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LEGAL ETHICS (2) Compensation - his professional services are available to the public for compensation, as a service of his livelihood or in consideration of his said services.

I. THE LEGAL PROFESSION A. Supervision and Control •

Regulated by the Supreme Court and NOT the PRC.

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Const art. VIII, sec. 5(5). The SC shall have the following powers: (5) Promulgate rules concerning… practice and procedure in all courts, the admission into the practice of law, the Integrated Bar….

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Const art. XII, sec. 14. …The practice of all professions in the Phils. shall be limited to Filipino citizens, save in cases prescribed by law.

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The power to integrate the Philippine bar is given to the SC by the Constitution. (In the Matter of the IBP (1973))

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RA 972, or the Bar Flunkers Act of 1953, was declared partially unconstitutional as it encroached upon the powers granted by the Constitution to the SC in determining the admission of bar examinees to the bar by usurping such power through a legislative act. (In Re: Cunanan (1954))

(3) Application of law, legal principles, practice, or procedure - calls for legal knowledge, training and experience. (4) Attorney-client relationship- hence, teaching law or writing law books are not considered as “practice of law”. II. REQUIREMENTS FOR ADMISSION TO THE PRACTICE OF LAW

QUICK REFERENCE (In Sequence): 1. Citizenship 2. Residence 3. Age (21 yrs +) 4. Good Moral Character 5. Education 6. Bar Examinations 7. Lawyer’s Oath

KNOW MORE: I.

B. The Practice of Law •

Practice of law means 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, 201 SCRA 210 (1991))1 o Padilla, Dissenting Practice of law – means to exercise or pursue an employment or profession, actively, habitually, repeatedly or customarily. There must be continuity or a succession of acts.

Citizenship

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

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Every applicant for admission as a member of the bar must be a citizen of the Philippines …(Rule 138, sec. 2)

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A Filipino citizen admitted to the Phil Bar must maintain such citizenship to remain qualified for the practice of law in this country (In Re Arthur Castillo Reyes, (1993))2

II.

Residence

Several factors enumerated by the Commission on Appointments to determine “practice of law”:

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(1) Habituality - customarily or frequently holding one’s self out to the public as a lawyer

III. •

1

FACTS: Monsod after passing the bar, worked in his father’s firm for one year, then worked as an operations officer in the World Bank Group. He also worked with the Meralco Group upon his return to the Philippines, and then became chief executive officer of an investment bank, legal and economic consultant of various companies, National Chairman of NAMFREL, member of the 1986 Constitutional Commission, and then became a member of the Davide Commission. Interpreted in the light of the various definitions of the term “practice of law”, particularly the modern concept of law practice, and taking into consideration the liberal construction intended by the framers of the Constitution, Atty. Monsod’s past work experiences as a lawyer-economist, a lawyer-manager, lawyer-entrepreneur of industry, a lawyernegotiator of contracts, and a lawyer-legislator verily more than satisfy the constitutional requirement – that he has been engaged in the practice of law for at least 10 years.

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Requirements for all applicants for admission to the bar -- …be a resident of the Philippines… (Rule 138, sec. 2)

Requirements for all applicants for admission to the bar -- …be at least twenty-one years of age…(Rule 138, sec. 2)

IV. •

Age: At least 21yrs old

Good Moral Character Requirements for all applicants for admission to the bar -- …must be of good moral character… and must produce before the Supreme Court satisfactory evidence of good moral character, and that no charges against him, involving

2 FACTS: Petitioner graduated from UP College of Law in 1939; passed the bar in 1939; inducted to and served in the US Armed Forces in the Far East during WWII and thus became eligible for citizenship under the 1990 US Immigration Act; became a naturalized citizen of the US in 1993. His name was struck from the Roll of Attorneys. Only Filipino citizens may practice law in the Philippines. This requirement is prescribed by the Constitution, XII 14, and the ROC, 2 Rule 138.

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LEGAL ETHICS moral turpitude, have been filed or are pending in any court in the Philippines. (Rule 138, sec. 2) •

No definition and criteria in law for “good moral character” (Agpalo)

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Justice Felix Frankfurter: moral character = qualities of truth-speaking, a high sense of honor, full candor, intellectual honesty, and the strictest observance of fiduciary responsibility

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Good moral character is the absence of a proven conduct or act which has been historically and traditionally considered as a manifestation of moral turpitude. The act or conduct showing moral turpitude 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.

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Question of moral turpitude is for SC to decide. Which is why applicants are required to disclose any crime which they have been charged. Concealment or withholding from the court information about charges and indictments is a ground for disqualification of applicant or for revocation of license. Even if the crime concealed does not involve moral turpitude, the act of concealment makes him/her unfit to be a lawyer. (Agpalo)

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Applicant assumes burden of proof to establish qualifications in asking admission. But after having presented prima facie evidence, burden to overcome the prima facie showing shifts to those objecting his/her admission. (Agpalo)

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An applicant must show that no charges against him involving moral turpitude, have been filed or pending in court in the Philippines. The concealment or withholding from the court of the fact that an applicant has been charged with or indicted for an alleged crime is a ground for disqualification (Agpalo)

V.

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Pre-Law.—No applicant for admission to the bar examination shall be admitted unless he present a certificate that he has satisfied the Sec. of Education that, he began the study of law, he had pursued and satisfactorily complete 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. (Rule 138, sec. 6.) A college degree must first be obtained before studying law. Otherwise, one will not be qualified to take the bar examinations. (In re Telesforo Diao (1963))

B. Law Proper

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Additional Requirements for other applicants.— All applicants for admission…shall, before being admitted to the examination, satisfactorily show that they have regularly studied law for four years, and successfully complete all prescribed courses, in a law school or university, officially approved and recognized by the Sec. 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. No applicant shall be admitted to the bar examinations unless he has satisfactorily completed the following course in a law school or university duly recognized by the government: civil law, commercial law, remedial law, criminal law, public and private international law, political law, labor and social legislation, medical jurisprudence, taxation and legal ethics. (Rule 138, sec. 5)

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Graduates of foreign law schools shall not be allowed to take the bar examinations since they cannot present the certifications required under sections 5 and 6 of Rule 138 (Re: Application of Adriano M. Hernandez, (1993))

VI.

Bar Examinations

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Time for filing proof of qualifications.—all applicants for admission shall file with the clerk of the Supreme Court the evidence required by section 2 of this rule at least 15 days before the beginning of the examination. If not embraced within sections 3 and 4 of this rule they shall also file within the same period the affidavit and certificate required by section 5, and if embraced within sections 3 and 4 they shall exhibit a license evidencing the fact of their admission to practice, satisfactory evidence that the same has not been revoked, and certificates as to their professional standing. Applicants shall also file at the same time their own affidavits as to their age, residence, and citizenship. (Rule 138, Sec. 7)

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Notice of applications.—Notice of applications for admission shall be published by the clerk of the Supreme Court in newspapers published in Pilipino, English and Spanish, for at least 10 days before the beginning of the examination. (Rule 138, sec. 8)

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Examination; subjects.—Applicants, not otherwise provided for in sections 3 and 4 of this rule, shall be subjected to examinations in the following subjects: Civil Law; Labor and Social Legislation; Mercantile Law; Criminal Law; Political Law (Constitutional Law, Public Corporations, and Public Officers); International Law (Private and Public); Taxation; Remedial Law (Civil Procedure, Criminal Procedure, and Evidence); Legal Ethics and Practical Exercises (in Pleading and Conveyancing). (Rule 138, sec. 9)

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Bar examination, by questions and answers, and in writing.—Persons taking the examination shall not bring papers, books or notes into the examination rooms. The questions shall be the

Legal Education

A. Pre-Law •

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LEGAL ETHICS 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. 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 examiners 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. (Rule 138, sec. 10) •

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Annual examination.—Examinations for admission to the bar of the Philippines shall 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. The subjects shall be distributed as follows: 1st day: Political and International Law (morning) and Labor and Social Legislation (afternoon); 2nd day: Civil Law (morning) and Taxation (afternoon); 3rd day: Mercantile Law (morning) and Criminal Law (afternoon); 4th day: Remedial Law (morning) and Legal Ethics and Practical Exercises (afternoon). (Rule 138, sec. 11.) Committee of examiners. —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. (Rule 138, Sec. 12.)

Remedial Law, 20 %; Legal Ethics and Practical Exercises, 5 %. (Rule 138, Sec. 14) •

Report of the committee; filing of examination papers.—Not later than February 15th after the examination, or as soon thereafter as may be practicable, the committee shall file its reports on the result of such examination. The examination papers and notes of the committee shall be fixed with the clerk and may there be examined by the parties in interest, after the court has approved the report. (Rule 138, sec. 15)

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Failing candidates to take review course.— 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. 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. (Rule 138, Sec. 16)

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Beginning 1994, graduates of foreign law schools will not be allowed to take the bar (In Re: Adriano Hernandez (1993))

VII. •

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I _____ , do solemnly swear that I will maintain allegiance to the RP: I will support and defend its Constitution and obey the laws as well as the legal orders of the duly constituted authorities therein; I will do no falsehood nor consent to its commission; I will not wittingly or willingly promote or sue any groundless, false or unlawful suit nor give aid nor consent to the same;

Disciplinary measures.—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. (Rule 138, Sec. 13) Passing average.—In order that a candidate may be deemed to have passed his examinations successfully, he must have obtained a general average of 75 % in all subjects, without falling below 50 % in any subject. In determining the average, the subjects in the examination shall be given the following relative weights: Civil Law, 15 %; Labor and Social Legislation, 10 %; Mercantile Law, 15 %; Criminal Law; 10 %; Political and International Law, 15 %; Taxation, 10 %;

Lawyer’s Oath (MEMORIZE!!!)

I will not delay any man’s cause for money or malice and will conduct myself as a lawyer according to the best of my knowledge and discretion with all good fidelity as well to the court as to my clients; and I will impose upon myself this obligation voluntarily, without any mental reservation or purpose of evasion. So help me God. •

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 fairer, faster and easier for

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LEGAL ETHICS everyone concerned. (In Re: Argosino, 270 SCRA 26) •

2. Agent Notes from Agpalo:

By taking the lawyer’s oath, a lawyer becomes the guardian of truth and the rule of law and an indispensable instrument in the fair and impartial administration of justice. Good moral character includes at least common honesty. Deception and other fraudulent acts are not merely unacceptable practices that are disgraceful and dishonorable, they reveal a basic moral flaw. (Olbes vs. Deciembre, 457 SCRA 341)

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WHO ELSE MAY PRACTICE LAW?

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General Rule: Only Members of the Bar •

Who may practice law.—Any person heretofore duly admitted as a member of the bar, or hereafter admitted as such in accordance with the provisions of this rule, and who is in good and regular standing, is entitled to practice law. (Rule 138, Sec 1.)

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3 EXCEPTIONS TO THE GENERAL RULE:

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3. Litigation by Party By whom litigation conducted.—In the court of a justice of the peace (now, MTC) 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. (Rule 138, Sec. 34)

1. Law Students •

Law Student Practice Rule o

Qualifications of students who may appear in court:

1. Must have completed the 3rd year of a

prescribed regular 4-year curriculum (Rule 138-A, Sec.1); 2. Must be enrolled in a recognized law school’s legal education program approved by the Supreme Court, 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 (Rule 138-A, Sec.1); 3. Must be under the direct supervision and control of a member of the IBP 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. (Rule 138-A, Sec.2) o

Notes from Agpalo:

Meaning of Direct Supervision and Control: requires no less than the physical presence of the supervising lawyer during the hearing.

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A law student appearing before the RTC under Rule 138-A should at all times be accompanied by a supervising lawyer. (In Re: Need That Law Student Practicing Under Rule 138-A Be Actually Supervised During Trial (1997))

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Appearance in Inferior Courts -- A law student may appear in his personal capacity without the supervision of a lawyer in inferior courts. (refer to Rule 138, section 34)

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Metropolitan/ Municipal Trial Court: one may be represented by an agent: In such cases, no attorney-client relationship exists; not habitual; locality where licensed member of bar is not available; person/resident of good repute for probity and ability to aid defendant; NOT IN ANY OTHER COURT Supreme Court can validly authorise a layman to represent litigant in court Question: Can legislature can permit by law a layman to appear on another’s behalf in court or administrative tribunals. Yes, in cadastral courts, NLRC ok; otherwise NO 3 limitations: layman should confine work to non-adversarial contentions not habitually rendered not charge for payment

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In a democratic and civilized country where the rights of a person are determined in accordance with established rules, the employment of a person acquainted with those rules becomes a necessity both to the litigants and to the Court. A party litigant needs the assistance of counsel in all proceedings, administrative, civil or criminal.

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When appearance obligatory:

by

counsel

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1. In a Municipal Trial Court, a party may conduct his litigation in person or with the aid of a friend appointed by him for that purpose or with an aid of an attorney. 2. In the RTC and Appellate Courts, a party in a civil suit may conduct his litigation either personally or by attorney unless the party is a juridical person. 3. And even if he has chosen to appear by counsel, he may at any time dispense with the services of his lawyer and prosecute or defend his case personally.

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LEGAL ETHICS o

The right to counsel of an accused is absolute or immutable. HOWEVER, his option to secure the services of counsel de parte is not absolute. The trial court may restrict his option to retain a counsel de parte if a) the accused insists on an attorney he cannot afford b) chosen counsel is not a lawyer or c) the attorney declines to represent the accused for a valid reason, in which case the trial court can appoint his counsel de oficio to represent him. Sec 1 (c) of Rule 115 provides that an accused may waive his right to counsel but if he cannot protect his rights without the assistance of a counsel, the Court should advise him to secure a counsel de parte or appoint a counsel de officio to represent him.

Legal Ethics, Defined: Legal Ethics denotes that body of principles by which the conduct of members of the legal profession is controlled. It is that branch of moral science which treats of the duties which an attorney at law owes to his clients, to the courts, to the bar and to the public. (G.A. Malcolm, Legal and Judicial Ethics 8 (1949)) Nature of Office of Attorney:

WHO MAY NOT PRACTICE LAW? I.

II. THE CODE OF PROFESSIONAL RESPONSIBILITY

The title “attorney” is reserved to those who, having obtained the necessary degree in the study of law, and passed the bar examinations, have been admitted to the Integrated Bar of the Philippines and remain members thereof of good standing; and it is they only who are authorized to practice law in the Philippines.

Relative Prohibition Senators and members of the House of Representatives (prohibition to appear) (Art VI, Sec. 14, 1987 Constitution) Members of the Sanggunian (RA No. 7160, Sec. 91)

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2. II.

Privileges of attorney o

A lawyer has the privilege and right to practice law during good behavior before any judicial, quasi-judicial or administrative tribunal.

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An attorney enjoys the presumption of regularity in the discharge of his duty. (i.e. He is immune, in the performance of his obligation to his client, from liability to a third person insofar as he does not materially depart from his character as a quasi-judicial officer.)

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There are also privileges inherent in his status as a quasi-judicial officer. (i.e. the law makes his passing the bar examination equivalent to a first grade or second grade civil service eligibility.)

Absolute Prohibition 1.

2. 3. 4. 5. 6. 7.

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All members of the Judiciary i. Judges and other officials as employees of the Supreme Court (Rule 148, Sec. 35 ROC) ii. Government prosecutors (People vs. Villanueva 14 SCRA 109) President, Vice President, members of the cabinet (Art VIII, Sec. 15, 1987 Constitution) Members of Constitutional Commissions (Art. IX-A, Sec. 2, 1987 Constitution) Ombudsman and his deputies (Art. IX, Sec. 8 2nd par, 1987 Constitution) Solicitor General and Assistant Solicitor General All governors, city and municipal mayors (RA No. 7160, Sec. 90) Those prohibited by special laws – retired members of the judiciary (RA 910, Sec. 1, as amended)

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Duties of Attorneys (Rule 138, sec. 20): It is the duty of an attorney: a) To maintain allegiance to the Republic of the Philippines and to support the Constitution and obey the laws of the Philippines; b) To observe and maintain the respect due to the courts of justice and judicial officers; c) 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; d) 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; e) 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; f) 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 charged;

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LEGAL ETHICS g) 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; h) Never to reject, for any consideration personal to himself, the cause of the defenseless or oppressed; i) 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.

A. The Lawyer and Society

MEMORY AID FOR CANONS UNDER THIS SECTION: o o o

o FOUR-FOLD DUTIES OF A LAWYER

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1) Duties to Society – should not violate his responsibility to society, exemplar for righteousness, ready to render legal aid, foster social reforms, guardian of due process, aware of special role in the solution of special problems and be always ready to lend assistance in the study and solution of social problems 2) Duties to the Legal Profession – candor, fairness, courtesy and truthfulness, avoid encroachment in the business of other lawyers, uphold the honor of the profession 3) Duties to the Court – respect or defend against criticisms, uphold authority and dignity, obey order and processes, assist in the administration of justice 4) Duties to the Client – entire devotion to client’s interest

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Promote and Respect the Law and Legal Process (Canon 1) Provide Efficient and Convenient Legal Services (Canon 2) Information on Legal Services that is true, Honest, Fair and Dignified (Canon 3) for Legal Reforms and Support Administration of Justice (Canon 4) Participate in Legal Education Program (Canon 5) Applies to Lawyers in Government Service (Canon 6)

MEMORY AID FOR RULES UNDER CANON 1: o No Unlawful, Dishonest, Immoral, Deceitful Conduct (Rule 1.01) o No Counseling to Defy Law (Rule 1.02) o No Encouragement of Lawsuit or Proceedings (Rule 1.03) o Encourage Client to Avoid Controversy (Rule 1.04)

CANON 1: QUICK REFERENCE

DUTIES MAY ALSO BE CLASSIFIED INTO:

CANON 1: A lawyer shall uphold the constitution, obey the laws of the land and promote respect for law and legal process.

1. Public (operating as a faithful assistant of the court in search of a just solution to disputes) o

A counsel de officio is expected to render effective service and to exert his best efforts on behalf of an indigent accused. He has a high duty to the poor litigant as to a paying client. He should have a bigger dose of social conscience and a little less of self interest. (1991, 1993, 1994, 1998, 2001, 2004 BAR EXAMS)

A lawyer shall not Rule 1.01. engage in unlawful, dishonest, immoral or deceitful conduct. A lawyer shall not Rule 1.02. counsel or abet activities aimed at defiance of the law or at lessening confidence in the legal profession.

2. Private (an attorney operating as a trusted agent of his client) o

A private prosecutor may intervene in the prosecution of a criminal action when the offended party is entitled to indemnity and has not waived expressly, reserved or instituted the civil action for damages. In case of heavy work schedule of the public prosecutors, the private prosecutor may be authorized in writing by the Chief of the Prosecution Office or the Regional State Prosecution to prosecute the case subject to the approval of the Court. Once so authorized to prosecute the criminal action, the private prosecutor shall continue to prosecute the case up to the end of the trial even in the absence of a public prosecutor, unless the authority is revoked or otherwise withdrawn. (Rule 110, Sec. 5, ROC, as amended per A.M. No. 02-207-SC, May 1, 2002)

A lawyer shall not, for Rule 1.03. any corrupt motive or interest, encourage any suit or delay any man’s cause. A lawyer shall Rule 1.04. encourage his clients to avoid, end or settle a controversy if it will admit of a fair settlement. KNOW MORE: •

SPECIAL RULES WITH NOTARIAL PRACTICE3

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The SC found a notary public negligent in his duty for allowing office secretaries to perform his notarial functions, i.e., safekeeping of his notarial dry seal and notarial register. The

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RESPECT

2004 Rules on Notarial Practice—ANNEXED

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TO

LEGAL ETHICS Court held that “considering that the responsibility attached to a notary public is sensitive, respondent should have been more discreet and cautious in the execution of his duties as such and should not have wholly entrusted everything to the secretaries; otherwise he should not have been commissioned as notary public.” (Spouses Santuyo v. Hidalgo, 448 SCRA 282 (2005)) •

The SC disbarred Atty. Gregorio Ariola from the practice of law for violating Rule 1.01 of Canon 1 by notarizing an SPA purportedly executed by a certain Benitez at a time when Benitez was already dead. The Court held that a notary public should not authenticate documents unless the persons who signed them are the very same persons who executed them and personally appeared before them to attest to the contents and truth of what are stated therein. (Zaballero v. Atty. Montalvan) Notarization is not an empty, meaningless and routinary act. It converts a private document into a public instrument, making it admissible in evidence without the necessity of preliminary proof of its authenticity and due execution. (Sicat v. Ariola, 456 SCRA 93 (2005))

of the practise of law. It is the bounden duty of lawyers to adhere unwaveringly to the highest standards of morality. (Ui v. Bonifacio, 333 SCRA 38, (2000))

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Grossly immoral conduct is one that is so corrupt and false as to constitute a criminal act or so unprincipled or disgraceful as to be reprehensible to a high degree. Mere intimacy between a man and a woman, both of whom possess no impediment to marry, voluntarily carried on and devoid of any deceit on the part of the respondent, is neither so corrupt nor so unprincipled as to warrant the imposition of disciplinary sanction against him, even if as a result of such relationship a child is born out of wedlock. (Figueroa v. Barranco, 276 SCRA 445 (1997))4

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The reconciliation between the lawyer husband and his wife who had initiated the administrative proceedings against him for engaging in an adulterous and clearly immoral relationship does not “wipe away the misconduct and immoral behavior.” (Cordova v. Cordova, 179 Phil 680 (1989))

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Gutierrez was convicted of murder but was then granted conditional pardon by the President. When the pardon is conditional and merely remits the unexecuted portion of the penalty, administrative proceedings cannot be automatically barred. (In Re: Gutierrez (1962))

I. Rule 1.01. A lawyer shall not engage in unlawful, dishonest, immoral or deceitful conduct. •

Unlawful conduct is defined as an act or omission which is against the law. Dishonesty involves lying or cheating. (Agpalo)

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Immoral or deceitful conduct is 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)

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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, 442 SCRA 324 (2004)) The SC found that the imprudence of an attorney who married a man already previously married (without initially knowing that he was in fact married but, upon acquiring such knowledge, cut off all ties with him) did not constitute immoral conduct sufficient for her disbarment. Furthermore, lawyers, as keepers of public faith, are burdened with a higher degree of social responsibility and thus must handle their personal affairs with greater caution. The respondent was imprudent in the sense that she should have investigated the fact that the man with whom she had relations was married. Nevertheless, the fact that she distanced herself from him shows that she displayed no moral indifference. The ratio decidendi of the Court is that the requisite of good moral character in the admission to the practice of law must be continuous as a requirement to the enjoyment of the privilege

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II. 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. •

Rule 1.02 requires that the lawyer should not promote an organization known to be violating the law nor assist it in a scheme which he knows is dishonest. He should not allow his services to be engaged by an organization whose member as violating the law, to defend them when they get caught. (Agpalo)

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The Supreme Court will not denounce criticism made by anyone against the Court for, if well founded, can truly have constructive effects in the task of the Court, but it will not countenance any wrongdoing nor allow the erosion of our people’s faith in the judicial system, let alone, by those who have been privileged by it to practise law in the Philippines. (Estrada v. Sandiganbayan, 416 SCRA 465 (2003))5

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Terrel was found guilty of malpractice or gross misconduct for assisting in the establishment and acting as counsel for the Centro Bellas

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FACTS: Atty. Barranco was not disbarred despite the fact that he had sexual congress with Patricia Figueroa with whom he begot a child, promised that he would marry her after he passed the bar but then married another woman. 5 FACTS: The SC indefinitely suspended Atty. Paguia for making claims that the Justices of the Supreme Court have been participating in partisan political activity and have prejudged a case that will assail the legality of an act done by President Arroyo, that Estrada v Arroyo is a patent mockery of justice and due process, that three Justices of Sandiganbayan made their bias manifest and are impartial against his client.

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LEGAL ETHICS Artes Club, an organization intending to evade the practice of law. (In Re Terrel (1903))

CANON 2: QUICK REFERENCE 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.

III. Rule 1.03. A lawyer shall not, for any corrupt motive or interest, encourage any suit or delay any man’s cause. •

Notes from Agpalo: o To stir up litigation is a crime known as “maintenance” at common law. o The purpose of prohibiting these acts is to prevent ambulance chasing (solicitation of almost any kind of legal business by laymen employed by an attorney for the purpose or by the attorney himself). o Ambulance chasing is prohibited because it stirs up litigation with resulting burdens on courts and the public; supports 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 by means of contracts which retain exorbitant expenses and by settlement made for quick returns of fees against the rights of the injured persons.

IV. 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/she must act as mediator for compromise rather than an instigator and conflict. What sometimes beclouds a lawyer’s judgment as to what is best for his client is his/her eye on the attorney’s fees which are often considerably less when the cause is amicably settled. The problem of conflict of interests must be resolved against self-interest. (Agpalo)

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A lawyer shall not Rule 2.01. reject, except for valid reasons, the cause of the defenseless or the oppressed. In such cases, even if the Rule 2.02. 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. A lawyer shall not do or Rule 2.03. permit to be done any act designed to primarily solicit legal business. A lawyer shall not charge Rule 2.04. rates lower than those customarily prescribed unless the circumstances so warrant. MEMORY AID FOR RULES UNDER CANON 2: o Not to Reject the Defenseless or Oppressed (Rule 2.01) o Not to Refuse to Give Legal Advice (Rule 2.02) o No Solicitation (Rule 2.03) o No Rates Other than Customarily Charged (Rule 2.04) KNOW MORE: I. Rule 2.01. A lawyer shall not reject, except for valid reasons, the cause of the defenseless or the oppressed. •

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. The spirit of public service should, therefore, underlie all legal aid offices. The same should be administered to indigent and deserving members of the community on all cases, matters and situations in which legal aid may be necessary to forestall an injustice. (IBP Handbook, Guidelines Governing the Establishment and Operation of the Legal Aid Office, Art. 1, Sec. 1)

•

A lawyer may not refuse to accept representation of an indigent unless: (a) he is in no position to carry out the work effectively or competently or (b) he labours under a conflict of interest between him and the prospective client or between a present client and the prospective client (Rule 14.03)

•

Ledesma, who was appointed Election Registrar of his municipality, was not excused from acting as counsel in criminal proceedings that had started that same year. Moreover, to avoid the frustration of the case, especially such as where the defendants are indigent, a lawyer

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LEGAL ETHICS may be required to act as a counsel de oficio. The fact that his services were rendered without remuneration should not occasion a diminution of his zeal. Most importantly, the Constitution blessed the accused with the right to be heard by himself and by counsel. This manifests the indispensable role of a lawyer in the defense of the accused. (Ledesma v.Climaco, 57 SCRA 473 (1974)) •

•

o

This rule stems from one of the obligations incident to the status and privileges of a lawyer which is to represent the poor and the oppressed in the prosecution of their claims or the defense of their rights. The court is empowered to require a lawyer to render legal service (to designate him/her as counsel de oficio for an accused if the latter is unable to employ counsel de parte).

o o o o

The Integrated Bar of the Philippines through its Committee on Legal Aid has established legal aid offices throughout the country. Its objective is to provide on a nationwide basis legal services in favor of the poor segment of society. Their policy is that 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, which makes it a public responsibility of the Bar.

o o o o

o II. 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. •

A valid reason to refuse is when the lawyer is not in a position to carry out the work effectively and competently. However he shall still render legal advice (such as those pertaining to preliminary steps a person can take). 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). In the case mentioned above, rendering legal advice to the prospective client will establish an attorney-client relationship between them and this will constitute a violation of the rule prohibiting a lawyer from representing conflicting interests. (Agpalo)

publication in reputable law list with brief biographical and other informative data which may include name, associates, address, phone numbers, branches of law practised, birthday, day admitted to the bar, schools and dates attended, degrees and distinctions, authorships, teaching positions, associations, legal fraternities and societies, references and regularly represented clients must be published for that purpose; an ordinary, simple professional card; publication of simple announcement of opening of law firm, change of firm; telephone directory (but not under designation of special branch of law); if acting as an associate (specialising in a branch of law), may publish a brief and dignified announcement to lawyers (law list, law journal); working in a public office (which can be filled only by a lawyer); full time position as corporate counsel; if in media, those acts incidental to his practise (i.e., not his own initiative); write articles for publication giving information upon the law (and not individual rights or advising through column/ TV broadcast, lest such be considered indirect advertising); if entering into other businesses (which are not inconsistent with lawyer’s duties) then it is advisable that they be entirely separate and apart such that a layman could distinguish between the two functions.

IV. Rule 2.04. A lawyer shall not charge rates lower than those customarily prescribed unless the circumstances so warrant. •

What the rule prohibits is 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)

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

A member of the bar may be disbarred or suspended from his office as attorney by the SC for any… malpractice…. The practice of soliciting cases at law for the purpose of gain, either personally or through paid agents or brokers, constitutes malpractice. (Rule 138, Sec. 27)

•

It is highly unethical for an attorney to advertise his talents or skill as a merchant advertises his wares. (In Re Tagorda, 53 Phil 37 (1929))

•

Exceptions to this rule (Agpalo):

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LEGAL ETHICS CANON 3: QUICK REFERENCE

and not a business. The lawyer may not sell or obtain employment himself or through others for to do so would be unprofessional. It is destructive of the honor of a great profession. It lowers the standards of that profession. It works against the confidence of the community and it results in needless litigation. (In Re: Tagorda, 53 Phil 37 (1929))7

CANON 3: A lawyer in making known his legal services shall use only true, honest, fair, dignified and objective information or statement of facts. 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.

•

Advertising, Direct of Indirect—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 force, but must be the outcome of character and conduct. The publication or circulation of ordinary simple business cards, being a matter of personal taste or local custom, and some times of convenience is not per se improper. But solicitation of business by circulars or advertisements, or by personal relations is unprofessional. It is equally unprofessional to procure business by indirection through touters of any kind whether allied real estate firms or trust companies advertising to secure the drawing of deeds or wills or offering retainers in exchange for executorships or trusteeships to be influenced by the lawyer. Indirect advertisement for business by furnishing or inspiring newspaper comments concerning the manner of their conduct, the magnitude of the interests involved, the importance of the lawyer’s position, and all other like selflaudation, defy the traditions and lower the tone of our high calling and are intolerable. (Sec. 27, Canon of Professional Ethics)

•

Notice of specialized service—Where a lawyer is engaged in rendering a specialized legal service directly and only to other lawyers, a brief, dignified notice of that fact, couched in language indicating that it is addressed to lawyers, inserted in legal periodicals and like publications, when it will afford convenient and beneficial information to lawyers desiring to obtain such service, is not improper. (Sec. 46, Canon of Professional Ethics)

•

The Code of Professional Responsibility provides that a lawyer in making known his legal services shall use only true, honest, fair, dignified and objective information or statement of facts. Lawyers should not resort to indirect advertisements for professional employment. The standards of the legal profession condemn the lawyer’s advertisement of his talent, this rest on the fundamental postulate that the practice of law is a profession. The lawyer degrades himself and his profession who stoops to and adopts the practices of mercantilism by advertising his services or offering them to the public.

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 3.03. 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. Rule 3.04. A lawyer shall not pay or give anything of value to representatives of the mass media in anticipation of, or in return for, publicity to attract legal business. MEMORY AID FOR RULES UNDER CANON 3: o No Fair or Unfair Claim re: Qualifications (Rule 3.01) o No False or Misleading Firm Name (Rule 3.02) o Partners Assuming Public Office (Rule 3.03) o No Use of Media to Attract Legal Business (Rule 3.04) KNOW MORE: I. 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. •

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, 409 SCRA 299 (2003))6

•

It is highly unethical for an attorney to advertise his talents or skill as a merchant advertises his wares. The law is a profession

6

Atty. Simbillo advertised his services in a Philippine Daily Inquirer ad which read “Annulment of Marriage Specialist 532433/521-2667.” The Court held that the solicitation of legal business is not altogether proscribed. However, for solicitation to be proper, it must be compatible with the dignity of the legal profession. The use of simple signs stating the name or names of the lawyers, the office, and the residence address and fields of practice, as well as advertisements in legal periodicals bearing the same brief data and the use of calling cards are permissible. The publication in reputable law lists, in a manner consistent with the standards of conduct imposed by the canon, of brief biographical and informative data is likewise allowed.

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7

Tagorda was suspended for soliciting business. Before Tagorda’s election to the provincial board of Isabela, he used a card offering services as an attorney and a notary public free. The card also stated that he was a candidate for the provincial board. After his election, he wrote a letter to the barrio lieutenant informing him that he would continue his practice as lawyer and asking that the lieutenant transmit this information to the barrio.

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LEGAL ETHICS Not all types of advertising or solicitation are prohibited. The exceptions are of two broad categories, those, which are expressly allowed, and those, which are necessarily implied from the restrictions. The first of such exceptions is the publication in reputable law lists, in a manner consistent with the standards of conduct imposed by the canons, or brief biographical and informative data. (Ulep v. Legal Clinic (1993)) II. 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. •

The respondent’s use of the firm name constitutes a representation that being associated with Baker and McKenzie they could “render legal services to the highest quality to multinational business enterprises and others engaged in foreign trade and investment.” This is unethical because Baker & McKenzie is not authorized to practice law here. (Dacanay v. Baker and McKenzie, 136 SCRA 349 (1985))

•

Surviving partners cannot continue to use the names of the deceased partners. The Court held, amongst others, that: Continued use will run counter to Art. 1815 CC which tacitly provides that names in a firm name of a partnership must be those of living partners and, in case of non-partners, should be living persons who can be subject to liability. The public relations value of the use of an old firm name can create undue advantage and disadvantage in the practice of the profession. (In the Matter of the Petition for Authority to Continue Use of the Firm Name – Ozaeta, Romulo, de Leon, etc. and Petition for Authority to Continue Use of Firm Name – Sycip, Salazar, Feliciano, etc. (1979)

III. 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 •

Limitation: No Senator or member of the House of Representative may personally appear before any court of justice or before the Electoral Tribunal, or quasi-judicial and other administrative bodies… (Const, art. VI, sec. 14)

•

Prohibition: The President, Vice-President, the members of the cabinet and assistants shall not, unless otherwise provided in this Constitution, hold any other office or employment during their tenure. They shall not, during said tenure, directly or indirectly practice any profession… (Const, art. VII, sec. 13)

•

Prohibition: No member of a Constitutional Commission shall, during his tenure, hold any other office or employment. Neither shall he

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engage in the practice of any profession… (Const, Art. IX, Sec. 2) •

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, 303 SCRA 756 (1999))8

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

It is bad enough to have such undue publicity when a criminal case is being investigated by the authorities, even when it being tried in court; but when said publicity and sensationalism is allowed, even encouraged, when the case is on appeal and is pending consideration by this Tribunal, the whole thing becomes inexcusable, even abhorrent, and this Court, in the interest of justice, is constrained and called upon to put an end to it and a deterrent against its repetition by meting an appropriate disciplinary measure, even a penalty to the one liable. (Cruz v. Salva, 105 Phil 1151 (1959))

CANON 4: QUICK REFERENCE Canon 4: A lawyer shall participate in development of the legal system by initiating reform and in the improvement of the administration of justice.

KNOW MORE: • While the lawyer’s task in contributing to the improvement of the legal system is not a matter of strict duty, it is a duty nevertheless that flows from the lawyer’s sense of public responsibility. The improvement of the legal system cannot, however, be done by dreaming in a vacuum. The lawyer must recognize that the law is a part of vast social network and whether he likes it or not, he has to interact with the rest of society. There is thus the need on the part of the lawyer to transcend the narrow limits of technical law. Intricately woven is the law with the social fabric that the legal profession cannot afford to confine itself to narrowly technical legal questions. A lawyer must broaden out and continue to grow in knowledge and competence in order to be able to make the law socially responsive. (Agpalo) KNOW MORE: •

Bar Matter 850 Mandatory Continuing Legal Education9

•

Members of the IBP, except those exempt under Rule 7 of Bar Matter No. 850 (Mandatory

8

Facts: The name of Rolando Gatdula, a branch clerk of court, appeared on the calling card of a firm 9 ANNEXED

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LEGAL ETHICS their relatives whether by consanguinity or affinity except with respect to appointments of such relatives to positions considered strictly confidential or as members of their personal staff whose terms are coterminous with theirs.

Continuing Legal Education), are required every 3 years to complete at least 36 hours of continuing legal education activities, with appropriate penalties for failure to do so. (Agpalo)

(d) Political neutrality. - Public officials and employees shall provide service to everyone without unfair discrimination and regardless of party affiliation or preference.

CANON 5: QUICK REFERENCE Canon 5: A lawyer shall keep abreast of legal developments, participate in continuing legal education programs, support efforts to achieve highest standards in law schools as well as in the practical training of law students and assist in disseminating information regarding law and jurisprudence. MEMORY AID FOR RULES UNDER CANON 6: o Primary Duty: See Justice Is Done (Rule 6.01) o Not to Use Public Position for Private Interest (Rule 6.02) o Not to Engage in Related Employment (Rule 6.03) KNOW MORE: •

RA 6713, (Code of Conduct and Ethical Standards for Public Officials and Employees.)Sec. 4(A) Norms of Conduct Employees.

of Public

Officials

and

(A) Every public official and employee shall observe the following as standards of personal conduct in the discharge and execution of official duties: (a) Commitment to public interest. - Public officials and employees shall always uphold the public interest over and above personal interest. All government resources and powers of their respective offices must be employed and used efficiently, effectively, honestly and economically, particularly to avoid wastage in public funds and revenues. (b) Professionalism. - Public officials and employees shall perform and discharge their duties with the highest degree of excellence, professionalism, intelligence and skill. They shall enter public service with utmost devotion and dedication to duty. They shall endeavor to discourage wrong perceptions of their roles as dispensers or peddlers of undue patronage.

(e) Responsiveness to the public. - Public officials and employees shall extend prompt, courteous, and adequate service to the public. Unless otherwise provided by law or when required by the public interest, public officials and employees shall provide information of their policies and procedures in clear and understandable language, ensure openness of information, public consultations and hearings whenever appropriate, encourage suggestions, simplify and systematize policy, rules and procedures, avoid red tape and develop an understanding and appreciation of the socio-economic conditions prevailing in the country, especially in the depressed rural and urban areas. (f) Nationalism and patriotism. - Public officials and employees shall at all times be loyal to the Republic and to the Filipino people, promote the use of locally produced goods, resources and technology and encourage appreciation and pride of country and people. They shall endeavor to maintain and defend Philippine sovereignty against foreign intrusion. (g) Commitment to democracy. - Public officials and employees shall commit themselves to the democratic way of life and values, maintain the principle of public accountability, and manifest by deeds the supremacy of civilian authority over the military. They shall at all times uphold the Constitution and put loyalty to country above loyalty to persons or party. (h) Simple living. - Public officials and employees and their families shall lead modest lives appropriate to their positions and income. They shall not indulge in extravagant or ostentatious display of wealth in any form.

(c) Justness and sincerity. - Public officials and employees shall remain true to the people at all times. They must act with justness and sincerity and shall not discriminate against anyone, especially the poor and the underprivileged. They shall at all times respect the rights of others, and shall refrain from doing acts contrary to law, good morals, good customs, public policy, public order, public safety and public interest. They shall not dispense or extend undue favors on account of their office to 100% UP LAW

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LEGAL ETHICS his honor remains unsullied. (Misamin v. San Juan, 72 SCRA 491 (1976))10

CANON 6: QUICK REFERENCE Canon 6. These Canons shall apply to lawyers in government service in the discharge of their official duties.

•

The primary duty of a Rule 6.01. lawyer 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. A lawyer in government Rule 6.02. service shall not use his public position to promote or advance his private interests, nor allow the latter to interfere with his public duties. A lawyer shall not, after Rule 6.03. leaving government service, accept engagement or employment in connection with any matter in which he had interned. I. Rule 6.01. The primary duty of a lawyer 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. •

The benefit of the doubt belongs to the prosecuting attorney. The prosecuting attorney is under no compulsion to file a particular criminal information where he is not convinced that he has evidence to prop up the averments thereof, or that the evidence at hand points to a different conclusion. (People v. Pineda, 20 SCRA 748 (1967))

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A public prosecutor is a quasi-judicial officer who represents, not an ordinary party to a controversy, but sovereignty. This sovereignty has its obligation to govern impartially. Therefore, the interest in a criminal prosecution is not that it shall win a case but that justice shall be done. (Agpalo)

II. Rule 6.02. A lawyer in 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. •

While the charges have to be dismissed, still it would not be inappropriate for respondent to avoid all appearances of impropriety. Respondent, in his future actuations as a member of the bar, should refrain from laying himself open to such doubts and misgivings as to his fitness not only for the position occupied by him but also for membership in the bar. He is not worthy of membership in an honorable profession who does not even take care that

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A member of the Bar who assumes public office does not shed his professional obligation. The CPR was not meant to govern the conduct of private petitioners alone, but of all lawyers including those in government service. Lawyers in government are public servants who owe the utmost fidelity to the public service. Thus they have to be mores sensitive in the performance of their professional obligations…. 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, 400 SCRA 172 (2003))11

III. 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. •

RA 3019, Sec. 3(d) (Anti-Graft and Corrupt Practices Act). In addition to acts or omissions of public officers already penalized by existing law, the following shall constitute corrupt practices of any public officer and are hereby declared to be unlawful: (d) Accepting or having any member of his family accept employment in a private enterprise which has pending official business with him during the pendency thereof or within one year after its termination.

RA 6713, Sec. 7(b). In addition to acts and omissions of public officials and employees not prescribed in the Constitution and existing laws, the following shall constitute prohibited acts and transactions of any public official and employee and are hereby declared to be unlawful: (b) Outside employment and other activities related thereto.—Public officials and employees during their incumbency shall not: 1) 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; 2) Engage in the private practice of their profession unless authorized by the Constitution or law, provided that such practice will not conflict or tend to conflict with their official functions; or 3) Recommend any person to any position in a private enterprise which has a regular or pending official transaction with their office. •

10 FACTS: Atty. San Juan, a captain of the MM Police force and a member of the bar was charged with coercing an employee, Misamin, to agree to drop charges filed against his employer Tan Hua for violation of the Minimum Wage Law. The case was dismissed for lack of evidence. 11 FACTS: The SC disbarred Atty. Felina Dasig, the OIC of the Legal Affairs Service of CHED, for making unlawful demands to extort money from certain people who had pending applications in her office for correction of names. Generally speaking, 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 government official. However, if said misconduct as a government official also constitutes a violation of his oath as a lawyer then he may be disciplined by this Court as a member of the Bar.

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LEGAL ETHICS CANON 7: QUICK REFERENCE

These prohibitions shall continue to apply for a period of 1 year after resignation, retirement or separation from public office, / except in case of subparagraph (2) above, / but the professional concerned cannot practice his profession in connection with any matter before the office he used to be with, / in which case the one year prohibition shall likewise apply. •

•

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. A lawyer shall be Rule 7.01. answerable for knowingly making a false statement or suppressing a material fact in connection with his application for admission to the bar.

RA 910 Sec. 1 (condition of pension). No retiring justice or judge of a court of record or city or municipal judge during the time that he is receiving said pension shall appear as counsel in any court in any civil case where in the govt. or any of its subdivisions or instrumentalities is an adverse party, in a criminal case were an officer or employee of the govt. is accused of an offense related to his official function, or collect any fee for his appearance in any administrative proceedings to maintain an interest adverse to the govt. In determining whether Atty. Mendoza committed a breach of Rule 6.03, certain factual predicates should be established, thus: (a) in connection with what “matter” has Atty. Mendoza accepted an engagement or employment after leaving the government service?; (b) in connection with what “matter” did he intervene while in government service?; and (c) what acts did he particularly perform in “intervening” in connection with such “matter”? The first concern in assessing the applicability of the Rule is the definition of “matter.” The same lawsuit or litigation is the same matter. The same issue of fact involving the same parties and the same situation or conduct is the same matter. By contrast, work as a government employee in drafting, enforcing or interpreting government or agency procedures, regulations, or laws, or in briefing abstract principles of law, does not disqualify the lawyer under DR 9-101 (B) from subsequent private employment involving the same regulations, procedures, or points of law; the same “matter” is not involved because there is lacking the discrete, identifiable transaction or conduct involving a particular situation and specific parties. Intervention” is interference that may affect the interest of others. Since the word “intervene” has two connotations, one affecting interest of others and one done merely in influencing others, Rule 6.03 should be read in the context of the former. To interpret it otherwise is to enlarge the coverage of Rule 6.03. (PCGG v. Sandiganbayan, 455 SCRA 526 (2005))

A lawyer shall not Rule 7.02. 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 shall not Rule 7.03. 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.

MEMORY AID FOR RULES UNDER CANON 7: o No False Statement (Rule 7.01) o Not to Support Unqualified Bar Applicant (Rule 7.02) o No Conduct Adversely Affecting the Profession (Rule 7.03) KNOW MORE: •

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 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: Election of the IBP, 178 SCRA 398 (1989))

•

More than just paying IBP Membership dues, a lawyer should help achieve objectives and purposes of the IBP, i.e., • assist in the administration of justice; • foster and maintain on the part of its members high ideals of integrity, learning, professional competence, public service and conduct; • safeguard the professional interests of its members; • cultivate among its members a spirit of cordiality and brotherhood; • provide a forum for the discussion of law, jurisprudence, law reform, pleading, practice and procedure and the relations of the bar thereto; encourage and foster legal education; • promote a continuing program of legal research in substantive and adjective law, and make reports and recommendations thereon. (Agabin)

•

The act of downloading the test questions from the bar examiner’s PC without the latter’s

B. The Lawyer and the Legal Profession MEMORY AID FOR CANONS UNDER THIS SECTION: 1. Uphold Dignity and Integrity in the Profession (Canon 7) 2. Courtesy, Fairness, Candor Towards Professional Colleagues (Canon 8) 3. Unauthorized Practice of Law (Canon 9)

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LEGAL ETHICS to the complainant but one to purge the law profession of unworthy members, to protect the public and the court. Possession of good moral character is not only a condition precedent to admission to the legal profession, but its continued possession is essential to maintain one’s good standing in the profession. (Zaguirre v. Castillo, 398 SCRA 659 (2003))12

knowledge and permission was a criminal act of larceny. By transmitting and distributing the stolen questions to his fraternity brothers, he had given them undue advantage over the other bar takers. (Re: 2003 Bar Examinations, 421 SCRA 703 (2004)) •

Re: Payment of IBP Dues: The integration of the Phil. Bar means the unification of the entire lawyer population requiring membership and financial support of every attorney as condition sine qua non to the practice of law and the retention of his name in the Roll of Attorneys of the SC. Bar integration does not compel the lawyer to associate. The only compulsion is the payment of annual dues which, the SC, in order to foster the State’s legitimate interest in elevating the quality of professional legal services, may require to be shared by all the subjects and beneficiaries – the lawyers. The fee is a regulatory measure not barred by the Constitution. The only limitation is that the regulation should not impose an unconstitutional burden. The public interest far outweighs the slight inconvenience to a member. The compulsory nature of payment of dues subsists for as long as one’s membership in the IBP remains, regardless of the extent of practice of a lawyer. (Letter of Atty. Cecilio Arevalo, 458 SCRA 209 (2005))

I. 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. •

Observance of the duties and responsibilities of a lawyer begins even as a law student. A student’s failure to live up to them may be a ground for SC to refuse admission to practice or for disbarment should SC learn later on about his/her transgressions. (Agpalo)

II. 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 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. He should volunteer information or cooperate in any investigation concerning alleged anomaly in the bar examination. This is to help guard the profession from candidates who are unfit or unqualified. He should expose without fear or favor before the SC corrupt or dishonest conduct in the profession and should not hesitate to accept professional employment against a lawyer who has wronged his client. (Agpalo)

III. 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. •

In a disbarment proceeding, it is that the complainant is aware of status or that he was not caught in because this is not a proceeding to

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CANON 8: QUICK REFERENCE 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 lawyer shall not, in Rule 8.01. professional dealings, use language which is abusive, offensive or otherwise improper. A lawyer shall not, Rule 8.02. 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. MEMORY AID FOR RULES UNDER CANON 8: o No Abusive and Improper Language (Rule 8.01) o Not to Encroach on Professional Employment (Rule 8.02) KNOW MORE: I. Rule 8.01. A lawyer shall not, in professional dealings, use language which is abusive, offensive or otherwise improper. •

The fact that one of the lawyers conducts him/herself improperly does not relieve the other from professional obligation in his relation with him/her. (Agpalo)

•

Any undue ill-feeling between clients should not influence counsels in their conduct and demeanor toward each other. While lawyers owe entire devotion to the interest of their clients, their office does not permit violation of

12 FACTS: Zaguirre and Castillo were officemates at the NBI. Zaguirre said that Castillo represented himself to be single, courted her and promised her marriage. Soon they had intimate relations and Zaguirre became pregnant. During their affair, Castillo was preparing for the bar exam which he passed. Only after Castillo was admitted to the Bar did Zaguirre learn that he was married. She presented an affidavit executed by Castillo, who by now is a lawyer admitting his relationship with her and recognizing the baby she was carrying as his. However, when she gave birth, Castillo refused to recognize the child and to give her any form of support. Castillo denied all her allegations and said that what transpired between them was nothing but mutual lust and desire. He admitted that he executed the affidavit but explained that he only did so to save Zaguirre from embarrassment. He sought understanding from the court by pointing out that “men by nature are polygamous.” The SC indefinitely suspended him from the practice of law for gross immoral conduct.

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LEGAL ETHICS the laws or any manner of fraud or chicanery. (Reyes vs. Chiong, Jr., 405 SCRA 212))

CANON 9: QUICK REFERENCE

II. 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. •

He may accept employment to handle a matter previously handled by another lawyer, provided that the other lawyer has been given notice of termination of service. Without such notice, he shall only appear once he has obtained conformity or has, at the very least, given sufficient notice of contemplated substitution. A lawyer’s appearance in the case without notice to the first lawyer amounts to an improper encroachment upon the professional employment of the original counsel. (Agpalo)

•

A lawyer should not, 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. Neither should he 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. (cf. Canon 9) (Agpalo)

•

A lawyer shall not Rule 9.01. 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.

A lawyer should not steal the other lawyer’s client nor induce the latter to retain him by promise of better service, good result or reduced fees for his services. Neither should he disparage another, make comparisons or publicize his talent as a means to further his law practice. (Agpalo)

•

•

Canon 9. A lawyer shall not, directly or indirectly, assist in the unauthorized practice of law.

A client’s proffer of assistance of additional counsel should not be regarded as evidence of want of confidence but the matter should be left to the determination of the client. The 2nd lawyer should communicate with the 1st before making an appearance. Should the 1st lawyer object, he should decline association but if the 1st lawyer is relieved, he may come into the case. (Agpalo) When there is conflict of opinions between two lawyers jointly associated in a case, the client should decide. The decision should be accepted unless the nature of the difference makes it impracticable for the lawyer whose judgment has been overruled to cooperate effectively. In this event, it is his/her duty to ask client to relieve him/her. (Agpalo)

A lawyer shall not divide Rule 9.02. or stipulate to divide a fee for legal services with persons not licensed to practice law, except: 1. 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 2. Where a lawyer undertakes to complete unfinished or legal business of a deceased lawyer; or 3. Where a lawyer or law firm includes non-lawyer employees in a retirement plan, even if the plan is based in whole or in part, on profitsharing arrangement. MEMORY AID FOR RULES UNDER CANON 9: o Not to Delegate Work (Rule 9.01) o Not to Divide Legal Fees (Rule 9.02) KNOW MORE: •

Rana’s having passed the bar and taking the oath does not make him a lawyer. It is the signing in the Roll of Attorneys that finally makes one a full-fledged lawyer. (Aguirre v. Rana, 403 SCRA 342 (2003))13

•

Private practice does not pertain to an isolated court appearance; rather, it contemplates a succession of acts of the same nature habitually or customarily holding one’s self to the public as a lawyer. It is evident that the isolated appearances as pro bono counsel do not constitute the “private practice” of the law profession contemplated by law. Nonetheless, though his appearances do not amount to private practice, he still failed to obtain a written permission from the head of the Department as required by the Revised Civil Service Rules (No officer or employee shall engage directly in any private business, vocation or profession…). (OCA v. Ladanga, 350 SCRA 326 (2001))14

13 FACTS: Edwin Rana passed the 2000 Bar Examinations but was denied admission after it was found that he appeared as counsel for a candidate in the May 2001 elections before the Municipal Board of Election Canvassers of Mandaon, Masbate where he even filed a pleading representing himself as “counsel for and in behalf of Vice Mayoralty candidate George Bunan.” All these he did before signing the roll of attorneys. 14 FACTS: The SC sternly reprimanded Atty. Ladaga, Branch Clerk of Court the RTC of Makati, for practicing law without prior permission when he appeared as pro bono counsel for his cousin. Atty. Ladaga had actually requested the Court Administrator for

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LEGAL ETHICS •

A person not admitted to the bar may not hold himself out to the public as engaged in the practice of law, either alone or as associated with a practicing attorney under a firm name. (US v. Ney (1907))

•

The title of “attorney” is reserved to those who, having obtained the necessary degree in the study of law and successfully taken the Bar Examinations, have been admitted to the IBP and remain members thereof in good standing, and it is they only who are authorized to practice law in this jurisdiction. (Alawi v. Alauya (1997))15

C. The Lawyer and the Courts MEMORY AID FOR CANONS UNDER THIS SECTION: 1. Observe Candor, Fairness and Good Faith (Canon 10) 2. Respect Courts and Judicial Officers (Canon 11) 3. Assist in Speedy and Efficient Administration of Justice (Canon 12) 4. Refrain from Act Giving Appearance of Influence (Canon 13)

CANON 10: QUICK REFERENCE

I. 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. •

•

A lawyer shall not Rule 10.01. do any falsehood, nor consent to the doing of any in Court, nor shall he mislead or allow the Court to be misled by an artifice.

Can employ secretaries, investigators, detectives, researches as long as they are not involved in the practice of law (e.g., not “writing” pleadings, appearing in court, etc.) (Agpalo)

A lawyer shall not Rule 10.02. 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.

NOTES FROM PROF: JARDALEZA: May a lawyer delegate a case to another lawyer within the same firm? If a client has specified the services of one particular attorney, then the case may not be delegated. Otherwise, it may be delegated.

II. 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 or legal business of a deceased lawyer; or c. Where a lawyer or law firm includes non-lawyer employees in a retirement plan, even if the plan is based in whole or in part, on profitsharing arrangement. •

Canon 10. A Lawyer owes candor, fairness and good faith to the Court.

The first two exceptions to the rule represent compensation for legal service rendered by the deceased lawyer during his lifetime, which is paid to his estate or heirs. The third exception to the rule does not involve, strictly speaking, a division of legal fees with non-lawyer employees. The retirement benefits in the form of pension represent additional deferred wages or compensation for past services of the employees (Agpalo)

authority to appear but nonetheless appeared before authorization could be given.

A lawyer shall Rule 10.03. observe the rules of procedure and shall not misuse them to defeat the ends of justice. MEMORY AID FOR RULES UNDER CANON 10: o Truthfulness Towards the Court (Rule 10.01) o Not to Misquote or Misrepresent Contents of Paper (Rule 10.02) o Observe Rules of procedure (10.03) KNOW MORE: • As an officer of the court and as part of the machinery for the administration of justice, a lawyer is continually accountable to the court for the manner he discharges his duties and is always subject to its disciplinary control (Agpalo) •

The oath to which all lawyers have subscribed in solemn agreement to dedicate themselves to the pursuit of justice is not a mere ceremony or formality for practicing law to be forgotten afterwards; nor is it mere words, drift and hollow, but a sacred trust that lawyers must uphold and keep inviolable at all times. (Ting Dumali v. Torres (2004))

•

A lawyer’s oath to uphold the cause of justice is superior to his duty to his client; its primacy is indisputable. (Cobb Perez v. Lantin (1968))

15 FACTS: Alauya, a member of the Shari’a Bar used the title of “attorney”.

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LEGAL ETHICS I. 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 an artifice. •

Canon 32 Code of Professional Ethics. The lawyer's duty in its last analysis. No client corporate or individual, however, powerful nor any cause, civil or political, however important, is entitled to receive nor should any lawyer render any service or advice involving disloyalty to the laws whose ministers we are, or disrespect of the judicial office, which we are bound to uphold, or corruption of any person or persons exercising a public office or private trust, or deception or betrayal of the public. When rendering any such improper service or advice, the lawyer invites and merits stern and just condemnation. Correspondingly, he advances the honor of his profession and the best interests of his client when he renders service or gives advice tending to impress upon the client and his undertaking exact compliance with the strictest principles of moral law. He must also observe and advice his client to observe the statute law, though until a statute shall have been construed and interpreted by competent adjudication he is free and is entitled to advise as to its validity and as to what he conscientiously believes to be its just meaning and extent. But above all a lawyer will find his highest honor in a deserved reputation for fidelity to private trust and to public duty, as an honest man and as a patriotic and loyal citizen.

•

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. (Agpalo)

•

A lawyer must be a disciple of truth. He swore upon his admission to the bar that he will “do no falsehood nor consent to the doing of any in court” and he shall “conduct himself as a lawyer according to the best of his knowledge and discretion with all good fidelity as well to the courts as to his clients.” (Young v. Batuegas, 403 SCRA 123 (2003))16

•

To warrant disciplinary action against a lawyer, who prosecutes false charges or complaints, it must be shown that the charges are false and the lawyer knows them to be so. (malice or bad faith) (Agpalo)

•

If a lawyer, through negligence in the performance of his duties as counsel for a party, failed to discover the falsity of the document which he offered in evidence, he may still be dealt with administratively notwithstanding lack of intent on his part to

16 FACTS: The Court suspended lawyers who filed a Manifestation with Motion for Bail on Dec 13, 2000, alleging that the accused voluntarily surrendered to a person in authority. The truth is that the accused only surrendered on Dec 14, 2000, as shown by the Certificate of Detention of the NBI. Respondents declared that on Dec 13, upon learning that a warrant of arrest was issued for their client, they filed the Manifestation with motion for bail with the trial court. Then they immediately fetched the accused in Cavite and brought him to the NBI to voluntarily surrender. However, due to heavy traffic, they arrived at the NBI at 2:00 am the next day; hence, the certificate of detention indicated the accused surrendered on Dec. 14

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deceive (Agpalo) •

Though his explanation appears to be a mere afterthought there is the assumption of good faith in favour of respondent. Moreover, judging from the awkwardly-worded petition and even his compliance quite indicative of either carelessness or lack of proficiency in the handling of the English language, it isn’t unreasonable to assume that his deficiency in the mode of expression contributed to the inaccuracy of his statements. Every member of the bar should realize that candor in the dealings with the court is the very essence of honorable membership in the profession. (Cuaresma v. Daguis (1975))

II. 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. •

In citing the SC decisions and rulings, it is the bounden duty of courts, judges and lawyers to reproduce or copy the same word-for-word and punctuation-mark-for-punctuation-mark (Agpalo)

•

The Court believes it is more a result of clerical ineptitude than deliberate attempt to mislead. The Companies have the prima facie right to rely on the quotation as it appears on respondent judge’s decision. However, the Court articulates its firm view that in citing this Court’s decision and rulings, it is the bounden duty of courts, judges and lawyers to reproduce or copy the same word-for-word and punctuation mark-for-punctuation mark. Only from this Tribunal’s decisions and rulings do all other courts, as well as lawyers and litigants, take their bearings. Ever presenting the danger that if not faithfully and exactly quoted, the decisions and rulings of this Court may lose their proper and correct meaning. (Insular Life Employees Co. v. Insular Life Association, 37 SCRA 1 (1970))

III. Rule 10.03. A lawyer shall observe the rules of procedure and shall not misuse them to defeat the ends of justice. •

Rule 138.20(d) Duties of attorney’s—It is the duty of an attorney (d) 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 of law.

•

Procedural rules are instruments in the speedy and efficient administration of justice. They should not be used to derail such ends. They should not misuse them, as by filing multiple petitions regarding the same cause of action of by deliberately misreading the law to seek a reopening of a case long decided. (Agpalo)

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LEGAL ETHICS scrupulous preference for respectful language, is to be observed not for the sake of the temporary incumbent of the judicial office, but for the maintenance of its supreme importance. (Guerrero v. Villamor, 179 SCRA 355 (1989))

CANON 11: QUICK REFERENCE Canon 11. A lawyer shall observe and maintain the respect due to the courts and judicial officers and should insist on similar conduct by others. A lawyer shall appear in Rule 11.01. court properly attired.

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

Courts have ordered a male attorney to wear a necktie and have prohibited a female attorney from wearing a hat. However, the prohibition of a dress whose hemline was 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)

•

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. (Agpalo)

A lawyer shall punctually Rule 11.02. appear at court hearings. A lawyer shall abstain Rule 11.03. from scandalous, offensive or menacing language or behavior before the courts. A lawyer shall not Rule 11.04. attribute to a Judge motives not supported by the record or have no materiality to the case. A lawyer shall submit Rule 11.05. grievances against a Judge to the proper authorities only.

MEMORY AID FOR RULES UNDER CANON 11: o Proper Attire (Rule 11.01) o Punctuality (Rule 11.02) o Proper Language and Behavior (Rule 11.03) o Not to Attribute Motives to Judge (Rule 11.04) o Grievance Against Judge (Rule 11.05) KNOW MORE: •

•

Mere criticism or comment on the correctness or wrongness, soundness or unsoundness of the decision of the court in a pending case made in good faith may be tolerated; because if well founded it may enlighten the court and contribute to the correction of an error if committed; but if it is not well taken and obviously erroneous, it should not influence the court in reversing or modifying its decision. (In re: Sotto, 82 Phil 595 (1949))17

II. Rule 11.02. A lawyer shall punctually appear at court hearings. •

A lawyer owes the court and his client the duty to punctually appear at court proceedings. (Agpalo)

•

Inexcusable absence from, or repeated tardiness in, attending a pre-trial or hearing may subject the lawyer to disciplinary action as his actions showing disrespect to the court make him guilty of contemptuous behavior. (Agpalo)

III. Rule 11.03. A lawyer shall abstain from scandalous, offensive or menacing language or behavior before the courts. •

Notes from Agpalo: Lawyer’s Courtesy • It must never be forgotten that a lawyer pleads; he does not dictate. He should be courageous, fair, and circumspect, not petulant, combative, or bellicose in his dealings with the court

Lawyers should bear in mind their basic duty “to observe and maintain the respect due to the courts of justice and judicial officers and to insist on similar conduct by others” (Canon 11 CPR). This attitude is best shown through

17 FACTS: Atty. Vicente Sotto, then a Senator of the Republic, wrote his opinion in the Manila Times regarding the SC’s decision, In re Angel Parazo which was then pending reconsideration. There the SC cited in contempt a reporter for his refusal to divulge his source of news published in the paper. Sotto claims that majority of the members of the Supreme Court are incompetent and narrow-minded. He also said that the members of the Court have deliberately committed blunders and injustices during the past years. The SC cited Sotto in contempt and required him to show cause why he should not be disbarred.

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•

While criticism of judicial conduct is not forbidden and zeal in advocacy is encouraged, the lawyer must always act within the limits of propriety and good taste and with deference for the judges before whom he pleads his client’s cause

•

A lawyer should not assail, without basis, the personal integrity of a judge and accuse him of misfeasance in an attempt to hide his own inadequacies and omissions to escape criticism of his client

•

The discharge of the lawyer’s duty to his client does not justify or require the use of defamatory or threatening words. Neither does the mistake of a Page 19 of 74

LEGAL ETHICS not spill over the wall of decency and propriety. (Agpalo)

judge in some of his rulings warrant the use of offensive language •

•

There is no defense against the use in a pleading by a lawyer of disrespectful, threatening, abusive, and abrasive language. It cannot be justified by the constitutional right of free speech for such right is not absolute and its exercise must be within the context of a functioning and orderly system of dispensing justice Where words are abrasive or insulting, evidence that the language employed is justified by the facts is not admissible as a defense

Judge’s Courtesy • The duty to observe and maintain respect is not a one-way duty from a layer to a judge. A judge should show no shortness of temper which merely detracts from the equanimity and judiciousness that should be the constant marks of a dispenser of justice •

A judge may utilize his opportunities to criticize and correct unprofessional conduct of attorneys but he may not do so in an insulting manner

•

While a lawyer must advocate his client's cause in utmost earnest and with the maximum skill he can marshal, he is not at liberty to resort to arrogance, intimidation, and innuendo. (Sangalang v. IAC (1989))

•

Every citizen has the right to comment upon and criticize the actuations of public officers. The Court also treats with forbearance and restraint a lawyer who vigorously assails their actuations, provided it is done in respectful terms and through legitimate channels. For courageous and fearless advocates are the strands that weave durability into the tapestry of justice. The reason is that an attorney does not surrender his right as a citizen to criticize the decisions of the court in fair and respectful manner, and the independence of the Bar, as well as the judiciary, has always been encouraged by the courts. Criticism has been an important part of the traditional work of a lawyer. As a citizen and as officer of the court, a lawyer is expected not only to exercise his right, but also to consider it his duty to avail of such right. But the cardinal condition of all such criticism is that is shall be bona fide and shall not spill over the walls of decency and propriety. (In Re: Almacen, 31 SCRA (1970))

•

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. (Agpalo)

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

Const art. VIII, sec. 6. The Supreme Court shall have administrative supervision over all courts and the personnel thereof. [the SC is the proper authority

•

The duty to respect does not preclude a lawyer from filing administrative complaints against erring judges, or from acting as counsel for clients who have legitimate grievances against them. (Agpalo)

•

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)

•

Where a criminal complaint against a judge or other court employees arises from their administrative duties, the Ombudsman must defer action on said complaint and refer the same to the SC for determination whether said judges or court employees acted within the scope of their administrative duties. 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. (Maceda v. Vasquez, 221 SCRA 464 (1993))18

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

The rule allows such 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. The cardinal condition of all such criticism is that it shall be bona fide, and shall

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18 This prayer for preliminary mandatory injunction is with regard to whether the office of the ombudsman could entertain a criminal complaint for the alleged falsification by Judge Maceda of his certificate of service submitted to the SC, and assuming that it can, whether a referral should be made first to the SC.

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LEGAL ETHICS case and the prompt satisfaction of final judgments.

CANON 12: QUICK REFERENCE

o

The duty to assist in the administration of justice may be performed by doing no act that obstructs, perverts, or impedes the administration of justice and by faithfully complying with all his duties to the court and to his client. Examples of the former would include the duty to inform the court of any change of his address or of the death of his client.

o

Acts that amount to obstruction of the administration of justice may take many forms. They include such acts as instructing a complaining witness in a criminal case not to appear at the scheduled hearing so that the case against his client, the accused, would be dismissed

o

Ordinarily, obstruction of justice constitutes contempt of court, and citing the misbehaving lawyer for contempt and punishing him for such misbehavior may be sufficient to accomplish the end desired. However, the misbehavior may be of such character as to effect the offender’s qualifications as a lawyer for the practice of law. In such case, he may be disciplined as a lawyer for such misconduct.

Canon 12. A lawyer shall exert every effort and consider it his duty to assist in the speedy and efficient administration of justice. 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. Rule 12.02. A lawyer shall not file multiple actions arising from the same cause. Rule 12.03. A lawyer shall not, after obtaining extensions of time to file pleadings, memoranda or briefs, let the period lapse without submitting to the same or offering an explanation for his failure to do so. Rule 12.04. A lawyer shall not unduly delay a case, impede the execution of a judgment or misuse court processes. Rule 12.05 A lawyer shall refrain from talking to his witness during the break or recess in the trial, while the witness is still under examination. Rule 12.06 A lawyer shall not knowingly assist a witness to misrepresent himself or to impersonate another.

I. 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 •

A lawyer shall not handle any legal matter without adequate preparation. (Rule 18.02)

•

Without adequate preparation, the lawyer may not be able to effectively assist the court in the efficient administration of justice. Nonobservance of this rule might result in: 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 nonsuited or in default or 3) The judge may consider the case deemed submitted for decision without client’s evidence, to his prejudice. (Agpalo)

MEMORY AID FOR RULES UNDER CANON 12: o Adequate Preparation (Rule 12.01) o Forum Shopping (Rule 12.02) o Not to Delay Case (Rule 12.03) o Court Process (Rule 12.04) o Proper Behavior (Rule 12.05-12.07) o Not to Testify on Behalf of Client (Rule 12.08) KNOW MORE: •

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.

•

Rule 138 Sec 20(g). Duties of attorneys. – It is the duty of an attorney: (g) 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.

•

Notes from Agpalo: o

The first duty of a lawyer is not to his client but the administration of justice. As an officer of the Court, it is the duty of the lawyer to advance the Court’s objective of having a speedy, efficient, impartial, correct, and inexpensive adjudication of

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II. Rule 12.02. A lawyer shall not file multiple actions arising from the same cause •

The plaintiff or principal party shall certify under oath in the complaining or other initiatory pleading asserting a claim for relief, or in a sworn certification annexed thereto and simultaneously filed therewith: a) that 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; b) if there is such other pending action or claim, a complete statement of the present status thereof; and c) if he should thereafter learn that the same or similar action or claim has been filed or is pending, he shall report

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LEGAL ETHICS that fact within 5 days therefrom to the court wherein his aforesaid complaint or initiatory pleading has been filed. 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. The submission of false certification or non-compliance with any of the undertaking therein shall constitute indirect contempt of court, without prejudice to the corresponding administrative and criminal actions. If the acts of the party or his counsel clearly constitute willful and deliberate forum shopping, the same shall be ground for summary dismissal with prejudice and shall constitute direct contempt, as well as a cause for administrative sanctions. (ROC, Rule 7, Sec. 5) •

Rule 12.02 stresses the 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 (1) appropriate disciplinary action or (2) render him liable for the costs of litigation. (Agpalo)

•

Forum shopping is prohibited by Supreme Court Circular No. 28-91 --ANNEXED, which is now integrated in the Rules of Civil Procedure.

III. Rule 12.03. A lawyer shall not, after obtaining extensions of time to file pleadings, memoranda or briefs, let the period lapse without submitting to the same or offering an explanation for his failure to do so. •

Where a lawyer’s motion for extension of time to file a pleading, memorandum or brief has remained unacted by the court, the least that is expected of him is to file it within the period asked for (Agpalo)

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

Notes from Agpalo o

o

While a client may withhold from his counsel certain facts or give him false information to attain his unlawful ends, a lawyer can easily see through the client’s action either before or at the early stage of the litigation If after his appearance a lawyer discovers that his client has no case, he may not unceremoniously abandon the action. He should advise his client to discontinue the action or to confess judgment, and if the client is determined to pursue it he should ask that he be relieved from professional responsibility

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•

o

If a lawyer is honestly convinced of the futility of an appeal in a civil suit he should not hesitate to temper his client’s desire to seek appellate review of such decision for unless, he could show sufficient cause for reversal, he would only succeed in planting false hope in his client’s mind, increasing the burden on appellate tribunals, prolonging litigation unnecessarily and exposing his client to useless expenses.

o

Nonetheless a lawyer should not, solely on his own judgment, let the decision become final by letting the period to appeal lapse, without informing his client of the adverse decision and of his candid advice in taking appellate review thereof, well within the period to appeal, so that the client may decide whether to pursue appellate review.

In expropriation proceedings by the NAPOCOR against several lot owners in Bulacan, the president of an organization of the lot owners entered into a contract for legal services with Atty. Principe. The complainant Malonso, a member of the same organization, appointed on the other hand a certain Elfa as his attorney-in-fact on the matter of negotiation with NPC. Eventually, an amicable settlement was had between NAPOCOR and the lot owners. More than two years after the expropriation cases were instituted, Atty. Principe filed his motion to separate legal fees and filed his “Notice of Entry of Appearance” claiming that he is the legal counsel of the lot owners. The other lot owners including Malonso wrote a letter to NPC informing the latter that they have never authorized Sandama’s President to hire the services of Atty. Principe’s law firm to represent them. Atty. Principe filed several motions to ensure his claim to the 40% of the selling price of the properties being expropriated. An investigation conducted by the IBP recommended Atty. Principe’s suspension from the practice of law for two years on the ground that Atty. Principe had violated among others Rule 12.04 which says that “a lawyer shall not unduly delay a case, impede the execution of a judgment or misuse Court processes.” In its Resolution, the IBP Board ordained his suspension from the practice of law for 2 years. The SC however found that formal requisites of the investigation and resolution had not been complied with and dismissed the case requiring the IBP to comply with the procedure outlined in Rule 139-B in all cases involving disbarment and discipline of attorneys. (Malonzo v. Prinsipe, 447 SCRA 1 (2004))

V –VII. Rule 12.05 A lawyer shall refrain from talking to his witness during the break or recess in the trial, while the witness is still under examination. Rule 12.06 A lawyer shall not knowingly assist a witness to misrepresent himself or to impersonate another. Rule 12.07 A lawyer shall not abuse, browbeat or harass a witness nor needlessly inconvenience him.

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Rule 132, sec. 3. Rights and obligations of a witness. A witness must answer questions, although his answer may tend to establish a claim against him. However, it is the right of a witness: o To be protected from irrelevant, improper, or insulting questions, and from harsh or insulting demeanor; o Not to be detained longer than the interests of justice require; o Not to be examined except only as to matters pertinent to the issue; o Not to give an answer which will tend to subject him to a penalty for an offense unless otherwise provided by law; or o Not to give an answer which will tend to degrade his reputation, unless it be to the very fact at issue or to a fact from which the fact in issue would be presumed. But a witness must answer to the fact of his previous conviction for an offense.

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P.D. No. 1829 Penalizing the obstruction of apprehension and prosecution of criminal offenders (1981)—ANNEXED

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Notes from Agpalo: •

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Rule 12.05. The purpose of this rule is to avoid any suspicion that he is coaching the witness what to say during the resumption of the examination Rule 12.06. A lawyer may interview witnesses in advance of trial or attend to their needs if they are poor but he should avoid any such action as may be misinterpreted as an attempt to influence the witness what to say in court. Court will not give weight on a testimony of a witness who admits having been instructed. A lawyer who presents a witness whom he knows will give a false testimony or is an impersonator may be subjected to disciplinary action. Rule 12.07. The lawyer has a duty to always treat adverse witnesses and suitors with fairness and due consideration Rule 12.07. The client cannot be made the keeper of the lawyer’s conscience in professional matters. He has no right to demand that his counsel abuse the opposite party and the latter’s witnesses or indulge in offensive personalities. Improper speech is not excusable on the ground that it is what the client would say if speaking in his own behalf Rule 12.07. If it is the judge who subjects the witness to harsh treatment, the lawyer has the right to protest in a respectful and dignified manner the action of the judge and to make the incident of record without being held liable administratively or for contempt of court

VIII. RULE 12.08 A LAWYER SHALL AVOID TESTIFYING IN BEHALF OF HIS CLIENT; EXCEPT: a.

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which event he must, during his testimony, entrust the trial of the case to another counsel. •

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. It is difficult to distinguish between the zeal of an advocate and the fairness and impartiality of a disinterested witness (Agpalo)

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Although the law does not forbid an attorney to be a witness and at the same time an attorney in a cause, the courts prefer that counsel should not testify as witness unless it is necessary and that they should withdraw from the active management of the case. Canon 19 of the Code of Legal Ethics provides that “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, 57 PHIL 337 (1932))

CANON 13: QUICK REFERENCE 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. A lawyer shall not Rule 13.01. extend extraordinary attention or hospitality to, nor seek opportunity for cultivating familiarity with Judges. A lawyer shall not make Rule 13.02. public statements in media regarding a pending case tending to arouse public opinion for or against a party. A lawyer shall not Rule 13.03. brook or invite interference by another branch or agency of the government by another branch or agency of the government in normal course of judicial proceedings.

MEMORY AID FOR RULES UNDER CANON 13: o No Extraordinary Attention (Rule 13.01) o No Public Statements to Media (Rule 13.02) o Not to Invite Outside Interference (Rule 13.03) KNOW MORE: •

Grievances must be ventilated through proper channels (appropriate petitions, motions or other pleadings) in keeping with the respect due to the Courts as impartial administrators of justice entitled to proceed to the disposition of its business in an orderly manner, free from outside interference obstructive of its functions and tending to embarrass the administration of

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justice. For though the rights of free speech and of assembly are constitutionally protected, an attempt to pressure or influence courts of justice is no longer within the ambit of constitutional protection. (Nestle Phil. v. Sanchez, 154 SCRA 542 (1987))19

o

Freedom of speech is not absolute, and must be balanced with the requirements of equally important public interests, such as the maintenance of the integrity of the courts and orderly functioning of the administration of justice. Unwarranted attacks on the dignity of the courts cannot be disguised as free speech, for the exercise of said right cannot be used to impair the independence and efficiency of courts or public respect and confidence thereof. His statements are not fair criticisms of any decision of the Court, but are threats made against it to force the Court to decide the issue in a particular manner, or risk earning the ire of the public. It tends to promote distrust an undermines public confidence in the judiciary, by creating the impression that the Court cannot be trusted to resolve cases impartially, uninfluenced by public clamor and other extraneous influences. (In Re: De Vera, 385 SCRA 285 (2003))20

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

o

The court, in a pending litigation, must be shielded from embarrassment or influence in its all important duty of deciding the case. Thus, what a lawyer can ordinarily say against a concluded litigation and the manner the judge handed down the decision may not generally be said to a pending action. Once a litigation is concluded, the judge who decided it is subject to the same criticism as any other public official because then, his ruling becomes public property and is thrown open to public consumption. A newspaper publication tending to impede, obstruct, embarrass or influence the courts in administering justice in a pending case constitutes criminal contempt, but the rule is otherwise after the litigation is ended.

o

o

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I. Rule 13.01. A lawyer shall not extend extraordinary attention or hospitality to, nor seek opportunity for cultivating familiarity with Judges. •

Notes from Agpalo o The common practice of some lawyers making judges and prosecutors godfathers of their children to enhance their influence and their law practice should be avoided by judges and lawyers alike o A lawyer should not see a judge in chamber and talk to him about a case he is handling and pending in the judge’s court o A lawyer should not communicate to the judge the merits of a pending case

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

Notes from Agpalo:

19

FACTS: Two unions with pending cases before the SC had intermittent pickets in front of the Padre Faura gate of the SC building, obstructing access to and egress from the Court’s premises. They also constructed provisional shelters, set up a kitchen, littered the area causing it to be unhygienic and unsanitized, waved their red streamers and placards with slogans, and harangued the court with the use of loudspeakers. Two justices called the leaders of the unions and their counsel to inform them that the pickets constitute direct contempt of court, and that their petitions could not be heard until the pickets stop. Arty Espinas, the counsel for the unions, apologized and assured that the acts would not be repeated. The SC dismissed the contempt charges against Atty. Espinas.

Televising a court trial would amount to a violation of due process. A carnival atmosphere would be created. Jurisprudence also states that there is nothing that proscribes the press from reporting events that transpire in the courtroom. But there is a reasonable likelihood that the prejudicial news prior to trial will prevent a fair trial. If publicity during the proceeding threatens the fairness of the trial, a new trial shall be ordered. HOWEVER, THE CASE AT BAR IS DIFFERENT. The publicity in this case did not focus on the guilt of the petitioners but rather on the responsibility of the government for what was claimed to be a “massacre” of Muslim trainees. If there was a “trial by newspaper” it was not of the petitioner but of the government. There is no showing that the courts martial failed to protect the accused from massive publicity. Protection would include: controlling the release of information; change the venue or postpone trial until the deluge of prejudicial publicity has subsided. Even granting that there is massive and prejudicial publicity, the petitioners do not contend that the respondents have been unduly influenced but simply that they might be. (Martelino v. Alejandro (1989))

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

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

•

The basis for this rule is the principle of separation of powers (Aguirre)

20 FACTS: Atty. De Vera made some remarks to the Philippine Daily Inquirer regarding a pending case involving the constitutionality of the Plunder Law. In one statement, “he asked the SC to dispel rumors that it would vote in favor of a petition filed by Estrada’s lawyers to declare the plunder law unconstitutional” and that his group was greatly disturbed by the rumors. In another statement, he said that a decision in favor of the law’s unconstitutionality would trigger mass actions and the people would not just swallow any SC decision that is basically wrong. Atty. De Vera admitted to making the statements but that these were factually accurate and that these are within his right to freedom of speech.

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D. The Lawyer and the Client MEMORY AID FOR CANONS UNDER THIS SECTION: 1. Service to the Needy (Canon 14) 2. Observe Candor, Fairness, Loyalty (Canon 15) 3. Hold in Trust Client’s Moneys and Properties (Canon 16) 4. Trust and Confidence (Canon 17) 5. Competence and Diligence (Canon 18) 6. Representation with Zeal (Canon 19) 7. Attorney’s Fees (Canon 20) 8. Preserve Client’s Confidence (Canon 21) 9. Withdrawal of Services for Good Cause (Canon 22)

Retainer, defined: (1) an act of client by which he engages services of an attorney to render legal advice, defend or prosecute his cause in court; (2) fee which a client pays to an attorney when latter is retained (retaining fee) o

General retainer, defined: secure beforehand services of attorney for any legal problem that may afterward arise

o

Special retainer, defined: particular case or service

o

Retaining fee, defined: preliminary fee paid to insure and secure future services, to remunerate him for being deprived, by being retained by one party. It prevents undue hardship resulting from the rigid observance of the rule forbidding him from acting as counsel for other party (Agpalo)

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Employment of a law firm: • The employment of a law firm is equivalent to the retainer of a member thereof even though only one of them is consulted

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The nature of lawyer-client relationship is premised on the Roman Law concepts of 1. location conduction operarum (contract of lease and services) where one person lends his services and another hires them without reference to the object of which the services are to be performed, wherein lawyers’ services may be compensated by honorarium 2. mandato (contract of agency) wherein a friend on whom reliance could be placed makes a contract in his name, but gives up all that he gained by the contract to the person who requested him. (Regala v. Sandiganbayan) Notes from Agpalo: o The relationship is strictly personal and highly confidential and fiduciary (something in trust for another). Thus, delegation is prohibited absent the client’s consent. It likewise terminates at death of either the client or the attorney. o A client can terminate it any time with or without the consent of the lawyer. However, an attorney enjoys no similar right as he is an officer of the court and he may be permitted to withdraw only with the consent of his client or with the approval of the court. The essential feature of the relation of attorney and client is the fact of employment. While a written agreement for professional services is the best evidence to show the relation, formality is not an essential element of the employment of a lawyer o It is sufficient, to establish the professional relation, that the advice and assistance of an attorney is sought and received in any matter pertinent to his profession o There is an implied contract of professional employment where an attorney appears on behalf of a party without the latter interposing any objection thereto o To employ an attorney one has to have legal capacity to do so. Minors/ incompetents must have a general guardian/ guardian ad litem has to employ an attorney. o A lawyer has no power to act as counsel or legal representative for a person without being retained nor may he appear for a party in a case without being employed

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CANON 14: QUICK REFERENCE Canon 14. A lawyer shall not refuse his services to the needy. A lawyer shall not Rule 14.01. 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. A lawyer shall not Rule 14.02. decline, except for serious and sufficient cause, an appointment as counsel de oficio or as amici curiae, or a request from the Integrated Bar of the Philippines or any of its chapters for rendition of free legal aid. Rule 14.03. A lawyer may refuse to accept representation of an indigent client if: a. he is not in a position to carry out the work effectively or competently; b. he labors under a conflict of interests between him and the prospective client or between a present client and the prospective client. 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. MEMORY AID FOR RULES UNDER CANON 14: o Availability of Services Regardless of Status (Rule 14.01) o Providing Counsel de Oficio (Rule 14.02) 2008

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LEGAL ETHICS Valid Ground for Refusal (Rule 14.03) Same Standard of Conduct for All Clients (Rule 14.04) KNOW MORE:

of presumption of innocence and proof beyond reasonable doubt. (Agpalo)

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General rule: A private practitioner is not obliged to act as counsel for a person who may wish to become his client. He has the right to decline employment.

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Exceptions: Canon 14 provide the exceptions to the general rule and emphasize the lawyer’s public responsibility of rendering legal services to the needy and the oppressed who are unable to pay attorney’s fees. In such cases, refusal is the exception rather than the rule.

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R.A. 6033. An act requiring courts to give preference to criminal cases where the party or parties involved are indigents (1969)—ANNEXED

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R.A. 6034. An act providing transportation and other allowances for indigent litigants. (1969)— ANNEXED

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RA 6035. An act requiring stenographers to give free transcript of notes to indigent and low income litigants and providing a penalty for the violation thereof. (1969)— ANNEXED

I. 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. •

Rule 138, sec. 20 (h-i). Duties of attorneys.—It is the duty of an attorney: (h) Never to reject, for any consideration personal to himself, the cause of the defenseless or oppressed. (i) 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

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Rule 14.01 makes it his duty not to decline to represent the accused regardless of his opinion as to his guilt. Note that in criminal cases, it is easy to take accused because of presumption of innocence and proof beyond reasonable doubt.

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It is the lawyer’s duty 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 law. He is not to encourage the commencement or the continuance of an action or delay any man’s cause, for any corrupt motive or interest. He must decline to conduct a civil case or to make a defense when convinced that it is intended merely to harass or injure the opposite party or to work oppression or wrong. If he were to take a bad civil case for a plaintiff, it will only be to advise him not to file the action or to settle it with the claimant. If he were to accept the defense of a bad civil case against a defendant, it will either be to exert his best effort toward a compromise or, to tell his client to confess judgment. In criminal cases: easy to take accused because

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Rule 2.01. A lawyer shall not reject, except for valid reasons, the cause of the defenseless or the oppressed.

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

Rule 138 sec. 20 (h), Duties of attorneys. – It is the duty of an attorney: (h) Never to reject, for any consideration personal to himself, the cause of the defenseless or oppressed;

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Rule 138, sec. 31 Attorney’s for destitute litigants.—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.

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Rule 116, sec. 6. Duty of court to inform accused of his right to counsel.—Before arraignment, the court shall inform the accused of his right to counsel and ask him if he desires to have one. Unless the accused is allowed to defend himself in person or has employed counsel of his choice, the court must assign a counsel de oficio to defend him.

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Rule 116, sec. 7. Appointment of counsel de oficio—The court shall appoint a counsel de oficio to defend a client, considering [1] the gravity of the offense, [2] the difficulty of the questions that may arise, [3] and the experience and ability of the appointee. The counsel must be [1] a member of the bar in good standing [2] or, in localities without lawyers, any person of good repute for probity and ability

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Rule 116, sec. 8. Time for counsel de oficio to prepare for arraignment. — Whenever a counsel de oficio is appointed by the court to defend the accused at the arraignment, he shall be given a reasonable time to consult with the accused as to his plea before proceeding with the arraignment.

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Rule 124 (Case on Appeal in the CA), sec. 2. Appointment of counsel de oficio for the accused.—If it appears from the record of the case transmitted that [1] the accused is confined in prison, [2] is without counsel de parte on appeal, or [3] has signed the notice of appeal himself, the clerk of court of the CA shall designate a counsel de oficio. An appellant who is not confined in prison may, upon request, be assigned a counsel de oficio within the 10 days from receipt of the notice to file brief and he establishes his right thereto by affidavit

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P.D. 543. Authorizing the designation of municipal judges and lawyers in any branch of the government service to act as counsel de oficio for the accused who are indigent in places where there are no available practicing lawyers. (1974)— ANNEXED

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Counsel de Oficio, defined: a counsel, appointed or assigned by the court, from among such members of the bar in good standing who by reason of their experience and ability, may adequately defend the accused. (Agpalo)

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Rule 138, sec. 36. —Amicus curiae.— Experienced and impartial attorneys may be invited by the Court to appear as amici curiae to help in the disposition of issues submitted to it.

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CANON 15: QUICK REFERENCE Canon 15. A lawyer shall observe candor, fairness and loyalty in all his dealings and transactions with his clients. A lawyer, in conferring Rule 15.01. 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. A lawyer shall be bound Rule 15.02. by the rule on privileged communication in respect of matters disclosed to him by a prospective client.

Amicus curiae, defined: A friend of the court;” a “bystander” (usually a counselor) who interposes or volunteers information upon some matter of law in regard to which the judge is doubtful or mistaken. (Agpalo)

A lawyer shall not Rule 15.03. represent conflicting interests except by written consent of all concerned given after a full disclosure of the facts. A lawyer may, with the Rule 15.04. written consent of all concerned, act as mediator, conciliator or arbitrator in settling disputes.

III. Rule 14.03. A lawyer may refuse to accept representation of an indigent client if: a. he is not in a position to carry out the work effectively or competently; b. he labors under a conflict of interests between him and the prospective client or between a present client and the prospective client.

A lawyer when advising Rule 15.05. his client shall give a candid and honest opinion on the merits and probable results of the client’s case, neither overstating nor understanding the prospects of the case.

IV. 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.

A lawyer shall not state Rule 15.06. or imply that he is able to influence any public official, tribunal or legislative body. A lawyer shall impress Rule 15.07. upon his client compliance with the laws and the principles of fairness. A lawyer who is engaged Rule 15.08. 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.

MEMORY AID FOR RULES UNDER CANON 15: o Conflict of Interest (Rule 15.01 and 15.03) o Privileged Communication (Rule 15.02) o Mediator, Conciliator or Arbiter (Rule 15.04) o Candid, Honest Advice (Rule 15.05) o Not to Claim Influence (Rule 15.06) o Impress Compliance with Laws (Rule 15.07) o Dual Profession (Rule 15.08) KNOW MORE: •

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This canon is based on the character of the attorney-client relationship which is strictly personal and highly confidential and

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LEGAL ETHICS fiduciary. Only in such a relationship can a person be encouraged to repose confidence in an attorney. The canon therefore is required by necessity and public interest and is based on the hypothesis that abstinence from seeking legal advice in a good cause is an evil which is fatal to the administration of justice. (Agpalo)

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I – II. 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. 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. •

Art. 209 Revised Penal Code. Betrayal of trust by an attorney. or solicitor.—Revelation of Secrets.—In addition to the proper administrative action, …shall be imposed upon an attorney-at-law or solicitor (procurador judicial) who, by any 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

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Opposing clients in same or related suits An attorney who appears for opposing clients in the same or related actions puts himself in that awkward position where he will have to contend on behalf of one client that which he will have to oppose on behalf of the other client. He cannot give disinterested advice to both clients but will instead be called on to use confidential information against one client in favor of the other in view of the identicalness or relatedness of the subject. Even though the opposing clients, after full disclosure of the fact, consent to the attorney’s dual representation, the lawyer should, when his clients cannot see their way clear to settling the controversy amicably, retire from the case. Opposing clients in unrelated actions

o

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Tests of Conflict of Interest: 1. when, on behalf of one client, it is the attorney’s duty to contest for that which his duty to another client requires him to oppose or when the possibility of such situation will develop; 2. whether the acceptance of the new relation will prevent a lawyer from the full discharge of his duty of undivided fidelity and loyalty to his client or will invite suspicion of unfaithfulness in the performance thereof; and 3. whether a lawyer will be called upon in his new relation to use against his first client any knowledge acquired in the previous employment.

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The proscription against representation of conflicting interests finds application where the conflicting interests arise with respect to the same general matter and is applicable however slight such adverse interest may be. It applies although the attorney’s intentions and motives were honest and he acted in good faith.

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Rule against representing conflicting interests applies even if the conflict pertains to the lawyer’s private activity or in the performance in a non-professional capacity, and his presentation as a lawyer regarding the same subject matter.

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Effect of termination of attorney-client relation o Termination of relation of attorney and client provides no justification for a lawyer to represent an interest adverse to or in conflict with that of the former client. Neither may he do anything injurious to his former client nor use against former client any knowledge or information gained. o Reason: client’s confidence, once reposed, cannot be divested by the expiration of professional employment

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A lawyer owes loyalty to his client not only in the case in which he has represented him but also after the relation of attorney and client has terminated because it is not good practice to permit him afterwards to defend in another case another person against his former client under the pretext that the case is distinct from, and independent of, the former case. It is improper for a lawyer to appear as counsel for one party against the adverse party who is his client in another totally unrelated action. The attorney in that situation will not be able to pursue, with vigor and zeal, the client’s claim against the other and to properly represent the latter in the unrelated action; or, if he can do so, he cannot avoid being suspected by the defeated client of disloyalty of partiality in favor of the successful client

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New client against former client o A lawyer cannot represent a new client against a former client only when the subject matter of the present controversy is related, directly of indirectly, to the subject matter of the previous litigation in which he appeared for the former client. He may properly act as counsel for a new client, with full disclosure to the latter, against a former client in a matter wholly unrelated to that of the previous employment, there being no conflict of interests. o Reason: what a lawyer owes to former client is to maintain inviolate the client’s confidence or to refrain from doing anything which will injuriously affect him in any matter which he previously represented him; in this case, duty does not arise o Where subject matter of present suit between the lawyer’s new client and his former client is in some way connected, prohibition applies even if no confidential information was acquired

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Conflicting duties o A lawyer may not, as an employee of a corporation whose duty is to attend to its legal affairs, join a labor union of employees in that corporation because the exercise of the union’s rights is

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incompatible with his duty as a lawyer for his corporate client A lawyer may not, as counsel for a client, attack the validity of the instrument prepared by him

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Attorney’s interest vs. Client’s interest o An attorney should not put himself in a position where self-interest tempts him to do less than his best for his client. (e.g., it is improper to have financial stakes in subject matter of suit brought on behalf of his client)

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Rule applicable to law firm o Where a lawyer is disqualified or forbidden from appearing as counsel in a case because of conflict of interests, the law firm of which he is a member as well as any member, associate or assistant is similarly disqualified or prohibited from so acting. o This rule is a corollary of the rule that the employment of one member of a law firm is considered as an employment of the law firm and that the employment of a law firm is equivalent to a retainer of the members thereof.

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Notes from Agpalo: o The canon therefore is required by necessity and public interest and is based on the hypothesis that abstinence from seeking legal advice in a good cause is an evil which is fatal to the administration of justice. o The disclosure is more for the protection of the lawyer than that of the client, so that the client may not lose confidence in him, which may even affect his fee. If the lawyer does not disclose anything, a client may assume the lawyer has no interest which will interfere with his devotion to the cause confided to him or betray his judgment.

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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 past, privilege applies; if future, does not apply) In order that a communication between a lawyer and his client be privileged, it must be for a lawful purpose or in the furtherance of a lawful end. (People v. Sandiganbayan, 275 SCRA 505 (1996))

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The general rule is that a lawyer may not invoke the privilege and refuse to divulge the name or identity of his client. The reasons for this are that: o The Court has a right to know that the client whose privileged information is sought to be protected is flesh and blood. o The privilege begins to exist only after the attorney-client relationship has been established. The privilege does not attach until there is a client. o The privilege pertains to the subject matter of the relationship. o Due process considerations require that the opposing party should know his adversary. (Metaphor: He cannot be obliged to grope in the dark against unknown forces.)

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The general rule is however qualified by some exceptions. Client identity is privileged o Where a strong probability exists that revealing the client’s name would implicate the client in the very activity for which he sought the lawyer’s advice. o Where disclosure would open the client to civil liability. o 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. 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, 262 SCRA 122 (1996))

•

Limitations to general rule The prohibition against representing conflicting interests does not apply: 1. where no conflict of interests exists (e.g. a lawyer may represent new client against former client where both actions are unrelated and where lawyer will not be called to oppose what he had espoused on behalf of former client not use confidential info against former client.) 2. where the clients knowingly consent to dual representation in writing • Lawyer may represent conflicting interests before it reaches the court but only after full disclosure of the facts and express written consent of all parties. • Where representation by a lawyer is for both opposing parties, their written consent may enable the lawyer to represent them before but not after their controversy has reached the court. After the controversy has reached the court, the lawyer cannot, even with the parties’ written consent, represent both of them without being held administratively liable as an officer of the court. • Disclosure should include thorough explanation of nature and extent of conflict and possible adverse effects of dual representation. This should include disclosure of the lawyer’s present and/or former clients who have conflicting interests. • Advantage: a mutual lawyer, impartial and with honest motivations, may be better situated to work out an acceptable settlement since he has confidence of both parties • A lawyer may represent new client against former client only after full disclosure and written consent. Former client’s written consent constitutes a release from obligation to keep inviolate the client’s confidences or to desist from injuriously affecting him in any matter which he previously represented.

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LEGAL ETHICS Where circumstances show parties require independent counsel, or where lawyer may be suspected of disloyalty, he should immediately withdraw from the case. • General rule that a lawyer may be allowed to represent conflicting interests, where parties consent, applies only where one is a former client and the other is a new one, not where both are current clients. • Lawyer may not represent conflicting interests, even with consent, where the conflict is between the attorney’s interest and that of a client (selfinterest should yield to client’s interest) or between a private client’s interest and that of the gov’t or any of its instrumentalities (public policy and public interest forbid dual representation). 3. where no true attorney-client relationship is attendant • Absence of true attorney-client relationship either with the attorney or with the law firm of which he is a member makes the prohibition inapplicable. • Exception: attorney’s secretary, stenographer or clerk who, in such capacity, has acquired confidential information from attorney’s client, may not accept employment or, after admission to the bar, represent an interest adverse to that of atty’s client. •

•

Effects of representation of conflicting interests o Representation of conflicting interests subjects the lawyer to disciplinary action. The reason is that the representation of conflicting interests not only constitutes malpractice but also a violation of the confidence which results from the attorneyclient relationship, of the oath of a lawyer (in that he did not serve his client’s interest well) and of his duty to both the client and the court. o If representation of conflicting interests is unknown and works prejudice against new client, judgment against the latter may be set aside. Basis: a lawyer disqualified from appearing on account of inconsistency of duties is presumed to have improperly and prejudicially advised and represented the party from beginning to end of litigation. Two questions to be asked: (1) Did the attorney discharge or have opportunity to discharge conflicting interests? (2) Did the new client suffer prejudice? If yes to both, adverse judgment against new client may be justified. o Attorney’s right to be paid for his services to former client may be affected by representation of conflicting interests, only if 2 matters are related and the former client objected to such representation. But new client may not defeat attorney’s right to fees in the absence of concealment and prejudice by reason of attorney’s previous professional relationship with opposing party.

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•

There is conflict of interest when a lawyer represents inconsistent interest 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. Also, if the acceptance of the new retainer will require the attorney to perform an act which will injuriously affect his first client in any matter in which he represents him and also whether he will be called upon in his new relation to use against his first client any knowledge acquired through their connection. Another test is whether the acceptance of a new relation will prevent an attorney from the full discharge of his duty of undivided fidelity and loyalty to his client or invite suspicion of unfaithfulness or doubledealing in the performance thereof. (Hornilla v. Salunat (2003))

III. 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. •

Art. 209 Revised Penal Code. Betrayal of trust by an attorney. or solicitor.—Revelation of Secrets.—In addition to the proper administrative action, …shall be imposed upon an attorney-at-law or solicitor (procurador judicial) who, by any 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.

•

Exceptions to privilege (Aguirre): 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. (Future crime)

•

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 past, privilege applies; if future, does not apply) In the present case, testimony sought to be elicited from Sansaet are communications made to him by physical acts and/or accompanying words of Paredes at the time he and Honrada, either with active or passive participation of Sansaet, were about to falsify, or in the process of falsifying, the documents which were later filed by Sansaet in the Tanodbayan. Crime of falsification had not yet been committed, hence, they are not covered by the privilege. It could also not have been covered by the privilege because Sansaet was himself a conspirator in the commission of the crime of falsification. In order that a communication between a lawyer and his client be privileged, it must be for a lawful purpose or in the furtherance of a lawful end. On the contrary, Sansaet, as lawyer, may be bound to disclose the info at once in the interest of justice. (People v. Sandiganbayan (1997))

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LEGAL ETHICS make clear to his client whether he is acting as a lawyer or in another capacity.

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

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)

V. Rule 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 understanding the prospects of the case. •

•

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. Reason: certain ethical considerations may be operative in one profession and not in the other. (Agpalo)

•

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. MOREOVER, the proscription against representation of conflicting interests finds application where the conflicting interests arise with respect to the same general matter and is applicable however slight such adverse interest may be. It applies although the attorney’s intentions and motives were honest and he acted in good faith. Representation of conflicting interests may be allowed where the parties give an informed consent to the representation after full disclosure of facts. The lawyer must explain to his clients the nature and extent of the conflict and the possible adverse effects must be thoroughly understood by his clients. The test to determine whether there is conflict of interest in the representation is the probability, not the certainty of conflict. (Nakpil v. Valdez, 286 SCRA 758 (1998))21

A lawyer is bound to give candid and honest 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)

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

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)

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

Art. 19 Civil Code. Every person must, in the exercise of his rights and in the performance of his duties, act with justice, give everyone his due and observe honesty and good faith.

•

Notes from Agpalo: o A lawyer is required to represent his client within the bounds of the law. The CPR enjoins him to employ only fair and honest means to attain the lawful objectives of his client and warns him not to allow his client to dictate procedure in handling the case. He may use arguable construction of the law or rules which are favorable to his client. But he is not allowed to knowingly advance a claim or defense that is unwarranted under existing law. o A lawyer should comply with the client’s lawful requests. But he should resist and should never follow any unlawful instructions. In matters of law, it is the client who should yield to the lawyer and not the other way around. o A lawyer must also observe and advice his client to observe the statute law, thought until a statute shall have been construed and interpreted by competent jurisdiction, he is free and is entitled to advice as to its validity and as to what he conscientiously believes to be its just meaning and extent

VIII.

Rule 15.08. A lawyer who is engaged in another profession or occupation concurrently with the practice of law shall

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21

FACTS: Atty. Carlos Valdes was the lawyer and accountant of the Nakpils. In 1965, Jose Nakpil wanted to buy a summer residence in Baguio City but because of lack of funds, he agreed that Valdes would keep the property in trust until the Nakpils could buy it back. Valdes took out two loans to purchase the property. In 1973, Jose Nakpil died. The ownership of the Baguio property became an issue in the intestate proceedings as Valdes excluded it from the inventory of Jose’s estate. In 1978, Valdes transferred his title to the property to his company. The estate filed an action for reconveyance and the adminstratix filed an administrative case to disbar Valdes for (1) maliciously appropriating the property in trust to his family corporation (2) including in the claims against the estate the amounts of the two loans which he claimed were Jose’s loans “probably for the purchase of a house and lot in Moran St., Baguio City and (3) for conflict of interest, since his auditing firm prepared the list of claims of creditors who were also represented by his law firm. The SC suspended Valdes from the practice of law for one year

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LEGAL ETHICS CANON 16: QUICK REFERENCE Canon 16. A Lawyer shall hold in trust all money’s and properties of his client that may come into his possession. Rule 16.01. A lawyer shall account for all money or property collected or received for or from the client. 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. Rule 16.03. A lawyer shall deliver the funds and property to 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.

(purchase –includes mortgage of property in litigation to lawyer. In this case, acquisition is merely postponed until foreclosure but the effect is the same) • Application of the Rule When all the following four elements are present there is a violation of law and ethically improper conduct: 1. there must be attorney-client relationship 2. the property or interest of the client must be in litigation 3. the attorney takes part as counsel in the case 4. the attorney himself or through another purchases such property or interest during the pendency of the litigation • When the rule inapplicable The absence of one element renders prohibition inapplicable (e.g. an attorney may bid on behalf of his client at the auction sale of the client’s property in litigation since it is not for his own benefit) •

contingent fee contract: allowed since it neither gives nor purports to give to the attorney an absolute right, personal or real, in the subject matter during the pendency of the litigation; the measure of compensation provided is a mere basis for the computation of fees and the payment made from the proceeds of the litigation is effected only after its successful termination. A distinction must be made between purchasing an interest in the litigation to enable a lawyer to litigate on his own account or to abuse the client’s confidence (prohibited) and accepting compensation contingent upon the result of the litigation (allowed). Note, however, that a contingent fee contract which is unreasonable ceases to be a measure of due compensation for services rendered.

•

Effects of Prohibited Purchase o A prohibited purchase is null and void ab initio; public interest and public policy dictate that its nullity is definite and permanent and cannot be cured by ratification. The lawyer will be deemed to hold the property in trust for the client. o The client is therefore entitled to recover property and interest from his attorney with the fruits. The client should, however, return the purchase price and the legal interests.

Rule 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, he has to advance necessary expenses in a legal matter he is handling for the client.

MEMORY AID FOR RULES UNDER CANON 16: o Account (Rule 16.01) o Keep Client’s Fund Separate (Rule 16.02) o Lawyer’s Lien (Rule 16.03) o No Borrowing, Lending (Rule 16.04) KNOW MORE: •

•

Art. 1491(5) Civil Code. The following persons cannot acquire by purchase, even at a public auction, wither in person or through the mediation of another: (5) Justices, judges, prosecuting attorneys, clerks of superior and inferior courts, and other officers and employees connected with the administration of justice, the property and rights in litigation or levied upon an execution before the court within whose jurisdiction or territory they exercise their respective functions; this prohibition includes the act of acquiring by assignment and shall apply to lawyers, with respect to the property and tights which may be the object of any litigation in which they may take part by virtue of their profession. Elements of Art. 1491 (Aguirre) o Property or interest is in litigation o Attorney takes part as counsel in the case involving said property o Purchase, acquisition by attorney, by himself or through another of the property in litigation, during the pendency of the case.

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

Notes from Agpalo: o

A lawyer holds money or property, which he received from or for his client, in trust and should promptly make an accounting thereof.

o

If money or property entrusted was not used for its purpose, it should be returned immediately to the client. Failure to return would raise presumption that he misappropriated the money/property

o

Money received by a lawyer from a person who is not his client is also held by him in

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LEGAL ETHICS trust and he is under obligation to account for it. o

•

•

If client agrees with lawyer as to the amount of attorney’s fees and as to the application of the client’s fund to pay his lawful fees and disbursement, a lawyer may deduct what is due him and remit the balance to his client. If no such agreement or consent or if there is dispute or disagreement as to the fees, he should return everything to client without prejudice to his filing a case to recover his unsatisfied fees. (Agpalo)

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This rule grants the lawyer a lien over the client’s funds in his possession as well as on all judgments and executions he has secured for his client, to satisfy his lawful fees and disbursements. (Agpalo)

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Money collected by a lawyer in pursuance of a judgment in favor of his clients is held in trust and must be immediately turned over to them. (Businos v. Ricafort, 283 SCRA 40 (1997))23

•

After a decision favorable to Atty. Robinol’s clients and he had received the latter's funds, suddenly, he had a change of mind and decided to convert the payment of his fees from a portion of land equivalent to that of each of the plaintiffs to P 50,000, which he alleges to be the monetary value of that area. Certainly, Atty. Robinol had no right to unilaterally appropriate his clients' money not only because he is bound by a written agreement but also because, under the circumstances, it was highly unjust for him to have done so. His clients were mere squatters who could barely eke out an existence

In the present case, respondent collected money from the complainant and the nephew of the detained person in the total amount of P64,000 for the immediate release of the detainee through his alleged connection with a Justice of the Supreme Court. Not only that, respondent even had the audacity to tell complainant that the Justices of the Supreme Court do not accept checks.

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 a violation of Sec. 25, Rule 138 of ROC). He should not commingle it without his client’s consent. He should maintain a reputation for honesty and fidelity to private trust. 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. Legaspi (1975))22

II. 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. •

Rule 138, sec. 37. Attorney’s liens.—An attorney shall have a lien upon the funds, documents and papers of his client which have lawfully come into his possession and may retain the same until his lawful fees and disbursements have been paid, and may apply such funds to the satisfaction thereof. 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, from and after the time when he shall have caused a statement of his claim of such lien to be entered upon the record of the court rendering such judgment, or issuing such execution, and shall have caused written notice thereof to be delivered to his client 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.

The circumstance that a lawyer has a lien for his attorney’s fees over the client’s money in his possession does not relieve him from the obligation to make a prompt accounting and his failure to do so constitutes professional misconduct

As with other cases against him, respondent has demonstrated a penchant for misrepresenting to clients that he has the proper connections to secure the relief they seek, and thereafter, ask for money, which will allegedly be given to such connections. In so doing, respondent placed the Court in dishonor and public contempt. He deserves to be disbarred from the practice of law. (Berbano v. Barcelona, 410 SCRA 258 (2003)) •

•

A lawyer should keep funds of each client separate and apart from his own. He should not use client’s money for personal purposes without client’s consent. He should report promptly the money of his client in his possession. (Agpalo)

• III. Rule 16.03. A lawyer shall deliver the funds and property to 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. 22

FACTS: The SC disbarred Atty. Legaspi who, without his client’s knowledge, received from the deputy provincial sheriff P4, 000 as their share in the intestate proceeding of their maternal grandparents. He misled his clients by informing them that they could withdraw the money but later admitted that he had withdrawn the money and spent it. The SC disbarred Atty. Legaspi.

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Atty. Robinol has no basis to claim that since he was unjustly dismissed by his clients he had the legal right to retain the money in his possession. Firstly, there was justifiable ground 23 FACTS: Atty. Ricafort, as counsel of Busiños in a case Busiños won, received from the Clerk of Court of RTC Ligao, Albay, P25, 000 and from OAS Standard High School P5, 000. Busiños waited for the amounts to be deposited in her account. Atty. Ricafort later informed her that he had spent the money but he promised to pay her. Only after an estafa case was filed did Atty. Ricafort pay P60,000 as settlement. Busiños dropped the estafa case but not the disbarment case.

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LEGAL ETHICS for his discharge as counsel- his clients had lost confidence in him. Secondly, even if there were no valid ground, he is bereft of any legal right to retain his clients' funds intended for a specific purpose the purchase of land. He stands obliged to return the money immediately to their rightful owners.

KNOW MORE: •

When a lawyer takes a clients cause, he thereby covenants that he will exert all effort for its prosecution until its final conclusion. The failure to exercise due diligence or the abandonment of a client's cause makes such lawyer unworthy of the trust which the client had reposed on him. A lawyer has a duty to protect with utmost dedication the interest of his client and of the fidelity, trust and confidence which he owes his client. More so where by reason of his gross negligence his client thereby suffered by losing all her cases. Lawyers should be fair, honest, respectable, above suspicion and beyond reproach in dealing with their clients. The profession is not synonymous with an ordinary business proposition. It is a matter of public interest. (Cantiller v. Potenciano, 180 SCRA 246 (1968))

•

It is the duty of a lawyer at the time of retainer to disclose to the client all the circumstances of his relations to the parties, and any interest in or connection with the controversy, which might influence the client in the selection of counsel. It is unprofessional to represent conflicting interests, except by express consent of all concerned given after a full disclosure of the facts. Within the meaning of this canon, a lawyer represents conflicting interests when, in behalf of one client, it is his duty to contend for that which duty to another client requires him to oppose. A lawyer should champion his cause with that wholehearted fidelity, care and devotion that he is obligated to give to every case that he accepts from a client. (Alisbo v. Jalandoon, 199 SCRA 321 (1991))

•

Rule 138, Sec. 20 (e): 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. Rule 138, Sec. 20 (f): To abstain from all offensive personality and to advance no fact prejudicial to the honor or reputation of a party or witnesses, unless required by the justice of the cause with which he is charged. Furnishing the adverse parties with evidence against the client constitutes betrayal of trust and confidence of his former clients in violation of Rule 138, Sec. 20 (e). (Ngayan v. Tugade, 193 SCRA 779 (1991))

•

A lawyer has a sworn duty to act with fidelity toward his clients. Canon 17, Code of Professional Responsibility states that “[a] lawyer owes fidelity to the cause of his client and shall be mindful the trust and confidence reposed in him;” and Rule 1.01 which prohibits lawyers from engaging in unlawful, dishonest, immoral or deceitful conduct. The requirement of good moral character is not only a condition precedent to admission to the Philippine Bar but is also a continuing requirement to maintain one’s good’s standing in the legal profession. (In Re: Suspension from the Practice of law (435 SCRA 417 (2004))

The principle of quantum meruit applies if a lawyer is employed without a price agreed upon for his services in which case he would be entitled to receive what he merits for his services, as much as he has earned. In this case, however, there was an express contract and a stipulated mode of compensation. The implied assumption on quantum meruit therefore, is inapplicable. (Quilban v. Robinol, 171 SCRA 768 (1989)) IV. Rule 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, he has to advance necessary expenses in a legal matter he is handling for the client. •

Champerty—a bargain by a stranger (the lawyer) with a party to a suit (the client) by which such third person undertakes to carry on the litigation at his own expense and risk, in consideration of receiving, if successful, a part of the proceeds or subject sought to be recovered.

•

Champertous Contract—where the lawyer assumes all expenses of litigation and reimbursement is contingent on outcome of case is PROHIBITED! Champertous contracts are like wagers—the lawyer gets paid and reimbursed if he wins the case and loses even what he had spent on the case if he loses.

•

Contingent Fee Contract—in this, the lawyer gets reimbursed for any advances made for the client in the course of the representation, whether he wins the suit or not; only the amount of attorney’s fees is contingent upon winning.

•

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, 399 SCRA 1 (2003))

CANON 17: QUICK REFERENCE 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. [no implementing rules]

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LEGAL ETHICS •

The present case focuses on a critical aspect of the lawyer-client relationship: the duty of loyalty. The fidelity lawyers owe their clients is traditionally characterized as “undivided.” This means that lawyers must represent their clients and serve their needs without interference or impairment from any conflicting interest. Rule 15.03 of the Code of Professional Responsibility, deals with conflicts in the interests of an attorney’s actual clients among themselves, of existing and prospective clients, and of the attorney and his clients. It states that a lawyer shall not represent conflicting interests except by written consent of all concerned given after a full disclosure of the facts. The relation of attorney and client begins from the time an attorney is retained. An attorney has no power to act as counsel or legal representative for a person without being retained. To establish the professional relation, it is sufficient that the advice and assistance of an attorney are sought and received in any manner pertinent to his profession. Inapplicable to the case, is Canon 15 of the same Code which encompasses the aforementioned rule. In general terms, Canon 15 requires lawyers to observe loyalty in all dealings and transactions with their clients. Unquestionably, an attorney giving legal advice to a party with an interest conflicting with that of his client resulting in detriment to the latter may be held guilty of disloyalty. However, far be it that every utterance of an attorney which may have afforded an individual some relief adverse to the former’s client may be labeled as a culpable act of disloyalty. As in every case, the acts alleged to be culpable must be assessed in light of the surrounding circumstances. We are not unaware of the custom of practitioners in a law firm of assigning cases and even entire client accounts to associates or other partners with limited supervision, if at all. However, let it not be said that law firm practitioners are given a free hand to assign cases to seasoned attorneys and thereafter conveniently forget about the case. To do so would be a disservice to the profession, the integrity and advancement of which this Court must jealously protect. Law practitioners are acutely aware of the responsibilities that are naturally taken on by partners and supervisory lawyers over the lawyers and non-lawyers of the law office. Lawyers are administratively liable for the conduct of their employees in failing to timely file pleadings. We now hold further that partners and practitioners who hold supervisory capacities are legally responsible to exert ordinary diligence in apprising themselves of the comings and goings of the cases handled by the persons over which they are exercising supervisory authority and in exerting necessary efforts to foreclose the occurrence of violations of the Code of Professional Responsibility by persons under their charge. Nonetheless, the liability of the supervising lawyer in this regard is by no means equivalent to that of the recalcitrant lawyer. The actual degree of control and supervision exercised by said supervising lawyer varies, inter alia, according

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to office practice, or the length of experience and competence of the lawyer supervised. Such factors can be taken into account in ascertaining the proper penalty. Certainly, a lawyer charged with the supervision of a fledgling attorney prone to rookie mistakes should bear greater responsibility for the culpable acts of the underling than one satisfied enough with the work and professional ethic of the associate so as to leave the latter mostly to his/her own devises. (Solatan v. Inocentes, 466 SCRA 1 (2005))

CANON 18: QUICK REFERENCE Canon 18. A lawyer shall serve his client with competence and diligence. 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. Rule 18.02. A lawyer shall not handle any legal matter without adequate preparation. Rule 18.03. A lawyer shall not neglect a legal matter entrusted to him, and his negligence in connection therewith shall render him liable. 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 the client’s request for information.

MEMORY AID FOR RULES UNDER CANON 18: o Client Consent with Collaborating Counsel (Rule 18.01) o Adequate Preparation (Rule 18.02) o Not to neglect Legal Matters (Rule 18.03) o Inform Client of Case Statue (Rule 18.04) KNOW MORE: •

Competence – sufficiency of lawyer’s qualifications to deal with the matter in question and includes knowledge and skill and the ability to use them effectively in the interest of the client

•

Diligence is “the attention and care required of a person in a given situation and is the opposite of negligence”. It is axiomatic in the practice of law that the price of success is eternal diligence to the cause of the client. (Edquibal v. Ferrer, 450 SCRA 406)

•

Lawyer impliedly represents that: he possesses requisite degree of learning, skill, ability which is necessary to the practice of his profession and which other similarly situated possess; he will exert his best judgment in the prosecution

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LEGAL ETHICS or defense of the litigation entrusted to him; he will exercise reasonable and ordinary care and diligence in the use of his skill and in the application of his knowledge to his client’s cause; he will take such steps as will adequately safeguards his client’s interest. A client may reasonably expect that counsel will make good his representations. (Agpalo) I. 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. •

•

on him by the latter. (Legarda v. CA, 209 SCRA 722 (1992))24 IV. 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 the client’s request for information. •

However well meaning he may be, a lawyer cannot ask another lawyer to collaborate with him in a particular case without the consent of the client. The fiduciary nature of attorneyclient relationship prohibits this. (Aguirre)

It was unnecessary to have complainants wait, and hope, for six long years on their pension claims. Upon their refusal to co-operate, respondent should have forthwith terminated their professional relationship instead of keeping them hanging indefinitely. (Blanza v. Arcangel (1967))

CANON 19: QUICK REFERENCE Canon 19. A lawyer shall represent his client with zeal within the bounds of law.

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)

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.

II. Rule 18.02.A lawyer shall not handle any legal matter without adequate preparation. •

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)

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

III. Rule 18.03. A lawyer shall not neglect a legal matter entrusted to him, and his negligence in connection therewith shall render him liable. •

The standard of diligence required of a lawyer is that of a good father of a family. He is not bound to exercise extraordinary diligence

•

There is want of required diligence when a lawyer fails without sufficient justification to bring an action immediately, to answer a complaint within the reglementary period, to notify his client of the date of the date of hearing, to attend the scheduled pre-trial conference, to inform the client of an adverse judgment within the reglementary period to appeal, to take steps to have the adverse decision reconsidered or appealed, to ascertain the correct date of receipt of decision, to acquaint himself with what has happened to the litigation, to pay docket fee on appeal, to claim judicial notice sent to him by mail or to file the appellant’s brief

•

It should be remembered that the moment the lawyer takes a client’s cause, he covenants that he will exert all effort for its prosecution until its final conclusion. A lawyer who fails to exercise due diligence or abandons his client’s cause makes him unworthy of the trust reposed

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Rule 19.03. A lawyer shall allow his client to dictate procedure in handling the case.

not the

MEMORY AID FOR RULES UNDER CANON 19: o Fair and Honest (Rule 19.01) o Rectify Client’s Fraud (Rule 19.02) o Control Proceedings (Rule 19.03) KNOW MORE: I. 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. •

Rule 138, Sec. 20(d). Duties of attorneys.—It is the duty of an attorney: (d) To employ, for the purpose of maintaining the causes confided

24 FACTS: Legarda was defendant in a complaint for specific performance. Atty. Coronel, her counsel, failed to file an answer within the period and Legarda was thus declared in default. The lower court rendered a decision against Legarda. Coronel failed to pose an appeal within the period. Thus, the decision became final. The SC suspended Atty. Coronel for six months.

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LEGAL ETHICS 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. •

Rule: In espousing his client’s cause, a lawyer should not state his personal belief as to the soundness or justice of his case. Reasons: the lawyer’s personal belief has no real bearing on the case; if expression of belief were permitted, it would give improper advantage to the older and better known lawyer whose opinion would carry more weight; If such were permitted, omission to make such assertion might be taken as an admission of the lack or belief in the soundness of his client’s cause. (Agpalo)

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

Canon 19.02 merely requires the lawyer to terminate his relationship with the client in the event the latter fails or refuses to rectify the fraud. (Agpalo)

•

On the other hand, Canon 41 of the Canons of Professional Ethics permits the lawyer to inform the person injured by the fraudulent acts of his client or the injured party’s counsel. Canon 41 may collide with the lawyer’s duty to keep the client’s confidence inviolate which may be the reason for the revision.

•

Rule: A lawyer may not volunteer the information concerning the client’s commission of fraud to anybody, as it will violate his obligation to maintain his client’s secrets undisclosed.

Mistakes or Negligence of Lawyer Binding Upon Client (1998, 200, 2002 BAR EXAMS) General Rule: 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. Exceptions: 1) Where adherence thereto results in outright deprivation of client’s liberty or property or where interest of justice so requires. 2) Where error by counsel is purely technical which does not affect substantially client’s cause. 3) 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. 4) Gross negligence of lawyer. 5) Lack of acquaintance with technical part of procedure.

III. Rule 19.03. A lawyer shall not allow his client to dictate the procedure in handling the case. •

Rule 138, sec. 23. Authority of attorneys to bind clients.—Attorneys have authority to bind their clients in any case by any agreement in relation thereto made in writing, and in taking appeals, and in all matters of ordinary judicial procedure. But they cannot, without special authority, compromise their client's litigation, or receive anything in discharge of a client's claim but the full amount in cash.

•

A lawyer should seek instruction from his client on any substantial matter concerning the litigation, which requires decision on the part of the client (i.e. whether to compromise the case, or to appeal an unfavorable judgment.) In procedural matters, the client must yield to the lawyer. (Agpalo) o

Rule: In matters of law, it is the client who should yield to the lawyer and not the other way around. Reasons: Lawyer’s duty to the court is foremost. The dignity of the legal profession may be compromised.

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LEGAL ETHICS CANON 20: QUICK REFERENCE

matter of the controversy, the extent of the services rendered, and the professional standing of the attorney. 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. A written contract for services shall control the amount to be paid therefore unless found by the court to be unconscionable or unreasonable.

Canon 20. A lawyer shall charge only fair and reasonable 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 professed case; f. The customary charges for similar services and the schedule of fees of the IBP Charter 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.

•

Rule 138, sec. 32. Compensation for attorneys de oficio.—Subject to availability of funds as may be provided by law 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 in accordance with section 24 of this rule. Whenever such compensation is allowed, it shall not be less than P30 in any case, nor more than the following amounts: o P50 in light felonies; o P100 in less grave felonies; o P200 in grave felonies other than capital offenses; o P500 in capital offenses.

•

RA 5185, sec. 6 (An act granting further autonomous powers to local governments) Prohibition Against Practice. - A member of the Provincial Board or City or Municipal Council shall not appear as counsel before any court in any civil case wherein the province, city or municipality, as the case may be, is the adverse party: Provided, however, That no member of the Provincial Board shall so appear except in behalf of his province in any civil case wherein any city in the province is the adverse party whose voters are en-franchised to vote for provincial officials, nor shall such member of the Provincial Board or City or Municipal Council appear as counsel for the accused in any criminal case wherein an officer or employee of said province, city or municipality is accused of an offense committed in relation to the latter's office, nor shall he collect any fee for his appearance in any administrative proceedings before provincial, city or municipal agencies of the province, city or municipality, as the case may be, of which he is an elected official.

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 the 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 allowances or other compensation whatsoever related to his professional employment from any one other than the client. 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.

MEMORY AID FOR RULES UNDER CANON 20: o Fee Guide (Rule 20.01) o Client’s Consent of Fees for Referral (Rule 20.02) o Client’s Consent of Acceptance fee (Rule 20.03) o Avoid Compensation Controversy with Client (Rule 20.04) KNOW MORE: •

Rule 138, sec. 24. Compensation of attorneys.—An attorney shall be entitled to have and recover from his client no more than a reasonable compensation for his services, with a view to the importance of the subject

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The provisions of this Section shall likewise apply to provincial governors and city and municipal mayors. •

Notes from Agpalo: Right to Attorney’s Fees o That the practice of law is a profession and not a money-making trade does not operate to deny a lawyer the right to attorney’s fees for his professional services. He has the right to have and recover from his client a fair and reasonable compensation for his services, except in cases where he has agreed to render service gratuitously or has been appointed counsel de oficio. o

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Lawyers should avoid controversies concerning compensation so far as shall be compatible with self-respect and with right to receive a reasonable recompense for services. Resort to law suits with clients Page 38 of 74

LEGAL ETHICS should only be done to prevent injustice, imposition or fraud. The impression is that those instituting suits are mercenaries. o

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GENERALLY: right of lawyer to reasonable compensation for services requires the following: 1. that attorney-client relationship exists; and 2. that he rendered services to the client.

o

A written agreement is not necessary to establish a client’s obligation to pay attorney’s fees. As long as the lawyer is honestly and in good faith trying to serve and represent the interest of his client, an absence of express undertaking does not defeat recovery of fees.

o

Client’s obligation to pay attorney’s fees arises from the inanimate contract of facis ut des (I do and you give) which is based on the principle that no one shall unjustly enrich himself at the expense of another.

o

General rule: a person who had no knowledge of, or objected to, the lawyer’s representation may not be held liable for attorney’s fees even though such representation redounded to his benefit.. The objection should be raised before and not after beneficial services shall have been rendered by the lawyer; otherwise, the party who benefited may be required to pay counsel fees. For it is neither just that client who retained lawyer should alone pay nor is it fair that those who, investing nothing and assuming no risk, received benefits should not contribute their proportionate share to counsel fees (based on equity).

o

Non-lawyer cannot recover attorney’s fees even if there is a law authorizing him to represent a litigant in court because basis of reasonable compensation is the existence of attorney-client relationship and the rendition of services.

o

Lawyer who is absolutely disqualified from engaging in private practice of law by reason of his government position may neither practice law nor, should he do so illegally, charge attorney’s fees for such services. Exception: fees for services already performed before lawyer qualified for public office even though payment is made thereafter.

o

Lawyer designated by court to render professional services, in the absence of law allowing compensation, cannot charge government nor the indigent litigant for his professional services. Appointment neither violates constitutional restriction against taking of property without just compensation or the due process of law nor imposes upon the government the oblig to pay him his fees because one of the obligs of an attorney willingly assumed when he took his oath as lawyer is to render free legal services whenever required by the court to do so.

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Rules of Court: Court, in its discretion, may grant (token) compensation subject to availability of funds: P30-P50 in light felonies; P100 in less grave felonies; P200 in grave felonies other than capital offenses; P500 in capital offenses. This is not intended as a source of regular income

o

Misconduct on part of lawyer may affect or negate his right to recover from client a reasonable compensation for services already performed. (examples: negligence, carelessness, misrepresentation, unfaithfulness or abuse of client’s confidence). Basis: good morals and public policy

o

Although a client has right to discharge lawyer anytime, dismiss or settle action or even waive the whole of his interest in favor of adverse party, he cannot, in the absence of lawyer’s fault, consent or waiver, deprive the lawyer of his just fees already earned.

•

Quantum meruit When no price is stipulated for lawyer’s service, courts will fix amount on quantum meruit basis, or such amount which his service merits. Requisite for principle: that there is an acceptance of the benefits by one sought to be charged for the services rendered under circumstances as reasonably to notify him that the lawyer performing the task is expecting to be paid compensation. Doctrine of quantum meruit is a device to prevent undue enrichment based on the equitable postulate that it is unjust for a person to retain benefit without paying for it. Other times when doctrine applicable: where amount stipulated in written agreement is found to be unconscionable or where client dismissed counsel before termination of case or where the lawyer withdrew therefrom for valid reasons.

•

A charging lien, to be enforceable as security for the payment of attorney's fees, requires as a condition sine qua non a judgment for money and execution in pursuance of such judgment secured in the main action by the attorney in favor of his client. A lawyer may enforce his right to fees by filing the necessary petition as an incident in the main action in which his services were rendered when something is due his client in the action from which the fee is to be paid. An enforceable charging lien, duly recorded, is within the jurisdiction of the court trying the main case and this jurisdiction subsists until the lien is settled. (Metrobank v. CA, 181 SCRA 367 (1981))25

25

FACTS: Lawyers filed verified motion to enter in the records their charging lien. Attorney’s liens were annotated on the certificate of land titles. Consequently, the other party’s petition against sale of land was granted with prejudice and a new certificate of title with his name was made wherein attorney’s liens were annotated. The Court held that the lawyers were not entitled to the enforcement of charging lien for payment of its attorney's fees and also held that a separate civil suit is not necessary for the enforcement of such lien.

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LEGAL ETHICS •

•

•

Since the main case from which the petitioner's claims for their fees may arise has not yet become final, the determination of the propriety of said fees and the amount thereof should be held in abeyance. This procedure gains added validity in the light of the rule that the remedy for recovering attorney's fees as an incident of the main action may be availed of only when something is due to the client. (Quirante v. IAC, 169 SCRA 769 (1989))26

c) loss of opportunity on part of lawyer for other employment d) financial capacity of client •

Amount based on Quantum Meruit: Quantum Meruit means 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. (Agpalo)

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, 172 SCRA 760 (1989))

•

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, 21 SCRA 411 (1967))27

5.

Instances when Court will fix Amount of Attorney’s Fees based on Quantum Meruit: agreement is invalid for some reason other than illegality of object of performance amount stipulated is unconscionable no agreement as to fees existed between parties client rejects amount fixed in contract as unconscionable and is found to be so lawyer, without fault, was unable to conclude litigation

I. 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 professed case; f. The customary charges for similar services and the schedule of fees of the IBP Charter 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. •

A valid written contract is conclusive as to amount of compensation. Unless both parties set aside contract and submit question of reasonableness of amount of fees for court to resolve on quantum meruit basis, neither client nor lawyer may disregard amount fixed (Agpalo)

•

None of the factors is controlling but are guides only. Other factors (Agpalo): a) actual purchasing power of Philippine peso b) omission or fault of lawyer

26

FACTS: Atty Quirante filed a motion for confirmation of attorney’s fees in the trial court, presenting alleged agreement between him and Casasola about said fee while the main case is still pending. The case is being heard on appeal. The Court held that Atty. Quirante cannot have a confirmation of attorney’s fees. 27

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1. 2. 3. 4.

•

Agpalo adds (1) the results secured and (2) whether of not the fee is contingent, it being recognized as a rule that an attorney may properly charge a higher fee when it is contingent that when it is absolute. Even other consideration may be the actual purchasing power of the Philippine Peso, the omission of fault of the lawyer in the discharge of his duties, the loss of opportunity on the part of a lawyer for other employment of the financial capacity of the client.

II. Rule 20.02 - A lawyer shall, in case of referral, with the consent of the client, be entitled to a division of fees in proportion to the work performed and responsibility assumed. •

Lawyers sometimes use the lawyer-referral system. It is an aid to selection of qualified lawyers. This system helps individuals in locating lawyers competent to handle their particular problem. It enables laymen to have informed selection of competent lawyers who have experience in the subject matter involved in a particular case. It is however stressed that it is improper for a lawyer to receive compensation for merely recommending another lawyer to his client for if such practice is permitted, it would tend to germinate evils of commercialism and to destroy proper appreciation of professional responsibility. It is only when, in addition to referral, he performs legal service or assumes responsibility in case that he will be entitled to a fee. (Agpalo)

•

Rule 138, Sec. 27 of the Revised Rules of Court. Said provision enumerates the grounds for the suspension and disbarment of lawyers, namely: Sec. 27. Attorneys removed or suspended by Supreme Court, on what grounds, - A member of the bar may be removed or suspended from his office as attorney by the Supreme Court for any deceit, malpractice or other gross misconduct in such office, grossly immoral conduct or by reason of his conviction of a crime involving moral turpitude, or for any violation of the oath of which he is required to take before admission to practice, or for willful

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LEGAL ETHICS CANON 21: QUICK REFERENCE

disobedience of any lawful order of a superior court or for corruptly or wilfully appearing as an attorney for a party to a case without any authority to do so. The practice of soliciting cases at law for the purpose of gain, either personally or through paid agents or brokers, constitutes malpractice. (Urban Bank v. Pena (2001))

Canon 21. A lawyer shall preserve the confidence and secrets of his client even after the attorney-client relationship is terminated. Rule 21.01. A lawyer shall not reveal the confidence or secrets of his client except: o When authorized by the client after acquainting him of the consequences of the disclosure; o When required by law; o When necessary to collect his fees or to defend himself, his employees or associates or by judicial action.

III. 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 allowances or other compensation whatsoever related to his professional employment from any one other than the client. •

•

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 advantage or that of a third person, unless the client with full knowledge of the circumstances consents thereto.

Rule 138, sec. 20(e). Duties of attorneys.—It is the duty of an attorney: (e) … to accept no compensation in connection with his client's business except from him or with his knowledge and approval.

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.

Reason: to ensure protection of lawyers in collection of fees. Moreover, it is designed to secure the lawyer’s wholehearted fidelity to the client’s cause and to prevent that situation in which the receipt by him of a rebate or commission from another in connection with the client’s cause may interfere with the full discharge of his duty to the client. The amount received by lawyer from opposite party or third persons in the service of his client belongs to the client except when the latter has full knowledge and approval of lawyer’s taking (Agpalo)

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

IV. 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. •

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)

•

An attorney-client relationship can be created by implied agreement, as when the attorney actually rendered legal services for a person who is a close friend. The obligation of such a person to pay attorney’s fees is based on the law of contracts’ concept of facio ut des (no one shall unjustly enrich himself at the expense of others.) (Corpuz v. CA, 98 SCRA 424 (1980))28

28 FACTS: Atty David and Corpuz were good friends. In Corpuz’s civil case, David became his counsel. Prior to rendering of final judgment, Corpuz gave the lawyer a check which the latter returned. After favorable decision was rendered, Atty. David demanded attorney’s fee which Corpuz refused to deliver alleging that David’s services were offered gratuitously. The Court decided that Atty. David should be paid attorney’s fees.

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MEMORY AID FOR RULES UNDER CANON 21: o Revelations of Confidence and Secrets Allowed (Rule 21.01) o Use of Information Received in Course of Employment Allowed (Rule 21.02) o Prohibition to Giving of Information Outside Agency (Rule 21.03) o Protection from Disclosure (Rule 21.04 – 21.05) o Prohibition of Indiscreet Conversation (Rule 21.06) o Not to Reveal that Lawyer was Consulted (Rule 21.07) KNOW MORE: •

Rule 138, 20(e). Duties of attorneys.—It is the duty of an attorney: (e) 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;

•

Rule 130, sec. 21(b). Privileged communication. —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

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LEGAL ETHICS 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. •

•

•

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. Covers all actions, signs, means of communication There is a difference between confidences and secrets of clients. While confidences refer to information protected by attorney-client privilege under the Revised Rules of Court (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 (information not exactly pertinent to case). To constitute professional employment it is not essential that the client should have employed the attorney professionally on any previous occasion. If a person, in respect to his business affairs or troubles of any kind, consults with his attorney in his professional capacity with the view to obtaining professional advice or assistance, and the attorney voluntarily permits or acquiesces in such consultation, then the professional employment must be regarded as established. Information so received is sacred to the employment to which it pertains, and to permit to be used in the interest of another, or, worse still, in the interest of the adverse party, is to strike at the element of confidence which lies at the basis of, and affords the essential security in, the relation of attorney and client. “Rationale behind this prohibition: not only to prevent the dishonest practitioner from fraudulent conduct, but also to protect the honest lawyer from unfounded suspicion of unprofessional practice. It is founded on principles of public policy, on good taste. The question is not necessarily one of the rights of the parties, but as to whether the attorney has adhered to proper professional standard. (Hilado v. David, 83 Phil 569 (1949))

I. Rule 21.01. A lawyer shall not reveal the confidence 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. •

Exceptions to the General Rule (Agpalo): o In cases of contemplated crimes or perpetuation of fraud (reason: lawyer-client relationship should only be for lawful purposes) o in case client files complaint against his lawyer or unreasonably refuses to pay his

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fees: lawyer may disclose so much of client’s confidences as may be necessary to protect himself or to collect fees II. 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 advantage or that of a third person, unless the client with full knowledge of the circumstances consents thereto. III. 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 reason for the rule is that 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. (Agpalo)

IV-V. 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. 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. •

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. (Agpalo)

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

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. (Agpalo)

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

This rule clarifies that privilege communication applies even to prospective clients. Moreover, the prohibition applies even if the prospective client did not thereafter actually engage the lawyer. (Agpalo)

• CF: Rule 14.03. A lawyer may refuse to accept representation of an indigent client if: 2008

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LEGAL ETHICS a) he is not in a position to carry out the work effectively or competently; b) he labors under a conflict of interests between him and the prospective client or between a present client and the prospective client.

KNOW MORE: •

Causes of Termination of Attorney-Client Relation (Agpalo) o Withdrawal of the lawyer under Rule 22.01 o Death of the lawyer o Death of client o Discharge or dismissal of the lawyer by the client o Appointment or election of a lawyer to a government position which prohibits private practice of law o Full termination of the case o Disbarment or suspension of the lawyer from the practice of law o Intervening incapacity or incompetence of the client during pendency of case o Declaration of presumptive death of lawyer o Conviction of a crime and imprisonment of lawyer Note: Except for items 2 and 6, the lawyer has duty to notify the court in case of termination of attorney-client relationship.

•

A contract for legal services being personal, it terminates upon death of the lawyer. However, if the lawyer is a member of a law firm, which firm appears as counsel for the client, the death of the attending lawyer will not terminate the relation. The firm will continue to appear as counsel for client unless there has been agreement that services were to be rendered only by the said attorney.

•

Who may Terminate Attorney-Client Relation 1. Client Client has absolute right to discharge his attorney with or without just cause or even against lawyer’s consent. Existence or nonexistence of a just cause is important only in determining right of an attorney to compensation for services rendered. Discharge of an attorney or his substitution by another without justifiable cause will not operate to extinguish the lawyer’s right to full payment of compensation as agreed upon in writing. 2. Attorney 3. Court 4. Circumstances beyond control of parties

•

Discharge of attorney must be made known to the court and adverse party through a formal notice. This is unnecessary between the lawyer and client, himself. But insofar as the court and other party are concerned, the severance of the relation of attorney and client is not effective until a notice of discharge by the client or a manifestation clearly indicating that purpose is filed with the court and a copy thereof served upon the adverse party.

•

MEMORY AID FOR RULES UNDER CANON 22: o Good Causes for Withdrawal of Services (Rule 22.01) o Duties of Lawyer who Withdraws (Rule 22.02)

Before discharge is recorded in the court, the lawyer’s power is limited to (1) making that fact known to court and to adverse party, and to (2) preserving and protecting client’s interest until final discharge or new counsel enters appearance. He cannot pretend to continue representing client.

•

Representation continues until dispenses with the services of accordance with Section 26, Rule Rules of Court. Counsel may

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•

CF: 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.

•

This rule clarifies that privilege communication applies even to prospective clients. Moreover, the prohibition applies even if 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 (Agpalo)

CANON 22: QUICK REFERENCE Canon 22. A lawyer may withdraw his services only for good cause and upon notice appropriate in the circumstances. Rule 22.01. A lawyer may withdraw his services in any of the following case: 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 cocounsel will not promote the best interest of the client; 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. 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.

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LEGAL ETHICS substituted only if the following requisites are complied with: (1) New counsel files a written application for substitution; (2) The client’s written consent is obtained; (3) The written consent of the lawyer to be substituted is secured, if it can still be; if the written consent can no longer be obtained, the application for substitution must carry proof that notice of the motion has been served on the attorney to be substituted in the manner required by the Rules. (Obando v. Figueras (2000)) I. Rule 22.01. A lawyer may withdraw his services in any of the following case: 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; 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. •

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A lawyer shall withdraw his services only for good cause and upon notice appropriate in the circumstances; a lawyer shall avoid controversies with clients concerning his compensation and shall resort to judicial action only to prevent imposition, injustice or fraud. (Montano v. IBP, 358 SCRA 1 (2001))29 Procedure for Withdrawal: If without written consent from client, lawyer should file petition for withdrawal in court and he must serve copy of his petition upon his client and the adverse party at least 3 days before date set for hearing. He should also give time to client to secure services from another lawyer in the case from which he is withdrawing. Change or Substitution of Counsel

Change of counsel 1) client discharges attorney with or without cause: no consent or notice to lawyer needed, nor court approval 2) attorney may initiate move by withdrawing his appearance with written consent of client or with leave of court on some justifiable ground 3) substitution of counsel in the form of application for that purpose: constitutes an appearance of the substituting counsel and is a polite way of effecting change; compliance with formalities is necessary since it involves ethical considerations Requirements for substitution 1) written application for substitution 2) written consent of client 3) written consent of attorney to be substituted 29

FACTS: Atty. Dealca and Montano agreed that 50% attorney’s fees shall be paid upon case acceptance and the other half upon its termination. Despite agreement, Atty. Dealca asked for payment of balance during the course of case. Upon failure to give balance of P3, 500, Dealca withdrew appearance as counsel. The Court found that Dealca had not withdrawn for good cause.

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* in case written consent of attorney cannot be secured, proof of service of notice of application upon attorney to be substituted. ** in case of death of original attorney, additional requirement of verified proof of death necessary ❈

usually initiated by substituting counsel hence the need to obtain conformity of original lawyer or at least notice to original lawyer of substitution

❈

consent of original lawyer or notice requirement is designed to afford the lawyer the opportunity to protect his right to attorney’s fees. If he gives consent, it is presumed he has settled that question. If not, he can ask in same action that his chance to have his right to attorney’s fees be preserved and protected.

Effects of Defective Substitution ❈ A defective substitution is one which lacks any of the requisites for a valid substitution. ❈

It does not effect a change of counsel; nor constitute an appearance of new lawyer, both of whom shall be deemed counsel of record; pleadings filed by the new lawyer deemed effective.

Employment of additional counsel ❈ Client has right to as many lawyers as he can afford. Client’s proffer of assistance of additional counsel should not be regarded as evidence of want of confidence. ❈

Professional courtesy requires that a lawyer retained as collaborating counsel should at least communicate with counsel of record before entering his appearance and should decline association if objectionable to original counsel.

❈

But if first lawyer is relieved by client, another lawyer may come into the case.

II. 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. •

A lawyer shall deliver the funds and property to 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. (Rule 16.03)

•

Lawyer’s withdrawal or discharge shall be without prejudice to his attorney’s lien: o Purpose of Rule 22.02 (lawyer entitled to retaining lien) and Rule 16.03 (lawyer entitled to retaining and charging lien): to insure payment of lawyer’s professional fees and the reimbursement of his lawful

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LEGAL ETHICS disbursements in keeping with his dignity as an officer of the court. (Agpalo) •

Kinds of Liens 1. Retaining Lien (general lien) o the right of an attorney to retain the funds, documents and papers of his client which have lawfully come into his possession until his lawful fees and disbursements have been paid and to apply such funds to the satisfaction thereof. o Reason and essence of lien: inconvenience or disadvantage caused to the client because of exercise of such lien may induce client to pay the lawyer his fees and disbursements. o It is a general lien for the balance of the account due to the attorney from client for services rendered in all matters he may have handled for the client, regardless of outcome. o It is dependent upon and takes effect from time of lawful possession and does not require notice thereof upon client and the adverse party to be effective. o Passive right and cannot be actively enforced; amounts to a mere right to retain funds, documents and papers as against the client until the attorney is fully paid his fees. However, lawyer may apply so much of client’s funds in his possession to satisfy his lawful fees and disbursements, giving notice promptly thereafter to his client. * Requisites for validity (of retaining lien) 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 2. Charging Lien (special lien) o A charging lien is a right which the attorney has upon all judgments for the payment of money and executions issued in pursuance thereof, secured in favor of his client. Covers only services rendered by attorney in the action in which the judgment was obtained and takes effect only after a statement of claim has been entered upon record of the particular action with written notice to his client and adverse party. * Requisites for validity of charging lien 1. attorney-client relationship 2. attorney has rendered services 3. money judgment favorable to the client has been secured in the action 4. attorney has a claim for attorney’s fees or advances 5. statement of his claim has been duly recorded in the case with notice thereof served upon the client and adverse party

*From Pineda’s Annotations Retaining Nature Passive lien. 100% UP LAW

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

Coverage

Effectivity

Notice

Applicability

Lawful possession of funds, papers, documents, property belonging to client Covers only funds, papers, documents, and property in the lawful possession of the attorney by reason of his professional employment As soon as the lawyer gets possession of the funds, papers, documents, property Client need not be notified to make it effective May be exercised before judgment or execution, or regardless thereof

can be enforced by execution. It is a special lien. Securing of a favorable money judgment for client

Covers all judgments for the payment of money and executions issued in pursuance of such judgment

As soon as the claim for attorney’s fees had been entered into the records of the case Client and adverse party need to notified to make it effective Generally, it is exercisable only when the attorney had already secured a favorable judgment for his client

ADDITIONAL INFORMATION I. LIABILITIES OF LAWYERS CIVIL LIABILITY 1) Client is prejudiced by lawyer’s negligence and misconduct. 2) Breach of fiduciary obligation 3) Civil liability to third persons 4) Libelous words in pleadings; violation of communication privilege 5) Liability for costs of suit (treble costs) – when lawyer is made liable for insisting on client’s patently unmeritorious case or interposing appeal merely to delay litigation CRIMINAL LIABILITY 1) Prejudicing client through malicious breach of professional duty 2) Revealing client secrets 3) Representing adverse interests 4) Introducing false evidence 2008

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LEGAL ETHICS causes mentioned in Rule 138, Sec. 27. (Rule 139-B, Sec. 16, ROC) *NOTE: But they cannot disbar a lawyer.

5) Misappropriating client’s funds (Estafa) II. CONTEMPT OF COURT (1998 BAR EXAM)

B. Forms of Disciplinary Measures

A. Nature o

o

It is exercised on preservative and not on vindictive principles and on corrective rather than the retaliatory idea of punishment. It is criminal in nature. The power to punish for contempt is inherent in all courts. It is essential in the observance of order in judicial proceedings and to enforcement of judgment, orders and writs.

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.

B. Kinds of Contempt

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 belongs.

1) Direct Contempt - Consists of misbehavior in the presence of or near a court or judge as to interrupt or obstruct the proceedings before the court or the administration of justice.

4) SUSPENSION – a temporary withholding of a lawyer’s right to practice his profession as a lawyer for a certain period or for an indefinite period of time. a. Definite b. Indefinite – qualified disbarment; 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.

2) Indirect or Constructive Contempt - One committed away from the court involving disobedience of or resistance to a lawful writ, process, order, judgment or command of the court, tending to belittle, degrade, obstruct, interrupt or embarrass the court. a) Civil contempt – failure to do something ordered by the court which is for the benefit of the party.

5) CENSURE – Official reprimand 6) DISBARMENT – It is the act of the Philippine Supreme Court in withdrawing from an attorney the right to practice law. The name of the lawyer is stricken out from the roll of attorneys.

b) Criminal contempt – consists of any conduct directed against the authority or dignity of the court. C. Acts of a Lawyer Constituting Contempt 1) Misbehavior as officer of court 2) Disobedience or resistance to court order 3) Abuse or interference with judicial proceedings 4) Obstruction in administration of justice 5) Misleading courts 6) Making false allegations, criticisms, insults, veiled threats against the courts 7) Aiding in unauthorized practice of law (suspended or disbarred) 8) Unlawful retention of client’s funds 9) Advise client to commit contemptuous acts

KNOW MORE: SUSPENSION AND DISBARMENT (1990, 1992, 1993, 1994, 1999, 2000, 2001, 2002, 2003, 2004, 2005 BAR EXAMS) Nature of Proceedings: 1. Neither a civil action nor a criminal proceeding; 2. SUI GENERIS, it is a class of its own since it is neither civil nor criminal (2002 BAR EXAMS) 3. Confidential in nature 4. Defense of double jeopardy is not available 5. Can be initiated by the SC, motu proprio, or by the IBP. It can be initiated without a complaint. 6. Can proceed regardless of interest of the complainants 7. Imprescriptible 8. It is itself due process of law

III. DISCIPLINE OF LAWYERS A. Power to Discipline Errant Lawyers 1) The Supreme Court has the full authority and power to -WARN -ADMONISH -REPRIMAND -SUSPEND and -DISBAR a lawyer (Rule 138, Sec. 27, ROC) 2) The Court of Appeals and the Regional Trial Courts are also empowered to -WARN -ADMONISH -REPRIMAND and -SUSPEND an attorney who appears before them from the practice of law for any of the 100% UP LAW

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Disciplinary proceedings against lawyers are sui generis: neither purely civil nor purely criminal. It is not—and does not involve—a trial of an action or a suit, but is rather an investigation by the Court in the conduct of its officers. Not being intended to inflict punishment, it is no sense a criminal prosecution. Accordingly, there is neither a plaintiff nor a prosecutor.xxxxx Public interest is its primary objective, and the real question for determination is whether or not the attorney is still a fit person to be

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LEGAL ETHICS allowed the Almacen)

privileges

as

such.

(In

1. by the Supreme Court motu proprio or, 2. by the IBP upon the verified complaint of any person.

Re:

Grounds for Disbarment:

B. The IBP Board of Governors may initiate and prosecute proper charges against erring attorneys including those in the gov’t: 1. motu proprio or 2. upon referral by the SC or 3. by a Chapter Board of Officers or at the instance of any person.

1. Deceit 2. Malpractice, or other gross misconduct in office –any malfeasance or dereliction of duty committed by a lawyer 3. Grossly immoral conduct 4. Conviction of a crime involving moral turpitude (e.g. estafa, bribery, murder, bigamy, seduction, abduction, concubinage, smuggling, falsification of public document, violation of BP 22) 5. Violation of oath of office 6. Willful disobedience of any lawful order of a superior court 7. Corruptly or willfully appearing as an attorney for a party to case without an authority to do so. Objectives of Suspension and Disbarment:

C. The complaint must be: 1. verified; 2. state clearly and concisely the facts complained of; 3. supported by affidavits of persons having personal knowledge of the facts therein alleged, or by such documents as may substantiate it; 4. six copies shall be filed with the Secretary of the IBP or any of the Chapters. D. Investigation by the National Grievance Investigators.

1. To compel the attorney to deal fairly and honestly with his clients; 2. To remove from the profession a person whose misconduct has proved him unfit to be entrusted with the duties and responsibilities belonging to the office of an attorney; 3. To punish the lawyer; 4. To set an example or warning for the other members of the bar; 5. To safeguard the administration of justice from dishonest and incompetent lawyers; 6. To protect the public; •

The statutory enumeration of the grounds for disbarment or suspension is not to be taken as a limitation on the general power of courts to suspend or disbar a lawyer. The inherent power of the court over its officers cannot be restricted. (Quingwa vs. Puno, Admin. Case No. 398, Feb. 28, 1967)

•

Disbarment should not be decreed where any punishment less severe such as reprimand, suspension or fine would accomplish the end desired. (Amaya vs. Tecson, 450 SCRA 510)

•

In disbarment proceedings, the burden of proof is upon the complainant and this court will exercise its disciplinary power only if the complainant establishes his case by clear, convincing and satisfactory evidence. (Aquino vs. Mangaoang, 425 SCRA 572) Officers Authorized to Investigate Disbarment Cases: 1. Supreme Court 2. IBP through its Commission on Bar Discipline or authorized investigators 3. Office of the Solicitor General Grievance Procedure: Disbarment, Suspension and Discipline of Attorneys (Rule 139-B):

E. Submission of the investigative report to the IBP Board of Governors. F. Board of Governors decides within 30 days. G. Investigation by the Solicitor General. H. SC renders final decision on disbarment/suspension/dismissal. C. Modifying Circumstances Extent of disciplinary action depends on attendance of mitigating or aggravating circumstance. Mitigating Circumstances 1. Good Faith in the acquisition of a property of the client subject of the litigation (In Re: Ruste, 70 Phil 243) 2. Inexperience of a lawyer (Munoz vs. People, 53 SCRA 190) 3. Age (Lantos vs. Gan, 196 SCRA 16) 4. Apology (Munoz vs. People, 53 SCRA 190) 5. Lack of Intention to slight or offend the court (Rheem of the Phil., Inc. vs. Ferrer, 20 SCRA 441)

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Aggravating Circumstances 1. Abuse of authority or of attorneyclient relationship 2. sexual intercourse with a relative 3. charge of gross immorality 4. Previous dismissal as member of the bar

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EFFECT OF EXECUTIVE PARDON (1994, 1998 BAR EXAMS) If during the pendency of the disbarment proceeding the respondent was granted executive pardon, the dismissal of the case on that sole basis will depend on whether the executive pardon is absolute or

A. Proceedings for the disbarment, suspension and discipline of attorneys may be taken: 100% UP LAW

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LEGAL ETHICS conditional. If the pardon is absolute, the disbarment case will be dismissed. However, if the executive pardon is conditional, the disbarment case will not be dismissed on the basis thereof. Absolute pardon by the President may wipe 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. The reason is that the respondent lawyer, after the absolute pardon, is as guiltless and innocent as if he never committed the offense at all. If absolute pardon is given to lawyer after being disbarred for conviction of a crime, 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. In case of a conditional pardon, there will be a remission of unexpired period of sentence. •

Reinstatement - It is the restoration in disbarment proceedings to a disbarred lawyer the privilege to practice law.

•

Const art. VIII, sec. 5(5). The power of the Supreme Court to reinstate is based on its constitutional prerogative to promulgate rules on the admission of applicants to the practice of law.

Condition for Reinstatement: A lawyer who has been suspended or disbarred may be reinstated when the SC is convinced that he has already possessed the requisites of probity and integrity necessary to guarantee his worth to practice his possession.

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Effects of Reinstatement: 1. Recognition of moral rehabilitation and mental fitness to practice law; 2. Lawyer shall be subject to same law, rules and regulations as those applicable to any other lawyer; 3. Lawyer must comply with the conditions imposed on his readmission.

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; 3. his conduct subsequent to disbarment (Cui vs. Cui, 11 SCRA 755) 4. including his efficient government service (In Re: Adriatico, 17 Phil 324) 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 vs. Benjamin Grecia, 192 SCRA 381) 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, pleas of his loved ones (Yap Tan vs. Sabandal, 170 SCRA 207) •

The court may require applicant for reinstatement to enroll in and pass the required fourth year review classes in a recognized law school. (Cui vs. Cui, 11 SCRA 755; In Re: Rusiana, 56 SCRA 240

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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 SC.

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LEGAL ETHICS NEW CODE OF JUDICIAL CONDUCT Canon 1 Canon 2 Canon 3 Canon 4 Canon 5 Canon 6

– Independence – Integrity – Impartiality – Propriety – Equality – Competence and Diligence

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

MEMORY AID FOR SECTIONS UNDER CANON 1: • Independent judicial function (Sec. 1) • Outside pressure (Sec. 2) • Influencing outcome of litigation (Sec. 3) • Influence on judicial conduct (Sec. 4) • Independence from executive and legislative (Sec. 5) • Independence from society and particular parties (Sec. 6) • Safeguards for judicial independence (Sec. 7) • Promote Public confidence (Sec. 8) KNOW MORE: •

Re: Sec. 1 Independent judicial function – A judge found defendants guilty beyond reasonable doubt of the crime of Rape with Homicide. However, he sentenced the accused with reclusion perpetua instead of the death, as unequivocally required by RA 7659. A court of law is no place for a protracted debate on the morality or propriety of the sentence, where the law itself provides for the sentence of death as a penalty in specific and well-defined instances. (People v. Veneracion, 249 SCRA 244 (1995))

•

Re: Sec. 2 Outside Pressure – The discretion of the Court to grant bail must be based on the Court’s determination as to WON the evidence of guilt is strong. This discretion may be exercised only after the evidence has been submitted at the summary hearing conducted pursuant to Sec. 7 of Rule 114 of the Rules. Respondent’s admission that he granted bail to an accused upon the request of a Congressman, despite his belief that the evidence of guilt against said is strong, is indeed reprehensible. (Tahil v. Eisma, 64 SCRA 378 (1975))

•

Re: Sec. 4 Influence on Judicial Conduct – Constant company with a lawyer tends to breed intimacy and camaraderie to the point that favors in the future may be asked from respondent judge which he may find hard to resist. The actuation of respondent 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, 237 SCRA 670 (1994))

•

Re: Sec. 5 Independence from Executive and Legislative – RA 972 (the Bar Flunkers Act) aims to admit to the Bar, those candidates who suffered from insufficiency of reading materials and inadequate preparation. By its declared objective, the law is contrary to public interest because it qualifies 1,094 law graduates who confessedly had inadequate preparation for the practice of the profession, as was exactly found by this Tribunal in the aforesaid examinations. An adequate legal preparation is one of the vital requisites for the practice of law that

Sec. 1. Judges shall exercise the judicial function independently on the basis of their assessment of the facts and in accordance with a conscientious understanding of the law, free of any extraneous influence, inducement, pressure, threat or interference, direct or indirect, from any quarter or for any reason. Sec. 2. In performing judicial duties, Judges shall be independent from judicial colleagues in respect of decisions which the judge is obliged to make independently. Sec. 3. Judges shall refrain from influencing in any manner the outcome of litigation or dispute pending before another court or administrative agency. Sec. 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 private interests of others, nor convey or permit others to convey the impression that they are in a special position to influence the judge. Sec. 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. Sec. 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. Sec. 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. Sec. 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.

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LEGAL ETHICS defend, both in his/her behalf and in behalf of the Court or judge whose order or decision is at issue. xxx” Respondent’s folly did not stop there. When complainant filed for respondent’s inhibition, he hired his own lawyer. Respondent judge should be reminded that decisions of courts need not only be just but must be perceived to be just and completely free from suspicion or doubt both in its fairness and integrity. (Macalintal v. Teh, 280 SCRA 623 (1997)30)

should be developed constantly and maintained firmly. To the legal profession is entrusted the protection of property, life, honor and civil liberties. It is obvious, therefore, that the ultimate power to grant license for the practice of law belongs exclusively to this Court, and the law passed by Congress on the matter is of permissive character, or as other authorities say, merely to fix the minimum conditions for the license. Laws are unconstitutional on the following grounds: first, because they are not within the legislative powers of Congress to enact, or Congress has exceeded its powers; second, because they create or establish arbitrary methods or forms that infringe constitutional principles; and third, because their purposes or effects violate the Constitution or its basic principles. As has already been seen, the contested law suffers from these fatal defects. Summarizing, we are of the opinion and hereby declare that RA. 972 is unconstitutional and therefore, void, and without any force or effect for the following reasons, to wit: 1. Because its declared purpose is to admit 810 candidates who failed in the bar examinations of 1946-1952, and who, it admits, are certainly inadequately prepared to practice law, as was exactly found by this Court in the aforesaid years. 2. Because it is, in effect, a judgment revoking the resolution of this Court on the petitions of these 810 candidates, without having examined their respective examination papers, and although it is admitted that this Tribunal may reconsider said resolution at any time for justifiable reasons, only this Court and no other may revise and alter them. In attempting to do it directly RA 972 violated the Constitution. 3. By the disputed law, Congress has exceeded its legislative power to repeal, alter and supplement the rules on admission to the Bar. 4. The reason advanced for the pretended classification of candidates, which the law makes, is contrary to facts which are of general knowledge and does not justify the admission to the Bar of law students inadequately prepared. The pretended classification is arbitrary. It is undoubtedly a class legislation. (IN RE: CUNANAN, 94 PHIL 534 (1954)) •

Re: Sec. 8 Promote Public Confidence – The active participation of a judge, being merely a nominal or formal party in certiorari proceedings is not called for. “xxx Under Sec 5 of Rule 65 of the ROC, a judge whose order is challenged in an appellate court does not have to file any answer or take active part in the proceeding unless expressly directed by order of this court. It is the duty of respondent to appeal and

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CANON 2: QUICK REFERENCE Canon 2. Integrity is essential not only to the proper discharge of the judicial office but also to the personal demeanor of judges. Sec. 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. Sec. 2. The behavior and conduct of judges must reaffirm the people's faith in the integrity of the judiciary. Justice must not merely be done but must also be seen to be done. Sec. 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.

MEMORY AID FOR SECTIONS UNDER CANON 2: • Conduct above reproach (Sec. 1) • Reaffirm people’s faith (Sec. 2) • Disciplinary action (Sec. 3) KNOW MORE: •

Re: Sec. 1 Conduct above reproach – The imputation of illicit sexual acts upon the incumbent judge must be proven by substantial evidence, which is the quantum of proof required in administrative cases. (Alfonso v. Juanson) Respondent judge was also at fault for his shortness of temper and impatience, contrary to the duties and restriction imposed upon him by reason of his office. He failed to observe the proper decorum expected of judicial officers. Judicial officers are given contempt powers so that they can remind counsels of their duties in court

30 Facts: Atty. Macalintal related to the Court in a letter the actuations of Judge Teh, relative to Election Case No. R-95-001. Judge Teh issued a resolution adverse to the client of complainant. He questioned the resolution via certiorari with the COMELEC. While case was pending in the COMELEC, Teh actively participated in the proceedings by filing his comment on the petition, as well as an urgent manifestation. Complainant filed a motion for inhibition but instead, Teh hired his own lawyer and filed answer before the court with prayer. The SC found that Judge Teh’s actuations eroded public confidence in the administration of justice.

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LEGAL ETHICS without being arbitrary, unreasonable or unjust. Respondent should have cited the complainant in contempt of court instead of throwing tantrums by banging his gavel loudly and unceremoniously walking out of the courtroom. Although respondent had a valid explanation for carrying a gun, his act of carrying it in plain view of the lawyers (including the complainant) and considering what just happened, cannot be taken as an innocent gesture. It was calculated to instill fear and intimidate the complainant. Respondent's behavior constitutes grave misconduct. A judge's conduct should be free from the appearance of impropriety not only in his official duties but in his everyday life. One who lives by the precept that “might is right” is unworthy to be a judicial officer. (Romero v. Valle (1987)) •

(a)

(b) (c) (d)

Re: Sec. 2 Reaffirm people’s faith – A judge must be free of a whiff of impropriety not only with respect to his performance of his judicial duties, but also to his behavior outside his sala and as a private individual. There is no dichotomy of morality: a public official is also judged by his private morals. (Castillo v. Calanog (1991))

(e) (f)

CANON 3: QUICK REFERENCE

(g)

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. Sec. 1. Judges shall perform their judicial duties without favor, bias or prejudice.

Sec. 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 the 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.

Sec. 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. Sec. 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. Sec. 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.

MEMORY AID FOR SECTIONS UNDER CANON 3: • Judicial duties free from bias (Sec. 1) • Promote confidence, impartiality (Sec. 2) • Minimize instances of disqualification (Sec. 3) • Public comments – pending and impending case (Sec. 4) • Disqualifications (Sec. 5) • Remittal of disqualifications (Sec. 6) KNOW MORE: •

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Sec. 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 The judge has actual bias or prejudice concerning a party or personal knowledge of disputed evidentiary facts concerning the proceedings; The judge previously served as a lawyer or was a material witness in the matter in controversy; The judge, or a member of his or her family, has an economic interest in the outcome of the matter in controversy; 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; The judge's ruling in a lower court is the subject of review; The judge is related by consanguinity or affinity to a party litigant within the sixth civil degree or to counsel within the fourth civil degree; or 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;

Re: Sec. 2 Promote confidence, impartiality – The integrity of the Judiciary rests not only upon the fact that it is able to administer justice but also upon the perception and confidence of the community that the people who run the system have done

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LEGAL ETHICS justice. Hence, in order to create such confidence, the people who run the judiciary, particularly judges and justices, must not only be proficient in both the substantive and procedural aspects of the law, but more importantly, they must possess the highest integrity, probity, and unquestionable moral uprightness, both in their public and private lives. Only then can the people be reassured that the wheels of justice in this country run with fairness and equity, thus creating confidence in the judicial system. (Talens-Dabon v. Arceo, 259 SCRA 354 (1996)) •

Re: Sec. 5 Disqualifications – It is clear from the reading of the law that intimacy or friendship between a judge and an attorney of record of one of the parties to a suit is no ground for disqualification. To allow it would unnecessarily burden other trial judges to whom the cases would be transferred. In fact, this is one rare opportunity for Masadao to show that JBL Reyes did not err in recommending him for his competence and known probity; that he has conducted himself with the cold impartiality of an impartial judge; that no one can sway his judgment whoever he may be. However, men of the Bench are not without imperfections. A judge experiences the “tug and pull of purely personal preferences and prejudices which he shares with the rest of his fellow mortals”. Especially for Filipinos whose sense of gratitude is one trait which invariably reigns supreme over any and all considerations in matters upon which such tender sentiment may somehow inexorably impinge. The circumstances before Judge Masadao are not ordinary ones. Thus, this is one certain circumstance where a case could well be heard by another judge and where a voluntary inhibition may prove to be the better course of action. Judge Masadao’s actuations are within par 2 sec 1 rule 137. (Masado v. Elizaga, 155 SCRA 72 (1987)31) A judge cannot sit in any case in which he was a counsel without the written consent of all parties. The rule is explicit that he must secure the written consent of all parties, not a mere verbal consent much less a tacit acquiescence. The written consent must be signed by them and entered upon the record. (Lorenzo v. Marquez (1988))

31 FACTS: On May 4, 1987, Judge Masadao rendered a decision finding the accused, Jaime Tadeo, guilty of estafa. Justice JBL Reyes entered his appearance for the accused. Judge Masadao issued an order inhibiting himself from further sitting in the case on the ground that retired Justice Reyes has been among those who had recommended him to the bench. A raffle was conducted and the case was assigned to Judge Elizaga. Judge Elizaga returned the records with a letter stating his refusal to act and assailing the re-raffling of the case as uncalled for and impractical.

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Grounds for Disqualification and Inhibition of Judges Under the Rules of Court

I.

Mandatory or Compulsory Disqualification (Rule 131, ROC) a. when he or his wife or his child is pecuniarily interested as heir, legatee, creditor or otherwise; b. when he is related to either party within the sixth degree of consanguinity or affinity or to counsel within the 4th civil degree; c. when he has been an executor, guardian, administrator, trustee or counsel; d. when he has presided in an inferior court where his ruling or decision is subject to review.

II.

Voluntary Inhibition (1991, 199, 2005 BAR EXAMS) A judge may, in the exercise of his sound discretion disqualify himself, for just and valid reasons other than those mentioned above. (Rule 137, Section 1) This leaves the discretion to the judge to decide for himself questions as to whether he will desist from sitting in case for other just and valid reasons with only his conscience to guide him, unless he cannot discern for himself his inability to meet the test of the cold neutrality required of him, in which event the appellate court will see to it that he disqualifies himself. A decision to disqualify himself is not conclusive and his competency may be determined on application for mandamus to compel him to act. Judge’s decision to continue hearing a case in which he is not legally prohibited from trying notwithstanding challenge to his objectivity may not constitute reversible error. The filing of an administrative case against a judge does not disqualify him from hearing a case. The court has to be shown other than the filing of administrative complaint, act or conduct of judge indicative of arbitrariness or prejudice before the latter being branded as the stigma of being biased or partial. (Lorenzo v. Marquez (1988))

Grounds

Role of the judicial officer

2008

DISQUALIFICATION Specific and exclusive

Judicial officer has no discretion to sit or try the case

INHIBITION No specific grounds BUT there is a broad basis for such, i.e., good, sound ethical grounds The matter is left to the sound discretion of the judge

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LEGAL ETHICS CANON 4: QUICK REFERENCE Sec. 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.

Canon 4. Propriety and the appearance of propriety are essential to the performance of all the activities of a. judge. Sec. 1. Judges shall avoid impropriety and the appearance of impropriety in all of their activities.

Sec. 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

Sec. 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.

(c) law, the legal system, the administration of justice or related matters; (d) Engage in other activities if such activities do not detract from the dignity of the judicial office or otherwise interfere with the performance of judicial duties.

Sec. 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.

Sec. 11. Judges shall not practice law whilst the holder of judicial office. Sec. 12. Judges may form or join associations of judges or participate in other organizations representing the interests of judges.

Sec. 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.

Sec. 13. Judges and members of their families shall neither ask for, nor accept, any gift, bequest, loan or favor in relation to anything done or to be done or omitted to be done by him or her in connection with the performance of judicial duties.

Sec. 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.

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

Sec. 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.

Sec. 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 or benefit might not reasonably be perceived as intended to influence the judge in the performance of judicial duties or otherwise give rise to an appearance of partiality.

Sec. 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.

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Sec. 8. Judges shall not use or lend the prestige of the judicial office to advance their private interests, or those of a member of their family or of anyone else, nor shall they convey or permit others to convey the impression that anyone is in a special position improperly to influence them in the performance of judicial duties.

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LEGAL ETHICS Geotina v. Gonzales: A judge, sitting on a case must at all times be fully free, disinterested, impartial and independent. Elementary due process requires a hearing before an impartial and disinterested tribunal. A judge has both the duties of rendering a just decision and of doing it in a manner completely free from suspicion as to his fairness and as to his integrity. Mater, Jr. v. Hon. Onofre Villaluz: Outside of pecuniary interest, relationship or previous participation in the matter that calls for adjudication, there may be other causes that could conceivably erode trait of objectivity, thus calling for inhibition. If such causes appear and prove difficult to resist, it is better for judge to disqualify himself. That way, his reputation for probity and objectivity is preserved; even more important, ideal of an administration of justice is lived up to. (Umale v. Villaluz (1973))

MEMORY AID FOR SECTIONS UNDER CANON 4: • Avoidance of Impropriety (Sec. 1) • Acceptance of Personal Restrictions (Sec. 2) • Avoidance of Controversy (Sec. 3) • Not participate in cases where he may be impartial (Sec. 4) • Not allow the use of his residence by other lawyers (Sec. 5) • Freedom of Expression (Sec. 6) • Be informed of his financial interests (Sec. 7) • Influence of Judicial Conduct (Sec. 8) • Confidential Information (Sec. 9) • Engage in other activities (Sec. 10) • Practice of Profession (Sec. 11) • Form associations (Sec. 12) • Gifts, Requests, Loans (Sec. 13) • Gifts, Requests, Loans by staff (Sec. 14) • Permissible tokens and awards (Sec. 15) KNOW MORE: •

•

Re: Sec. 11 Practice of Profession The Court has reminded judges of the lower courts that a judge whose order is challenged in an appellate court need not file any answer, or take an active part in the proceedings unless expressly directed by order of the Court. A judge must maintain a detached attitude from the case and shall not waste his time by taking an active part in a proceeding that relates to official actuations in a case. He is merely a nominal party and has no personal interest or personality therein. Further, respondent judge, in signing and filing a comment with the court on behalf of one of the parties, engaged in the private practice of law. The practice of law is not limited to the conduct of cases in court or participation in court proceedings but includes preparation of pleadings or papers in anticipation of litigation. Under Section 35, Rule 138 of the Revised Rules of Court, and Rule 5.07 of the Code of Judicial Conduct, judges are prohibited from engaging in the private practice of law. This is based on public policy because the rights, duties, privileges and functions of the office of an attorneyat-law are inherently incompatible with the high official functions, duties, powers, discretion and privileges of a judge. (Tuazon v. Cloribel (2001))

•

Re: Sec. 13 Gifts, requests and loans – Receiving money from a party litigant is the kind of gross and flaunting misconduct on the part of the judge, who is charged with the responsibility of administering the law and rendering justice. Members of the judiciary should display not only the highest integrity but must, at all times, conduct themselves in such manner as to be beyond reproach and suspicion. (Ompoc v. Torre (1989))

Re: Sec. 1 Avoidance of impropriety – Whatever the motive may have been, the violent action of the respondent in a public place constitutes serious misconduct and the resultant outrage of the community (Arban v. Borja (1989)) It was highly improper for a judge to have wielded a high-powered firearm in public and besieged the house of a perceived defamer of character and honor in warlike fashion and berated the object of his ire, with his firearm aimed at the victim (Saburnido v. Madrono (A.C. No. 4497. September 26, 2001)

•

Re: Sec. 9 Confidential information – Personal knowledge of the case pending before him is not one of the causes for the disqualification of a judge under the first paragraph of Sec. 1 of Rule 137 of the Revised Rules of Court (took effect Jan. 1, 1964). But paragraph 2 of said section authorizes the judge, “in the exercise of his sound discretion, to disqualify himself from sitting in a case, for just or valid reason other than those mentioned” in par. 1. Before 1964, a judge could not just voluntarily inhibit himself from a case. But in cases decided in 1961 and 1962, a judge was allowed to inhibit for fear that an opinion expressed by him in a letter as counsel might influence his decision and for being related to a counsel within the 4th civil degree. In 1967, a judge was allowed to voluntarily disqualify himself on grounds other than those mentioned in par. 1 of cited section. Pimentel v. Salanga: Judge should make a careful self-examination whether to disqualify himself or not in a case before him. He should exercise his discretion in a way that people’s faith in the courts of justice is not impaired. A salutary norm is that he reflects on the probability that a losing party might nurture at the back of his mind the thought that the judge had unmeritoriously titled the scales of justice against him. Judge should be commended for heeding SC ruling in

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LEGAL ETHICS •

CANON 5: QUICK REFERENCE Canon 5. Ensuring equality of treatment to all before the courts is essential to the due performance of the judicial office. Sec. 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. Sec. 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. Sec. 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.

Re: Sec. 5 Attitude to Parties Appearing in Court – The action of the judge in seizing the witness, Alberto Angel, by the shoulder and turning him about was unwarranted and an interference with that freedom from unlawful personal violence to which every witness is entitled while giving testimony in a court of justice. Against such conduct the appellant had the right to protest and to demand that the incident be made a matter of record. That he did so was not contempt, providing protest and demand were respectfully made and with due regard for the dignity of the court. (In Re: Aguas (1901))

CANON 6: QUICK REFERENCE Canon. 6. Competence and diligence are prerequisites to the due performance of judicial office. Sec. 1. The judicial duties of a judge take precedence over all other activities. Sec. 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.

Sec. 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.

Sec. 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.

Sec. 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.

Sec. 4. Judges shall keep themselves informed about relevant developments of international law, including international conventions and other instruments establishing human rights norms.

MEMORY AID FOR SECTIONS UNDER CANON 5 • Understand the diversity in society (Sec. 1) • Not to manifest bias or prejudice (Sec. 2) • Not to differentiate (Sec. 3) • Not to influence staff (Sec. 4) • Attitude to parties appearing in court (Sec. 5)

Sec. 5. Judges shall perform all judicial duties, including the delivery of reserved decisions, efficiently, fairly and with reasonable promptness. Sec. 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 or control.

KNOW MORE: •

Re: Sec. 2—Bias or Prejudice Rule 137 § 1 of the Rules of Court expressly states that no judge shall sit in any case which he has been counsel (for a party) without the written consent of all parties in interest, signed by them and entered upon the record. The prohibition is not limited to cases in which a judge hears the evidence but includes as well cases where he acts by resolving motions, issuing orders and the like. (In Re Judge Rojas (1998))

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Sec. 7. Judges shall not engage in conduct incompatible with the diligent discharge of judicial duties.

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LEGAL ETHICS MEMORY AID FOR SECTIONS UNDER CANON 6 • Duties take precedence (Sec. 1) • Perform administrative duties (Sec. 2) • Maintain professional competence (Sec. 3) • Be informed about the law (Sec. 4) • Prompt decision making (Sec. 5) • Maintain order in proceedings (Sec. 6) • Not to engage in conduct contrary to duties (Sec. 7) KNOW MORE: •

Re: Sec. 2 Administrative duties – In the instant case, respondent judge impeded the speedy disposition of cases by his successor on account of missing records of cases. This fact reflects an inefficient and disorderly system in the recording of cases assigned to his 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))

•

Re: Sec. 3 Maintain professional competence – While the court does not require perfection and infallibility, it reasonably expects a faithful and intelligent discharge of duty by those who are selected to fill the positions of administrators of justice. (In Re Judge Baltazar Dizon (1989))32 As a matter of public policy, in the absence of fraud, dishonesty, or corruption, the acts of a judge in his judicial capacity are not subject to disciplinary action, even though such acts are erroneous. Yet it is highly imperative that they should be controverted with basic legal principles. They are called upon to exhibit more than just a cursory acquaintance with statutes and to keep themselves abreast of the latest laws, rulings, jurisprudence affecting their jurisdiction. Even in the remaining years of his stay in the judiciary, he should keep abreast with the changes in the law and with the latest decisions and precedents. Although a judge is nearing retirement, he should not relax in his study of the law and court decisions. (Abad v. Bleza (1986))

32 FACTS: This is a motion for reconsideration filed by respondent Judge Dizon praying that the resolution, finding him guilty of rendering an erroneous decision, be reconsidered. Dizon ruled that the state must first prove criminal intent to find the accused, Lo Chi Fai, guilty of a violation of a Central Bank Circular. He also ordered the return of the seized foreign currency from the accused. This Court pointed out that in offenses punished by special laws, proof of malice or deliberate intent is not necessary. Respondent manifestly disregarded and failed to apply this plain and fundamental basic principle. Respondent admits that his decision is erroneous but pleads that his mistaken judgment proceeded from good faith and not from deliberate desire to pervert his position.

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LEGAL ETHICS 2004 RULES ON NOTARIAL PRACTICE (Aug. 1, 2004)

pages containing a chronological record of notarial acts performed by a notary public.

RULE I IMPLEMENTATION

Sec. 2. Purposes. - These Rules shall be applied and construed to advance the following purposes: a. to promote, serve, and protect public interest; b. to simplify, clarify, and modernize the rules governing notaries public; and c. to foster ethical conduct among notaries public.

Sec. 6. Jurat. - "Jurat" refers to an act in which an individual on a single occasion: a. appears in person before the notary public and presents an instrument or document; b. is personally known to the notary public or identified by the notary public through competent evidence of identity as defined by these Rules; c. signs the instrument or document in the presence of the notary; and d. takes an oath or affirmation before the notary public as to such instrument or document.

Sec. 3. Interpretation. - Unless the context of these Rules otherwise indicates, words in the singular include the plural, and words in the plural include the singular.

Sec. 7. Notarial Act and Notarization. - "Notarial Act" and "Notarization" refer to any act that a notary public is empowered to perform under these Rules.

RULE II DEFINITIONS

Sec. 8. Notarial Certificate. - "Notarial Certificate" refers to the part of, or attachment to, a notarized instrument or document that is completed by the notary public, bears the notary's signature and seal, and states the facts attested to by the notary public in a particular notarization as provided for by these Rules.

Sec. 1. Title. - These Rules shall be known as the 2004 Rules on Notarial Practice.

Sec. 1. Acknowledgment. - "Acknowledgment" refers to an act in which an individual on a single occasion: a. appears in person before the notary public and presents an integrally complete instrument or document; b. is attested to be personally known to the notary public or identified by the notary public through competent evidence of identity as defined by these Rules; and c. 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. Sec. 2. Affirmation or Oath. - The term "Affirmation" or "Oath" refers to an act in which an individual on a single occasion: a. appears in person before the notary public; b. is personally known to the notary public or identified by the notary public through competent evidence of identity as defined by these Rules; and c. avows under penalty of law to the whole truth of the contents of the instrument or document. Sec. 3. Commission. - "Commission" refers to the grant of authority to perform notarial acts and to the written evidence of the authority. Sec. 4. Copy Certification. - "Copy Certification" refers to a notarial act in which a notary public: a. is presented with an instrument or document that is neither a vital record, a public record, nor publicly recordable; b. copies or supervises the copying of the instrument or document; c. compares the instrument or document with the copy; and d. determines that the copy is accurate and complete. Sec. 5. Notarial Register. - "Notarial Register" refers to a permanently bound book with numbered

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Sec. 9. Notary Public and Notary. - "Notary Public" and "Notary" refer to any person commissioned to perform official acts under these Rules. Sec. 10. Principal. - "Principal" refers to a person appearing before the notary public whose act is the subject of notarization. Sec. 11. Regular Place of Work or Business. - The term "regular place of work or business" refers to a stationary office in the city or province wherein the notary public renders legal and notarial services. Sec. 12. Competent Evidence of Identity. - The phrase "competent evidence of identity" refers to the identification of an individual based on: a. at least one current identification document issued by an official agency bearing the photograph and signature of the individual, such as but not limited to, passport, driver’s license, Professional Regulations Commission ID, National Bureau of Investigation clearance, police clearance, postal ID, voter’s ID, Barangay certification, Government Service and Insurance System (GSIS) e-card, Social Security System (SSS) card, Philhealth card, senior citizen card, Overseas Workers Welfare Administration (OWWA) ID, OFW ID, seaman’s book, alien certificate of registration/immigrant certificate of registration, government office ID, certification from the National Council for the Welfare of Disable Persons (NCWDP), Department of Social Welfare and Development (DSWD) certification; or (as amended by A.M. No. 02-8-13-SC-Re: 2004 Rules on Notarial Practice) b. the oath or affirmation of one credible witness not privy to the instrument, document or transaction who is personally known to the notary public and who personally knows the individual, or of two credible witnesses neither of whom is privy to the instrument, document or transaction who each personally knows the individual and shows to the notary public documentary identification. 2008

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LEGAL ETHICS Sec. 13. Official Seal or Seal. - "Official seal" or "Seal" refers to a device for affixing a mark, image or impression on all papers officially signed by the notary public conforming the requisites prescribed by these Rules. Sec. 14. Signature Witnessing. -The term "signature witnessing" refers to a notarial act in which an individual on a single occasion: a. appears in person before the notary public and presents an instrument or document; b. is personally known to the notary public or identified by the notary public through competent evidence of identity as defined by these Rules; and c. signs the instrument or document in the presence of the notary public. Sec. 15. Court. - "Court" refers to the Supreme Court of the Philippines. Sec. 16. Petitioner. - "Petitioner" refers to a person who applies for a notarial commission. Sec. 17. Office of the Court Administrator. - "Office of the Court Administrator" refers to the Office of the Court Administrator of the Supreme Court. Sec. 18. Executive Judge. - "Executive Judge" refers to the Executive Judge of the Regional Trial Court of a city or province who issues a notarial commission. Sec. 19. Vendor - "Vendor" under these Rules refers to a seller of a notarial seal and shall include a wholesaler or retailer. Sec. 20. Manufacturer. - "Manufacturer" under these Rules refers to one who produces a notarial seal and shall include an engraver and seal maker. RULE III COMMISSIONING OF NOTARY PUBLIC Sec. 1. Qualifications. - A notarial commission may be issued by an Executive Judge to any qualified person who submits a petition in accordance with these Rules. To be eligible for commissioning as notary public, the petitioner: 1. must be a citizen of the Philippines; 2. must be over twenty-one (21) years of age; 3. must be a resident in the Philippines for at least one (1) year and maintains a regular place of work or business in the city or province where the commission is to be issued; 4. must be a member of the Philippine Bar in good standing with clearances from the Office of the Bar Confidant of the Supreme Court and the Integrated Bar of the Philippines; and 5. must not have been convicted in the first instance of any crime involving moral turpitude.

b) certification of good moral character of the petitioner by at least two (2) executive officers of the local chapter of the Integrated Bar of the Philippines where he is applying for commission; c) proof of payment for the filing of the petition as required by these Rules; and d) three (3) passport-size color photographs with light background taken within thirty (30) days of the application. The photograph should not be retouched. The petitioner shall sign his name at the bottom part of the photographs. Sec. 3. Application Fee. - Every petitioner for a notarial commission shall pay the application fee as prescribed in the Rules of Court. Sec. 4. Summary Hearing on the Petition. - The Executive Judge shall conduct a summary hearing on the petition and shall grant the same if: a) the petition is sufficient in form and substance; b) the petitioner proves the allegations contained in the petition; and c) the petitioner establishes to the satisfaction of the Executive Judge that he has read and fully understood these Rules. The Executive Judge shall forthwith issue a commission and a Certificate of Authorization to Purchase a Notarial Seal in favor of the petitioner. Sec. 5. Notice of Summary Hearing. – a) The notice of summary hearing shall be published in a newspaper of general circulation in the city or province where the hearing shall be conducted and posted in a conspicuous place in the offices of the Executive Judge and of the Clerk of Court. The cost of the publication shall be borne by the petitioner. The notice may include more than one petitioner. b) The notice shall be substantially in the following form; NOTICE OF HEARING Notice is hereby given that a summary hearing on the petition for notarial commission of (name of petitioner) shall be held on (date) at (place) at (time). Any person who has any cause or reason to object to the grant of the petition may file a verified written opposition thereto, received by the undersigned before the date of the summary hearing. ______________ Executive Judge Sec. 6. Opposition to Petition. - Any person who has any cause or reason to object to the grant of the petition may file a verified written opposition thereto. The opposition must be received by the Executive Judge before the date of the summary hearing. Sec. 7. Form of Notarial Commission. - The commissioning of a notary public shall be in a formal order signed by the Executive Judge substantially in the following form:

Sec. 2. Form of the Petition and Supporting Documents. - Every petition for a notarial commission shall be in writing, verified, and shall include the following: a) a statement containing the petitioner's personal qualifications, including the petitioner's date of birth, residence, telephone number, professional tax receipt, roll of attorney's number and IBP membership number; ,

REPUBLIC OF THE PHILIPPINES REGIONAL TRIAL COURT OF ______________ This is to certify that (name of notary public) of (regular place of work or business) in (city or province) was on this (date) day of (month) two thousand and (year) commissioned by the undersigned as a notary public, within and for the said jurisdiction, for a term ending the thirty-first day of December (year)

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LEGAL ETHICS _______________ Executive Judge Sec. 8. Period Of Validity of Certificate of Authorization to Purchase a Notarial Seal. - The Certificate of Authorization to Purchase a Notarial Seal shall be valid for a period of three (3) months from date of issue, unless extended by the Executive Judge. A mark, image or impression of the seal that may be purchased by the notary public pursuant to the Certificate shall be presented to the Executive Judge for approval prior to use. Sec. 9. Form of Certificate of Authorization to Purchase a Notarial Seal. -The Certificate of Authorization to Purchase a Notarial Seal shall substantially be in the following form: REPUBLIC OF THE PHILIPPINES REGIONAL TRIAL COURT OF_____________ CERTIFICATE OF AUTHORIZATION TO PURCHASE A NOTARIAL SEAL This is to authorize (name of notary public) of (city or province) who was commissioned by the undersigned as a notary public, within and for the said jurisdiction, for a term ending, the thirty-first of December (year) to purchase a notarial seal. Issued this (day) of (month) (year). _______________ Executive Judge Sec. 10. Official Seal of Notary Public. - Every person commissioned as notary public shall have only one official seal of office in accordance with these Rules. Sec. 11. Jurisdiction and Term. - 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 (2) years commencing the first day of January of the year in which the commissioning is made, unless earlier revoked or the notary public has resigned under these Rules and the Rules of Court. Sec. 12. Register of Notaries Public. - The Executive Judge shall keep and maintain a Register of Notaries Public in his jurisdiction which shall contain, among others, the dates of issuance or revocation or suspension of notarial commissions, and the resignation or death of notaries public. The Executive Judge shall furnish the Office of the Court Administrator information and data recorded in the register of notaries public. The Office of the Court Administrator shall keep a permanent, complete and updated database of such records.

payment of the application fee mentioned in Section 3 above of this Rule, act on an application for the renewal of a commission within thirty (30) days from receipt thereof. If the application is denied, the Executive Judge shall state the reasons therefore. RULE IV POWERS AND LIMITATIONS OF NOTARIES PUBLIC Sec. 1. Powers. – a) A notary public is empowered to perform the following notarial acts: 1) acknowledgments; 2) oaths and affirmations; 3) jurats; 4) signature witnessings; 5) copy certifications; and 6) any other act authorized by these Rules. b) 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. c) 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 \2] witnesses)"; and 5) the notary public notarizes his signature by acknowledgment or jurat.

Sec. 14. Action on Application for Renewal of Commission. - The Executive Judge shall, upon

Sec. 2. Prohibitions. – a) A notary public shall not perform a notarial act outside his regular place of work or business; provided, however, that on certain exceptional occasions or situations, a notarial act may be performed at the request of the parties in the following sites located within his territorial jurisdiction: (1) public offices, convention halls, and similar places where oaths of office may be administered; (2) public function areas in hotels and similar places for the signing of instruments or documents requiring notarization; (3) hospitals and other medical institutions where a party to an instrument or document is confined for treatment; and

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Sec. 13. Renewal of Commission. - A notary public may file a written application with the Executive Judge for the renewal of his commission within forty-five (45) days before the expiration thereof. A mark, image or impression of the seal of the notary public shall be attached to the application. Failure to file said application will result in the deletion of the name of the notary public in the register of notaries public. The notary public thus removed from the Register of Notaries Public may only be reinstated therein after he is issued a new commission in accordance with these Rules.

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LEGAL ETHICS (4) any place where a party to an instrument or document requiring notarization is under detention. b) A person shall not perform a notarial act if the person involved as signatory to the instrument or document (1) is not in the notary's presence personally at the time of the notarization; and (2) is not personally known to the notary public or otherwise identified by the notary public through competent evidence of identity as defined by these Rules. Sec. 3. Disqualifications. - 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 these Rules and by law; or (c) is a spouse, common-law partner, ancestor, descendant, or relative by affinity or consanguinity of the principal within the fourth civil degree. Sec. 4. Refusal to Notarize. - A notary public shall not perform any notarial act described in these Rules for any person requesting such an act even if he tenders the appropriate fee specified by these Rules if: (a) the notary knows or has good reason to believe that the notarial act or transaction is unlawful or immoral; (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. Sec. 5. False or Incomplete Certificate. - 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. Sec. 6. Improper Instruments or Documents. - A notary public shall not notarize: (a) a blank or incomplete instrument or document; or (b) an instrument or document without appropriate notarial certification. RULE V FEES OF NOTARY PUBLIC Sec. 1. Imposition and Waiver of Fees. - For performing a notarial act, a notary public may charge the maximum fee as prescribed by the Supreme Court unless he waives the fee in whole or in part. Sec. 2. Travel Fees and Expenses. - A notary public may charge travel fees and expenses separate and apart from the notarial fees prescribed in the preceding section when traveling to perform a notarial act if the notary public and the person requesting the notarial act agree prior to the travel.

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Sec. 3. Prohibited Fees. - No fee or compensation of any kind, except those expressly prescribed and allowed herein, shall be collected or received for any notarial service. Sec. 4. Payment or Refund of Fees. - A notary public shall not require payment of any fees specified herein prior to the performance of a notarial act unless otherwise agreed upon. Any travel fees and expenses paid to a notary public prior to the performance of a notarial act are not subject to refund if the notary public had already traveled but failed to complete in whole or in part the notarial act for reasons beyond his control and without negligence on his part. Sec. 5. Notice of Fees. - A notary public who charges a fee for notarial services shall issue a receipt registered with the Bureau of Internal Revenue and keep a journal of notarial fees. He shall enter in the journal all fees charged for services rendered. A notary public shall post in a conspicuous place in his office a complete schedule of chargeable notarial fees. RULE VI NOTARIAL REGISTER Sec. 1. Form of Notarial Register. – (a) A notary public shall keep, maintain, protect and provide for lawful inspection as provided in these Rules, a chronological official notarial register of notarial acts consisting of a permanently bound book with numbered pages. The register shall be kept in books to be furnished by the Solicitor General to any notary public upon request and upon payment of the cost thereof. The register shall be duly paged, and on the first page, the Solicitor General shall certify the number of pages of which the book consists. For purposes of this provision, a Memorandum of Agreement or Understanding may be entered into by the Office of the Solicitor General and the Office of the Court Administrator. (b) A notary/ public shall keep only one active notarial register at any given time. Sec. 2. Entries in the Notarial Register. – (a) For every notarial act, the notary shall record in the notarial register at the time of notarization the following: (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 these 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.

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LEGAL ETHICS (b) A notary public shall record in the notarial register the reasons and circumstances for not completing a notarial act. (c) A notary public shall record in the notarial register the circumstances of any request to inspect or copy an entry in the notarial register, including the requester's name, address, signature, thumb mark or other recognized identifier, and evidence of identity. The reasons for refusal to allow inspection or copying of a journal entry shall also be recorded. (d) When the instrument or document is a contract, the notary public shall keep an original copy thereof as part of his records and enter in said records a brief description of the substance thereof and shall give to each entry a consecutive number, beginning with number one in each calendar year. He shall also retain a duplicate original copy for the Clerk of Court. (e) The notary public shall give to each instrument or document executed, sworn to, or acknowledged before him a number corresponding to the one in his register, and shall also state on the instrument or document the page/s of his register on which the same is recorded. No blank line shall be left between entries. (f) In case of a protest of any draft, bill of exchange or promissory note, the notary public shall make a full and true record of all proceedings in relation thereto and shall note therein whether the demand for the sum of money was made, by whom, when, and where; whether he presented such draft, bill or note; whether notices were given, to whom and in what manner; where the same was made, when and to whom and where directed; and of every other fact touching the same. (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. (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 (10) 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. Sec. 3. Signatures and Thumbmarks. - At the time of notarization, the notary's notarial register shall be signed or a thumb or other mark affixed by each: (a) principal; (b) credible witness swearing or affirming to the identity of a principal; and (c) 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.

(2) the person affixes a signature and thumb or other mark or other recognized identifier, in the notarial .register in a separate, dated entry; (3) the person specifies the month, year, type of instrument or document, and name of the principal in the notarial act or acts sought; and (4) the person is shown only the entry or entries specified by him. (b) 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. (c) 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. Sec. 5. Loss, Destruction or Damage of Notarial Register. – (a) In case the notarial register is stolen, lost, destroyed, damaged, or otherwise rendered unusable or illegible as a record of notarial acts, the notary public shall, within ten (10) days after informing the appropriate law enforcement agency in the case of theft or vandalism, notify the Executive Judge by any means providing a proper receipt or acknowledgment, including registered mail and also provide a copy or number of any pertinent police report. (b) Upon revocation or expiration of a notarial commission, or death of the notary public, the notarial register and notarial records shall immediately be delivered to the office of the Executive Judge. Sec. 6. Issuance of Certified True Copies. - The notary public shall supply a certified true copy of the notarial record, or any part thereof, to any person applying for such copy upon payment of the legal fees. RULE VII SIGNATURE AND SEAL OF NOTARY PUBLIC Sec. 1. Official Signature. - In notarizing a paper instrument or document, a notary public shall: (a) sign by hand on the notarial certificate only the name indicated and as appearing on the notary's commission; (b) not sign using a facsimile stamp or printing device; and (c) affix his official signature only at the time the notarial act is performed.

Sec. 4. Inspection, Copying and Disposal. – (a) In the notary's presence, any person may inspect an entry in the notarial register, during regular business hours, provided; (1) the person's identity is personally known to the notary public or proven through competent evidence of identity as defined in these Rules;

Sec. 2. Official Seal. – (a) Every person commissioned as notary public shall have a seal of office, to be procured at his own expense, which shall not be possessed or owned by any other person. It shall be of metal, circular in shape, two inches in diameter, and shall have the name of the city or province and the word "Philippines" and his own name on the margin and the roll of attorney's number on the face thereof, with the words "notary public" across the center. A mark, image or impression of such seal shall be made directly on the paper or parchment on which the writing appears. (b) The official seal shall be affixed only at the time the notarial act is performed and shall be

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LEGAL ETHICS clearly impressed by the notary public on every page of the instrument or document notarized. (c) When not in use, the official seal shall be kept safe and secure and shall be accessible only to the notary public or the person duly authorized by him. (d) Within five (5) days after the official seal of a notary public is stolen, lost, damaged or other otherwise rendered unserviceable in affixing a legible image, the notary public, after informing the appropriate law enforcement agency, shall notify the Executive Judge in writing, providing proper receipt or acknowledgment, including registered mail, and in the event of a crime committed, provide a copy or entry number of the appropriate police record. Upon receipt of such notice, if found in order by the Executive Judge, the latter shall order the notary public to cause notice of such loss or damage to be published, once a week for three (3) consecutive weeks, in a newspaper of general circulation in the city or province where the notary public is commissioned. Thereafter, the Executive Judge shall issue to the notary public a new Certificate of Authorization to Purchase a Notarial Seal. (e) Within five (5) days after the death or resignation of the notary public, or the revocation or expiration of a notarial commission, the official seal shall be surrendered to the Executive Judge and shall be destroyed or defaced in public during office hours. In the event that the missing, lost or damaged seal is later found or surrendered, it shall be delivered by the notary public to the Executive Judge to be disposed of in accordance with this section. Failure to effect such surrender shall constitute contempt of court. In the event of death of the notary public, the person in possession of the official seal shall have the duty to surrender it to the Executive Judge. Sec. 3. Seal Image. - The notary public shall affix a single, clear, legible, permanent, and photographically reproducible mark, image or impression of the official seal beside his signature on the notarial certificate of a paper instrument or document.

Certificate of Authorization to Purchase a Notarial Seal issued by the Executive Judge. A notary public obtaining a new seal as a result of change of name shall present to the vendor or manufacturer a certified copy of the Confirmation of the Change of Name issued by the Executive Judge. (e) Only one seal may be sold by a vendor or manufacturer for each Certificate of Authorization to Purchase a Notarial Seal, (f) After the sale, the vendor or manufacturer shall affix a mark, image or impression of the seal to the Certificate of Authorization to Purchase a Notarial Seal and submit the completed Certificate to the Executive Judge. Copies of the Certificate of Authorization to Purchase a Notarial Seal and the buyer's commission shall be kept in the files of the vendor or manufacturer for four (4) years after the sale. (g) A notary public obtaining a new seal as a result of change of name shall present to the vendor a certified copy of the order confirming the change of name issued by the Executive Judge. RULE VIII NOTARIAL CERTIFICATES Sec. 1. Form of Notarial Certificate. - The notarial form used for any notarial instrument or document shall conform to all the requisites prescribed herein, the Rules of Court and all other provisions of issuances by the Supreme Court and in applicable laws. Sec. 2. Contents of the Concluding Part of the Notarial Certificate. - The notarial certificate shall include the following: (a) the name of the notary public as exactly indicated in the commission; (b) the serial number of the commission of the notary public; (c) the words "Notary Public" and the province or city where the notary public is commissioned, the expiration date of the commission, the office address of the notary public; and (d) the roll of attorney's number, the professional tax receipt number and the place and date of issuance thereof, and the IBP membership number.

Sec. 4. Obtaining and Providing Seal. – (a) A vendor or manufacturer of notarial seals may not sell said product without a written authorization from the Executive Judge. (b) Upon written application and after payment of the application fee, the Executive Judge may issue an authorization to sell to a vendor or manufacturer of notarial seals after verification and investigation of the latter's qualifications. The Executive Judge shall charge an authorization fee in the amount of Php 4,000 for the vendor and Php 8,000 for the manufacturer. If a manufacturer is also a vendor, he shall only pay the manufacturer's authorization fee. (c) The authorization shall be in effect for a period of four (4) years from the date of its issuance and may be renewed by the Executive Judge for a similar period upon payment of the authorization fee mentioned in the preceding paragraph. (d) A vendor or manufacturer shall not sell a seal to a buyer except upon submission of a certified copy of the commission and the

RULE IX CERTIFICATE OF AUTHORITY OF NOTARIES PUBLIC

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Sec. 1. Certificate of Authority for a Notarial Act. A certificate of authority evidencing the authenticity of the official seal and signature of a notary public shall be issued by the Executive Judge upon request in substantially the following form: CERTIFICATE OF AUTHORITY FOR A NOTARIAL ACT I, (name, title, jurisdiction of the Executive Judge), certify that (name of notary public), the person named in the seal and signature on the attached document, is a Notary Public in and for the (City/Municipality/Province) of the Republic of the Philippines and authorized to act as such at the time of the document's notarization. IN WITNESS WHEREOF, I have affixed below my signature and seal of this office this (date) day of (month) (year). _________________ (official signature) (seal of Executive Judge) RULE X Page 62 of 74

LEGAL ETHICS CHANGES OF STATUS OF NOTARY PUBLIC Sec. 1. Change of Name and Address. Within ten (10) days after the change of name of the notary public by court order or by marriage, or after ceasing to maintain the regular place of work or business, the notary public shall submit a signed and dated notice of such fact to the Executive Judge. The notary public shall not notarize until: (a) he receives from the Executive Judge a confirmation of the new name of the notary public and/or change of regular place of work or business; and (b) a new seal bearing the new name has been obtained. The foregoing notwithstanding, until the aforementioned steps have been completed, the notary public may continue to use the former name or regular place of work or business in performing notarial acts for three (3) months from the date of the change, which may be extended once for valid and just cause by the Executive Judge for another period not exceeding three (3) months. Sec. 2. Resignation. - A notary public may resign his commission by personally submitting a written, dated and signed formal notice to the Executive Judge together with his notarial seal, notarial register and records. Effective from the date indicated in the notice, he shall immediately cease to perform notarial acts. In the event of his incapacity to personally appear, the submission of the notice may be performed by his duly authorized representative. Sec. 3. Publication of Resignation. - The Executive Judge shall immediately order the Clerk of Court to post in a conspicuous place in the offices of the Executive Judge and of the Clerk of Court the names of notaries public who have resigned their notarial commissions and the effective dates of their resignation. RULE XI REVOCATION OF COMMISSION AND DISCIPLINARY SANCTIONS Sec. 1. Revocation and Administrative Sanctions. – (a) The Executive Judge shall revoke a notarial commission for any ground on which an application for a commission may be denied. (b) In addition, the Executive Judge may revoke the commission of, or impose appropriate administrative sanctions upon, any notary public who: (1) fails to keep a notarial register; (2) fails to make the proper entry or entries in his notarial register concerning his notarial acts; (3) fails to send the copy of the entries to the Executive Judge within the first ten (10) days of the month following; (4) fails to affix to acknowledgments the date of expiration of his commission; (5) fails to submit his notarial register, when filled, to the Executive Judge; (6) fails to make his report, within a reasonable time, to the Executive Judge concerning the performance of his duties, as may be required by the judge; (7) fails to require the presence of a principal at the time of the notarial act;

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(8) fails to identify a principal on the basis of personal knowledge or competent evidence; (9) executes a false or incomplete certificate under Section 5, Rule IV; (10) knowingly performs or fails to perform any other act prohibited or mandated by these Rules; and (11) commits any other dereliction or act which in the judgment of the Executive Judge constitutes good cause for revocation of commission or imposition of administrative sanction. (c) Upon verified complaint by an interested, affected or aggrieved person, the notary public shall be required to file a verified answer to the complaint. If the answer of the notary public is not satisfactory, the Executive Judge shall conduct a summary hearing. If the allegations of the complaint are not proven, the complaint shall be dismissed. If the charges are duly established, the Executive Judge shall impose the appropriate administrative sanctions. In either case, the aggrieved party may appeal the decision to the Supreme Court for review. Pending the appeal, an order imposing disciplinary sanctions shall be immediately executory, unless otherwise ordered by the Supreme Court. (d) The Executive Judge may motu proprio initiate administrative proceedings against a notary public, subject to the procedures prescribed in paragraph (c) above and impose the appropriate administrative sanctions on the grounds mentioned in the preceding paragraphs (a) and (b). Sec. 2. Supervision and Monitoring of Notaries Public. - The Executive Judge shall at all times exercise supervision over notaries public and shall closely monitor their activities. Sec. 3. Publication of Revocations and Administrative Sanctions. - The Executive Judge shall immediately order the Clerk of Court to post in a conspicuous place in the offices of the Executive Judge and of the Clerk of Court the names of notaries public who have been administratively sanctioned or whose notarial commissions have been revoked. Sec. 4. Death of Notary Public. - If a notary public dies before fulfilling the obligations in Section 4(e), Rule VI and Section 2(e), Rule VII, the Executive Judge, upon being notified of such death, shall forthwith cause compliance with the provisions of these sections. RULE XII SPECIAL PROVISIONS Sec. 1. Punishable Acts. - The Executive Judge shall cause the prosecution of any person who: (a) knowingly acts or otherwise impersonates a notary public; (b) knowingly obtains, conceals, defaces, or destroys the seal, notarial register, or official records of a notary public; and (c) knowingly solicits, coerces, or in any way influences a notary public to commit official misconduct.

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LEGAL ETHICS Sec. 2. Reports to the Supreme Court. - The Executive Judge concerned shall submit semestral reports to the Supreme Court on discipline and prosecution of notaries public. RULE XIII REPEALING AND EFFECTIVITY PROVISIONS Sec. 1. Repeal. - All rules and parts of rules, including issuances of the Supreme Court inconsistent herewith, are hereby repealed or accordingly modified. Sec. 2. Effective Date. - These Rules shall take effect on the first day of August 2004, and shall be published in a newspaper of general circulation in the Philippines which provides sufficiently wide circulation. Promulgated this 6th day of July, 2004.

B.M. No. 850 August 22, 2000 MANDATORY CONTINUING LEGAL EDUCATION (MCLE) ADOPTING THE RULES ON MANDATORY CONTINUING LEGAL EDUCATION FOR MEMBERS OF THE INTEGRATED BAR OF THE PHILIPPINES

RULE 3 COMPLIANCE PERIOD Sec. 1. Initial compliance period. The initial compliance period shall begin not later than three (3) months from the constitution of the MCLE Committee. Except for the initial compliance period for members admitted or readmitted after the establishment of the program, all compliance periods shall be for thirty-six (36) months and shall begin the day after the end of the previous compliance period. Sec. 2. Compliance Group 1. Members in the National Capital Region (NCR) or Metro Manila shall be permanently assigned to Compliance Group 1. Sec. 3. Compliance Group 2. Members in Luzon outside NCR shall be permanently assigned to Compliance Group 2.

EN BANC RESOLUTION Considering the Rules on Mandatory Continuing Legal Education (MCLE) for members of the Integrated Bar of the Philippines (IBP), recommended by the IBP, endorsed by the Philippine Judicial Academy, and reviewed and passed upon by the Supreme Court Committee on Legal Education, the Court hereby resolves to adopt, as it hereby adopts, the following rules for proper implementation: RULE 1 PURPOSE Sec. 1. Purpose of the MCLE. Continuing legal education is required of members of the Integrated Bar of the Philippines (IBP) to ensure that throughout their career, they keep abreast with law and jurisprudence, maintain the ethics of the profession and enhance the standards of the practice of law. RULE 2 MANDATORY CONTINUING LEGAL EDUCATION Sec. 1. Constitution of the MCLE Committee. Within two (2) months from the approval of these Rules by the Supreme Court En Banc, the MCLE Committee shall be constituted in accordance with these Rules. Sec. 2. Requirements of completion of MCLE. Members of the IBP not exempt under Rule 7 shall complete, every three (3) years, at least thirty-six (36) hours of continuing legal education activities approved by the MCLE Committee. Of the 36 hours: (a) At least six (6) hours shall be devoted to legal ethics. (b) At least (4) hours shall be devoted to trial and pretrial skills. 100% UP LAW

(c) At least five (5) hours shall be devoted to alternative dispute resolution. (d) At least nine (9) hours shall be devoted to updates on substantive and procedural laws, and jurisprudence. (e) At least four (4) hours shall be devoted to legal writing and oral advocacy. (f) At least two (2) hours shall be devoted to international law and international conventions. (g) The remaining six (6) hours shall be devoted to such subjects as may be prescribed by the MCLE Committee.

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Sec. 4. Compliance Group 3. Members in Visayas and Mindanao shall be permanently assigned to Compliance Group 3. Sec. 5. Compliance period for members admitted or readmitted after establishment of the program. Members admitted or readmitted to the Bar after the establishment of the program shall 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. (a) Where four (4) 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. (b) Where more than four (4) 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. RULE 4 COMPUTATION OF CREDIT UNITS

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LEGAL ETHICS Sec. 1. Guidelines The following are the guidelines for computation of credit units (CU): PROGRAMS; CREDIT UNITS; SUPPORTING DOCUMENTS 1. SEMINARS, CONVENTIONS, CONFERENCES, SYMPOSIA, IN-HOUSE EDUCATION PROGRAMS, WORKSHOPS, DIALOGUES, ROUND TABLE DISCUSSIONS BY APPROVED PROVIDERS UNDER RULE 7 AND OTHER RELATED RULES PARTICIPANT 1 CU PER HOUR CERTIFICATE OF ATTENDANCE WITH NUMBER OF HOURS 1.2 LECTURER 5 CU PER HOUR PHOTOCOPY OF PLAQUE OR SPONSOR'S CERTIFICATION RESOURCE 3 CU PER HOUR PHOTOCOPY OF PLAQUE OR SPONSOR'S SPEAKER CERTIFICATION ASSIGNED 2 CU PER HOUR CERTIFICATION FROM SPONSORING PENALIST/ ORGANIZATION REACTOR/COMMENTATOR MODERATOR/ 2 CU PER HOUR CERTIFICATION FROM SPONSORING COORDINATOR/ ORGANIZATION FACILITATOR 2. AUTHORSHIP, EDITING AND REVIEW RESEARCH/ 5-10 CREDIT UNITS DULY CERTIFIED/PUBLISHED INNOVATIVE TECHNICAL REPORT/PAPER PROGRAM/CREATIVE PROJECT BOOK 50-100 PP 101+ PUBLISHED BOOK SINGLE AUTHOR 12-16 CU 17-20 CU 2 AUTHORS 10-12 CU 13-16 CU 3 OR MORE 5-6 CU 7-11 CU BOOK EDITOR 1/2 OF THE CU OF PUBLISHED BOOK WITH PROOF AUTHORSHIP AS EDITOR CATEGORY LEGAL ARTICLE 5-10 PP 11+ PUBLISHED ARTICLE SINGLE AUTHOR 6 CU 8 CU 2 AUTHORS 4 CU 6 CU 3 OR MORE 2 CU 4 CU LEGAL 3-6 CU PER ISSUE PUBLISHED NEWSLETTER/JOURNAL NEWSLETTER/LAW JOURNAL EDITOR 3. PROFESSIONAL 6 CU PER CHAIR CERTIFICATION OF LAW DEAN CHAIR/BAR 1 CU PER LECTURE OR BAR REVIEW DIRECTOR REVIEW/ HOUR LECTURE/LAW TEACHING Sec. 2. Limitation on certain credit units. In numbers 2 and 3 of the guidelines in the preceding Section, the total maximum credit units shall not exceed twenty (20) hours per three (3) years. RULE 5 CATEGORIES OF CREDIT Sec. 1. Classes of credits The credits are either participatory or non-participatory. Sec. 2. Claim for participatory credit. Participatory credit may be claimed for: (a) Attending approved education activities like seminars, conferences, symposia, in-house education programs, workshops, dialogues or round table discussions. (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.

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Sec. 3. Claim for non-participatory credit Nonparticipatory credit may be claimed per compliance period for: (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. (b) Editing a law book, law journal or legal newsletter. RULE 6 COMPUTATION OF CREDIT HOURS Sec. 1. Computation of credit hours. Credit hours are computed based on actual time spent in an activity (actual instruction or speaking time), in hours to the nearest one-quarter hour. RULE 7 EXEMPTIONS Sec. 1. Parties exempted from the MCLE. The following members of the Bar are exempt from the MCLE requirement: (a) The President and the Vice President of the Philippines, and the Secretaries and Undersecretaries of Executives Departments; (b) Senators and Members of the House of Representatives; (c) 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, incumbent members of the Mandatory Continuing Legal Education Committee, incumbent court lawyers who have availed of the Philippine Judicial Academy program of continuing judicial education; (as amended by July 14, 2004 Resolution of the SC en banc) (d) The Chief State Counsel, Chief State Prosecutor and Assistant Secretaries of the Department of Justice; (e) The Solicitor General and the Assistant Solicitor General; (f) The Government Corporate Counsel, Deputy and Assistant Government Corporate Counsel; (g) The Chairmen and Members of the Constitutional Commissions; (h) The Ombudsman, the Overall Deputy Ombudsman, the Deputy Ombudsmen and the Special Prosecutor of the Office of the Ombudsman; (i) Heads of government agencies exercising quasi-judicial functions; (j) Incumbent deans, bar reviews and professors of law who have teaching experience for at least 10 years accredited law schools; (k) The Chancellor, Vice-Chancellor and members of the Corps of Professors and Professorial Lectures of the Philippine Judicial Academy; and (l) Governors and Mayors. Sec. 2. Other parties exempted from the MCLE. The following Members of the Bar are likewise exempt: (a) Those who are not in law practice, private or public. (b) Those who have retired from law practice with the approval of the IBP Board of Governors.

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LEGAL ETHICS Sec. 3. Good cause for exemption from or modification of requirement. A member may file a verified request setting forth good cause for exemption (such as physical disability, illness, post graduate study abroad, proven expertise in law, etc.) from compliance with or modification of any of the requirements, including an extension of time for compliance, in accordance with a procedure to be established by the MCLE Committee. Sec. 4. Change of status. The compliance period shall begin on the first day of the month in which a member ceases to be exempt under Sections 1, 2, or 3 of this Rule and shall end on the same day as that of all other members in the same Compliance Group. Sec. 5. Proof of exemption. Applications for exemption from or modification of the MCLE requirement shall be under oath and supported by documents. RULE 8 STANDARDS ACTIVITIES

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Sec. 1. Approval of MCLE program. Subject to the rules as may be adopted by the MCLE Committee, continuing legal education program may be granted approval in either of two (2) ways: (1) the provider of the activity is an approved provider and certifies that the activity meets the criteria of Section 3 of this Rules; and (2) the provider is specially mandated by law to provide continuing legal education. Sec. 2. Standards for all education activities. All continuing legal education activities must meet the following standards: (a) The activity shall have significant current intellectual or practical content. (b) The activity shall constitute an organized program of learning related to legal subjects and the legal profession, including cross profession activities (e.g., accounting-tax or medical-legal) that enhance legal skills or the ability to practice law, as well as subjects in legal writing and oral advocacy. (c) The activity shall be conducted by a provider with adequate professional experience. (d) Where the activity is more than one (1) hour in length, substantive written materials must be distributed to all participants. Such materials must be distributed at or before the time the activity is offered. (e) In-house education activities must be scheduled at a time and location so as to be free from interruption like telephone calls and other distractions. RULE 9 APPROVAL OF PROVIDERS Sec 1. Approval of providers. Approval of providers shall be done by the MCLE Committee. Sec. 2. Requirements for approval of providers. Any persons or group may be approved as a provider for a term of two (2) years, which may be renewed, upon written application. All providers of continuing legal education activities, including inhouse providers, are eligible to be approved providers. Application for approval shall: (a) Be submitted on a form provided by the IBP; 100% UP LAW

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(b) Contain all information requested on the form; (c) Be accompanied by the approval fee; Sec. 3. Requirements of all providers. All approved providers shall agree to the following: (a) An official record verifying the attendance at the activity shall be maintained by the provider for at least four (4) years after the completion date. The provider shall include the member on the official record of attendance only if the member's signature was obtained at the time of attendance at the activity. The official record of attendance shall contain the member's name and number in the Roll of Attorneys and shall identify the time, date, location, subject matter, and length of the education activity. A copy of such record shall be furnished the IBP. (b) The provider shall certify that: (1) This activity has been approved for MCLE by the IBP in the amount of ________ hours of which hours will apply in (legal ethics, etc.), as appropriate to the content of the activity; (2) The activity conforms to the standards for approved education activities prescribed by these Rules and such regulations as may be prescribed by the IBP pertaining to MCLE. (c) The provider shall issue a record or certificate to all participants identifying the time, date, location, subject matter and length of the activity. (d) The provider shall allow in-person observation of all approved continuing legal education activities by members of the IBP Board of Governors, the MCLE Committee, or designees of the Committee and IBP staff for purposes of monitoring compliance with these Rules. (e) The provider shall indicate in promotional materials, the nature of the activity, the time devoted to each devoted to each topic and identify of the instructors. The provider shall make available to each participant a copy of IBP-approved Education Activity Evaluation Form. (f) The provider shall maintain the completed Education Activity Evaluation Forms for a period of not less than one (1) year after the activity, copy furnished the IBP. (g) Any person or group who conducts an unauthorized activity under this program or issues a spurious certificate in violation of these Rules shall be subject to appropriate sanctions. Sec. 4. Renewal of provider approval. The approval of a provider may be renewed every two (2) years. It may be denied if the provider fails to comply with any of the requirements of these Rules or fails to provide satisfactory education activities for the preceding period. Sec. 5. Revocation of provider approval. The approval of any provider referred to in Rule 9 may be revoked by a majority vote of the IBP Board of Governors, upon recommendation of the MCLE Committee, after notice and hearing and for good cause. RULE 10 ACTIVITY AND PROVIDER APPROVAL FEE Sec. 1. Payment of fees. Application for approval of an education activity or as a provider requires payment of an appropriate fee.

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LEGAL ETHICS RULE 11 GENERAL COMPLIANCE PROCEDURES Sec. 1. Compliance card. Each member shall secure from the MCLE Committee a Compliance Card before the end of his compliance period. He shall complete the card by attesting under oath that he has complied with the education requirement or that he is exempt, specifying the nature of the exemption. Such Compliance Card must be returned to the address indicated therein not later than the day after the end of the member's compliance period. Sec. 2. Member record keeping requirement. Each member shall maintain sufficient record of compliance or exemption, copy furnished the MCLE Committee. The record required to be provided to the members by the provider pursuant to Section 3(c) of Rule 9 should be sufficient record of attendance at a participatory activity. A record of non-participatory activity shall also be maintained by the member, as referred to in Section 3 of Rule 5. RULE 12 NON-COMPLIANCE PROCEDURES Sec. 1. What constitutes non-compliance. The following shall constitute non-compliance (a) Failure to complete the education requirement within the compliance period; (b) Failure to provide attestation of compliance or exemption; (c) Failure to provide satisfactory evidence of compliance (including evidence of exempt status) within the prescribed period; (d) Failure to satisfy the education requirement and furnish evidence of such compliance within sixty (60) days from receipt of a noncompliance notice; (e) Any other act or omission analogous to any of the foregoing or intended to circumvent or evade compliance with the MCLE requirements. Sec. 2. Non-compliance notice and 60-day period to attain compliance. A member failing to comply will receive a Non-Compliance Notice stating the specific deficiency and will be given sixty (60) days from the date of notification to explain the deficiency or otherwise show compliance with the requirements. Such notice shall contain, among other things, the following language in capital letters: YOUR FAILURE TO PROVIDE ADEQUATE JUSTIFICATION FOR NON-COMPLIANCE OR PROOF OF COMPLIANCE WITH THE MCLE REQUIREMENT BY (INSERT DATE 60 DAYS FROM THE DATE OF NOTICE), SHALL BE A CAUSE FOR LISTING AS A DELINQUENT MEMBER. The Member may use this period to attain the adequate number of credit hours for compliance. Credit hours earned during this period may only be counted toward compliance with the prior compliance period requirement unless hours in excess of the requirement are earned, in which case, the excess hours may be counted toward meeting the current compliance period requirement. RULE 13 CONSEQUENCES OF NON-COMPLIANCE

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Sec. 1. Non-compliance fee. A member who, for whatever reason, is in non-compliance at the end of the compliance period shall pay a noncompliance fee. Sec. 2. Listing as delinquent member. Any member who fails to satisfactorily comply with Section 2 of Rule 12 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 of the Rules of Court shall apply. RULE 14 REINSTATEMENT Sec. 1. Process. The involuntary listing as a delinquent member shall be terminated when the member provides proof of compliance with the MCLE requirement, including payment of noncompliance fee. A member may attain the necessary credit hours to meet the requirement for the period of non-compliance during the period the member is on inactive status. These credit hours may not be counted toward meeting the current compliance period requirement. Credit hours attained during the period of non-compliance in excess of the number needed to satisfy the prior compliance period requirement may be counted toward meeting the current compliance period requirement. Sec. 2. Termination of delinquent listing administrative process. The termination of listing as a delinquent member is administrative in nature but it shall be made with notice and hearing by the MCLE Committee. RULE 15 MANDATORY COMMITTEE

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Sec 1. Composition. The MCLE Committee shall be composed of five (5) members, namely: a retired Justice of the Supreme Court, as Chair, and four (4) members, respectively, nominated by the IBP, the Philippine Judicial Academy, a law center designated by the Supreme Court and associations of law schools and/or law professors. The members of the Committee shall be of proven probity and integrity. They shall be appointed by the Supreme Court for a term of three (3) years and shall receive such compensation as may be determined by the Court. Sec. 2. Duty of the Committee. The MCLE Committee shall administer and adopt such implementing rules as may be necessary subject to the approval by the Supreme Court. It shall, in consultation with the IBP Board of Governors, prescribe a schedule of MCLE fees with the approval of the Supreme Court. Sec. 3. Staff of the IBP. The IBP shall employ such staff as may be necessary to perform the recordkeeping, auditing, reporting, approval and other necessary functions. Sec. 4. Submission of annual budget. The IBP shall submit to the Supreme Court an annual budget for a subsidy to establish, operate and maintain the MCLE Program. This resolution shall take effect in October 2000, following its publication in two (2) newspaper of general circulation in the Philippines. 2008

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LEGAL ETHICS 4. Effectivity Date- This Circular shall take effect on January 1, 1992.

Adopted this 22nd day of August, 2000.

September 4, 1991. (Sgd.) MARCELO B. FERNAN Chief Justice

CIRCULAR NO. 28-91

TO: THE INTEGRATED BAR OF THE PHILIPPINES, ALL OTHER BAR ASSOCIATIONS, THE OFFICE OF THE SOLICITOR GENERAL AND THE DEPARTMENT OF JUSTICE SUBJECT: ADDITIONAL REQUISITES FOR PETITIONS FILED WITH THE SUPREME COURT AND THE COURT OF APPEALS TO PREVENT FORUM SHOPPING OR MULTIPLE FILING OF PETITIONS AND COMPLAINTS The attention of the Court has been called to the filing of multiple petitions and complaints involving the same issues in the Supreme Court, the Court of Appeals or different Divisions thereof, or any other tribunal or agency, with the result that said tribunals or agency have resolve the same issues. To avoid the foregoing, every petition or complaint filed with the Supreme Court, the Court of Appeals, or different Divisions thereof, or any other tribunal or agency, shall comply with the following requirements, aside from pertinent provisions of the Rules of Court and existing circulars: 1. Caption of petition or complaint. – the caption of the petition or complaint must include the docket number of the case in the lower court of quasijudicial agency whose order or judgment is sought to be reviewed. 2. Certification. – the party must certify under oath that he has not commenced any other action or proceeding involving the same issues in the Supreme Court, the Court of Appeals, or different Divisions thereof, or any other tribunal or agency, and that to the best of his knowledge, no such action or proceeding is pending in the Supreme Court, the Court of Appeals, or different Divisions thereof, or any other tribunal or agency. If there is any other action pending, he must state the status of the same. If he should learn that a similar action or proceeding has been filed or is pending before the Supreme Court, the Court of Appeals, or different Divisions thereof, or any other tribunal or agency, he should notify the court, tribunal or agency within five (5) days from such notice. 3. Penalties. – (a) Any violation of this Circular shall be a cause for the summary dismissal of the, multiple petition or complaint; (b) Any willful and deliberate forum shopping by any party and his lawyer with the filing of multiple petitioners or complaints to ensure favorable action shall constitute direct contempt of court. (c) The submission of a false certification under Par. 2 of the Circular shall likewise constitute contempt of Court, without prejudice to the filing of criminal action against the guilty party. The lawyer may also be subjected to disciplinary proceedings.

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P.D. 1829. (1981)

PENALIZING OBSTRUCTION OF APPREHENSION AND PROSECUTION OF CRIMINAL OFFENDERS WHEREAS, crime and violence continue to proliferate despite the sustained vigorous efforts of the government to effectively contain them; WHEREAS, to discourage public indifference or apathy towards the apprehension and prosecution of criminal offenders, it is necessary to penalize acts which obstruct or frustrate or tend to obstruct or frustrate the successful apprehension and prosecution of criminal offenders; NOW, THEREFORE, I, FERDINAND, E. MARCOS, President of the Philippines, by virtue of the powers vested in me by law do hereby decree and order the following: Section 1. The penalty of prision correccional in its maximum period, or a fine ranging from 1,000 to 6,000 pesos, or both, shall be imposed upon any person who knowingly or willfully obstructs, impedes, frustrates or delays the apprehension of suspects and the investigation and prosecution of criminal cases by committing any of the following acts: (a) preventing witnesses from testifying in any criminal proceeding or from reporting the commission of any offense or the identity of any offender/s by means of bribery, misrepresentation, deceit, intimidation, force or threats; (b) altering, destroying, suppressing or concealing any paper, record, document, or object, with intent to impair its verity, authenticity, legibility, availability, or admissibility as evidence in any investigation of or official proceedings in, criminal cases, or to be used in the investigation of, or official proceedings in, criminal cases; (c) harboring or concealing, or facilitating the escape of, any person he knows, or has reasonable ground to believe or suspect, has committed any offense under existing penal laws in order to prevent his arrest prosecution and conviction; (d) publicly using a fictitious name for the purpose of concealing a crime, evading prosecution or the execution of a judgment, or concealing his true name and other personal circumstances for the same purpose or purposes; (e) delaying the prosecution of criminal cases by obstructing the service of process or court orders or disturbing proceedings in the fiscal's offices, in Tanodbayan, or in the courts; (f) making, presenting or using any record, document, paper or object with knowledge of its falsity and with intent to affect the course or outcome of the investigation of, or official proceedings in, criminal cases;

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LEGAL ETHICS (g) soliciting, accepting, or agreeing to accept any benefit in consideration of abstaining from, discounting, or impeding the prosecution of a criminal offender; (h) 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; (i) 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. If any of the acts mentioned herein is penalized by any other law with a higher penalty, the higher

Sec. 2. As used in this Act, the term "indigent" shall refer to 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. Sec. 3. An indigent who is the offended party, respondent or an accused in a criminal case and who desires to avail of the preference granted under this Act shall file a sworn statement of the fact of his being indigent and the said sworn statement shall be sufficient basis for the court or fiscal to give preference to the trial and disposition of such criminal case. Sec. 4. Any willful or malicious refusal on the part of any fiscal or judge to carry out the provisions of this Act shall constitute sufficient ground for disciplinary action which may include suspension or removal. Sec. 5. This Act shall take effect upon its approval. Approved: August 4, 1969

penalty shall be imposed. Sec. 2. If any of the foregoing acts is committed by a public official or employee, he shall in addition to the penalties provided thereunder, suffer perpetual disqualification from holding public office. Sec. 3. This Decree shall take effect immediately. Done in the City of Manila, this 16th day of January, in the year of Our Lord, nineteen hundred and eighty-one.

R.A. 6033 (1969)

AN ACT REQUIRING COURTS TO GIVE PREFERENCE TO CRIMINAL CASES WHERE THE PARTY OR PARTIES INVOLVE ARE INDIGENTS. Sec. 1. Any provision of existing law to be contrary notwithstanding and with the exception of habeas corpus and election cases and cases involving detention prisoners, and persons covered by Republic Act Numbered Four thousand nine hundred eight, 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. The trial in these cases shall commence within three days from date of arraignment and no postponement of the hearings shall be granted except on the ground of illness of the accused or other similar justifiable grounds. City and provincial fiscals and courts shall forthwith conduct the preliminary investigation of a criminal case involving an indigent within three days after its filing and shall terminate the same within two weeks. 100% UP LAW

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RA 6034 (1969)

AN ACT PROVIDING TRANSPORTATION AND OTHER ALLOWANCES FOR INDIGENT LITIGANTS. Sec. 1. Any provision of existing law to the contrary notwithstanding, 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. 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. For the purpose of this Act, indigent litigants shall include anyone who has no visible means of income or whose income is insufficient for his family as determined by the Court under Section 2, hereof. Sec. 2. If the court determines that the petition for transportation allowance is meritorious, said court shall immediately issue an order directing the provincial, city or municipal treasurer to pay the indigent litigant the travel allowance out of any funds in his possession and proceed without delay to the trial of the case. The provincial, city or municipal treasurer shall hold any such payments as cash items until reimbursed by the national government. Sec. 3. All payments of travel allowances made by provincial, city and municipal treasurer under this Act as of October 31 each year, shall be 2008

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LEGAL ETHICS transmitted to the Commissioner of the Budget not later than November 30 each year for inclusion in the annual General Appropriations Act. The necessary sum is hereby authorized to be appropriated out of the funds in the National Treasury not otherwise appropriated. Sec. 4. This Act shall take effect upon its approval. Approved: August 4, 1969

have pending cases in any fiscal office, court, or quasi-judicial body or administrative tribunal. Sec. 5. The Department of Justice shall prescribe such rules and regulations as may be necessary to carry out the purposes of this Act, and the Department Head concerned shall provide the necessary supplies and authorize the use of government equipment by the stenographers concerned. Sec. 6. This Act shall take effect upon its approval. Approved: August 4, 1969.

RA 6035 (1969) P.D. 543 (1974) AN ACT REQUIRING STENOGRAPHERS TO GIVE FREE TRANSCRIPT OF NOTES TO INDIGENT AND LOW INCOME LITIGANTS AND PROVIDING A PENALTY FOR THE VIOLATION THEREOF. Sec. 1. 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. Sec. 2. A litigant who desires to avail himself of the privilege granted under Section one hereof shall, at the investigation, hearing, or trial, establish his status as an indigent or low income litigant and the investigating fiscal or judge or commissioner or tribunal hearing the case shall resolve the same in the same proceeding. For the purpose of this Act, an "indigent or low income litigant" shall include anyone who has no visible means of support or whose income does not exceed P300 per month or whose income even in excess of P300 per month is insufficient for the subsistence of his family, which fact shall be determined by the investigating fiscal or trial judge or commissioner or tribunal hearing the case taking into account the number of the members of his family dependent upon him for subsistence. Sec. 3. Any stenographer who, after due hearing in accordance with the pertinent provisions of R.A. 2260, as amended, has been found to have violated the provisions of Section one of this Act or has unreasonable delayed the giving of a free certified transcript of notes to an indigent or low income litigant shall be subject to the following disciplinary actions: b. suspension from office for a period not exceeding thirty (30) days upon finding of guilt for the first time; c. (b) suspension from office for not less than thirty (30) days and not more than sixty (60) days upon finding of guilt for the second time; and d. removal from office upon finding of guilt for the third time. Sec. 4. This Act shall apply to all indigent or low income litigants who, at the time of its approval, 100% UP LAW

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AUTHORIZING THE DESIGNATION OF MUNICIPAL JUDGES AND LAWYERS IN ANY BRANCH OF THE GOVERNMENT SERVICE TO ACT AS COUNSEL DE OFICIO FOR THE ACCUSED WHO ARE INDIGENT IN PLACES WHERE THERE ARE NO AVAILABLE PRACTICING ATTORNEYS WHEREAS, under existing law, Municipal Judges and other lawyers in the government service are prohibited from practicing law; WHEREAS, there are some places where there are no available legal practitioners, as a result of which the trial of cases in court is delayed to the prejudice particularly of detention prisoners; WHEREAS, for the protection of the rights of the accused who cannot afford to hire lawyers from other places and to prevent miscarriage of justice, it is necessary that they be provided with counsel; NOW, THEREFORE, I, FERDINAND E. MARCOS, President of the Philippines, by virtue of the powers in me vested by the Constitution as commander-inChief of the Armed Forces of the Philippines, and pursuant to Proclamation No. 1081, dated September 21, 1972, and General Order No. 1, dated September 22, 1972, as amended, do hereby order and decree as follows: Sec. 1. Designation of Municipal Judges and lawyers in any branch of the government service, as counsel de oficio. In places where there are no available practicing lawyers, the District Judge or Circuit Criminal Court Judge shall designate a municipal judge or a lawyer employed in any branch, subdivision or instrumentality of the government within the province, as counsel de oficio for an indigent person who is facing a criminal charge before his court, and the services of such counsel de oficio shall be duly compensated by the Government in accordance with Section thirty-two, Rule One Hundred Thirty Eight of the Rules of Court. If the criminal case wherein the services of a counsel de oficio are needed is pending before a City or municipal court, the city or municipal judge concerned shall immediately recommend to the nearest District Judge the appointment of a counsel de oficio, and the District Judge shall forthwith appoint one in accordance with the preceding paragraph. For purposes of this Decree an indigent person is anyone who has no visible means of support or 2008

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LEGAL ETHICS When a defendant appears in court solely for the purpose of objecting to the jurisdiction of the court over his person. The aim is simply the dismissal of the case on the ground of lack of jurisdiction. If the defendant seeks other reliefs, the appearance, even if qualified by the word special, is equivalent to a general appearance.

whose income does not exceed P300 per month or whose income even in excess of P300 is insufficient for the subsistence of his family, which fact shall be determined by the Judge in whose court the case is pending, taking into account the number of the members of his family dependent upon him for subsistence. Sec. 2. Repealing Clause. All laws and decrees inconsistent with this Decree are hereby repealed. Section 3. Effectivity. This Decree shall take effect immediately. DONE in the City of Manila, this 21st day of August, in the year of Our Lord, nineteen hundred and seventy-four.

ATTORNEY AD HOC A person named appointed by the court to defend an absentee defendant in the suit in which the appointment is made.

GLOSSARY OF TERMS

ATTORNEY-AT-LAW That class of persons who are licensed officers of the courts empowered to appear, prosecute and defend, and upon whom peculiar duties, responsibilities and liabilities are developed by law as a consequence.

ADMONITION A form of disciplinary measure which consists of a gentle or friendly reproof, mild rebuke, warning or reminder, counseling, on a fault, error or oversight; an expression of authoritative advice.

ATTORNEY IN FACT He is simply an agent whose authority is strictly limited by the instrument appointing him. His authority is provided in a special power of attorney or general power of attorney or letter of attorney. He is not necessarily a lawyer.

AMBULANCE CHASER A lawyer who haunts hospitals and visits the homes of the afflicted, officiously intruding their presence and persistently offering his service on the basis of a contingent.

ATTORNEY OF RECORD The attorney whose name is entered in the records of an action or suit as the lawyer of a designated party thereto. (1999 BAR EXAMS)

AMBULANCE CHASING A lawyer’s act of chasing the victims of an accident for the purpose of talking to the same victim or the latter’s relatives and offering his legal services for the filing of the case against the person who caused the accident. (1993 BAR EXAMS) AMICUS CURIAE (Plural: Amici Curiae) An experienced and impartial attorney invited by the court to appear and help in the disposition of the issues submitted to it. It implies friendly intervention of counsel to call the attention of the court to some matters of law or fact which might otherwise escape its notice and in regard to which it might go wrong. An amicus curiae appears in court not to represent any particular party but only to assist the court. (1993, 1996, 1998 BAR EXAMS) AMICUS CURIAE PAR EXCELLENCE Bar associations who appear in court as amici curiae or friends of the court. Acts merely as a consultant to guide the court in a doubtful question or issue pending before it. APPEARANCE The coming into court as a party either as a plaintiff or as a defendant and asking relief therefrom. a) GENERAL APPEARANCE When the party comes to court either as a plaintiff or as a defendant and seeks general reliefs from the court for satisfaction of his claims or counterclaims respectively. b) SPECIAL APPEARANCE

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ATTORNEY’S FEES a) Ordinary: an attorney’s fee is the reasonable compensation paid to a lawyer for the legal services he has rendered to client. Basis is employment by client b) Extraordinary: an attorney’s fee is an indemnity for damages ordered by court to be paid by losing party to the prevailing party in litigation; payable not to lawyer but to the client, unless otherwise agreed upon; also known as attorney’s fee as damages BAR AND BENCH Bar refers to the whole body of attorneys and counselors collectively, the members of the legal profession. Bench denotes the whole body of judges. BAR ASSOCIATION An association of members of the legal profession like the IBP where membership is integrated or compulsory. BARRATRY Offense of frequently inciting and stirring up quarrels and suits. The lawyer’s acts of fomenting suits among individuals and offering legal services to one of them. (1993 BAR EXAMS) CENSURE Official reprimand CHAMPERTOUS CONTRACT One where the lawyer agrees to conduct the litigation on his own account and to pay the expenses thereof, and to receive as his fee a portion of the proceeds of the judgment. It is contrary to public policy and invalid because it 2008

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LEGAL ETHICS violates the fiduciary relationship between the lawyer and his client. (Bautista vs. Gonzales, 182 SCRA 151, 1990) (1990, 2000 BAR EXAMS) CHAMPERTY A bargain by a stranger (the lawyer) with a party to a suit (the client) by which such third person undertakes to carry on the litigation at his own expense and risk, in consideration of receiving, if successful, a part of the proceeds or subject sought to be recovered. CHARGING LIEN It is an equitable right to have the fees and lawful disbursements due a lawyer for his services in a suit secured to him out of the judgment for the payment of money and execution issued in pursuance thereof in the particular suit. (1994 BAR EXAMS) CLIENT One who engages the services of a lawyer for legal advice or for purposes of prosecuting or defending a suit in his behalf and usually for a fee. COMPETENCE Sufficiency of lawyer’s qualifications to deal with the matter in question and includes knowledge and skill and the ability to use them effectively in the interest of the client. 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. CONTINGENT FEE Fee that is conditioned on the securing of a favorable judgment and recovery of money or property and the amount of which may be on a percentage basis CONTINGENT FEE CONTRACT It is an agreement in which 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. It is a valid agreement. It is different from a champertous contract in that the lawyer does not undertake to shoulder the expenses of the litigation. (1990, 2000, 2002 BAR EXAMS) COUNSEL/ATTORNEY DE OFICIO An attorney appointed by the court to defend an indigent defendant in a criminal action. In a criminal action, if the defendant appears without an attorney, he must be informed by the court that it is his right to have an attorney before being arraigned and must be asked if he desires the aid of an attorney. If he desires and is unable to employ an attorney, the court must assign a counsel de oficio to defend him. He is also designated as counsel of indigent litigants. The appointment of a counsel de oficio in that instance is a matter of right on the part of the defendant.

shown by the certificate of the clerk of court of the trial court, a defendant is (a) confined in prison (b) without means to employ an attorney (c) desires to be defended de oficio COURT

A board or other tribunal which decides a litigation or contest DE FACTO JUDGE An officer who is not fully invested with all the powers and duties conceded to judges, but exercising the office of a judge under some color of right DE JURE JUDGE One who is exercising the office of a judge as a matter of right; an officer of a court who has been duly and legally appointed DILIGENCE It is “the attention and care required of a person in a given situation and is the opposite of negligence” (Edquibal vs. Ferrer, 450 SCRA 406) DIRECT CONTEMPT Consists of misbehavior in the presence of or near a court or judge as to interrupt or obstruct the proceedings before the court or the administration of justice. DISBARMENT It is the act of the Philippine Supreme Court in withdrawing from an attorney the right to practice law. The name of the lawyer is stricken out from the roll of attorneys. DISHONEST ACT It is an act of lying or cheating (Agpalo) EXECUTIVE JUDGE Refers to the Executive Judge of the Regional Trial Court of a city or province who issues a notarial commission. (2004 Rules on Notarial Practice) FIDUCIARY DUTY The principle that an attorney derives no undue advantage that may operate to the prejudice or cause an occasion for loss of a client. FIXED OR ABSOLUTE FEE Payable regardless of the result of the case. FORUM SHOPPING The act of filing repetitious suits in different courts. It is committed through the following: 1) Going from one court to another in the hope of securing a favorable relief in one court, which another court has denied. 2) Filing repetitious suits or proceedings in different courts concerning the same subject matter after one court has decided the suit with finality. 3) Filing a similar case in a judicial court after receiving an unfavorable judgment from an administrative tribunal. (1991, 1997, 1998, 2002 BAR EXAMS)

On appeal in a criminal case, the appellate court must also appoint a counsel de oficio if, as

GOOD MORAL CHARACTER It is the absence of a proven conduct or act which has been historically and traditionally

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LEGAL ETHICS considered as a manifestation of moral turpitude. The act or conduct showing moral turpitude 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. GOOD REPUTATION It is the opinion generally entertained of a person, the estimate in which he is held by the public in the place where he is known (subjective). GROSS IMMORALITY A grossly immoral act is one that is so corrupt and false as to constitute a criminal act or so unprincipled or disgraceful as to be reprehensible to a high degree. HOUSE COUNSEL (or IN-HOUSE COUNSEL) One who acts as attorney for business though carried as an employee of that business and not as an independent lawyer 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. INDIRECT OR CONSTRUCTIVE CONTEMPT One committed away from the court involving disobedience of or resistance to a lawful writ, process, order, judgment or command of the court, tending to belittle, degrade, obstruct, interrupt or embarrass the court. c) CIVIL CONTEMPT Failure to do something ordered by the court which is for the benefit of the party. d) CRIMINAL CONTEMPT Consists of any conduct directed against the authority or dignity of the court. JUDGE

A public officer who, by virtue of his office, is clothed with judicial authority JUDICIAL ETHICS It is the branch of moral science which treats of the right and proper conduct to be observed by all judges and magistrates in trying and deciding controversies brought to them by adjudication which conduct must be demonstrative of impartiality, integrity, competence, independence, and freedom from improprieties. LAWYER The general term for a person trained in the law and authorized to advice and represent others in legal matters. One who: a) passed the bar exams b) registered in the roll of attorneys c) received a certificate of license to practice law from the Clerk of Court of the Supreme Court d) taken an oath. LEAD COUNSEL The counsel on either side of a litigated action who is charged with the principal 100% UP LAW

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management and direction of a party’s case as distinguished from his juniors or subordinates. LEGAL ETHICS Legal Ethics denotes that body of principles by which the conduct of members of the legal profession is controlled. It is that branch of moral science which treats of the duties which an attorney at law owes to his clients, to the courts, to the bar and to the public. [G.A. Malcolm, Legal and Judicial Ethics 8 (1949)]. MAINTENANCE Consists in maintaining, supporting promoting the litigation of another.

or

MORAL CHARACTER It is what a person really is (corresponds to objective reality). It exhibits qualities of truthspeaking, a high sense of honor, full candor, intellectual honesty, and the strictest observance of fiduciary responsibility (Justice Felix Frankfurter) MORAL TURPITUDE It means anything which is done contrary to justice, honesty, modesty or good morals, or to any act of vileness, baseness or depravity in the private and social duties that a man owes his fellowmen or to society, contrary to the accepted rule of right and duty between man and man. NOTARY and NOTARY PUBLIC Refer to any person commissioned to perform official acts under these Rules. (2004 Rules on Notarial Practice) OF COUNSEL An experienced lawyer, usually a retired member of the judiciary, employed by law firms as consultants. (supplemented by San Beda Reviewer 2006) PLEA OF GUILTY An admission by the accused of his guilt of a crime as charged in the information and of the truth of the facts alleged, including the qualifying and aggravating circumstances. PRACTICE OF LAW Any activity, in or out of court, which requires the application of law, legal procedures, knowledge, training and experience. (Ulep v Legal Clinic, Inc (1993) PRACTICING LAWYER One engaged in the practice of law who by license are officers of the court and who are empowered to appear, prosecute and defend a client’s cause. PRO SE An appearance by a lawyer in his own behalf. (1995 BAR EXAMS) QUANTUM MERUIT (as much as he 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.

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LEGAL ETHICS Doctrine of quantum meruit is a device to prevent undue enrichment based on the equitable postulate that it is unjust for a person to retain benefit without paying for it. REINSTATEMENT It is the restoration in disbarment proceedings to a disbarred lawyer the privilege to practice law. REPRIMAND A form of disciplinary measure which consists of a public and formal censure or severe reproof, administered to a person in fault by his superior officer or a body to which he belongs.

TRIAL LAWYER One who personally handles cases in courts and administrative agencies of boards which means engaging in actual trial work, either for the prosecution or for the defense of cases of clients. (supplemented by San Beda Reviewer 2006) WARNING A form of disciplinary measure which consists of an act or fact of putting one on his guard against an impending danger, evil consequences or penalties.

RES IPSA LOQUITUR (the thing speaks for itself) This principle or doctrine applies to both judges and lawyers. Judges had been dismissed from the service without the need for a formal investigation because based on the records, the gross misconduct or inefficiency of the judges clearly appears. (Uy vs. Mercado, 154 SCRA 567) RETAINER (embraces two concepts) (1) an act of client by which he engages services of an attorney to render legal advice, defend or prosecute his cause in court; (2) fee which a client pays to an attorney when latter is retained (retaining fee) a) GENERAL RETAINER Fee paid to a lawyer to secure his future services as general counsel for any ordinary legal problem that may arise in the routinary business of the client and referred to him for legal action. This could be paid monthly or annually, depending on lawyer-client arrangement. This is considered as compensation for lost opportunity. b)SPECIAL RETAINER Fee which client will pay to his lawyer for a specific matter (case/service), possibly in addition to a general retainer. RETAINING FEE (same as retainer) Preliminary fee paid to insure and secure future services, to remunerate him for being deprived, by being retained by one party. It prevents undue hardship resulting from the rigid observance of the rule forbidding him from acting as counsel for other party RETAINING LIEN A right merely to retain the funds, documents, and papers as against the client until the attorney is fully paid his fees and to apply such funds to the satisfaction. (1995, 2000 BAR EXAMS) SUSPENSION A form of disciplinary measure which consists of a temporary withholding of a lawyer’s right to practice his profession as a lawyer for a certain period or for an indefinite period of time. a) DEFINITE B) INDEFINITE -qualified disbarment; 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. 100% UP LAW

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