such file cabinet without client’s consent. Rule 21.05. A lawyer shall adopt such measures as may be required to prevent those whose services are utilized by him from disclosing or using confidences or secrets of the client.

Revised Penal Code, Art. 209. Criminal liability is imposed upon any lawyer who, by any malicious breach of professional duty or of inexcusable negligence or ignorance, reveals any of the secrets of the latter learned by him in his professional capacity. The same liability is imposed upon a lawyer who, having undertaken the defense of a client or having received confidential information from said client in a case, undertakes the defense of the opposing party in the same case, without the consent of his first client.

Professional employment of a law firm is equivalent to retainer of the members thereof even though only one partner is consulted. When one partner tells another about the details of the case, it is not  considered as disclosure to third persons because members of a law firm are considered as one entity. The client’s secrets which clerical aids of lawyers learn of in the performance of their services are covered by privileged communication. It is the duty of lawyer to ensure that this is being followed (e.g., execution of confidentiality agreements). The prohibition against a lawyer from divulging the confidences and secrets of his clients will become futile exercise if his clerical aids are given liberty to do what is prohibited of the lawyer.

PROHIBITED DISCLOSURES AND USE Rule 21.02 . A lawyer shall not, to the disadvantage of his client, use information acquired in the course of employment, nor shall he use the same to his own advantage or that of a third person, unless the client with full knowledge of the circumstances consents thereto.

Rule 21.06 . A lawyer shall avoid indiscreet conversation about a client’s affairs even with members of his family.

A lawyer must have the fullest confidence of his client. If confidence is abused, as by the use by the lawyer of the client’s secrets against his client, the profession will suffer by the loss thereof [Maturan v. Gonzales (1998)].

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A lawyer must not only preserve the confidences and secrets of his clients in his law office but also outside including his home. He should avoid committing calculated indiscretion, that is, accidental revelation of secrets obtained in his professional employment. Reckless or imprudent disclosure of the affairs of his clients may jeopardize them. Not every member of the lawyer’s family has the proper orientation and training for keeping client’s  confidences and secrets.

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WITHDRAWAL OF SERVICES Canon 22 . A lawyer shall withdraw his services only for good cause and upon notice appropriate in the circumstances. Causes of termination of attorney-client relationship: (1) Withdrawal of the lawyer; (2) Death of the lawyer; (3) Disbarment or suspension of the lawyer from the practice of law; (4) Declaration of presumptive death of the lawyer; (5) Conviction of a crime and imprisonment of the lawyer; (6) Discharge or dismissal of the lawyer by the client; (7) Appointment or election of a lawyer to a government position which prohibits private practice of law; (8) Death of the client; (9) Intervening incapacity or incompetence of the client during pendency of case; (10) Full termination of the case.

Rule 21.07 . A lawyer shall not reveal that he has been consulted about a particular case except to avoid possible conflict of interest.

The disclosure and the lawyer’s opinion thereon create an attorney-client relationship, even though the lawyer does not eventually accept the employment or the prospective client did not thereafter actually engage the lawyer. By the consultation, the lawyer already learned of the secrets of prospective client. It is not fair if he will not be bound by the rule on privileged communication in respect of matters disclosed to him by a prospective client. This rule, of course, is subject to exception of representation of conflicting interests.

General rule: The client has the right to terminate at any time with or without just cause. Limitations: (1) The client cannot deprive his counsel of right to be paid services if the dismissal is without cause. (2) The client cannot discharge his counsel as an excuse to secure repeated extensions of time. (3) Notice of discharge is required for both the court and the adverse party.

In relation to conflict of interest, the lawyer should ascertain as soon as practicable whether the matter would involve a conflict of interest with his other client or with his own. DISCLOSURE, WHEN ALLOWED Rule 21.01. A lawyer shall not reveal the confidences or secrets of his client except: (a) When authorized by the client after acquainting him of the consequences of the disclosure; (b) When required by law; (c) When necessary to collect his fees or to defend himself, his employees or associates or by judicial action.

Rule 22.01. A lawyer may withdraw his services in any of the following cases: (a) When the client pursues an illegal or immoral course of conduct in connection with the matter he is handling; (b) When the client insists that the lawyer pursue conduct violative of these canons and rules; (c) When his inability to work with co-counsel will not promote the best interest of the client;

Rule 21.04. A lawyer may disclose the affairs of a client of the firm to partners or associates thereof unless prohibited by the client.

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(d) When the mental or physical condition of the lawyer renders it difficult for him to carry out the employment effectively; (e) When the client deliberately fails to pay the fees for the services or fails to comply with the retainer agreement; (f) When the lawyer is elected or appointed to public office; and (g) Other similar cases.

Suspension, Disbarment & Discipline of Lawyers

Although a lawyer may withdraw his services when the client deliberately fails to pay the fees for the services, withdrawal is unjustified if client did not deliberately fail to pay [Montano v. IBP (2001)]

SUI GENERIS

NATURE & CHARACTERISTICS OF DISCIPLINARY ACTIONS AGAINST LAWYERS NEITHER PURELY CIVIL NOR PURELY CRIMINAL (1) Disciplinary proceedings are sui generis. (2) They are neither purely civil nor purely criminal. They are not intended to inflict punishment. (3) They do not involve a trial of an action or a suit, but is rather an investigation by the Court into the conduct of its officers. There is neither a plaintiff nor a prosecutor. (4) They may be initiated by the Court motu  proprio. The Court merely calls upon a member of the Bar to account for his actuations as an officer of the Court with the end in view of preserving the purity of the legal profession and the proper and honest administration of justice in the exercise of its disciplinary powers. (5) Public interest is the primary objective, and the real question for determination is whether or not the attorney is still a fit person to be allowed the privileges as such [In Re: Almacen (1970), Itong v. Florenido (2011)].

Rule 22.02 . A lawyer who withdraws or is discharged shall, subject to a retainer lien, immediately turn over all papers and property to which the client is entitled, and shall cooperate with his successor in the orderly transfer of the matter, including all information necessary for the proper handling of the matter. The following must be complied with for substitution of counsel: (1) Written request for substitution (2) Written consent of client (3) Written consent of the attorney to be substituted or in the absence, proof of service of notice of said motion to the attorney to be substituted At the discretion of the court, a lawyer, who has been dismissed by a client, is allowed to intervene in a case in order to protect the client’s rights [Obando v. Figueras (2000)].

CONFIDENTIAL Rules of Court, Rule 139-B, Sec. 18. Proceedings against attorneys shall be private and confidential. However, the final order of the Supreme Court shall be published like its decisions in other cases. Purposes: (1) To enable the Court to make its investigations free from any extraneous influence or interference; (2) To protect the personal and professional reputation of attorneys and judges from the baseless charges of disgruntled, vindictive, and irresponsible clients and litigants;

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(3) To deter the press from publishing administrative cases or portions thereof without authority [Saludo, Jr. v. CA (2006)].

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(2) Investigation is not interrupted or terminated by reason of the desistance, settlement, compromise, restitution, withdrawal of the charges, or failure of the complainant to prosecute the same [Section 5, Rule 139-B]. (3) Laws dealing with double jeopardy or prescription or with procedure like verification of pleadings and prejudicial questions have no application to disbarment proceedings [Pimentel, Jr. v. Llorente (2000)]. (4) The proceedings are distinct from and proceeds independently of civil or criminal cases. Thus, whatever has been decided in the disbarment case cannot be a source of right that may be enforced in another action. At best, such judgment may only be given weight when introduced as evidence, but in no case does it bind the court in the civil action [Esquivas v. CA (1997)]. (5) The disbarment proceeding does not violate the due process clause. The proceeding itself, when instituted in proper cases, is due process of law [In Re: Montagne (1904)]. (6) In a disbarment proceeding, it is immaterial that the complainant is in pari delicto because the proceeding is not to grant relief to the complainant, but to purge the law profession of unworthy members, to protect the public and the courts [Mortel v. Aspiras (1956)]. (7) The rule in criminal cases that the penalty cannot be imposed in the alternative applies in administrative disciplinary cases, which also involve punitive sanctions [Navarro v. Meneses III (1998)]. (8) Monetary claims cannot be granted except restitution and return of monies and properties of the client given in the course of the lawyer-client relationship

  against lawyers in newspapers by editors and/or reporters may be actionable. It constitutes contempt of court, punishable by either a fine or imprisonment or both at the discretion of the Court [Saludo, Jr. v. CA (2006)]. In Fortun v. Quinsayas (2013), where the disbarment cases against Atty. Fortun in relation to the Maguindanao Massacre were publicized, the Court held that, since the filing of the disbarment complaint was itself a matter of public concern, arising from a very highprofile case, such that public focus is on the event, not on the lawyer himself, the media had a right to publish such fact pursuant to the freedom of the press. The rule is thus restated: In the absence of a legitimate public interest in a disbarment complaint, members of the media must preserve the confidentiality of disbarment proceedings during its pendency. In Villalon v. IAC (1986), testimonies in the disbarment case were presented by the respondent lawyer in said case to impeach the testimonies of witnesses in a civil case. It was held that confidentiality “is a privilege/right which may be waived by the very lawyer in whom and for the protection of whose personal and professional reputation it is vested, pursuant to the general principle that rights may be waived unless the waiver is contrary to public policy, among others.” Note that the waiver was made ex post facto.

PRESCRIPTION Calo v. Degamo (1967), citing  American  Jurisprudence, stated that the ordinary statutes of limitation have no application to disbarment proceedings, nor does the circumstance that the facts set up as a ground for disbarment constitute a crime, prosecution for which in a criminal proceeding is barred by limitation, affect the disbarment proceedings.

OTHER CHARACTERISTICS (1) Proceedings may be taken by the Supreme Court motu proprio, and the IBP Board of Governors may also motu proprio initiate and prosecute proper charges against erring attorneys [Section 1, Rule 139-B].

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Thus, in Frias v. Bautista-Lozada (2006), Section 1, Rule VIII  of the Rules of Procedure of the Commission on Bar Discipline, which provided for a prescription period of two (2) years from the date of the professional misconduct, was struck down for being ultra vires.

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Gross misconduct Any inexcusable, shameful or flagrant unlawful conduct on the part of a person concerned in the administration of justice which is prejudicial to the rights of the parties or to the right determination of the cause. Such conduct is generally motivated by a premeditated, obstinate or intentional purpose [Yap v. Inopiquez, Jr. (2003)].

In Isenhardt v. Real (2012), however, the said prescriptive period was still construed to run from the discovery of the misconduct.

Immorality Conduct that shows indifference to the moral norms of society and the opinion of good and respectable members of the community. The conduct must be “grossly immoral” (i.e., so corrupt and false as to constitute a criminal act or so unprincipled as to be reprehensible to a high degree) to warrant disciplinary action [Ui v. Bonifacio (2000)].

GROUNDS Rules of Court, Rule 138, Sec. 27 . A member of the bar may be disbarred or suspended from his office as attorney by the Supreme Court: (1) For any deceit, malpractice or other gross misconduct in such office; (2) For grossly immoral conduct; (3) By reason of his conviction of a crime involving moral turpitude; (4) For any violation of the oath which he is required to take before admission to practice; (5) For willful disobedience of any lawful order of a superior court; (6) For corruptly or willfully appearing as an attorney for a party to a case without authority so to do.

Moral turpitude Involves an act of baseness, vileness, or depravity in the private duties which a man owes to his fellow men, or to society in general, contrary to the accepted and customary rule of right and duty between man and woman, or conduct contrary to justice, honesty, modesty or good morals [Barrios v. Martinez (2004)]. Section  27, Rule 138 requires conviction of the crime.

Deceit False representation of a matter of fact whether by words or conduct, by false or misleading allegations, or by concealment of that which should have been disclosed which deceives or is intended to deceive another so that he shall act upon it to his legal injury [Alcantara v. CA (2003)].

Other statutory grounds (1) Purchase by a lawyer of his client’s property in litigation [ Article 1491, Civil Code] constitutes a breach of professional ethics for which a disciplinary action may be brought against him [Bautista v. Gonzales (1990)]. (2) Under  Article 209, Revised Penal Code, administrative and criminal sanctions may be imposed upon any attorney-at-law or solicitor who: (a) By malicious breach of professional duty or of inexcusable negligence or ignorance, shall prejudice his client, or reveal any of the secrets of the latter learned by him in his professional capacity; or

Malpractice Refers to any malfeasance or dereliction of duty committed by a lawyer [Tan Tek Beng v. David (1983)]. Section 27, Rule 138  states that the practice of soliciting cases at law for the purpose of gain, either personally or through paid agents or brokers, constitutes malpractice.

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(b) Having undertaken the defense of a client or having received confidential information from said client in a case, shall undertake the defense of the opposing party in the same case, without the consent of his first client.

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(2) The IBP upon the verified complaint of any person (1st par., Section 1, Rule 139-B). (3) The complaint shall: (4) Be verified; (5) State clearly and concisely the facts complained of; (6) Be supported by affidavits of persons having personal knowledge of the facts therein alleged and/or by such documents as may substantiate said facts; (7) Be filed in six copies; and (8) Be filed with the Secretary of the IBP or the Secretary of any of its chapters who shall forthwith transmit the same to the IBP Board of Governors for assignment to an investigator (1st and 3nd pars., Section 1, Rule 139-B).

The enumeration of the statutory grounds for disciplinary action is not exclusive and a lawyer may be disciplined on grounds other than those specifically provided in the law [Marcelo v. Javier (1992)]. The enumeration is not to be taken as a limitation to the general power of courts to suspend or disbar a lawyer. The inherent powers of the court over its officers cannot be restricted [Quingwa v. Puno (1967)]. MISCONDUCT IN PRIVATE CAPACITY General rule: a lawyer may not be suspended or disbarred, and the court may not ordinarily assume jurisdiction to discipline him for misconduct in his non-professional or private capacity.

The IBP Board of Governors may initiate and prosecute proper charges against any erring attorneys including the government service: (1) Motu proprio; (2) Upon referral by the Supreme Court; (3) Upon referral by a Chapter Board of Officers; or (4) At the instance of any person (2nd par., Section 1, Rule 139-B).

Exception: where the misconduct outside of the lawyer's professional dealings is so gross a character as to show him morally unfit for the office and unworthy of the privilege which his licenses and the law confer on him, the court may be justified in suspending or removing him from the office of attorney [Co v. Bernardino (1998)].

All charges against the following shall be filed with the Supreme Court: (1) Justices of the Court of Appeals; (2) Justices of the Sandiganbayan; (3) Judges of the Court of Tax Appeals; and (4) Judges of lower courts (2nd par., Section 1, Rule 139-B).

MISCONDUCT PRIOR OR INCIDENT TO ADMISSION A lawyer may be disbarred for misrepresentation of or false pretense relative to the requirements for admission to practice. Thus, the fact that a lawyer lacked any of the qualifications for membership at the time he took his oath is a ground for his disbarment [Agpalo]; see In Re: Diao (1963)  and Lim v.  Antonio (1971)).

Charges filed against justices and judges before the IBP shall immediately be forwarded to the Supreme Court for disposition and adjudication, including those filed prior to their appointment in the Judiciary (2nd par., Section 1, Rule 139-B). PROCEEDINGS BEFORE THE IBP (1) The complaint will be referred by the IBP Board of Governors to the National Grievance Investigators (Section 3, Rule 139B).

PROCEEDINGS HOW INSTITUTED Proceedings for disbarment, suspension or discipline of attorneys may be taken by: (1) The Supreme Court motu proprio; or 

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(2) If the complaint appears to be meritorious, the investigator shall direct that a copy thereof be served upon the respondent requiring him to answer within 15 days from service. If the complaint is unmeritorious, or if the answer of the respondent shows that it is not meritorious, he shall recommend to the Board of Governors that the same be dismissed. A copy of the resolution of dismissal shall be furnished to the complainant and the Supreme Court, which may review the case: (a) Motu proprio; or  (b)Upon appeal of the complainant within 15 days from notice of the dismissal (Section 5, Rule 139-B). (3) The IBP shall appoint a counsel to assist the complainant or the respondent (Section 7, Rule 139-B). (4) Upon joinder of issues or failure of the respondent to answer, the investigation shall proceed with deliberate speed. If the respondent fails to appear, the investigation shall proceed ex parte. The investigation will terminate within three months, unless extended for good cause by the Board of Governors upon prior application (Section 8, Rule 139-B). (5) The investigator shall make a report, within 30 days from the termination of the investigation, to the Board of Governors, containing his findings of facts and recommendations, transcripts and evidence (Section 10, Rule 139-B). (6) The Board of Governors will review the decision of the investigator, and shall promulgate its decision within a period not exceeding 30 days from the next meeting of the Board of Governors following the submission of the report (Section 12, Rule 139-B). (7) If the Board of Governors determines that the responded should be suspended or disbarred, it shall issue a resolution setting forth its findings and recommendations, and transmit the same, with the whole record of the case, to the Supreme Court. If the respondent is exonerated, or the disciplinary action less than suspension or disbarment, it shall issue a decision exonerating respondent or imposing such sanction (Section 12, Rule 139-B).

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(8) The complainant may appeal to the Supreme Court within 15 days from notice of the decision of the Board of Governors (Section 12, Rule 139-B). PROCEEDINGS BEFORE THE SUPREME COURT (1) In proceedings initiated motu proprio  by the Supreme Court or in other proceedings when the interest of justice so requires, the Supreme Court may refer the case for investigation to: (a) The Solicitor General; (b) Any officer of the Supreme Court; (c) Judge of a lower court (Section 13, Rule 139-B). (2) The appointed investigator shall then proceed with the investigation as if the proceedings were before the IBP, save that the review of the report of the investigator will be conducted directly by the Supreme Court Sections 13 and 14, Rule 139-B. COMMON PROVISIONS (1) After receipt of respondent’s answer or the lapse of the period therefor, and during the pendency of the investigation until lifted, the Supreme Court may suspend an attorney: (a) Motu proprio; or (b) At the instance of the Board of Governors upon the recommendation of the investigator (Section 16, Rule 139-B). (2) The Court of Appeals or the Regional Trial Court may suspend an attorney from practice for any of the causes in Section 37, Rule 138, until further action by the Supreme Court (Section 16, Rule 139-B). (3) Upon such suspension by the Court of Appeals or the Regional Trial Court, a certified copy of the order of suspension and a full statement of the factual basis thereof shall be transmitted to the Supreme Court, which, upon investigation, may revoke, shorten, or extend such suspension, or disbar the attorney (Section 17, Rule 139-B).

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In several cases involving errant judges, res ipsa loquitor   was applied, where there was on the face of their assailed decisions, an inexplicable grave error bereft of any redeeming feature, a patent railroading of a case to bring about an unjust decision, or a manifestly deliberate intent to wreak an injustice against a hapless party. The facts themselves, previously proven or admitted, were of such a character as to give rise to a strong inference that evil intent was present. Such intent, in short, was clearly deducible from what was already of record [In Re: Dizon (1989)].

DISCIPLINE OF FILIPINO LAWYERS PRACTICING ABROAD As amended by Supreme Court Resolution dated February 13, 1992 , Section 27, Rule 138, provides, in addition to the enumeration of the grounds for administrative sanction, thus: “The disbarment or suspension of a member of the Philippine Bar by a competent court or other disciplinary agency in a foreign jurisdiction where he has also been admitted as an attorney is a ground for his disbarment or suspension if the basis of such action includes any of the acts hereinabove enumerated.

DISCIPLINARY MEASURES (1) Warning, an act or fact of putting one on his guard against an impending danger, evil consequences or penalties. (2) Admonition, a gentle or friendly reproof, mild rebuke, warning or reminder, counseling, on a fault, error or oversight; an expression of authoritative advice. (3) Reprimand, a public and formal censure or severe reproof, administered to a person in fault by his superior officer or a body to which he be-longs. It is imposed on a minor infraction of the lawyer’s duty to the court or client (4) Suspension, a temporary withholding of a lawyer’s right to practice his profession as a lawyer for: (a) A definite period; or  (b) An indefinite period, which amounts to qualified disbarment, in which case, lawyer determines for himself for how long or how short his suspension shall last by proving to court that he is once again fit to resume practice of law. (5) Censure, an official reprimand. (6) Disbarment, the act of the Philippine Supreme Court in withdrawing from an attorney the privilege to practice law and striking out the name of the lawyer from the roll of attorneys. (7) Interim suspension, the temporary suspension of a lawyer from the practice of law pending imposition of final discipline. It includes: (a) Suspension upon conviction of a serious crime.

“The judgment, resolution or order of the foreign court or disciplinary agency shall be prima facie evidence of the ground for disbarment or suspension.”

DISCIPLINE OF GOVERNMENT

LAWYERS

LEGAL AND JUDICIAL ETHICS

IN

A lawyer who holds a government office may not be disciplined as a member of the Bar for misconduct in the discharge of his duties as a government official. However, if that misconduct as a government official is of such a character as to affect his qualification as a lawyer or to show moral delinquency, then he may be disciplined as a member of the bar on such ground [Gonzales-Austria v. Abaya (1989)].

QUANTUM OF PROOF The serious consequences of disbarment or suspension should follow only where there is a clear preponderance of evidence  against the respondent. The presumption is that the attorney is innocent of the charges preferred and has performed his duty as an officer of the court in accordance with his oath. [In Re: Tionko (1922)]. When the evidence of the parties are evenly balanced or there is doubt on which side the evidence preponderates, the decision should be against the party with the burden of proof, according to the equipoise doctrine [Siao Aba v. De Guzman (2011)].

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(b) Suspension when the lawyer’s continuing conduct is likely to cause immediate and serious injury to a client or public. (8) Probation, a sanction that allows a lawyer to practice law under specified conditions.

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(g) Ready admission of the infraction coupled with explanation and plea for forgiveness; (h) Clean record of professional service in the past; (i) Rendered professional services out of pure generosity; (j) Punished in another capacity for a misconduct for which he now faces a disbarment proceeding; (k) Old Age & long membership (may also be an aggravation de-pending on the circumstance);

Other sanctions and remedies include: (1) Restitution; (2) Assessment of costs; (3) Limitation upon practice; (4) Appointment of a receiver; (5) Requirement that a lawyer take the bar examination or professional responsibility examination; (6) Requirement that a lawyer attend continuing education courses; (7) Other requirements that the Supreme Court or disciplinary board deems consistent with the purposes of sanctions.

Aggravating Circumstances: (1) Prior disciplinary offenses; (2) Dishonest or selfish motive; (3) A pattern of misconduct; (4) Multiple offenses; (5) Bad faith obstruction of the disciplinary proceeding by intentionally failing to comply with rules or orders of the disciplinary agency; (6) Submission of false evidence, false statements, or other deceptive practices during the disciplinary process; (7) Refusal to acknowledge wrongful nature of conduct; (8) Vulnerability of victim; (9) Substantial experience in the practice of law; (10) Indifference to making restitution. (IBP Guidelines 9.22) (11) Others: (a) Abuse of authority or of attorney-client relationship; (b) Sexual intercourse with a relative; (c) Making the institution of marriage a mockery; (d) Charge of gross immorality; (e) Previous punishment as member of the bar; (f) Defraud upon the government; (g) Use of knowledge or information, acquired in the course of a previous professional employment, against a former client.

The disciplinary measure imposed may vary depending on the modifying circumstance present. Mitigating Circumstance: (1) Absence of a prior disciplinary record; (2) Absence of a dishonest or selfish motive; (3) Personal or emotional problems; (4) Timely good faith effort to make restitution or to rectify consequences of misconduct; (5) Full and free disclosure to disciplinary board or cooperative attitude toward proceedings; (6) Inexperience in the practice of law; (7) Character or reputation; (8) Physical or mental disability or impairment; (9) Delay in disciplinary proceedings; (10) Interim rehabilitation; (11) Imposition of other penalties or sanctions; (12) Remorse; (13) Remoteness of prior offenses; (14) Others: (a) Good Faith; (b) Want of intention to commit a wrong; (c) Lack of material damage to the complaining witness; (d) Desistance of complainant; (e) Error in judgment; (f) Honest and efficient service in various government positions;

EFFECT OF EXECUTIVE PARDON (1) If the pardon is conditional, the disbarment case will not be dismissed on the basis thereof.

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(2) If the pardon is absolute and granted before conviction, the disbarment case will be dismissed. Absolute pardon by the President wipes out conviction as well as offense itself and the grant thereof in favor of a lawyer is a bar to a proceeding for disbarment against him based solely on commission of such offense. (3) If the pardon is absolute but granted after conviction, it does not automatically entitle him to reinstatement to the bar. It must be shown by evidence aside from absolute pardon that he is now a person of good moral character and fit and proper person to practice law.

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(3) His conduct subsequent to disbarment [Cui v. Cui 1964]; (4) His efficient government service [In re:  Adriatico (1910)]; (5) The time that has elapsed between disbarment and the application for reinstatement and the circumstances that he has been sufficiently punished and disciplined [Prudential Bank v. Benjamin Grecia (1986)]; (6) Applicant’s appreciation of significance of his dereliction and his assurance that he now possesses the requisite probity and integrity; (7) Favorable endorsement of the IBP and local government officials and citizens of his community, pleas of his loved ones [Yap Tan v. Sabandal (1989)];

Readmission to the Bar : (1) There must be proof of remorse and reformation. These include testimonials of credible institutions and personalities; (2) Sufficient time must have lapsed from the imposition of the penalty to ensure a period of reformation; (3) The age of the person asking for clemency must show that he still has productive years ahead of him that can be put to good use by giving him a chance to redeem himself; (4) There must be a showing of promise (e.g., intellectual aptitude, contribution to legal scholarship), and potential for public service; (5) Other relevant factors to justify clemency [Re: Letter of Judge Diaz (2007)].

LAWYERS WHO HAVE BEEN SUSPENDED : (1) Upon expiration of the period of suspension, respondent shall file a sworn statement with the court, through the Office of the Bar Confidant, stating therein that he or she has desisted from the practice of law and has not appeared in any court during the period of his or her suspension; (2) Copies of the sworn statement shall be furnished to the local chapter of the IBP and to the executive judge of the courts where the respondent has pending cases handled by him or her, and/or where he or she has appeared as counsel; (3) The sworn statement shall be considered as proof of respondent’s compliance with the order of suspension [Maniago v. De Dios (2010)].

 A previously disbarred lawyer   who is given absolute pardon by the President is not automatically reinstated, he must still file a petition for reinstatement with the Supreme Court.

LAWYERS WHO HAVE BEEN DISBARRED

LAWYERS WHO HAVE BEEN REPATRIATED Lawyers who reacquire their Philippine citizenship should apply to the Supreme Court for license or permit to practice their profession. [Section 5(4) RA 9225].

In order that there is reinstatement, the following must be taken into consideration: (1) The applicant’s character and standing prior to disbarment; (2) The nature or character of the misconduct for which he is disbarred;

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(b) Editing a law book, law journal or legal newsletter. (3) Other activities credited to MCLE, such as rendering mandatory legal aid services pursuant to Section 8, Bar Matter No. 2012 .

Mandatory Continuing Legal Education (MCLE) PURPOSE (1) Ensure that throughout their career, they keep abreast with law and jurisprudence; (2) Maintain the ethics of the profession; and (3) Enhance the standards of the practice of law (Section 1, Rule 1, BM 850).

COMPLIANCE COMPLIANCE GROUPS The members of the IBP covered by the requirement are divided into three compliance groups: (1) Compliance Group 1 consists of members in the National Capital Region (NCR) or Metro Manila; (2) Compliance Group 2 consists members in Luzon outside NCR; and (3) Compliance Group 3 consists of members in Visayas and Mindanao.

REQUIREMENTS Members of the IBP, who not otherwise exempt, shall complete, every three years, at least 36 hours of continuing legal education activities approved by the MCLE Committee. Of the 36 hours: Legal Ethics 6hrs Trial and Pre-trial skills 4hrs Alternative Disputes 5hrs Substantive, Procedural, Jurisprudence 9hrs Legal Writing % Oral Advocacy 4hrs Int’l Laws & Conventions  2hrs Prescribed subjects 6hrs

COMPLIANCE PERIOD BM 850, Rule 3, Sec. 1. The initial compliance period shall begin not later than three months from the constitution of the MCLE Committee. The compliance period shall be for 36 months and shall begin the day after the end of the previous compliance period.

The legal education activities may be: (1) Participatory: (a) Attending approved education activities like seminars, conferences, conventions, symposia, in-house education programs, workshops, dialogues or round table discussion; (b) Speaking or lecturing, or acting as assigned panelist, reactor, commentator, resource speaker, moderator, coordinator or facilitator in approved education activities; (c) Teaching in a law school or lecturing in a bar review class; (2) Non-participatory: (a) Preparing, as an author or co-author, written materials published or accepted for publication, e.g., in the form of an article, chapter, book, or book review which contribute to the legal education of the author member, which were not prepared in the ordinary course of the member’s practice or employment;

For those admitted or readmitted after the establishment of the program, they will be permanently assigned to the appropriate compliance group based on their chapter membership on the date of admission or readmission. The initial compliance period after admission or readmission shall begin on the first day   of the month of admission or readmission and shall end on the same day as that of all other members in the same compliance group. However: (1) Where four months or less remain of the initial compliance period after admission or readmission, the member is not required to comply with the program requirement for the initial compliance;

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(2) Where more than four months remain of the initial compliance period after admission or readmission, the member shall be required to complete a number of hours of approved continuing legal education activities equal to the number of months remaining in the compliance period in which the member is admitted or readmitted. Such member shall be required to complete a number of hours of education in legal ethics in proportion to the number of months remaining in the compliance period. Fractions of hours shall be rounded up to the next whole number (Section 5, Rule 3, BM 850).

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(11)The Chancellor, Vice-Chancellor and members of the Corps of Professors and Professorial Lectures of the Philippine Judicial Academy; (12) Governors and Mayors. (13) Those who are not in law practice, private or public; and (14) Those who have retired from law practice with the approval of the IBP Board of Governors (Sections 1 and 2, Rule 7). In addition, a member may file a verified request setting forth good cause for exemption (e.g., physical disability, illness, post graduate study abroad, proven expertise in law) from compliance with or modification of any of the requirements, including an extension of time for compliance, in accordance with a procedure to be established by the MCLE Committee (Section  3, Rule 7, BM 850).

EXEMPTIONS The following members are exempt: (1) The President and the Vice President of the Philippines, and the Secretaries and Undersecretaries of Executives Departments; (2) Senators and Members of the House of Representatives; (3) The Chief Justice and Associate Justices of the Supreme Court, incumbent and retired members of the judiciary, incumbent members of the Judicial and Bar Council and incumbent court lawyers covered by the Philippine Judicial Academy program of continuing judicial education; (4) The Chief State Counsel, Chief State Prosecutor and Assistant Secretaries of the Department of Justice; (5) The Solicitor General and the Assistant Solicitor General; (6) The Government Corporate Counsel, Deputy and Assistant Government Corporate Counsel; (7) The Chairmen and Members of the Constitutional Commissions; (8) The Ombudsman, the Overall Deputy Ombudsman, the Deputy Ombudsmen and the Special Prosecutor of the Office of the Ombudsman; (9) Heads of government agencies exercising quasi-judicial functions; (10) Incumbent deans, bar reviewers and professors of law who have teaching experience for at least ten years accredited law schools;

When a member ceases to be exempt, the compliance period begins on the first day of the month in which he ceases to be exempt and shall end on the same day as that of all other members in the same Compliance Group (Section 4, Rule 7, BM 850).

SANCTIONS (1) A member who, for whatever reason, is in non-compliance at the end of the compliance period shall pay a noncompliance fee. (2) Any member who fails to satisfactorily comply shall be listed as a delinquent member by the IBP Board of Governors upon the recommendation of the MCLE Committee, in which case, Rule 139-A, Rules of Court,  governing the IBP, shall apply (Sections 1 and 2, Rule 13, BM 850). Under  BM 1922 (2008), practicing members of the bar are required to indicate in all pleadings filed before the courts or quasi-judicial bodies, the number and date of issue of their MCLE Certificate of Compliance or Certificate of Exemption, as may be applicable, for the immediately preceding compliance period. Failure to disclose the required information would cause the dismissal of the case and the expunction of the pleadings from the records.

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(a) Whose gross income and that of their immediate family do not exceed an amount double the monthly minimum wage of an employee; and (b) Who do not own real property with a fair market value as stated in the current tax declaration of more than three hundred thousand (P300,000.00) pesos.

BAR MATTER 2012 PURPOSE The Supreme Court has promulgated The Rule on Mandatory Legal Aid Service  to enhance the duty of lawyers to society as agents of social change and to the courts as officers thereof by helping improve access to justice by the less privileged members of society and expedite the resolution of cases involving them. Mandatory free legal service by members of the bar and their active support thereof will aid the efficient and effective administration of justice especially in cases involving indigent and pauper litigants [Section 2, Bar Matter No. 2012 (2009)].

REQUIREMENTS The rule requires every practicing lawyer to: (1) Render a minimum of 60 hours of free legal aid services to indigent litigants in a year. Said 60 hours shall be spread within a period of twelve 12 months, with a minimum of five hours of free legal aid services each month (2) Coordinate with the Clerk of Court for cases where he may render free legal aid service and shall be required to secure and obtain a certificate from the Clerk of Court attesting to the number of hours spent rendering free legal aid services in a case (Section 5, BM  2012).

SCOPE The rule governs the mandatory requirement for practicing lawyers to render free legal aid services in all cases (whether, civil, criminal or administrative) involving indigent and pauper litigants where the assistance of a lawyer is needed. It shall also govern the duty of other members of the legal profession to support the legal aid program of the IBP.

PENALTIES Should a lawyer fail to do so, he shall be required to explain why he was unable to render the minimum prescribed number of hours. If no explanation has been given or if the National Committee on Legal Aid (NCLA) finds the explanation unsatisfactory, the NCLA shall make a report and recommendation to the IBP Board of Governors for the erring lawyer to be declared a member of the IBP who is not in good standing.

DEFINITIONS The Section 4, BM 2012, defines: (1) Practicing lawyers as members of the Philippine Bar who appear for and in behalf of parties in courts of law and quasi-judicial agencies, excluding the following: (a) Government employees and incumbent elective officials not allowed by law to practice; (b) Lawyers who by law are not allowed to appear in court; (c) Supervising lawyers of students enrolled in law student practice in duly accredited legal clinics of law schools and lawyers of non-governmental organizations and peoples’ organizations, who by the nature of their work already render free legal aid to indigent and pauper litigants; and (d) Lawyers do not appear for and in behalf of parties in courts of law and quasi judicial agencies. Indigent and pauper litigants as those defined in Algura v. City of Naga (2006) and Section 19, Rule 141, which includes those:

After acceptance of the recommendation, the lawyer shall be declared a member not in good standing. He will be furnished a notice that includes a directive to pay P4000.00 penalty which shall accrue to the special fund for the legal aid program of the IBP. Any lawyer who fails to comply with these duties for at least three consecutive years shall be the subject of disciplinary proceedings to be instituted motu proprio by the Committee on Bar Discipline (Section 7, BM 2012).

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In addition, the notary public may perform any act authorized by the Notarial Rules, such as: (1) Certifying the affixing of signature by thumb or other mark on an instrument or document presented for notarization (Section 1(b), Rule III); (2) Signing on behalf of a person who is physically unable to sign or make a mark on an instrument or document (Section 1(c), Rule III, Notarial Rules).

Notarial Practice QUALIFICATIONS OF NOTARY PUBLIC (1) Must be a Filipino citizen; (2) Must be over  21 years old; (3) Must be a resident of the Philippines for at least one year; (4) Must maintain a regular place of work or business in the city or province where commission is to be issued; (5) Must be a member of the Philippine Bar in good standing, with clearances from: (a) The Office of the Bar Confidant of the Supreme Court; and (b) The IBP; (6) Must not have been convicted in the first instance of any crime involving moral turpitude (Section 1, Rule III, Notarial Rules).

POWERS ACKNOWLEDGMENT An acknowledgment refers to an act in which an individual on a single occasion: (1) Appears in person before the notary public and presents an integrally complete instrument or document; (2) Is attested to be personally known to the notary public or identified by the notary public through competent evidence of identity as defined by the Notarial Rules; and (3) Represents to the notary public that the signature on the instrument or document was voluntarily affixed by him for the purposes stated in the instrument or document, declares that he has executed the instrument or document as his free and voluntary act and deed, and, if he acts in a particular representative capacity, that he has the authority to sign in that capacity (Section 1, Rule II, Notarial Rules).

TERM OF OFFICE OF NOTARY PUBLIC Notarial Rules, Rule 111, Sec. 11. A person commissioned as notary public may perform notarial acts in any place within the territorial  jurisdiction of the commissioning court for a period of two years commencing the first day of January of the year in which the commissioning is made, unless earlier revoked or the notary public has resigned under these Rules  and the Rules of Court .

OATH OR AFFIRMATION Affirmation or oath refers to an act in which an individual on a single occasion: (1) Appears in person before the notary public; (2) Is personally known to the notary public or identified by the notary public through competent evidence of identity as defined by these Rules; and (3) Avows under penalty of law to the whole truth of the contents of the instrument or document (Section 2, Rule II, Notarial Rules).

Notarial Rules, Rule 111, Sec. 13.  A notary public may file a written application with the Executive Judge for the renewal of his commission within 45 days before the expiration thereof.

POWERS AND LIMITATIONS A notary public can perform the following notarial acts: (1) Acknowledgments; (2) Oaths and affirmations; (3) Jurats; (4) Signature witnessings; and (5) Copy certifications (Section 1(a), Rule III, Notarial Rules).

JURAT Jurat refers to an act in which an individual on a single occasion: (1) Appears in person before the notary public and presents an instrument or document;

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(2) Is personally known to the notary public or identified by the notary public through competent evidence of identity as defined by the Notarial Rules; (3) Signs the instrument or document in the presence of the notary; and (4) Takes an oath or affirmation before the notary public as to such instrument or document (Section 6, Rule II, Notarial Rules).

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Certifying the Affixing of Signature by Thumb or Other Mark A notary public is authorized to certify the affixing of a signature by thumb or other mark on an instrument or document presented for notarization if: (1) The thumb or other mark is affixed in the presence of the notary public and of two (2) disinterested and unaffected witnesses to the instrument or document; (2) Both witnesses sign their own names in addition to the thumb or other mark; (3) The notary public writes below the thumb or other mark: “Thumb or Other Mark affixed by (name of signatory by mark) in the presence of (names and addresses of witnesses) and undersigned notary public;” and (4) The notary public notarizes the signature by thumb or other mark through an acknowledgment, jurat, or signature witnessing (Section 1(b), Rule IV, Notarial Rules).

In jurat, the principal has to sign the instrument or document in the presence of the notary public, unlike in acknowledgment (Uy, The 2004 Rules on Notarial Practice: A Primer for Notaries Public (2004)). SIGNATURE WITNESSING Signature witnessing refers to a notarial act in which an individual on a single occasion: (1) Appears in person before the notary public and presents an instrument or document; (2) Is personally known to the notary public or identified by the notary public through competent evidence of identity as defined by these Rules; and (3) Signs the instrument or document in the presence of the notary public (Section 14, Rule II, Notarial Rules).

Signing on Behalf of a Person Who is Physically Unable to Sign or Make a Mark A notary public is authorized to sign on behalf of a person who is physically unable to sign or make a mark on an instrument or document if: (1) The notary public is directed by the person unable to sign or make a mark to sign on his behalf; (2) The signature of the notary public is affixed in the presence of two disinterested and unaffected witnesses to the instrument or document; (3) Both witnesses sign their own names ; (4) The notary public writes below his signature: “Signature affixed by notary in presence of (names and addresses of person and two witnesses);” and (5) The notary public notarizes his signature by acknowledgment or jurat (Section 1(c), Rule IV, Notarial Rules).

Copy Certification Copy certification refers to a notarial act in which a notary public: (1) Is presented with an instrument or document that is neither a vital record, a public record, nor publicly recordable; (2) Copies or supervises the copying of the instrument or document; (3) Compares the instrument or document with the copy; and (4) Determines that the copy is accurate and complete (Section, Rule II, Notarial Rules). This assists litigators in doing away with the requirement of proving that a copy is a faithful reproduction of an original instrument or document (Uy (2004)).

The term “physically unable to sign” does not include the situation where a person is physically unable to sign because he is in another place (Uy (2004)).

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(b) The signatory shows a demeanor which engenders in the mind of the notary public reasonable doubt as to the former's knowledge of the consequences of the transaction requiring a notarial act; and (c) In the notary's judgment, the signatory is not acting of his or her own free will (Section 4, Rule IV, Notarial Rules); (5) A notary public shall not: (a) Execute a certificate containing information known or believed by the notary to be false; (b) Affix an official signature or seal on a notarial certificate that is incomplete (Section 5, Rule IV, Notarial Rules); (6) A notary public shall not notarize: (a) A blank or incomplete instrument or document; or  (b) An instrument or document without appropriate notarial certification (Section 6, Rule IV, Notarial Rules).

LIMITATIONS RELATING TO NOTARIAL ACTS (1) A notary public shall not perform a notarial act outside his regular place of work or business; provided, however, that on certain exceptional occasions or situations, a notarial act may be performed at the request of the parties in the following sites located within his territorial jurisdiction: (a) Public offices, convention halls, and similar places where oaths of office may be administered; (b) Public function areas in hotels and similar places for the signing of instruments or documents requiring notarization; (c) Hospitals and other medical institutions where a party to an instrument or document is confined for treatment; and (d) Any place where a party to an instrument or document requiring notarization is under detention (Section 2(a), Rule IV, Notarial Rules); (2) A person shall not perform a notarial act if the person involved as signatory to the instrument or document: (a) Is not in the notary's presence personally at the time of the notarization; and (b) Is not personally known to the notary public or otherwise identified by the notary public through competent evidence of identity as defined by the Notarial Rules; (3) A notary public is disqualified from performing a notarial act if he: (a) Is a party to the instrument or document that is to be notarized; (b) Will receive, as a direct or indirect result, any commission, fee, advantage, right, title, interest, cash, property, or other consideration, except   as provided by the Notarial Rules and by law; or  (c) A notary public is disqualified from performing is a spouse, common-law partner, ancestor, descendant, or relative by affinity or consanguinity of the principal within the fourth civil degree (Section 3, Rule IV, Notarial Rules). (4) A notary public shall not perform any notarial act described in the Notarial Rules if: (a) The notary knows or has good reason to believe that the notarial act or transaction is unlawful or immoral;

RELATING TO NOTARIAL REGISTER (1) In the notary's presence, any person may inspect an entry in the notarial register, during regular business hours, provided; (a) The person's identity is personally known to the notary public or proven through competent evidence of identity as defined in the Notarial Rules; (b) The person affixes a signature and thumb or other mark or other recognized identifier, in the notarial register in a separate, dated entry; (c) The person specifies the month, year, type of instrument or document, and name of the principal in the notarial act or acts sought; and (d) The person is shown only the entry or entries specified by him; (2) The notarial register may be examined by a law enforcement officer in the course of an official investigation or by virtue of a court order. (3) If the notary public has a reasonable ground to believe that a person has a criminal intent or wrongful motive in requesting information from the notarial register, the notary shall deny access to any entry or entries therein (Section 4, Rule VI, Notarial Rules).

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(b) Whether he presented such draft, bill or note; (c) Whether notices were given, to whom and in what manner; where the same was made, when and to whom and where directed; and (d) Of every other fact touching the same (Section 2, Rule VI, Notarial Rules).

NOTARIAL REGISTER A notarial register refers to a permanently bound book with numbered pages containing a chronological record of notarial acts performed by a notary public (Section 5, Rule II, Notarial Rules).

ENTRIES BY THE NOTARY PUBLIC The following entries are required to be entered by the notary public at the time of notarization: (1) The entry number and page number; (2) The date and time of day of the notarial act; (3) The type of notarial act; (4) The title or description of the instrument, document or proceeding; (5) The name and address of each principal; (6) The competent evidence of identity as defined by the Notarial Rules if the signatory is not personally known to the notary; (7) The name and address of each credible witness swearing to or affirming the person's identity; (8) The fee charged for the notarial act; (9) The address where the notarization was performed if not in the notary's regular place of work or business; and (10) Any other circumstance the notary public may deem of significance or relevance; (11) Reasons and circumstances for not completing a notarial act; (12) Circumstances of any request to inspect or copy an entry in the notarial register, including the: (a) Requester’s name; (b) Requester’s address; (c) Requester’s signature; (d) Requester’s thumbmark or other recognized identifier; (e) Evidence of requester’s identity; and (f) Reasons for refusal to allow inspection or copying of a journal entry; (13) Brief description of the substance of a contract presented for notarization; (14) In case of a protest of any draft, bill of exchange or promissory note, a full and true record of all proceedings in relation thereto and shall note therein: (a) Whether the demand for the sum of money was made, by whom, when and where;

BY OTHER PERSONS At the time of notarization, the notary's notarial register shall be signed or a thumb or other mark affixed by each: (1) Principal; (2) Credible witness swearing or affirming to the identity of a principal; and (3) Witness to a signature by thumb or other mark, or to a signing by the notary public on behalf of a person physically unable to sign (Section 3, Rule VI, Notarial Rules).

CLOSING Notarial Rules, Rule VI, Sec. 2(g). At the end of each week, the notary public shall certify in his notarial register the number of instruments or documents executed, sworn to, acknowledged, or protested before him; or if none, this certificate shall show this fact.

SUBMISSION Notarial Rules, Rule VI, Sec. 2(h). A certified copy of each month’s entries and a duplicate original copy of any instrument acknowledged before the notary public shall, within the first ten days of the month following, be forwarded to the Clerk of Court and shall be under the responsibility of such officer. If there is no entry to certify for the month, the notary shall forward a statement to this effect in lieu of certified copies herein required.

JURISDICTION OF NOTARY PUBLIC AND PLACE OF NOTARIZATION A person commissioned as notary public may perform notarial acts in any place within the territorial jurisdiction of the commissioning court (Section 11, Rule III, Notarial Rules). This applies even if notarization is allowed in places other than the regular place of business of the notary public (Section 2(a), Rule IV, Notarial Rules).

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(a) One credible witness not privy to the instrument, document or transaction who is personally known to the notary public and who personally knows the individual; or  (b) Two credible witnesses neither of whom is privy to the instrument, document or transaction who each personally knows the individual and shows to the notary public documentary identification (Section 12, Rule II, Notarial Rules).

REVOCATION OF COMMISSION (1) The Executive Judge shall revoke a notarial commission for any ground on which an application for a commission may be denied; (2) In addition, the Executive Judge may revoke the commission of, or impose appropriate administrative sanctions upon, any notary public who: (a) Fails to keep a notarial register; (b) Fails to make the proper entry or entries in his notarial register concerning his notarial acts; (c) Fails to send the copy of the entries to the Executive Judge within the first ten days of the month following; (d) Fails to affix to acknowledgments the date of expiration of his commission; (e) Fails to submit his notarial register, when filled, to the Executive Judge; (f) 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; (g) Fails to require the presence of a principal at the time of the notarial act; (h) Fails to identify a principal on the basis of personal knowledge or competent evidence; (i)Executes a false or incomplete certificate under Section 5, Rule IV ; (j)Knowingly performs or fails to perform any other act prohibited or mandated by these Rules; and (k) 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 (Section 1(a) and (b), Rule XI, Notarial Rules).

SANCTIONS Notarial Rules, Rule XI, Sec. 1(d). The Executive Judge may motu proprio  initiate administrative proceedings against a notary public and impose the appropriate administrative sanctions on the grounds for revocation of commission mentioned. Also, the Executive Judge shall cause the prosecution of any person who: (1) Knowingly acts or otherwise impersonates a notary public; (2) Knowingly obtains, conceals, defaces, or destroys the seal, notarial register, or official records of a notary public; and (3) Knowingly solicits, coerces, or in any way influences a notary public to commit official misconduct.

Canons of Professional Ethics ORIGIN The Philippine Bar Association adopted the American Bar Association’s Canons of Professional Ethics in 1917 and 1946.

COMPETENT EVIDENCE OF IDENTITY Competent evidence of identity means the identification of an individual based on: (1) At least one current identification document issued by an official agency bearing the photograph and signature of the individual; or  (2) The oath or affirmation of:

In 1980, the IBP adopted a proposed Code of Professional Responsibility , which was later approved and promulgated by the Supreme Court as the present Code of Professional Responsibility (PCGG v. Sandiganbayan (2005)).

LEGAL STATUS

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While the PBA enjoys high regard in the legal community, the rules or canons it has adopted are per se binding only on its members. It would be grave error to declare that the Canons of Professional Ethics, on their own, serves as an indisputable source of obligations and basis of penalties imposable upon members of the Philippine legal profession. This would violate the long-established constitutional principle that it is the Supreme Court which is tasked with the promulgation of rules governing the admission to the practice of law, as well as the pleading, practice and procedure in all courts. If provisions of the Canons of Professional Ethics have jurisprudentially been enforced, or acknowledged as basis for legal liability by the Supreme Court, they may be recognized as a binding standard imposable upon members of the bar, but not because said canons or the PBA itself said so, but because the Supreme Court said so (Tinga, J., Separate Opinion, PCGG v. Sandiganbayan (2005)).

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Sources of Rules on Judicial Ethics

New Code of Judicial Conduct

NEW CODE OF JUDICIAL CONDUCT FOR THE PHILIPPINE JUDICIARY (Bangalore Draft)

QUALITIES INDEPENDENCE Canon 1. Judicial independence is a prerequisite to the rule of law and a fundamental guarantee of fair trial. A judge shall therefore, uphold and exemplify judicial independence in both its individual and institutional aspects.

In November 2002, at a Roundtable Meeting of Chief Justices held at the Peace Palace in The Hague, the Judicial Group on Strengthening Judicial Integrity amended and approved the Bangalore Draft of the Code of Judicial Conduct . Intended to be the Universal Declaration of  Judicial Standards, it is founded on the following principles: (1) A universal recognition that a competent, independent and impartial judiciary is essential if the courts are to fulfill their role in upholding constitutionalism and the rule of law; (2) Public confidence in the judicial system and in the moral authority and integrity of the  judiciary is of utmost importance in a modern democratic society; and (3) It is essential that judges, individually and collectively, respect and honor judicial office as a public trust and strive to enhance and maintain confidence in the judicial system.

INDEPENDENT JUDICIAL FUNCTION Section 1.  Judges shall exercise the judicial function independently: (a) On the basis of their assessment of the facts; (b) In accordance with a conscientious understanding of the law; (c) Free of any extraneous influence, inducement, pressure, threat or interference, direct or indirect, from any quarter or for any reason In every case, a judge should endeavor diligently to ascertain the facts and the applicable law unswayed by partisan or personal interests, public opinion or fear of criticism. The fact that the complainant and his sympathizers had staged a rally demanding the issuance of a warrant of arrest against the accused is not a sufficient excuse for the unjustified haste of respondent judge's act of fixing bail without a hearing [Libarios v. Dabalos (1991)]

On April 27, 2004, the draft code was promulgated as the New Code of Judicial Conduct for the Philippine Judiciary  through A.M. No. 03-05-01-SC   and given effect on June 1, 2004.

CODE OF JUDICIAL CONDUCT

Mass media has its duty to fearlessly but faithfully inform the public about events and persons. However, when a case has received wide and sensational publicity, the trial court should be doubly careful not only to be fair and impartial but also to give the appearance of complete objectivity in its handling of the case [Gutierrez, Jr., J., Concurring Opinion, Go v. CA (1992)].

The New Code of Judicial Conduct supersedes the Canons of Judicial Ethics (1946)  and the Code of Judicial Conduct (1989). However, in case of deficiency or absence of specific provisions, the Canons of Judicial Ethics and the Code of Judicial Conduct  shall be applicable in a suppletory character (New Code of Judicial Conduct).

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OUTSIDE PRESSURE Section 2 . In performing judicial duties, judges shall be independent from judicial colleagues in respect of decisions which the judge is obliged to make independently.

Otherwise, the judge risks undermining public confidence not just in him or herself, but in the entire judicial institution [(ABA–  Rule of Law Initiative, New Code of Judicial Conduct for the Philippine Judiciary (Annotated) (2007]).

INFLUENCING OUTCOME OF LITIGATION Section 3. Judges shall refrain from influencing in any manner the outcome of litigation or dispute pending before another court or administrative agency.

includes a judge’s spouse, son, daughter, son-in-law, daughter-in-law, and any other relative by consanguinity or affinity within the sixth civil degree, or person who is a companion or employee of the judge and who lives in the judge’s household [(Definitions, New Code of Judicial Conduct]).

Interference by members of the bench inpending suits with the end in view of influencing the course or the result of litigation does not only subvert the independence of the judiciary but also undermines the people's faith in its integrity and impartiality  [Sabitsana Jr. v. Villamor (1991)]. In this case, Judge Villamor sent a handwritten note to Judge Pitao cautioning him to watch out and exercise care in handling a case. He made a side remark for the acquittal of the accused in the case, which tended to influence outcome of the case.

INDEPENDENCE FROM EXECUTIVE AND LEGISLATIVE Section 5. Judges shall not only be free from inappropriate connections with, and influence by, the executive and legislative branches of government, but must also appear to be free therefrom to a reasonable observer. Granting bail because of the request of a congressman, despite belief that the evidence of guilt against the accused is strong, is reprehensible [Tahil v. Eisma (1975)).

INFLUENCE ON JUDICIAL CONDUCT Section 4.  Judges shall not allow family, social or other relationships to influence judicial conduct or judgment. The prestige of judicial office shall not be used or lent to advance the public interests of others, nor convey or permit others to convey the impression that they are in a special position to influence the judge.

It is absolutely essential to the proper administration of justice that courts have full control over the official actions of those through whom the administration of the affairs of the court precedes. For judicial independence to be a reality, the least interference by or influence from other governmental departments is of the essence. Only this Court has the authority to order a personnel accounting of locally-funded employees assigned in the lower courts to determine the necessity of their detail [Alfonso v. Alonzo-Legasto (2002]).

This gives instruction to judges not to allow their family members, friends and associates to influence them in their judicial conduct or  judgment. Also importantly, a judge should ensure that his family members, friends and associates refrain from creating the impression that they are in a position to influence the judge. Judges should, therefore, at all times remind themselves that they are not in the judiciary to give out favors but to dispense justice. They should also make it clear to the members of their family, friends and associates that they will neither be influenced by anyone, nor would they allow anyone to interfere in their judicial work.

It is desirable that the judge should, as far as reasonably possible, refrain from all relations which would normally tend to arouse the suspicion that such relations warp or bias his  judgment, and prevent an impartial attitude of mind in the administration of judicial duties [ABA (2007]).

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INDEPENDENCE FROM SOCIETY AND PARTICULAR PARTIES Section 6.  Judges shall be independent in relation to society in general and in relation to the particular parties to a dispute which he or she has to adjudicate.

LEGAL AND JUDICIAL ETHICS

INTEGRITY Canon 2 . Integrity is essential not only to the proper discharge of the judicial office but also to the personal demeanor of judges. CONDUCT ABOVE REPROACH Section 1.  Judges shall ensure that not only is their conduct above reproach, but that it is  perceived to be so in the view of a reasonable observer.

A judge’s act of sending a member of his staff to talk with a complainant and show copies of his draft decisions, and his act of meeting with litigants outside the office premises beyond office hours violate the standard of judicial conduct required to be observed by members of the bench. They constitute gross misconduct which is punishable under Rule 140, Rules of Court [Tan v. Rosete (2004]).

The exacting standards of conduct demanded from judges are designed to promote public confidence in the integrity and impartiality of the judiciary because the people’s confidence in the judicial system is founded not only on the magnitude of legal knowledge and the diligence of the members of the bench, but also on the highest standard of integrity and moral uprightness they are expected to possess. It is therefore paramount that a judge’s personal behavior both in the performance of his duties and his daily life, be free from any appearance of impropriety as to be beyond reproach [Tan v. Rosete (2004)].

SAFEGUARDS FOR JUDICIAL INDEPENDENCE Section 7.  Judges shall encourage and uphold safeguards for the discharge of judicial duties in order to maintain and enhance the institutional and operational independence of the judiciary. PROMOTE PUBLIC CONFIDENCE Section 8. Judges shall exhibit and promote high standards of judicial conduct in order to reinforce public confidence in the judiciary which is fundamental to the maintenance of  judicial independence.

With regard to professional integrity, judges have been penalized for: (1) Demanding and/or accepting bribes [Tan v. Rosete (2004)]; (2) Fraternizing with litigants and/or lawyers [Dela Cruz v. Bersamin (2000]); (3) Altering orders [Rallos v. Gako (2000)]; (4) Delay in rendering decisions [Fernandez v. Hamoy (2004]); (5) Sexual harassment of employees [Dawa v. De Asa (1998]);and (6) Ignorance of the law [Macalintal v. The (1997]).

Sections 7   and 8 are intended to serve as catchall provisions for all other acts that would guarantee the independence of the judiciary, but which may not have been covered in the specific instances mentioned in the earlier provisions [ABA (2007]). The judge should always be imbued with a high sense of duty and responsibility in the discharge of his obligation to promptly and properly administer justice. He must view himself as a priest, for the administration of justice is akin to a religious crusade [ Dimatulac v. Villon (1998]).

With respect to personal integrity, judges have been penalized for transgressions in their private lives such as: (1) Keeping and/or flaunting a mistress [In Re:  Judge Marcos (2001]); (2) Inebriated/drunk behavior [Lachica v. Flordeliza (1996)];and (3) Frequenting casinos and cockfights [City of Tagbilaran v Hontanosas (2002)].

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REAFFIRM PEOPLE'S FAITH Section 2.  The behavior and conduct of judges must reaffirm the people's faith in the integrity of the judiciary. Justice must not only merely be done but must also be seen to be done.

IMPARTIALITY

A judge has the duty to not only render a just and 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  judge’s integrity.  It is obvious, therefore, that while judges should possess proficiency in law in order that they can competently construe and enforce the law, it is more important that they should act and behave in such a manner that the parties before them should have confidence in their impartiality [Sibayan-Joaquin v. Javellana (2001]).

The judge must render service with impartiality commensurate with the public trust and confidence reposed in him [Dimatulac v. Villon (1998]).

Canon 3. Impartiality is essential to the proper discharge of the judicial office. It applies not only to the decision itself but also to the process by which the decision is made.

JUDICIAL DUTIES FREE FROM BIAS Section 1. Judges shall perform their judicial duties without favor, bias, or prejudice. Bare allegations of partiality and prejudgment will not suffice [Dimo Realty & Dev. Inc. v. Dimaculangan (2004]). A judge's conduct must be clearly indicative of arbitrariness and prejudice before it can be stigmatized as biased and partial [Cruz v. Iturralde (2003]).

DISCIPLINARY ACTION Section 3. Judges should take or initiate appropriate disciplinary measures against lawyers or court personnel for unprofessional conduct of which the judge may have become aware.

Bias and prejudice must be shown to have resulted in an opinion on the merits on the basis of an extrajudicial source, not on what the judge learned from participating in the case. As long as opinions formed in the course of judicial proceedings are based on the evidence presented and the conduct observed by the magistrate, such opinion – even if later found to be erroneous –  will not prove personal bias or prejudice on the part of the judge. While palpable error may be inferred from the decision or the order itself, extrinsic evidence is required to establish bias, bad faith, malice or corrupt purpose [Gochan v. Gochan (2003]). This is known as the

The inclination to leniency in the administrative supervision of court employees is an undesirable trait. Oftentimes, such leniency provides the court employees the opportunity to commit minor transgressions of the laws and slight breaches of official duty ultimately leading to vicious delinquencies. A judge should constantly keep a watchful eye on the conduct of his employees. He should realize that big start small. His constant scrutiny of the behavior of his employees would deter any abuse on the part of the latter in the exercise of their duties. Then, his subordinates would know that any misdemeanor will not remain unchecked. The slightest semblance of impropriety on the part of the employees of the court, in the performance of their official duties stirs ripples of public suspicion and public distrust of the  judicial administrators. The slightest breach of duty by and the slightest irregularity in the conduct of court officers and employees detract from the dignity of the courts and erode the faith of the people in the judiciary [Buenaventura v. Benedicto (1971]).

PROMOTE CONFIDENCE, IMPARTIALITY Section 2 . Judges shall ensure that his or her conduct, both in and out of court, maintains and enhances the confidence of the public, the legal profession and litigants in the impartiality of the  judge and of the judiciary.

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A judge may not be legally prohibited from sitting in a litigation. But when suggestion is made of record that he might be induced to act in favor of one party or with bias or prejudice against a litigant arising out of circumstance reasonably capable of inciting such a state of mind, he should conduct a careful selfexamination. He should exercise his discretion in a way that the people's faith in the courts of  justice is not impaired [Pimentel v. Salanga (1967]).

LEGAL AND JUDICIAL ETHICS

In Martinez v. Gironella (1975), a judge was disqualified from trying a murder case against the accused (as principal), because, in a decision in a prior case involving an alleged accessory, he stated that the accused in the present case committed the crime. In Palang v. Zosa (1974), the judge, in deciding a previous estafa case, stated that the charge was a “clear concocted story” which caused great damage to the accused. When a case for damages was filed by the accused against the complainant in the estafa case, the judge voluntary inhibited himself. The Supreme Court stated that the judge’s inhibition reinforced public faith in the impartial administration of  justice.

MINIMIZE INSTANCES OF DISQUALIFICATIONS Section 3. Judges shall, so far as is reasonable, so conduct themselves as to minimize the occasions on which it will be necessary for them to be disqualified from hearing or deciding cases.

DISQUALIFICATIONS Section 5.  Judges shall disqualify themselves from participating in any proceedings in which they are unable to decide the matter impartially or in which it may appear to a reasonable observer that they are unable to decide the matter impartially. Such proceedings include, but are not limited to, instances where: (a) The judge has actual bias or prejudice concerning a party or personal knowledge of disputed evidentiary facts concerning the proceedings; (b) The judge previously served as a lawyer or was a material witness in the matter in controversy; (c) The judge, or a member of his or her family, has an economic interest in the outcome of the matter in controversy; (d) The judge served as executor, administrator, guardian, trustee, or lawyer in the case or matter in controversy, or a former associate of the judge served as counsel during their association, or the judge or lawyer was a material witness therein; (e) The judge's ruling in a lower court is the subject of review; (f) The judge is related by consanguinity or affinity to a party litigant within the 6th civil degree or to counsel within the fourth civil degree; or

The underlying reason for the rules on disqualification is to ensure that a judge, sitting in a case, will at all times be free from inclinations or prejudices and be well capable to render a just and independent judgment. A litigant is entitled to nothing less than the cold neutrality of a judge. Due process requires it [Parayno v. Meneses (1994]). The rule of disqualification of judges must yield to demands of necessity. Simply stated, the rule of necessity means that a judge is not disqualified to sit in a case if there is no other  judge available to hear and decide the case [46  Am. Jur. 2d Judges § 89 (1969]). PUBLIC COMMENTS; PENDING AND IMPENDING CASE Section 4. Judges shall not knowingly, while a proceeding is before, or could come before them, make any comment that might reasonably be expected to affect the outcome of such proceeding or impair the manifest fairness of the process. Nor shall judges make any comment in public or otherwise that might affect the fair trial of any person or issue.

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(g) The judge knows that his or her spouse or child has a financial interest, as heir, legatee, creditor, fiduciary, or otherwise, in the subject matter in controversy or in a party to the proceeding, or any other interest that could be substantially affected by the outcome of the proceedings.

LEGAL AND JUDICIAL ETHICS

In Oktubre v. Velasco (2004), a municipal judge, as private complainant, caused three criminal complaints to be filed before his own court. He also issued a warrant of arrest and subpoenas before finally inhibiting himself from hearing the cases. The Supreme Court found him guilty of grave misconduct, gross ignorance of the law and grave abuse of authority, and dismissed him from service. It stated that the idea that a  judge can preside over his own case is anathema to the notion of impartiality and that his subsequent inhibition from the three cases does not detract from his culpability for he should not have taken cognizance of the cases in the first place.

In Umale v. Villaluz (1973), a judge inhibited himself from trying a robbery case due to his personal knowledge of the case. The Supreme Court stated that it is possible that the respondent Judge might be influenced by his personal knowledge of the case when he tries and decides the same on the merits, which would certainly constitute a denial of due process to the party adversely affected by his  judgment or decision. Thus, it is best that, after some reflection, the judge, on his own initiative disqualified himself from hearing the robbery case and thereby rendering himself available as witness to any of the parties subject to crossexamination.

In Sandoval v. CA (1996), the Supreme Court that an Associate Justice who only partly presided over a case in the trial court and who did not render the final decision cannot be said to have been placed in a position where he had to review his own decision and, as such, was not legally   bound, on this ground, to inhibit himself as ponente of the case. Nevertheless, it was held that he should have voluntarily inhibited himself for his earlier involvement in the case constitutes just or valid reason under Section 1, Rule 137 . A judge should not handle a case in which he might be perceived, rightly or wrongly, to be susceptible to bias and partiality.

In People v. Gomez (1967), the judge dismissed criminal informations on the suspicion, arising from a dinner invitation from a stranger and a subsequent personal investigation, that the court was being used as a forum for extortion and exploitation of the persons charged. The Supreme Court found this unstated extraneous matter makes the dismissal as one affected with partiality and bias. The prayer of the judge to be disqualified in hearing the case because he has lost all respect in the manner in which the prosecutor has been prosecuting the case was granted.

PERMITTAL OF DISQUALIFICATIONS Section 6. A judge disqualified as stated above may, instead of withdrawing from the proceeding, disclose on the records the basis of disqualification. If based on such disclosure, the parties and lawyers independently of a judge's participation, all agree in writing that the reason for the inhibition is immaterial or unsubstantial, the judge may then participate in the proceeding. The agreement, signed by all parties and lawyers, shall be incorporated in the record of the proceedings.

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The decision to continue hearing the case, despite the existence of reasons for disqualification should be: (1) coupled with a bona fide  disclosure to the parties-in-litigation, and (2) subject to express acceptance by all the parties of the cited reason as not material or substantial. The basis of the disqualification should be disclosed, not mere “personal reasons” [ABA (2007]).

LEGAL AND JUDICIAL ETHICS

Violent action in a public place, whatever the motive, constitutes serious misconduct and resultant outrage of the community [Arban v. Boraha (1989]). It is highly improper for a judge to wield a highpowered firearm in public and besieged the house of a perceived defamer of character and honor in warlike fashion, berating the object of his ire with his firearm aimed at him [Saburnido v. Madrano (2001]).

PROPRIETY Canon 4.  Propriety and the appearance of propriety are essential to the performance of all the activities of a judge.

ACCEPTANCS OF PERSONAL RESTRICTIONS Section 2. As a subject of constant public scrutiny, judges must accept personal restrictions that might be viewed as burdensome by the ordinary citizen and should do so freely and willingly. In particular, judges shall conduct themselves in a way that is consistent with the dignity of the judicial office.

AVOIDANCE OF IMPROPRIETY Section 1. Judges shall avoid impropriety and the appearance of impropriety in all of their activities. By prohibiting not only impropriety but even the appearance of impropriety, the Code recognizes that even acts that are not per se improper can nevertheless be perceived by the larger community as such [ABA (2007)]. Thus, acts of judges which are not illegal may still violate the Code:

Judges are also human beings, with their own burdens and private affairs. However, having accepted the esteemed position of judge, they ought to have known that more is expected of them than an ordinary citizen. As subjects of constant public scrutiny, personal restrictions that might be viewed as burdensome by the ordinary citizen should be freely and willingly accepted by a judge.

(1) Hearing cases on the day when the judge was supposed to be on official leave [Re:  Anonymous Complaint Against Acuña (2005]); (2) Hearing a motion while on vacation in the  judge’s room dressed in a polo jacket [Ignacio v. Valenzuela (1982]); (3) Coming out of a hotel together with a subordinate, even when there is no clear evidence of sexual congress [Liwanag v. Lustre (1999]); (4) Making a joking remark to a litigant suggesting for the latter to prove that he harbored no ill feelings toward the judge [Co v. Plata (2005]); (5) Admonishing the bride and the groom, after conducting a marriage ceremony, to sexually satisfy each other so that they will not go astray [Hadap v. Lee (1982]).

In particular, he or she must exhibit conduct consistent with the dignity of the judicial office. Indeed, a judge’s personal behavior, not only while in the performance of official duties, must be beyond reproach, being the visible personification of law and of justice [Re:  Anonymous Complaint Against Acuña (2005)]. Thus, judges have been rebuked for: (1) Sexually suggestive advances to women [Mariano v. Gonzales (1982]); (2) Writing letters asking a married woman to come to the judge’s sala afterfive o’clock in the evening [Hadap v. Lee (1982]); (3) Assigning a female stenographer to the  judge’s chambers [Ritual v. Valencia (1978]).

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AVOIDANCE OF CONTROVERSY Section 3.  Judges shall, in their personal relations with individual members of the legal profession who practice regularly in their court, avoid situations which might reasonably give rise to the suspicion or appearance of favoritism or partiality.

LEGAL AND JUDICIAL ETHICS

It is grossly improper for a judge to meet with a litigant at his home and to frequent the karaoke bar owned by such litigant, enjoying the use thereof for free [J. King & Sons v. Hontanosas (2004)]. Fraternizing with litigants tarnishes the appearance of impartiality. It is improper for a  judge to meet privately with the accused without the presence of the complainant [De Guzman, Jr. v. Sison (2001)].

A judge, who is commanded at all times to be mindful of his high calling and his mission as a dispassionate and impartial arbiter of justice, is expected to be “a cerebral man who deliberately holds in check the tug and pull of purely personal preferences which he shares with his fellow mortals” [OCA v. Paderanga (2005)].

FREEDOM OF EXPRESSION Section 6 . Judges, like any other citizen, are entitled to freedom of expression, belief, association and assembly, but in exercising such rights, they shall always conduct themselves in such a manner as to preserve the dignity of the  judicial office and the impartiality and independence of the judiciary.

Constant company [or fraternizing] with a lawyer tends to breed intimacy and camaraderie to the point that favors in the future may be asked from a judge which he may find hard to resist. The actuation of a judge of eating and drinking in public places with a lawyer who has pending cases in his sala  may well arouse suspicion in the public mind, thus tending to erode the trust of the litigants in the impartiality of the judge [Padilla v. Zantua (1994)].

In the exercise of their civil liberties, judges should be circumspect and ever mindful that their continuing commitment to upholding the  judiciary and its values places upon them certain implied restraints to their freedom. A  judge was admonished for the appearance of engaging in partisan politics when he participated in a political rally sponsored by one party, even though he only explained the mechanics of block voting to the audience [ABA (2007]).

NOT PARTICIPATE IN CASES WHERE HE MAY BE IMPARTIAL Section 4.  Judges shall not participate in the determination of a case in which any member of their family represents a litigant or is associated in any manner with the case.

BE INFORMED OF HIS FINANCIAL INTERESTS Section 7 . Judges shall inform themselves about their personal fiduciary financial interests and shall make reasonable efforts to be informed about the financial interests of members of their family.

This rule rests on the principle that no judge should preside in a case in which the judge is not wholly free, disinterested, impartial and independent. A judge has both the duty of rendering a just decision and the duty of doing it in a manner completely free from suspicion as to fairness and integrity. The purpose is to preserve the people’s faith and confidence in the courts of justice(ABA (2007)).

Under Section 7(a), RA 6713, public officials and employees are prohibited from directly or indirectly having any financial or material interest in any transaction requiring the approval of their office.

NOT ALLOW THE USE OF HIS RESIDENCE BY OTHER LAWYERS Section 5. Judges shall not allow the use of their residence by a member of the legal profession to receive clients of the latter or of other members of the legal profession.

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The Code of Judicial Conduct  mandates that “a  judge shall refrain from financial and business dealings that tend to reflect adversely on the court’s impartiality, interfere with the proper performance of judicial activities, or increase involvement with lawyers or persons likely 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 disqualification” [Catbagan v. Barte (2005)].

LEGAL AND JUDICIAL ETHICS

Releasing a draft decision to a party was considered not as a simple breach of confidentiality of the decision-making process in the case of Centrum Agri-Business Realty Corp. v. Katalbas-Moscardon (1995), but a scheme to extort money from a party. Also, a judge’s act of personally furnishing a party copies of orders issued, without the same passing through the court docket, is highly irregular, giving rise to the suspicion that the  judge is partial to one of the parties in the case pending before him [Co v. Calimag (2000]).

INFLUENCE OF JUDICIAL CONDUCT Section 8. Judges shall not: (a) Use or lend the prestige of the judicial office to advance their private interests, or those of a member of their family or of anyone else; (b) Convey or permit others to convey the impression that anyone is in a special position improperly to influence them in the performance of judicial duties.

Records of cases are necessarily confidential, and to preserve their integrity and confidentiality, access thereto ought to be limited only to the judge, the parties or their counsel and the appropriate court personnel in charge of the custody thereof. It is improper to allow a judge’s wife, who is not a court employee, much less the employee specifically in charge of the custody of said records, to have access thereto [Gordon v. Lilagan (2001)].

A judge, claiming to be an administrator of an estate, wrote demand letters to tenants using the letterhead of his sala  for them to pay their rent in his office. The Supreme Court stated that using the said letterhead and requiring payment at his office is clearly intended to use the prestige of his judicial office to advance private interests [Oktubre v. Velasco (2004]) . Another judge who, as creditor, filed a collection case in a venue where he was one of the trial  judges, was severely censured by the Supreme Court, stating that a sense of propriety should have impelled him to desist from filing in said venue, even when, under the law, he had the choice of venue. In the eyes of the public, it arouses suspicion, rightly or wrongly, that advantage is being taken of one’s position(Javier v. De Guzman, Jr. (1990)).

ENGAGE IN OTHER ACTIVITIES Section 10. Subject to the proper performance of  judicial duties, judges may: (a) Write, lecture, teach, and participate in activities concerning the law, the legal system, the administration of justice or related matters; (b) Appear at a public hearing before an official body concerned with matters relating to the law, the legal system, the administration of  justice or related matters; (c) Engage in other activities if such activities do not detract from the dignity of the judicial office or otherwise interfere with the performance of judicial duties. This section should be read in conjunction with Section 12, Article VIII, Constitution, which prohibits members of the judiciary from being designated to any agency performing quasi judicial or administrative functions.

CONFIDENTIAL INFORMATION Section 9. Confidential information acquired by  judges in their judicial capacity shall not be used or disclosed by, for any other purpose related to their judicial duties.

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Thus, membership of a judge in a Provincial Committee on Justice, which discharges administrative functions, will be in violation of the Constitution. However, the Supreme Court stated that this does not mean that judges should adopt monastic insensibility or unbecoming indifference to such institutions and that even as non-members, they should render assistance to help promote the laudable purposes for which they exist when such assistance may be reasonably incidental to the fulfillment of their judicial duties [In Re: Designation of Judge Manzano (1988]).

LEGAL AND JUDICIAL ETHICS

(1) All notarial fees charged be for the account of the Government and turned over to the municipal treasurer; and (2) A certification be made in the notarized documents attesting to the lack of any lawyer or notary public in such municipality or circuit [Tabao v. Asis (1996)]. FORM ASSOCIATIONS Section 12. Judges may form or join associations of judges or participate in other organizations representing the interests of judges. This rule recognizes a difference between membership in associations of judges and membership in associations of other legal professionals. While attendance at lavish events hosted by lawyers might create an appearance of impropriety, participation in judges-only organizations does not [ABA (2007)].

PRACTICE OF PROFESSION Section 11. Judges shall not practice law whilst the holder of judicial office. This prohibition is based on public policy because the rights, duties, privileges and functions of the office of an attorney-at-law are inherently incompatible with the high official functions, duties, powers, discretion and privileges of a judge. It also aims to ensure that  judges give their full time and attention to their  judicial duties, prevent them from extending special favors to their own private interests and assure the public of their impartiality in the performance of their functions [Carual v. Brusola (1999]).

GIFTS, REQUESTS, LOANS Section 13. Judges and members of their families shall neither ask for, or accept, any gift, bequest, loan or favor in relation to anything done or to be done or omitted to be done by him or her in connection with the performance of judicial duties. Under Section 7(d), RA 6713, prohibits solicitation or acceptance by public officials and employees, directly or indirectly, of any gift, gratuity, favor, entertainment, loan or anything of monetary value from any person in the course of their official duties or in connection with any operation being regulated by, or any transaction which may be affected by the functions of their office.

 Municipal judges may not engage in notarial work.  They may do so as notaries public exofficio, in which case, they may only notarize documents connected with the exercise of their official functions. As such, they may not undertake the preparation and acknowledgement of private documents, contracts and other acts of conveyance, which bear no relation to the performance of their functions as judges.

The act of a judge in demanding and receiving money from a party-litigant before his court constitute serious misconduct in office. It is this kind of gross and flaunting misconduct on the part of those who are charged with the responsibility of administering the law and rendering justice that so quickly and surely corrodes the respect for law and the courts without which government cannot continue and that tears apart the very bonds of our polity [Haw Tay v. Singayao (1987]).

: In far-flung municipalities which have neither lawyers nor notaries public, municipal judges assigned to those municipalities or circuits may, in their capacity as notaries public ex-officio, perform any act within the competence of a regular notary public, provided:

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FIFTS, REQUESTS, LOANS BY STAFF Section 14.  Judges shall not knowingly permit court staff of others subject to their influence, direction or authority, to ask for, or accept any gift, bequest, loan or favor in relation to anything done or to be done or omitted to be done in connection with their duties of functions.

LEGAL AND JUDICIAL ETHICS

EQUALITY Canon 5. Ensuring equality of treatment to all before the courts is essential to the due performance of the judicial office. This is a new canon not found in the previous codes of judicial conduct. It expands the measures to promote equality required by international human rights agreements  [ABA (2007]).

This section complements the previous section and assures that what the judge cannot do directly may not be done indirectly through the use of employees or staff members [ABA (2007]).

UNDERSTAND THE DIVERSITY IN SOCIETY Section 1.  Judges shall be aware of, and understand, diversity in society and differences arising from various sources, including but not limited to race, color, sex, religion, national origin, caste, disability, age, marital status, sexual orientation, social and economic status and other like causes.

PERMISSIBLE TOKENS AND AWARDS Section 15. Subject to law and to any legal requirements of public disclosure, judges may receive a token, gift, award, or benefit as appropriate to the occasion on which it is made provided that such gift, award of benefit might not reasonably be perceived as intended to influence the judge in the performance of  judicial duties or otherwise give rise to an appearance of partiality.

To render substantial justice and maintain public confidence in the judicial system, judges are expected to be aware of the diversity in society that results from an increased worldwide exchange of people and ideas. Judges must be able to avoid the infiltration of preconceptions into their decisions. They should be mindful of the various international instruments and treaties ratified by the Philippines, which affirm the equality of all human beings and establish a norm of non-discrimination without distinction as to race, sex, language or religion [ABA (2007)].

  Judges and members of their families are prohibited from accepting any token, gift, award or benefit.   Subject to legal requirements like public disclosure, they may   accept gifts provided that it might not reasonably be perceived as intended to influence judge.

NOT TO MANIFEST BIAS OR PREJUDICE Section 2. Judges shall not, in the performance of judicial duties, by words or conduct, manifest bias or prejudice towards any person or group on irrelevant grounds.

As to gifts or grants from foreign governments, Section 7(d),RA 6713 allows: (a) A gift of nominal value tendered and received as a souvenir or mark of courtesy; (b) A gift in the nature of a scholarship or fellowship grant or medical treatment; or  (c) Travel grants or expenses for travel taking place entirely outside the Philippine of more than nominal value if such acceptance is: (i) Appropriate or consistent with the interests of the Philippines; and (ii) Permitted by the head of office, branch or agency to which he belongs.

In every litigation, perhaps much more so in criminal cases, the manner and attitude of a trial judge are crucial to everyone concerned, the offended party, no less than the accused. It is not for him to indulge or even to give the appearance of catering to the at times human failing of yielding to first impressions.

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He is to refrain from reaching hasty conclusions or prejudging matters. It would be deplorable if he lays himself open to the suspicion of reacting to feelings rather than to facts, of being imprisoned in the net of his own sympathies and predilections [Castillo v. Juan (1975)].

LEGAL AND JUDICIAL ETHICS

ATTITUDE TO PARTIES APPEARING IN COURT Section 5.  Judges shall require lawyers in proceedings before the court to refrain from manifesting, by words or conduct, bias or prejudice based on irrelevant grounds, except such as are legally relevant to an issue in proceedings and may be the subject of legitimate advocacy.

NOT TO DIFFERENTIATE Section 3.  Judges shall carry out judicial duties with appropriate consideration for all persons, such as the parties, witnesses, lawyers, court staff and judicial colleagues, without differentiation on any irrelevant ground, immaterial to the proper performance of such duties.

Judges should conduct proceedings in court with dignity and in a manner that reflects the importance and seriousness of proceedings. They should maintain order and proper decorum in the court [Rule 3.03, Canon 3, 1989 Code of Judicial Conduct].

Unequal and disparate treatment in the courthouse, whether intentional or perceived, is unacceptable and can negatively impact the professional lives of attorneys and employees, the assessment of claims of litigants, and the respect and credibility of the justice system [ABA (2007]).

The effect is the same when the insensitive act or comment is made by a lawyer appearing in the court and the judge does not admonish the lawyer for the insensitivity [ABA (2007)] . Thus, judges have the duty to prevent lawyers from violating the rights of witnesses. This complements Rule 12.07, Canon 12 , which directs that a lawyer shall not abuse, browbeat or harass a witness nor needlessly inconvenience him.

NOT TO INFLUENCE STAFF Section 4.  Judges shall not knowingly permit court staff or others subject to his or her influence, direction or control to differentiate between persons concerned, in a matter before the judge, on any irrelevant ground.

COMPETENCE AND DILIGENCE Canon 6.  Competence and diligence are prerequisites to the due performance of judicial office.

Judges should organize their courts to ensure the prompt and convenient dispatch of business and should not tolerate misconduct by clerks, sheriffs and other assistants who are sometimes prone to expect favors or special treatment due to their professional relationship with the judge. Court personnel shall not discriminate by dispensing special favors to anyone. They shall not allow kinship, rank, position or favors from any party to influence their official acts or duties [Section 3, Canon 1, Code of Conduct for Court Personnel].

A judge must be the embodiment of competence, integrity and independence, and should be studiously careful to avoid even the slightest infraction of the law, lest it be a demoralizing example to others [OCA v. Gines (1993)]. DUTIES TAKE PRECEDENCE Section 1.  The judicial duties of a judge take precedence over all other activities.

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Verily, a judge may, in the exercise of his sound discretion, inhibit himself voluntarily from sitting in a case, but it should be based on good, sound or ethical grounds, or for just and valid reasons. No less than imperative is that it is the  judge’s sacred duty to administer justice without fear or favor [Parayno v. Meneses (1994)].

LEGAL AND JUDICIAL ETHICS

Although a judge is nearing retirement he should not relax in his study of the law and court decisions. Service in the judiciary means a continuous study and research on the law from beginning to end [Ajeno v. Inserto (1976]) Judges are not, however, expected to be infallible; not every error or irregularity committed by judges in the performance of official duties is subject to administrative sanction. In the absence of bad faith, fraud, dishonesty, or deliberate intent to do injustice, incorrect rulings do not constitute misconduct and may not give rise to a charge of gross ignorance of the law [Cruz v. Iturralde (2003)].

PERFORM ADMINISTRATIVE DUTIES Section 2 . Judges shall devote their professional activity to judicial duties, which include not only the performance of judicial functions and responsibilities in court and the making of decisions, but also other tasks relevant to the  judicial office or the court's operations. Failure to speedily dispose of cases on account of missing records of cases reflects an inefficient and disorderly system in the recording of cases assigned to a judge’s sala. Proper and efficient court management is as much the judge’s responsibility, for the court personnel are not the guardians of a judge’s responsibilities. A  judge is expected to ensure that the records of cases assigned to his sala are intact. There is no  justification for missing records save fortuitous events. The loss of not one but eight records is indicative of gross misconduct and inexcusable negligence unbecoming of a judge [Longboan v. Polig (1990]).

Disciplinary proceedings and criminal actions against judges are not complementary or suppletory of, nor a substitute for, these judicial remedies, whether ordinary or extraordinary. Resort to and exhaustion of these judicial remedies are prerequisites for the taking of other measures against the persons of the  judges concerned, whether of civil, administrative, or criminal nature. It is only after the available judicial remedies have been exhausted and the appellate tribunals have spoken with finality that the door to an inquiry into his criminal, civil, or administrative liability may be said to have opened, or closed [Maquiran v. Grageda (2005)].

MAINTAIN PROFESSIONAL COMPETENCE Section 3. Judges shall take reasonable steps to maintain and enhance their knowledge, skills, and personal qualities necessary for the proper performance of judicial duties, taking advantage for this purpose of the training and other facilities which should be made available, under  judicial control, to judges.

BE INFORMED ABOUT THE LAW Section 4,.  Judges shall keep themselves informed about the relevant developments of international law, including international conventions and other instruments establishing human rights norms. This is so since, subject to the conditions set forth in Section 2, Article II and Section 21, Article VII, Constitution, international law, both customary and conventional, are part of Philippine law.

When a judge accepts his position, he owes it to the dignity of the court, to the legal profession, and to the public, to know the very law he is supposed to apply to a given controversy. Even in the remaining years of his stay in the judiciary he should keep abreast with the changes in the law and with the latest decisions and precedents.

PROMPT DECISION MAKING Section 5.  Judges shall perform all judicial duties, including the delivery of reserved decisions, efficiently, fairly, and with reasonable promptness.

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Section 1, Rule 124 requires that justice be impartially administered without unnecessary delay. This principle permeates the whole system of judicature, and supports the legitimacy of the decrees of judicial tribunals [ABA (2007)].

LEGAL AND JUDICIAL ETHICS

Inefficient judges are equally impermissible in the judiciary as the incompetent and dishonest ones. Any of them tarnishes the image of the  judiciary or brings it to public contempt, dishonor or disrespect and must then be administratively dealt with and punished accordingly [Yu-Aensi v. Villanueva (2000]). Thus, a judge who issued orders indefinitely postponing the hearing of an election protest was found to be inefficient and to have transgressed the basic mandatory rules for expeditious resolution of cases [De la Cruz v. Pascua (2001)].

MAINTAIN ORDER IN PROCEEDINGS Section 6.  Judges shall maintain order and decorum in all proceedings before the court and be patient, dignified, and courteous in relation to litigants, witnesses, lawyers, and others with whom the judge deals in an official capacity. Judges shall require similar conduct of legal representatives, court staff and others subject to their influence, direction and control.

Discipline of Members of the Judiciary

A judge was found guilty of committing acts unbecoming of a judge and abuse of authority when he shouted invectives and threw a chair at the complainant, resulting in wrist and other injuries to the complainant [Briones v. Ante, Jr. (2002]).

MEMBERS OF THE SUPREME COURT IMPEACHMENT Members of the Supreme Court may be removed from office on impeachment for, and conviction of, culpable violation of the Constitution, treason, bribery, graft and corruption, other high crimes, or betrayal of public trust (Section 2, Article X, Constitution).

Another judge was found guilty of serious misconduct and inefficiency by reason of habitual tardiness. He was fined and suspended for judicial indolence [Yu-Asensi v. Villanueva (2000)].

The impeachment of public officials has been established for removing otherwise constitutionally tenured and independent public officials for culpable violation of the Constitution, treason, bribery, graft and corruption, other high crimes, or betrayal of public trust. The power to initiate impeachment cases rests with the House while the power to try the same rests with the Senate.

NOT TO ENGAGE IN CONDUCT CONTRARY TO DUTIES Section 7.  Judges shall not engage in conduct incompatible with the diligent discharge of  judicial duties. A judge is charged with exercising extra care in ensuring that the records of the cases and official documents in his custody are intact. He must adopt a system of record management and organize their dockets in order to bolster the prompt and efficient dispatch of business. It is, in fact, incumbent upon him to devise an efficient recording and filing system in his court because he is after all the one directly responsible for the proper discharge of his official functions [Beso v. Daguman (2000]).

Based on Section 3, Article VI, Constitution, the steps leading to impeachment are as follows: (1) A verified complaint for impeachment is filed by a member of the House or endorsed by him; (2) The complaint is included in the order of business of the House; (3) The House refers the complaint to the proper committee; (4) The committee holds a hearing, approves the resolution calling for impeachment, and submits the same to the House;

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(5) The House considers the resolution and votes to approve it by at least one‑third of its members, which resolution becomes the article of impeachment to be filed with the Senate when approved; and (6) The Senate tries the public official under the article [Abad, J., Separate Concurring Opinion, Guttierez v. HOR Committee on  Justice (2011]).

LEGAL AND JUDICIAL ETHICS

 Article VII: Granting a temporary restraining order to Former President Arroyo and husband Mike Arroyo after the Department of Justice prevented them to go out of the country;  Article VIII: Graft and corruption when he failed and refused to account for the judiciary development fund and special allowance for the  judiciary collections.

FORMER CHIEF JUSTICE CORONA’S IMPEACHMENT OVERVIEW On December 12, 2011, the House of Representatives voted to impeach Chief Justice Corona. They charged him with eight articles of impeachment alleging: (1) Betrayal of public trust; (2) Graft and corruption; and (3) Culpable violation of the Constitution.

On January 16, 2012, the Senate, sitting as an impeachment court, began the trial. The prosecution dropped Articles I, IV, V, VI, VII, VIII, leaving only Articles II and III as their grounds for impeachment. On May 29, 2012, the Senate found Chief Justice Corona   of the articles of impeachment for his failure to declare his true statements of assets, liabilities and net worth. After 20 senators voted in favor of impeachment under this ground, the Senate no longer voted under Article III. Three senators voted to acquit Corona on that ground.

ARTICLES OF IMPEACHMENT  Article I: Partiality and subservience in cases involving the Arroyo administration;  Article II: Failure to disclose to the public his statement of assets and liabilities;

QUANTUM OF EVIDENCE USED An impeachment proceeding is sui generis; it is neither purely political nor criminal. Thus, it does not require proof beyond reasonable doubt. In the course of the impeachment trial, the senator-judges expressed differing views. Some argued that it requires “clear and convincing proof,” while some argued that it needs “preponderance of evidence.”

 Article III: Flip-flopping decisions in final and executory cases, creating excessive entanglement with Former President Arroyo, and discussing with litigants regarding the cases pending before the Supreme Court;  Article IV: Irregularities in issuing a quo-ante order against the House of Representatives in the impeachment of then Ombudsman Merceditas Gutierrez;

The Senate has traditionally left the choice of the applicable standard of proof to each individual Senator [Black, Impeachment: A Handbook (1974)).

 Article V: Gerrymandering in the case of the 16newly created cities and promotion of Dinagat into a province;

JUDGES OF THE LOWER COURTS AND JUSTICES OF THE COURT OF APPEALS AND SANDIGANBAYAN

 Article VI: Improper investigation in the plagiarism case of Associate Justice Mariano del Castillo;

The members of the Supreme Court and judges of lower courts shall hold office during a good behavior until they reach the age of seventy years or become incapacitated to discharge the duties of their office.

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The Supreme Court en banc   shall have the power to discipline judges of lower courts, or order their dismissal by a vote of majority of the Members who actually took part in the deliberations on the issues in the case and voted thereon  (Section 11, Article VIII, Constitution).

LEGAL AND JUDICIAL ETHICS

INVESTIGATION Upon the filing of the comment of the respondent or upon the expiration of the period for such filing, which is ten days from the date of service to him of the copy of the complaint (Section 2, Rule 140), the Supreme Court shall: (1) Refer the matter to the Office of the Court Administrator (OCA) for evaluation, report, and recommendation; or  (2) Assign the case for investigation, report, and recommendation to: (a) A retired member of the Supreme Court, if the respondent is a justice of the Court of Appeals and the Sandiganbayan; (b) A justice of the Court of Appeals, if the respondent is a judge of a Regional Trial Court or of a special court of equivalent rank; or  (c) A judge of the Regional Trial Court, if the respondent is a judge of an inferior court (Section 3, Rule 140).

: A judge cannot be subjected to liability – civil, criminal, or administrative –  for any his official acts, not matter how erroneous, as long as he acts in good faith [Valdez v. Valera (1978)].   A judicial officer, in exercising the authority vested in him, shall be free to act the authority vested in him, and shall be free to act upon his own convictions, without apprehension of personal consequences to himself. This concept of judicial immunity rests upon consideration of public policy, its purpose being to preserve the integrity and independence of the judiciary [Pabalan v. Guevarra (1976)].

HEARING AND TERMINATION The investigating justice of judge shall set a day for the hearing and send notice to the parties. If the respondent fails to appear, the investigation shall proceed ex parte.

  A judge may be subject to liability based on the grounds enumerated under Rule 140. INSTITUTION Proceedings for the discipline of judges of regular and special courts and justices of the Court of Appeals and the Sandiganbayan may be instituted: (1) Motu proprio by the Supreme Court; (2) Upon the verified complaint, supported by affidavits of persons who have personal knowledge of the facts alleged therein or by documents which may substantiate said allegations; or  (3) Upon an anonymous complaint, supported by public records of indubitable integrity. The complaint shall be in writing and shall state clearly and concisely the acts and omissions constituting violations of standards of conduct prescribed for judges (Section 1, Rule 140).

The investigating justice or judge shall terminate the proceedings: (1) Within 90 days from the date of its commencement; or  (2) Within such extension as the Supreme Court may grant (Section 4, Rule 140). REPORT AND ACTION Within 30 days from termination, the investigating justice or judge shall submit to the Supreme Court a report containing his findings of fact and recommendation, accompanied by the evidence and pleadings filed by the parties. Such report shall be confidential and shall be for the exclusive use of the Supreme Court. A copy of the decision or resolution of the court shall be attached to the record of the respondent in the OCA (Sections 5 and 12, Rule 140). The Supreme Court shall take action on the report as the facts and the law may warrant (Section 6, Rule 140).

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AUTOMATIC CONVERSION OF ADMINISTRATIVE CASES TO DISCIPLINARY PROCEEDINGS Pursuant to  A.M. No. 02-9-02-SC , administrative cases against justices of the Court of Appeals and the Sandiganbayan,  judges of regular and special courts, and court officials who are lawyers, shall also be considered a disciplinary action against them, if they are based on grounds which are likewise grounds for the disciplinary action of members of the bar for: (1) Violation of the Lawyer's Oath; (2) Violation of the Code of Professional Responsibility; (3) Violation of the Canons of Professional Ethics; or  (4) Such other forms of breaches of conduct that have been traditionally recognized as grounds for the discipline of lawyers.

(1) (2) (3) (4)

(5) (6) (7)

(8) (9) (10) (11)

The respondent is required to comment on the complaint and show cause why he should not also be suspended, disbarred or otherwise disciplinarily sanctioned as a member of the bar. Judgment in both respects may be incorporated in one decision or resolution.

LEGAL AND JUDICIAL ETHICS

: Bribery, direct or indirect; Dishonesty and violations of the Anti-Graft and Corrupt Practices Law (RA 3019); Gross misconduct constituting violations of the Code of Judicial Conduct; Knowingly rendering an unjust judgment or order as determined by a competent court in an appropriate proceeding; Conviction of a crime involving moral turpitude; Willful failure to pay a just debt; Borrowing money or property from lawyers and litigants in a case pending before the court; Immorality; Gross ignorance of the law or procedure; Partisan political activities; and Alcoholism and/or vicious habits (Section 8, Rule 140).

The word “misconduct” implies a wrongful intention and not a mere error or judgment. For serious [or gross] misconduct to exist, there must be reliable evidence showing that the  judicial acts complained of were corrupt or inspired by an intention to violate the law, or were in persistent disregard of well-known legal rules [In re: Impeachment of Horrilleno (1922)].

EFFECT OF WITHDRAWAL OR DESISTANCE The actuations of a judge seriously affects the public interest inasmuch as they involve the administration of justice. It is for this reason that a motion to withdraw a complaint will not justify the dismissal of the administrative case against the judge.

In the absence of bad faith, fraud, dishonesty, or deliberate intent to do injustice, incorrect rulings do not constitute misconduct and may not give rise to a charge of gross ignorance of the law [Cruz v. Iturralde (2003)].

To condition administrative actions upon the will of every complainant, who may, for one reason or another, condone a detestable act, is to strip the Supreme Court of its supervisory power to discipline erring members of the  judiciary [Anguluan v. Taguba (1979)].

(1) Undue delay in rendering a decision or order, or in transmitting the records of a case; (2) Frequently and unjustified absences without leave or habitual tardiness; (3) Unauthorized practice of law; (4) Violation of Supreme Court rules, directives, and circulars; (5) Receiving additional or double compensation unless specifically authorized by law; (6) Untruthful statements in the certificate of service; and (7) Simple misconduct (Section 9, Rule 140).

Complainant's desistance is not an obstacle to the taking of disciplinary action against a judge if the record reveals that he had not performed his duties properly [Espayos v. Lee (1979)]. GROUNDS Administrative charges are classified as serious, less serious, or light (Section 7, Rule 140).

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LEGAL AND JUDICIAL ETHICS

He was found guilty for culpable violation of the Constitution and/or betrayal of public trust for not correctly declaring his statements of assets, liabilities and net worth.

(1) Vulgar and unbecoming conduct; (2) Gambling in public; (3) Fraternizing with lawyers and litigants with pending case/cases in his court; and (4) Undue delay in the submission of monthly reports.

The  prosecution alleges that he inaccurately declared his peso and dollar deports, and real estate properties.

ILLUSTRATIVE CASES The following have been subject to discipline by the Supreme Court: (1) Failure to deposit funds with the municipal treasurer or produce them despite promise to do so [Montemayor v. Collado (1981)]; (2) Misappropriation of fiduciary funds (i.e., proceeds of cash bail bond) by depositing the check in a personal account, thus converting the trust fund to personal use [Barja v. Beracio (1976)]; (3) Extorting money from a party-litigant who has a pending case [Haw Tay v. Singayao (1988)]: (4) Solicitation of donation for office equipment [Lecaroz v. Garcia (1981)]; (5) Frequent unauthorized absences in office [Municipal Council of Casiguruhan, Quezon v. Morales (1974)]; (6) Delay in the disposition of cases in violation of the canon that a judge must promptly dispose of all matters submitted to him [Balagot v. Opinion (1991)]; (7) Unduly granting repeated motions for postponement [Araza v. Reyes (1975)]; (8) Unawareness of or unfamiliarity with the application of the Indeterminate Sentence Law   and duration and graduation of penalties [In re: Paulin (1980)]; (9) Reducing to a ridiculous amount (i.e., P6,000.00) the bail bond of the accused in a murder case, enabling him to escape the toils of the law [Soriano v. Mabbayad (1975)]. (10) Imposing the penalty of subsidiary imprisonment on a party for failure to pay civil indemnity in violation of RA 5465 [Monsanto v. Palarca (1983)].

The defense  argues that he did not declare his dollar deposits and peso deposits because of the banking secrecy and foreign currency deposit laws. It was also said that some undeclared assets are also co-mingled funds that he does not own solely. SANCTIONS IMPOSED BY THE SUPREME COURT ON ERRING MEMBERS OF THE JUDICIARY Under Section 11, Rule 140, any of the following sanctions may be imposed: (1) If the respondent is guilty of a serious charge: (a)Dismissal from the service, forfeiture of all or part of the benefits as the Court may determine, and disqualification from reinstatement or appointment to any public office, including governmentowned or controlled corporations. Forfeiture of benefits does not include accrued leave credits; (b) Suspension from office without salary and other benefits for more than three but not exceeding six months; or  (c)A fine of more than P20,000.00 but not exceeding P40,000.00; (2) If the respondent is guilty of a less serious charge: (a) Suspension from office without salary and other benefits for not less than one nor more than three months; or  (b) A fine of more than P10,000.00 but not exceeding P20,000.00; (3) If the respondent is guilty of a light charge: (a) A fine of not less than P1,000.00 but not exceeding P10,000.00;and/or  (b) Censure; (c) Reprimand; (d) Admonition with warning.

IMPEACHMENT (ETHICAL ASPECTS) Former Chief Justice Corona was the first justice of the Supreme Court to be impeached and convicted.

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Disqualification of Justices and Judges

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COMPULSORY (Section 1, 1st par., Rule 137). No judge or judicial officer shall sit in any case, without the written consent of all parties in interest and entered upon the record, in which: (1) He, or his wife or child, is pecuniarily interested as heir, legatee, creditor or otherwise; (2) He is related to either party within the sixth degree of consanguinity or affinity, or to counsel within the fourth degree, computed according to the rules of the civil law; (3) He has been executor, administrator, guardian, trustee or counsel; or  (4) He has presided in any inferior court when his ruling or decision is the subject of review. 

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The rule on compulsory disqualification of a  judge to hear a case rests on the salutary principle that no judge should preside in a case in which he is not wholly free, disinterested, impartial and independent. A  judge has both the duty of rendering a just decision and the duty of doing it in a manner completely free from suspicion as to its fairness and as to his integrity. The law conclusively presumes that a judge cannot objectively or impartially sit in such a case and, for that reason, prohibits him and strikes at his authority to hear and decide it, in the absence of written consent of all parties concerned. The purpose is to preserve the people's faith and confidence in the courts'  justice (Garcia v. De La Pena 1994). The relationship of the judge with one of the parties may color the facts and distort the law to the prejudice of a just decision. Where this is probable or even only possible, due process demands that the judge inhibit himself, if only out of a sense of delicadeza [Javier v. Commission on Elections (1996)].

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LEGAL AND JUDICIAL ETHICS

A judge must maintain and preserve the trust and faith of the parties-litigants. He must hold himself above reproach and suspicion. At the very first sign of lack of faith and trust to his actions, whether well-grounded or not, the  judge has no other alternative but inhibit himself from the case. A judge may not be legally prohibited from sitting in a litigation, but when circumstances appear that will induce doubt to his honest actuations and probity in favor of either party, or incite such state of mind, he should conduct a careful self-examination. He should exercise his discretion in a way that the people's faith in the courts of justice is not impaired. The better course for the judge under such circumstances is to disqualify himself. That way, he avoids being misunderstood, his reputation for probity and objectivity is preserved [Bautista v. Rebueno (1978)]. Intimacy or friendship between a judge and an attorney of record of one of the parties to a suit is no ground for disqualification. That one of the counsels in a case was a classmate of the trial judge is not a legal ground for the disqualification of the said judge. To allow it would unnecessarily burden other trial judges to whom the case would be transferred. But if the relationship between the judge and an attorney for a party is such that there would be a natural inclination to prejudice the case, the judge should be disqualified in order to guaranty a fair trial [Query of Executive Judge Estrada (1987)].

Powers and Duties of Courts and Judicial Officers ADMINISTRATION OF JUSTICE Courts of justice shall always be open, except  on legal holidays, for the: (1) Filing of any pleadings, motion or other papers; (2) Trial of cases; (3) Hearing of motions;and

VOLUNTARY (Section 1, 2nd par., Rule 137). A judge may, in the exercise of his sound discretion, disqualify himself from sitting in a case, for just or valid reasons other than those mentioned.

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(4) For the issuance of orders or rendition of  judgments.

LEGAL AND JUDICIAL ETHICS

(b) When an attachment of real or personal property lying outside the province is to be made; (c) When the action is against two or more defendants residing in different provinces; and (d) When the place where the case has been brought is that specified in a contract in writing between the parties, or the place of the execution of such contract as appears therefrom; (2) Writs of execution issued by inferior courts may be enforced in any part of the Philippines without any previous approval of the judge of first instance; (3) Criminal process may be issued by a justice of the peace or other inferior court, to be served outside his province, when the district  judge, or in his absence the provincial fiscal, shall certify that in his opinion the interests of justices require such service (Section 4, Rule 135).

Justice shall be impartially administered without unnecessary delay(Section 1, Rule 135). Publicity of Proceedings  The sitting of every court of justice shall be public. : Any court may, in its discretion, exclude the public when the evidence to be adduced is of such nature as to require their exclusion in the interest of morality or decency (Section 2, Rule 135). PUBLICITY OF RECORDS   The records of every court of  justice shall be public records and shall be available for the inspection of any interested person: (1) At all proper business hours; (2) Under the supervision of the clerk having custody of such records.

INHERENT POWERS OF COURTS: (1) To preserve and enforce order in its immediate presence; (2) To enforce order in proceedings before a person or persons empowered to conduct a  judicial investigation under its authority; (3) To compel obedience to its judgments, orders and processes, and to the lawful order of judge out of court, in a case pending therein; (4) To control, in furtherance of justice, the conduct of its ministerial officers, and of all other persons in any manner connected with a case before it, in every manner appertaining thereto; (5) To compel the attendance of persons to testify in a case pending therein; (6) To administer or cause to be administered oaths in a case pending therein, and in all other cases where it may be necessary in the exercise of its powers; (7) To amend and control its process and orders so as to make them conformable to law and  justice; (8) To authorize copy of a lost or destroyed pleading or other paper to be filed and used instead of the original, and to restore, and supply deficiencies in its records and proceedings (Section 5, Rule 135).

  The court may, in any special case, forbid publicity of records, in the interest of morality or decency (Section 2, Rule 135). ENFORCEABILITY OF COURT PROCESS Process issued from a superior court in which a case is pending may be enforced in any part of the Philippines: (1) To bring in a defendant; (2) For the arrest of any accused person; or  (3) To execute any order or judgment of the court (Section 3, Rule 135).  Process of inferior courts shall be enforceable within the province where the municipality or city lies.

(1) It may be served outside the boundaries of the province with the approval of the judge of the Regional Trial Court of said province, and only in the following cases: (a) When an order for the delivery of personal property lying outside the province is to be complied with;

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MEANS TO CARRY JURISDICTION INTO EFFECT When by law, jurisdiction is conferred on a court or judicial officer, all auxiliary writs, processes and other means necessary to carry it into effect may be employed by such court or officer; and if the procedure to be followed in the exercise of such jurisdiction is not specifically pointed out by law or by these rules, any suitable process or mode of proceeding may be adopted which appears conformable to the spirit of said law or rules (Section 6, Rule 135).

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TRIAL, HEARINGS AND OTHER ACTS All trial upon the merits shall be conducted in open court and so far as convenient in a regular court room. All other acts or proceedings may be done or conducted by a judge in chambers, without the attendance of the clerk or other court officials (Section 7, Rule 135). 

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He shall send the same by registered mail to the clerk of the court where the case was heard or argued to be filed therein as of the date when the same was received by the clerk, in the same manner as if he had been present in court to direct the filing of the judgment. If a case has been heard only in part, the Supreme Court, upon petition of any of the parties to the case and the recommendation of respective district judge, may also authorize the judge who has partly heard the case, if no other judge had heard the case in part, to continue hearing and to decide said case notwithstanding his transfer or appointment to another court of equal jurisdiction (Section 9, Rule 135).

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Court Records and General Duties of Clerks and Stenographers

INTERLOCUTORY ORDERS OUT OF PROVINCE When within the district but without the province, a judge of Regional Trial Court shall nevertheless have power to hear and determine any interlocutory motion or issue after due and reasonable notice to the parties.

CLERK’S OFFICE

The clerk’s office, with the clerk or his deputy in attendance, shall be open during business hours on all days, except   Sundays and legal holidays. The clerk of the Supreme Court and that of the Court of Appeals shall keep the office in Manila and all papers authorized or required to be filed therein shall be filed in Manila (Section 3, Rule 136).

The hearing may be had at any place in the  judicial district which the judge deems convenient on the filing, in any Regional Trial Court: (1) Of a petition for the writ of habeas corpus; (2) For release upon bail or reduction of bail (Section 8, Rule 135).

DUTIES OF THE CLERK ISSUANCE OF PROCESS (1) The clerk of a superior court  shall issue under the seal of the court all ordinary writs and process incident to pending cases, the issuance of which does not involve the exercise of functions appertaining to the court or judge only. (2) The clerk may, under the direction of the court or judge, make out and sign letters of administration, appointments of guardians, trustees and receivers, and all writs and process issuing from the court.

SIGNING JUDGMENTS OUT OF PROVINCE It shall be lawful for a judge to prepare and sign his decision anywhere within the Philippines: (1) Whenever a judge, appointed or assigned in any province or branch of a Regional Trial Court in a province, shall leave the province: (a) By transfer or assignment to another court of equal jurisdiction; or (b) By expiration of his temporary assignment; (2) Without having decided a case, which was: (a) Totally heard by him; and (b) Argued or an opportunity given for argument to the parties or their counsel.

RECEPTION OF PAPERS PREPARATION OF MINUTES The clerk of each superior court  shall:

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(1) Receive and file all pleadings and other papers properly presented, endorsing on each such paper the time when it was filed;and (2) Attend all of the sessions of the court and enter its proceedings for each day in a minute book to be kept by him(Section 6, Rule 136).

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The clerk shall prepare, for any person demanding the same, a copy certified under the seal of the court of any paper, record, order,  judgment, or entry in his office, proper to be certified, for the fees prescribed by these rules (Section 11, Rule 136). INDEXING BOOKS AND SEPARATING CASES (1) The general docket, judgment book, entries book and execution book shall each be indexed in alphabetical order in the names of the parties, and each of them. (2) If the court so directs, the clerk shall keep two or more of either or all of the books and dockets above mentioned, separating civil from criminal cases, or actions from special proceedings, or otherwise keeping cases separated by classes as the court shall deem best (Section 13, Rule 136).

SAFEKEEPING OF PROPERTY The clerk shall safely keep all records, papers, files, exhibits and public property committed to his charge, including the library of the court, and the seal and furniture belonging to his office (Section 7, Rule 136). KEEPING A GENERAL DOCKET The clerk shall keep a general docket, each page of which shall be numbered and prepared for receiving all the entries in a single case. The following shall be entered in the docket, so that by reference to a single page, the history of a case may be seen: (1) All cases, numbered consecutively in the order in which they were received; (2) Under the heading of each case and a complete title thereof: (a) The date of each paper filed or issued; (b) Each order or judgment entered;and (c) Each other step taken in the case (Section 8, Rule 136).

KEEPING OTHER BOOKS AND OTHER DUTIES The clerk shall keep such other books and perform such other duties as the court may direct (Section 12, Rule 136). IN THE ABSENCE OR BY DIRECTION OF JUDGE (1) In the absence of the judge, the clerk may perform all the duties of the judge in receiving applications, petitions, inventories, reports, and the issuance of all orders and notices that follow as a matter of course under the Rules of Court . (2) The clerk may also, when directed so to do by the judge, receive the accounts of executors, administrators, guardians, trustees, and receivers, and all evidence relating to them, or to the settlement of the estates of deceased persons, or to guardianships, trusteeships, or receiverships, and forthwith transmit such reports, accounts, and evidence to the judge, together with the findings in relation to the same, if the judge shall direct him to make findings and include the same in his report (Section 5, Rule 136).

KEEPING A JUDGMENT AND ENTRIES BOOK The clerk shall keep: (1) A judgment book containing a copy of each  judgment rendered by the court in order of its date; and (2) A book of entries of judgments containing at length in chronological order entries of all final judgments or orders of the court (Section 9, Rule 136).

KEEPING OF AN EXECUTION BOOK The clerk shall keep an execution book in which he or his deputy shall record at length in chronological order each execution, and the officer’s return thereon, by virtue of which real property has been sold (Section 10, Rule 136). CERTIFICATION COPIES

TAKING OF RECORD FROM CLERK’S OFFICE

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(4) The date of the appearance of default of the defendant; (5) The date of presenting the plea, answer, or motion to quash, and the nature of the same; (6) The minutes of the trial, including the date thereof and of all adjournments; (7) The names and addresses of all witnesses; (8) The date and nature of the judgment, and, in a civil case, the relief granted; (9) An itemized statement of the costs; (10) The date of any execution issued, and the date and contents of the return thereon; (11) The date of any notice of appeal filed and the name of the party filing the same.

No record shall be taken from the clerk’s office without an order of the court except as otherwise provided by these rules. However, the Solicitor General or any of his assistants, the provincial fiscal or his deputy, and the attorneys de oficio shall be permitted, upon proper receipt, to withdraw from the clerk’s office the record of any case in which they are interested (Section 14, Rule 136).

STENOGRAPHER It shall be the duty of the stenographer who has attended a session of a court either in the morning or in the afternoon, to deliver to the clerk of court, immediately at the close of such morning or afternoon session, all the notes he has taken, to be attached to the record of the case. It shall likewise be the duty of the clerk to demand that the stenographer comply with said duty. The clerk of court shall stamp the date on which notes are received by him. When such notes are transcribed, the transcript shall be delivered to the clerk, duly initialed on each page thereof, to be attached to the record of the case. Whenever requested by a party, any statement made by a judge of first instance, or by a commissioner, with reference to a case being tried by him, or to any of the parties thereto, or to any witness or attorney, during the hearing of such case, shall be made of record in the stenographic notes (Section 17, Rule 136). 

He shall also: (1) Keep all the pleadings and other papers and exhibits in cases pending in his court;and (2) Certify copies of his docket entries and other records proper to be certified, for the fees prescribed by the Rules of Court .

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It shall not be necessary for the municipal or city judge to reduce to writing the testimony of witnesses, except   that of the accused in preliminary investigations.

Legal Fees MANNER OF PAYMENT Upon the filing of the pleading or other application which initiates an action or proceeding, the fees prescribed therefor shall be paid in full (Section 1, Rule 141).

DOCKET AND OTHER RECORDS OF INFERIOR COURTS Every municipal or city judge shall keep a wellbound labeled “docket.” He may keep two dockets, one for civil and one for criminal cases.

FEES IN LIEN The party concerned shall pay additional fees, where the court in its final judgment awards: (1) A claim not alleged; or  (2) A relief different from, or more than that claimed in the pleading.

In such docket, he shall enter for each case: (1) Title of the case including the name of all the parties; (2) The nature of the case, whether civil or criminal, and if the latter, the offense charged; (3) The date of issuing preliminary and intermediate process including order of arrest and subpoenas, and the date and nature of the return thereon;

The additional fees which shall constitute a lien on the judgment. The clerk of court shall assess and collect the corresponding fees (Section 2, Rule 141).

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