University of Santo Tomas

Faculty of Civil Law

LEGAL ETHICS
Pre-week Notes 2017
ACADEMICS COMMITTEE

SECRETARY GENERAL: CAMILLE ANGELICA B. GONZALES

EXECUTIVE COMMITTEE: EMNIE VALERIE B. DURAN, IRVIN L. PALANCA, MARIELLA A.
MARASIGAN, LARA NICOLE T. GONZALES

LEGAL ETHICS COMMITTEE

COMMITTEE HEAD: STEFFI NICOLE P. FLORES

MEMBERS: FLORRENCE FAYE S. FRANCO AND NEIL L. NABUAB

ATTY. AL CONRAD B. ESPALDON

ADVISERS
 UST LAW PRE-WEEK NOTES 2017
LEGAL ETHICS
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
The following acts constitute practice of law:
a. Giving of advice or rendering any kind of
service that involves legal knowledge.
b. Appearance in court and conduct of cases in
court.
c. Preparation of pleadings and other papers
incident to actions as well as drawing of
deeds and instruments of conveyance.
d. Notarial acts
Essential criteria in determining whether a
person is engaged in the practice of law [CAHA]
1. Compensation – implies that one must have
presented himself to be in active practice and that
his professional services are available to the
public for compensation, as a source of livelihood
or in consideration of his said services.
2. Application of law, legal principle, practice or
procedure which calls for legal knowledge,
training and experience;
3. Habituality – implies customary or habitually
holding oneself out to the public as a lawyer.
Practice of law is more than an isolated
appearance for it consists in frequent or
customary action; and
4. Attorney-Client relationship - engaging in the
practice of law presupposes the existence of a
lawyer-client relationship. Ten (10) years of
practice of law includes work as a litigator, in-
house counsel, giving of legal advice, teaching of
law, and even foreign assignment which requires
the knowledge and application of the laws.
NOTE: A lawyer who is a detention prisoner is not
allowed to practice his profession as a necessary
consequence of his status as a detention prisoner.
(People v. Maceda, G.R. Nos. 89591-96, January 24,
2000).
Nature of the Practice of Law
It is not a right granted to anyone who demands it but
Lawyers without Persons not lawyers
authority
Constitutes May be punished for
malpractice and contempt of court
violation of the
lawyer’s oath, for
which he may be
suspended or
disbarred
a privilege to be extended or withheld in the exercise
of sound judicial discretion. It is a privilege accorded
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only to those who measure up to certain rigid
standards of mental and moral fitness.
While the practice of law is not a right but a privilege,
the Court will not unwarrantedly withhold this
privilege from individuals who have shown mental
fitness and moral fiber to withstand the rigors of the
profession (In Re: Petition to sign in the Roll of
Attorneys Michael Medado, B.M. No. 2540, September
24, 2013).
QUALIFICATIONS
Requirements for admission to the Bar
Under Sections 2, 5 and 6 of Rule 138, the applicant
must be [C21-GRENAPOS]:
1. Citizen of the Philippines;
2. At least 21years of age;
3. Of Good moral character;
4. Resident of the Philippines;
5. Must produce before the SC satisfactory Evidence
of good moral character;
6. No charges against him, involving moral
turpitude, have been filed or are pending in any
court in the Philippines (Sec. 2, Rule 138, RRC)
7. Must have complied with the Academic
requirements;
8. Must Pass the bar examinations;
9. Take the lawyer’s Oath
10. Sign the Roll of Attorneys.
Passing the Bar examination is not sufficient for
admission of a person to the Philippine Bar. He still
has to take the oath of office and sign the
Attorney’s Roll as prerequisites to admission.
Atty. Candido commented in a newspaper that the
decision of Court of Appeals was influenced by a
powerful relative of the prevailing party. The
appellate court found him guilty of indirect
contempt. Does this involve moral turpitude?
(2010 Bar)
No, the published comment does not constitute moral
turpitude although contemptuous. Moral turpitude
has been defined as everything which is done
contrary to justice, modesty, or good morals, an act of
baseness, vileness or depravity in the private and
social duties which a man owes his fellowmen.
Law Student Practice Rule
The appearance of the law student authorized by this
rule shall be under the direct supervision and control
of a member of the Integrated Bar of the Philippines
duly accredited by the law school. Any and all
pleadings, motions, briefs, memoranda or other
papers to be filed, must be signed by the supervising
attorney for and in behalf of the legal clinic.
Bong Tupak, a second year law student, was
charged in the RTC for Forcible Abduction with
 LEGAL ETHICS

Rape. Having knowledge of criminal law ad

procedure, he dismissed the counsel de oficio The unauthorized practice of law by one assuming to
assigned and appeared for himself. He asserted be an attorney or officer of the court, and acting as
that there was lack of force. Eventually, the RTC such without authority, may constitute indirect
found him guilty of consented abduction and contempt of court.
imposed the penalty. Bong Tupak now assails the
decision, saying that there was violation of due
process because he was allowed to appear for Public Officials and Practice of Law
himself and he did not know that consented
abduction is a crime. Decide. (2012 Bar) Prohibited 1. President
from practicing 2. Department Secretaries
The RTC should have appointed a counsel de oficio to 3. Judges and Justices
assist the accused even if it was not sought or 4. Prosecutors
requested by the accused. 5. Solicitor General and
Members of the OSG
Non-Lawyers in Court 6. Members of Constitutional
Commissions
The following are the instances whereby non-lawyers 7. Governors
may appear in court: 8. Mayors
Allowed to 1. Senators
1. Cases before the MTC: A party to the litigation,
practice but 2. members of the House of
may conduct his own case or litigation in person,
subject to Representatives,
with the aid of an agent or friend appointed by
3. Vice-Governors
him for that purpose (Sec. 34, Rule 138, RRC); restrictions
4. Vice Mayors
5. Members of the
2. Before any other court, a party may conduct his
Sanggunians
litigation personally but if he gets someone to aid
Approval of Civil Service employees
him, that someone must be authorized member of
the Bar (Sec. 34, Rule 138, RRC); department
head required
3. Criminal case before the MTC in a locality where a
duly licensed member of the Bar is not available,
the judge may appoint a non- lawyer who is (a) May a party appear as his own counsel in a
Resident of the province; and (b) of good repute criminal or in a civil case? Explain. (2009 Bar)
for probity and ability to aid the accused in his
defense (Sec. 7, Rule 116, RRC); A party may appear as his own counsel in a civil case.
However, in criminal cases involving grave and less
4. Any official or other person appointed or grave offenses, he must always appear through
designated to appear for the Government of the counsel.
Philippines in accordance with law (Sec. 33, Rule
138, RRC). Before the MTC, a party may appear without his own
counsel whether or not for a civil or criminal case. In
Proceedings where lawyers are prohibited from RTC and appellate courts, a party in a civil suit may
appearing conduct his litigation either personally or by attorney.
With respect to criminal proceedings in said
1. Proceedings before the Small Claims Court, unless tribunals, right to counsel of an accused is absolute or
the attorney is the plaintiff or defendant immutable.

2. Proceedings before the Katarungang DUTIES AND RESPONSIBILITIES

Pambarangay - During the pre-trial conference
under the Rules of Court, lawyers are prohibited
from appearing for the parties.
Sanctions for Practice of Appearance without
Authority
1. Petition for Injunction;
2. Contempt of court;
3. Criminal complaint for Estafa against a person
who falsely represented himself to be an attorney
to the damage of a party;
4. Disqualification and complaints for disbarment;
or
5. Administrative complaint against the erring
lawyer or government official.
OF A LAWYER
True or False, the duty of a lawyer to his client is
more paramount that his duty to the Court. (2009
Bar)
False, a lawyer’s paramount duty is to the Court. This
is because he is an officer of the court.
TO SOCIETY
Canon 1
Uphold the Constitution, obey the laws of the land and
promote respect for law and legal processes

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 UST LAW PRE-WEEK NOTES 2017
Two-fold duty under Canon 1
1. Obey the laws and the legal processes
2. Inspire others to maintain respect and obedience
thereto.
A lawyer shall not engage in unlawful, dishonest,
immoral and deceitful conduct
“Unlawful” conduct does not necessarily imply the
element of criminality although the concept is broad
enough to include such element. It is transgression of
any provision of law, which need not be a penal law.
To be “dishonest” means the disposition to lie, cheat,
deceive, defraud or betray; be untrustworthy; lacking
in integrity, honesty, probity, integrity in principle,
fairness and straightforwardness. “Deceitful” conduct
means having the proclivity for fraudulent and
deceptive misrepresentation, artifice or device that is
used upon another who is ignorant of the true facts,
to the prejudice and damage of the party imposed
upon.
Atty. P borrowed P100,000 from Sps. T to finance
the reconstitution of the title of his land. They had
a written agreement that after such
reconstitution, the title would serve as security
for the loan and that he would pay an interest of
P70,000. Atty. P, however, failed to fulfill his
obligations. Legal demands were made to no avail.
Is Atty. P guilty of violating Rule 1.01?
Yes. Sps. Tejada could not have been defrauded
without the representations of Atty. Palana. He knew
that his representations were false since the filing fee
for a petition for reconstitution in 2001 was only
P3,145, and other expenses including publication
would not cost more than P20,000. It is clear that he
employed deceit in convincing Sps. Tejada to part
with their hard-earned money and the latter could
not have been easily swayed to lend money were it
not for his misrepresentations and failed promises as
a member of the bar. A lawyer shall at all times
uphold the integrity and dignity of the legal
profession. The trust and confidence necessarily
reposed by clients requires in the attorney a high
standard and appreciation of his duty to his clients,
his profession, the courts and the public. The bar
must maintain a high standard of legal proficiency as
well as of honesty and fair dealing (Sps. Tejada v. Atty.
Palana, A.C. No. 7434, August 23, 2007).
Atty. E. borrowed P250,000 from VH. To secure
such loan, she issued a check for P275,000 to
cover the loan and interest. On due date, the
check was dishonored. Atty. E refused to pay. Is
Atty. E administratively liable?
Yes. Lawyers must at all times faithfully perform their
duties to society, to the bar, to the courts and to their
clients. The fact that Atty. Espejo obtained the loan
and issued the worthless check in her personal
capacity and not an attorney is of no moment. A
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lawyer may be disciplined not only for malpractice
and dishonesty in his profession but also for gross
misconduct outside of his professional capacity. The
Court may be justified in suspending or removing him
as an attorney where his misconduct outside of the
lawyer’s dealings is so gross in character as to show
him morally unfit of the privilege to practice law
(Heenan v. Espejo, A.C. No. 10050, December. 3, 2013).
Impropriety of voluntary giving of advice
It is improper to voluntarily give legal advice when
the lawyer, in giving such, is motivated by a desire to
obtain personal benefit, secure personal publicity, or
cause legal action to be taken merely to harass or
injure another.
Barratry v. Ambulance Chasing
Barratry is an offense of frequently exciting and
stirring up quarrels and suits, either at law or
otherwise; lawyer’s act of fomenting suits among
individuals and offering his legal services to one of
them. Barratry is not a crime under the Philippine
laws. However, it is proscribed by the rules of legal
ethics.
Ambulance chasing is an act of chasing victims of
accidents for the purpose of talking to the said victims
(or relatives) and offering his legal services for the
filing of a case against the person(s) who caused the
accident(s). It has spawned a number of recognized
evils such as:
1. Fomenting of litigation with resulting burdens on
the courts and the public;
2. Subornation of perjury;
3. Mulcting of innocent persons by judgments, upon
manufactured causes of action; and
4. Defrauding of injured persons having proper
causes of action but ignorant of legal rights and
court procedures by means of contracts which
retain exorbitant percentages of recovery and
illegal charges for court costs and expenses and
by settlement made for quick returns of fees and
against just rights of the injured persons
(Hightower v. Detroit Edison Co. 247 NW 97,
1993).
Canon 2 and 3
Making his legal services available in an efficient and
convenient manner compatible with the independence,
integrity and effectiveness of the profession.
Making known his legal services shall use only true,
honest, fair, dignified and objective information or
statement of facts.
Advertisement
An active quest for clients involving a public or non-
public communication. It includes, but is not limited
to, communication by means of telephone, television,
radio, motion picture, computer-accessed
 LEGAL ETHICS
communication, newspaper, sign, directory, listing or
through written communication (Rule 7.2(a), Model
Rules of Professional Conduct, American Bar
Association).
If engaged in another profession or occupation
concurrently with the practice of law, the lawyer shall
make clear to his client whether he is acting as a
lawyer or in another capacity.
For solicitation to be proper, it must be compatible
with the dignity of the legal profession. If made in a
modest and decorous manner, it would bring no
injury to the lawyer or to the bar.
Rationale for the Prohibition of Advertisements
1. The profession is primarily for public service;
2. Commercializes the profession;
3. Involves self-praise and puffing;
4. Damages public confidence; and
5. May increase lawsuits and result in needless
litigation.
Complainant Linsangan alleged that Atty.
Tolentino, with the help of a paralegal, convinced
his clients to transfer legal representation. Atty.
Tolentino promised them financial assistance and
expeditious collection on their claims. To induce
them to hire his services, he persistently called
them and sent them text messages. Is it allowed?
No. Lawyers should not advertise their talents as
merchants advertise their wares. Lawyers are
prohibited from soliciting cases for the purpose of
gain, either personally or through paid agents or
brokers. Such actuation constitutes malpractice. The
act of the respondent in including the phrase ―with
financial assistance - in his calling card is a conduct of
advertising the legal profession with commercialism
and with the purpose of enticing clients to change
counsels through the promise of loans to finance their
legal action (Linsangan v. Tolentino, A.C. 6672,
September 4, 2009).
Examples of Advertisements considered as
deceptive
1. Misstatements of fact
2. Suggestions that the ingenuity or prior record of a
lawyer rather than the justice of the claim are the
principal factors likely to determine the result
3. Inclusion of information irrelevant on selecting a
lawyer
4. Representations concerning the quality of service,
which cannot be measured or verified.
Canon 4 and 5
Participate in the development of the legal system by
initiating or supporting efforts in law reform and
improvement in the administration of justice.
Keep abreast of legal developments, participate in
continuing legal education programs, support efforts to
achieve high standards in law schools as well as in the
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practical training of law students and assist in
disseminating information regarding the law and
jurisprudence.
Canon 6
Canons shall apply to lawyers in government service in
the discharge of their official tasks
Provincial Prosecutor Bonifacio refused to
represent the Municipality of San Vicente in a case
for collection of taxes. He explained that he
cannot handle the case with sincerity and
industry because he does not believe in the
position taken by the municipality. Can
Prosecutor Bonifacio be administratively
sanctioned?
Yes, he can be sanctioned administratively. Unlike a
practicing lawyer who has the right to decline
employment, a government lawyer like a provincial
prosecutor cannot refuse the performance of his
duties on the grounds not provided for by law
without violating his oath of office.
While Atty. Z was still the Presiding Judge of
MTCC, a civil complaint was filed by Ronald
Rupinta, who was represented by Atty. P and
heard by Atty. Z as Presiding Judge of MTCC. When
the case was already scheduled for trial on the
merits, Atty. Z suspended the scheduled hearing
and the case hibernated and Atty. Z was
appointed as RTC Judge of Branch 35, Ozamis City.
Sometime on 23 March 2006, the newly appointed
Presiding Judge of MTCC 10th Judicial Region,
Tangub City, Judge Rodolfo L. Vapor, issued an
Order informing the parties on the aforesaid case
whether they were amenable for him to render
judgment on the case of which they agreed.
However, Atty. P was surprised when he received
a Manifestation from the defendants that they are
now represented by Atty. Z, the former judge who
once presided over the aforesaid case. Is Atty. Z
guilty of violating Canon 6 of the CPR?
Yes. The respondent, in his capacity as the judge of
the MTCC of Tangub City, presided over the case
before eventually inhibiting himself from further
proceedings. His act of presiding constituted
intervention within the meaning of the rule whose
text does not mention the degree or length of the
intervention in the particular case or matter.
The respondent could not accept work or
employment from anyone that would involve or
relate to any matter in which he had intervened as a
judge except on behalf of the body or authority that
he served during his public employment. The
restriction as applied to him lasted beyond his tenure
in relation to the matters in which he had intervened
as judge. Accordingly, the fact that he was already
retired from the Bench, or that he was already in the
private practice of law when he was engaged for the
case was inconsequential. Although the respondent
removed himself from the cases once his neutrality
 UST LAW PRE-WEEK NOTES 2017
and impartiality were challenged, he ultimately did
not stay away from the cases following his retirement
from the Bench, and acted thereon as a lawyer for and
in behalf of the defendants (Atty. Pasok v. Atty.
Zapatos, A.C. 7388, October 19, 2016).
TO THE LEGAL PROFESSION
Canon 7
Uphold the integrity and dignity of the legal profession
and support the activities of the integrated bar
Membership and Dues in IBP
Membership dues are not prohibited by the
Constitution. The fee is imposed as a regulatory
measure, designed to raise funds for carrying out the
purposes and objectives of the integration
A lawyer does not automatically become a member of
the IBP chapter where he resides or works after
becoming a full-fledged member of the Bar. He has
the discretion to choose the IBP Chapter he wants to
join (Garcia v. De Vera, A.C. 6052, December 11, 2003).
IBP must be apolitical
No lawyer holding an elective, judicial, quasi-judicial
or prosecutory office in the Government or any
political subdivision or instrumentality thereof shall
be eligible for election or appointment to any position
in the Integrated Bar or any Chapter thereof. A
Delegate, Governor, officer or employee of the
Integrated Bar, or an officer or employee of any
Chapter thereof shall be considered ipso facto
resigned from his position as of the moment he files
his certificate of candidacy for any elective public
office or accepts appointment to any judicial, quasi-
judicial, or prosecutory office in the Government or
any political subdivision or instrumentality thereof.
Atty. Gelly passed the Bar in 1975. After taking his
oath, he did not enlist in any IBP chapter because
he went to the USA to pursue a Master’s Degree.
Eventually, he passed the state bar and
specialized in Immigration Law. In 2005, he
returned to the Philippines and was hired by a
law firm. He wishes to pay his IBP dues for the
current year but the IBP is charging him from
1975 up to the present and threatening him with
expulsion if he does not comply. Is the IBP
correct? (2012 Bar)
Yes. Atty. Gelly should pay the dues from 1975 to the
present since membership in the IBP is compulsory.
Can a lawyer still practice his profession despite
having arrears in his IBP dues? (2014 Bar)
No. Default in the payment of annual dues for six
months shall warrant suspension of membership in
the Integrated Bar and default in such payment for
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one year shall be a ground for the removal of the
name of the delinquent member from the Roll of
Attorneys. Membership and financial support of every
attorney is a condition sine qua non to the practice of
law and the retention of his name in the Roll of
Attorneys.
Can a lawyer terminate his membership in IBP?
Yes. A member may terminate his membership by
filing a written notice to that effect with the Secretary
of the Integrated Bar, who shall immediately bring
the matter to the attention of the Supreme Court.
Forthwith he shall cease to be a member and his
name shall be stricken by the Court from the Roll of
Attorneys.
NOTE: In a resolution dated 31 January 2017, the
Supreme Court granted the Petition for Voluntary
Delisting in the Roll of Attorneys of Dionisio Canete.
In his petition, Canete invoked “unspeakable
injustices” he suffered while practicing law for 56
years as ground for the revocation of his privilege to
practice said profession.
Canon 8
A lawyer shall conduct himself with courtesy, fairness
and candor towards his professional colleagues, and
shall avoid harassing tactics against opposing counsel.
8.02 - A lawyer shall not, directly or indirectly,
encroach upon the professional employment of another
lawyer; however, it is the right of any lawyer, without
fear or favor, to give proper advice and assistance to
those seeking relief against unfaithful or neglectful
counsel.
A person without a retained lawyer is a legitimate
prospective client for any lawyer whom he
approaches for legal services. But, as soon as he had
retained one and had not dismissed the retained
counsel, efforts on the part of another lawyer to take
him as a client constitutes an act of encroaching upon
the employment of another lawyer.
A lawyer should not in any way communicate upon
the subject of controversy with a party represented
by counsel much less should he undertake to
negotiate or compromise the matter with him, but
should deal with his counsel. Any act which is aimed
to ease out a previous lawyer with the intention to
grab the case is highly unethical and should be
avoided (Antiquiera, 1992).
Exceptions
1. A lawyer may properly interview any witness or
prospective witness for the opposing side in any
civil or criminal action without the consent of
opposing counsel or party.
2. Any person who seeks relief against an unfaithful
or neglectful lawyer may approach another
lawyer for proper advice and assistance. Any
advice or assistance extended after proper
 LEGAL ETHICS
verification is not encroaching upon the business
of another lawyer for such act is justified under
the circumstances.
Atty. Manuel is counsel for the defendant in a civil
case pending before the RTC. After receiving the
plaintiff's Pre-Trial Brief containing the list of
witnesses, Atty. Manuel interviewed some of the
witnesses for the plaintiff without the consent of
plaintiff's counsel. Did Atty. Manuel violate any
ethical standard for lawyers? Explain. (2009 Bar)
No, because Canon 39 of the Canons of Professional
Ethics provides that “a lawyer may interview any
witness or prospective witness from the opposing
side in any civil or criminal action without the
consent of opposing counsel or party.” This is because
a witness is supposed to be a neutral person whose
role is to tell the truth when called upon to testify.
Will your answer be the same if it was the plaintiff
who was interviewed by Atty. Manuel without the
consent of plaintiff's counsel? Explain. (2009 Bar)
My answer will not be the same. Canon 8 of the
Canons of Professional Ethics provides that “a lawyer
should not in any way communicate upon a subject of
controversy with a party represented by counsel,
much less should he undertake to negotiate or
compromise the matter with him, but should deal
only with his counsel.” If he communicates with the
adverse party directly, he will be encroaching into the
employment of the adverse party's lawyer.
Canon 9
Lawyer shall not, directly or indirectly, assist in the
unauthorized practice of law
Will a lawyer violate the Code of Professional
Responsibility if he forms a partnership with
professionals of other disciplines like doctors,
engineers, architects or accountants? Explain
your answer. (2014 Bar)
Yes. Under Canon 9, unauthorized practice of law is
committed when a person who is not a lawyer
performs acts which are exclusive to members of the
bar. A general professional partnership with a non-
lawyer is VOID. In the formation of partnership for
the practice of law, no person should be admitted or
held out as a practitioner or member who is not a
member of the legal profession duly authorized to
practice.
TO THE COURTS
Canon 10
A lawyer owes candor, fairness and good faith to the
court.
AC, represented by Atty. IA lost a case for recovery
of land before the RTC. The appeal was dismissed
by the CA for non-filing of the appellant’s brief
6
within the reglementary period. AC got wind of
the dismissal only when his wife verified the
status of the case. Atty. IA promised to seek
reconsideration, which the CA later denied for
belated filing of the motion. Atty. IA argued that
he only received the CA resolution 2 months after
it was issued and that the person who received
the same in his office was unauthorized. Is he
administratively liable?
Yes, Atty. IA tried to mislead the appellate court about
the receipt of a copy of its February 10, 1997
Resolution dismissing the appeal. He denied
personally receiving such copy, but the CA found and
declared that he himself received said copy. The CA
arrived at this conclusion thru the process of
comparing Atty. IA’s signature appearing in the
pleadings with that in the registry return card. Both
signatures belong to one and the same person.
Needless to stress, Atty. IA had under the premises
indulged in deliberate falsehood, contrary to the self-
explanatory prescriptions of Canon 1, Rule 1.01 and
Canon 10, Rule 10.01 (Conlu v. Atty. Aredonia, Jr., A.C.
No. 4955, September 12, 2011).
Instances when lawyers can be disciplined based
on the pleadings he filed
When a counsel deliberately:
1. Files an unsigned pleading in violation of the
rules;
2. Alleges scandalous matters therein;
3. Fails to promptly report to the court a change of
his address (Sec. 3, Rule 7, RRC).
NOTE: A lawyer should not abuse his right of
recourse to the courts for the purpose of arguing a
cause that had been repeatedly rebuffed. Neither
should he use his knowledge of law as an instrument
to harass a party nor to misuse judicial processes, as
the same constitutes serious transgression of the
Code of Professional Responsibility. For while he
owes fidelity to the cause of his client, it should not be
at the expense of truth and the administration of
justice (Garcia v. Francisco, A.C. No. 3923, March 30,
1993).
Canon 11
Lawyer shall observe and maintain the respect due to
the courts and to judicial officers and should insist on
similar conduct by others.
All lawyers are expected to recognize the authority of
the Supreme Court and obey its lawful processes and
orders. Despite errors which one may impute on the
orders of the Court, these must be respected,
especially by the bar or the lawyers who are
themselves officers of the courts. However, the fact
that a person is a lawyer does not deprive him of the
right, as enjoyed by every citizen, to comment on and
criticize the actuations of a judge but it is the cardinal
condition of all criticisms that it shall be bona fide,
 UST LAW PRE-WEEK NOTES 2017
and shall not spill over the walls of decency and
propriety.
An administrative complaint was filed against
Sen. Miriam Defensor-Santiago, a lawyer, for a
speech she delivered on the Senate floor which
allegedly reflected disrespect towards then Chief
Justice Artemio Panganiban and the other
members of the Court: “I spit on the face of Chief
Justice Artemio Panganiban and his cohorts in the
Supreme Court, I am no longer interested in the
position [of Chief Justice] if I was to be
surrounded by idiots. I would rather be in
another environment but not in the Supreme
Court of idiots.” Was there a violation of the Code
of Professional Responsibility?
Yes. To the Court, the lady senator has undoubtedly
crossed the limits of decency and good professional
conduct. It is at once apparent that her statements in
question were intemperate and highly improper in
substance. No lawyer who has taken an oath to
maintain the respect due to the courts should be
allowed to erode the people’s faith in the judiciary. In
this case, the lady senator clearly violated Canon 8,
Rule 8.01 and Canon 11 of the Code of Professional
Responsibility, which respectively provide: Canon 8,
Rule 8.01: “A lawyer shall not, in his professional
dealings, use language which is abusive, offensive or
otherwise improper”; and Canon 11: “A lawyer shall
observe and maintain the respect due to the courts and
to the judicial officers and should insist on similar
conduct by others.”
While the factual and legal circumstances of this case
prevents the Court from imposing some form of
disciplinary action against her, We, however, would
be remiss in our duty if we let the Senators offensive
and disrespectful language that definitely tended to
denigrate the institution pass by. It is imperative on
our part to re-instill in Senator/Atty. Santiago her
duty to respect courts of justice, especially this
Tribunal, and remind her anew that the
parliamentary non-accountability thus granted to
members of Congress is not to protect them against
prosecutions for their own benefit, but to enable
them, as the people’s representatives, to perform the
functions of their office without fear of being made
responsible before the courts or other forums outside
the congressional hall (Pobre v. Defensor-Santiago,
A.C. No. 7399, August 25, 2009).
Canon 12
Exert every effort and consider it his duty to assist in
the speedy and efficient administration of justice
AC, represented by Atty. IA lost a case for recovery
of land before the RTC. The appeal was dismissed
by the CA for non-filing of the appellant’s brief
within the reglementary period. AC got wind of
the dismissal only when his wife verified the
status of the case. Atty. IA promised to seek
reconsideration, which the CA later denied for
belated filing of the motion. Atty. IA argued that
7
he only received the CA resolution 2 months after
it was issued and that the person who received
the same in his office was unauthorized. Atty. IA
also failed to file his comment on the complaint
despite extensions. Is he administratively liable?
A: YES. The Court cannot write finis to this case
without delving into and addressing Atty. IA’s defiant
stance against the Court as demonstrated by his
repetitive disregard of its resolution to file his
comment on the basic complaint. After requesting
and securing no less than three (3) extensions of time
to file his comment, he simply closed, so to speak,
communication lines. And when ordered to give an
explanation through a show-cause directive for not
complying, he asked for and was granted a 30-day
extension but the required comment never came.
When the Court eventually directed the NBI to arrest
him, he just left his last known address and could not
be located. Manifestly, he has fallen short of the
diligence required of every member of the Bar. The
pertinent Canon of the Code of Professional
Responsibility which he also violated is Canon 12.03:
A lawyer shall not, after obtaining extensions of time to
file pleadings, memoranda or briefs, let the period lapse
without submitting the same or offering an explanation
for his failure to do so.” (Conlu v. Atty. Aredonia, Jr., A.C.
No. 4955, September 12, 2011).
Canon 13
Rely upon the merits of his cause and refrain from any
impropriety which tends to influence, or gives the
appearance of influencing the court
Giving of gifts to the judges are discouraged as it tend
to give an appearance of influencing the conduct of
judicial function or breeding familiarity with judges.
It is improper for a litigant or counsel to see a judge in
chambers and talk to him about a matter related to
the case pending in the court of said judge.
On a Saturday, Atty. Paterno filed a petition for
Writ of Amparo with the CA. Impelled by the
urgency of the issuance of the writ, Atty. Paterno
persuaded his friend, CA Justice Johnny Dela Cruz,
to issue the Writ of Amparo and the notice of
hearing without the signature of the two other
members of the CA division. Are Atty. Paterno and
Justice Dela Cruz guilty of unethical conduct?
Explain. (2009 Bar)
Yes. Atty. Paterno violated Canon 13 of the CPR. Atty.
Paterno has relied on his friendship with the Justice
to obtain a Writ of Amparo without a hearing. He thus
makes it appear that he can influence the court.
Justice Dela Cruz violated sec. 3, canon 4 of the Code
of Judicial Conduct for the Philippine Judiciary, which
provides that “judges shall, in their personal relations
with individual members of the legal profession who
practice regularly in their courts, avoid situations
which might reasonable give rise to the suspicion or
appearance of favoritism or partiality.”
 LEGAL ETHICS
TO THE CLIENT
Canon 14
Lawyer shall not refuse his services to the needy
Counsel de Oficio
1. Members of the bar in good standing;
2. Any person, resident of the province and of good
repute for probity and ability, in localities without
lawyers
Factors to be considered in appointing a Counsel
de Oficio
1. Gravity of offense
2. Difficulty of questions that may arise; and
3. Experience and ability of appointee
Christine was appointed counsel de oficio for
Zuma, who was accused of raping his own
daughter. Zuma pleaded not guilty but thereafter
privately admitted to Christine that he did
commit the crime charged. In light of Zuma’s
admission, what should Christine do? Explain.
(2008 Bar)
Christine should continue to act as counsel de oficio
for Zuma. Her appointment should not be declined
even if she believes her client to be guilty. Her client is
entitled to presumption of innocence and is not
obliged to plead guilty.
Atty. DD’s services were engaged by Mr. BB as
defense counsel in a lawsuit. In the course of the
proceedings, Atty. DD discovered that Mr. BB was
an agnostic and a homosexual. By reason thereof,
Atty. DD filed a motion to withdraw as counsel
without Mr. BB’s express consent. Is Atty. DD’s
motion legally tenable?
No. He has no valid cause to terminate his services.
BB being agnostic and homosexual should not deprive
him of his counsel’s representation solely for that
reason. A lawyer shall not decline to represent solely
on account of clients race, sex, creed or status of life
or because of his opinion regarding the guilt of said
person.
Canon 15
Observe candor, fairness and loyalty in all his dealings
and transactions with his clients
Fiduciary Relationship
Instances when civil liability arises:
1. Client is prejudiced by lawyer's negligence or
misconduct;
2. Breach of fiduciary obligation;
3. Civil liability to third persons;
4. Libelous words in pleadings;
5. Violation of communication privilege;
6. Liability for costs of suit
8
Instances when criminal liability arises:
1. Causes prejudice to the client thru malicious
breach of professional duty or thru inexcusable
negligence or ignorance;
2. Reveals client’s secrets learned in lawyer’s
professional capacity thru malicious breach of
professional duty or inexcusable negligence or
ignorance;
3. A lawyer who has undertaken the defense of a
client or has received confidential information
from said client in a case may be criminally liable
for undertaking defense of opposing party in
same cause without consent of first client (Art.
209, RPC);
4. A lawyer who shall knowingly introduce in
evidence in any judicial proceeding or to the
damage of another or who, with intent to cause
such damage, shall use any false document may
be held criminally liable therefor (Art. 172, RPC);
and
5. A lawyer who is appropriates his client’s funds
may be held liable for estafa.
Lawyer’s Right to decline employment
GR: A lawyer is not obliged to act as legal counsel for
any person who may wish to become his client. He
has the right to decline employment.
XPNs:
1. A lawyer shall not refuse his services to the
needy. (Canon 14)
2. He shall not decline to represent a person solely
on account of the latter’s race, sex, creed or status
in life or because of his own opinion regarding the
guilt of said person (Rule 14.01);
3. He shall not decline, except for serious and
efficient cause like
a. If he is not in a position to carryout
effectively or competently; and
b. If he labors under a conflict of interest
between him and the prospective client. (Rule
14.03)
Privileged Communication
A privileged communication is one that 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.
Matters disclosed by a prospective client to a lawyer
are protected by the rule on privileged
communication even if the prospective client does not
thereafter retain the lawyer or the latter declines the
employment. It covers crimes and offenses already
committed by the client.
 UST LAW PRE-WEEK NOTES 2017
The privilege continues to exist even after the
termination of the attorney-client relationship.
Privileged Client Identity
Client identity is privileged where a strong
probability exists that revealing the client’s name
would implicate that client in the very activity for
which he sought the lawyer’s advice (Regala v.
Sandiganbayan, G.R. No. 105938, September 20, 1996).
After representing Lenie in an important lawsuit
from 1992 to 1995, Atty. Jennifer lost touch of her
client. Ten years later in 2005, Evelyn asked Atty.
Jennifer to represent her in an action against
Lenie. Such action involved certain facts, some
confidential, to which Atty. Jennifer was privy
because she handled Lenie's old case. Can Atty.
Jennifer act as counsel for Evelyn? (2011 Bar)
No. A lawyer shall preserve the confidences or secrets
of his client even after the attorney-client relation is
terminated. He shall not reveal the confidence or
secrets of his client except upon the instances
provided for by the rules.
Conflict of Interest
A lawyer is prohibited from representing new clients
whose interests oppose those of a former client in any
manner, whether or not they are parties in the same
action or on totally unrelated cases.
A lawyer may not be precluded from accepting and
representing other clients on the ground of conflict of
interests, if the lawyer-client relationship does not
exist in favor of a party in the first place.
The termination of the attorney-client relationship
does not justify a lawyer to represent an interest
adverse to or in conflict with that of the former client.
Even after the severance of the relation, a lawyer
should not do anything that will injuriously affect his
former client in any matter in which the lawyer
previously represented the client (Samson v. Atty. Era,
A.C. No. 6664, July 16, 2013).
GR: An attorney cannot represent diverse interests.
XPN: Representation of conflicting interest may be
allowed where the parties consent to the
representation after full disclosure of facts (Nakpil v.
Valdez, A.C. No. 2040, March 4, 1998).
XPN to XPN: Where the conflict is between the
attorney’s interest and that of a client; or between a
private client’s interests and that of the government
or any of its instrumentalities.
What are the three (3) tests to determine conflict
of interest for practicing lawyers? Explain each
briefly. (2009 Bar)
9
1. Conflicting Duties - 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 possibility of such situation will develop.
2. Invitation of Suspicion - 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
or double-dealing in the performance thereof.
3. Use of Prior Knowledge Obtained - Whether a
lawyer will be called upon in his new relation to use
against the first client any knowledge acquired in the
previous employment.
What is material in determining whether there is a
conflict of interest in the representation is
probability, not certainty of conflict.
Diongzon, a businessman, retained the services
of Atty. Mirano in several cases, one of which
involved the execution of two deeds of sale
covering the boats Diongzon sold to Spouses
Gonzales. Subsequently, Sps. Gonzales sued
Diongzon for replevin and damages and sought
the annulment of the deeds of sale. Sps.
Gonzales was represented by an associate of
Atty. Mirano. Atty. Mirano notarized the bond
the Sps. Gonzales filed to justify the manual
delivery of the boats subject of the suit and
eventually entered his appearance as the
counsel for the Sps. Gonzales against. Is there a
conflict of interest?
Yes. When Atty. Mirano appeared in court for the
benefit of the Gonzaleses, he unquestionably
incurred a conflict of interest. Having become privy
to the terms of the sale subject of the civil case, the
conflict of interest became unmitigated because
Diongzon had not expressly consented in writing to
Mirano appearing in behalf of the Gonzaleses
(Diongzon v. Atty. Mirano, A.C. No. 2404, August 17,
2016).
Canon 16
Hold in trust all moneys and properties of his client
that may come into his possession
1. A lawyer shall account for all money or property
collected or received for or received from the
client
a. Money given for a purpose must be used for
such purpose; otherwise, returned to client
immediately.
b. Failure to do so will raise presumption that
lawyer misappropriated it.
2. A lawyer shall keep the funds of each client
separate and apart from his own and those of
others kept by him.
 LEGAL ETHICS
3. A lawyer shall deliver the funds and property of
client 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.
a. A Lawyer may not apply client’s funds to his
fees if client is still objecting to the amount
thereof (Genato v. Adaza, 328 SCRA 694;
Lemoine v. Balon, 414 SCRA511).
A lawyer’s failure to return upon demand the funds
held by him on behalf of his client, as in this case,
gives rise to the presumption that he has
appropriated the same for his own use in violation of
the trust reposed in him by his client. Such act is a
gross violation of general morality as well as of
professional ethics (Agot v. Atty. Rivera, A.C. No. 8000,
August 5, 2014).
Atty. F was counsel of LL and a writ of attachment
was issued in his client’s favor. However, the
sheriff turned over cars subject of the attachment
to Atty. F instead of depositing them in the court
premises. On several occasions, one of the subject
cars, a Nissan Sentra, was seen in several
locations in Quezon City. Atty. F also allegedly
withheld the whereabouts of the Volvo. It turned
out that the same was destroyed by a fire in front
of his house and he failed to inform the court of
such. Is Atty. F administratively liable?
Yes. He is guilty of grave misconduct arising from his
violation of Canon 16 of the CPR which provides that
“money of the client or collected for the client or
other trust property coming into the profession of the
lawyer should be reported and accounted for
promptly and should not under any circumstances be
commingled with his own or be used by him.” A
lawyer is first and foremost an officer of the court. As
such, he is expected to respect the court’s order and
processes. Atty. F miserably fell short of his duties as
such officer. He trifled with the writ of attachment the
court issued. Atty. F was remiss in his obligation of
taking good care of the attached cars. For his
negligence and unauthorized possession of the cars,
the Court found Atty. F guilty of infidelity in the
custody of the attached cars and grave misconduct
(Atty. Salomon v. Atty. Frial, A.C. No. 7820, September
12, 2008).
Borrowing and Lending
Borrowing: A lawyer is not allowed to borrow money
from his client, except when the client’s interests are
fully protected by the nature of the case or by
independent advice.
Lending: A lawyer is not allowed to lend money to his
client, except when in the interest of justice, he has to
advance necessary expenses in a legal matter he is
handling for the client
10
Canon 17
Lawyer owes fidelity to the cause of his client and he
shall be mindful of the trust and confidence reposed in
him.
Matias Lagramada was residing with his uncle,
Apolonio, when he was invited by the latter to
accompany him to the police station, supposedly
to pick up a refrigerator they were to repair. Upon
their arrival there, Matias was immediately taken
in and locked behind bars. Two sets of
information were filed against him only 10
months after the first day of his incarceration.
With the assistance of counsel, Matias pleaded not
guilty when arraigned, without raising the
invalidity of the arrest. Was the case properly
handled?
No. Lawyers owe fidelity to the cause of their clients
and must be mindful of the trust and confidence
reposed in them. Matias’ counsel, in the spirit of
safeguarding his client’s rights, should have taken the
necessary steps to correct the situation. However, he
allowed his client to enter a plea during the latter’s
arraignment without raising the invalidity of arrest.
Thus, the former effectively waived his client’s right
to question its validity. Defense counsels are expected
to spare no effort to save the accused from
unrighteous incarcerations.
Matias’ counsel should have not only perfunctorily
represented his client during the pendency of the
case, but should have kept in mind his duty to render
effective legal assistance and true service by
protecting the latter’s rights at all times (People v.
Lagramada, G.R. Nos. 146357 & 148170, August 29,
2002).
Canon 18
Lawyer shall serve his client with competence and
diligence
Collaborating counsel
May a client hire additional counsel as
collaborating counsel over and above the
objection of the original counsel? (2014 Bar)
No. The new lawyer cannot just enter his appearance
as collaborating counsel without the conformity of
the first counsel.
State the rule on whether a client is bound by the
mistake of his counsel.
A client is bound by the mistake of his lawyer.
However, when the negligence of the lawyer is so
gross that the client was deprived of due process, the
client is not bound by the negligence of the lawyer.
On account of his mistake, is counsel liable to his
client for damages?
 UST LAW PRE-WEEK NOTES 2017
Yes. A client who suffers prejudice by reason of his
counsel’s inexcusable negligence in the discharge of
his duty may file an action for damages against him.
NOTE: A retained counsel is expected to serve the
client with competence and diligence. This duty
includes not merely reviewing the cases entrusted to
the counsel’s care and giving the client sound legal
advice, but also properly representing the client in
court, attending scheduled hearings, preparing and
filing required pleadings, prosecuting the handled
cases with reasonable dispatch, and urging their
termination without waiting for the client or the court
to prod him or her to do so. The lawyer should not be
sitting idly by and leave the rights of the client in a
state of uncertainty. The failure to file a brief resulting
in the dismissal of an appeal constitutes inexcusable
negligence (Conlu v. Atty. Aredonia, Jr., A.C. No. 4955,
September 12, 2011).
Canon 19
Lawyer shall represent his client with zeal within the
bounds of the law
Kinds of appearance
General appearance – When a party comes to court
either as plaintiff or defendant and seeks general
reliefs from the court for satisfaction of his claims or
counterclaims respectively.
Special appearance – When a defendant appears in
court solely for the purpose of objecting to the
jurisdiction of the court over his person.
Effects of unauthorized appearance
1. The party represented is not bound by attorney’s
appearance in the case neither by the judgment
rendered therein;
2. Court does not acquire jurisdiction over the
person of the party represented;
3. The adverse party who has been forced to litigate
as a defendant by the unauthorized action on the
part of the attorney for the plaintiff may, on that
ground, move for the dismissal of the complaint;
and
4. If unauthorized appearance is willful, attorney
may be cited for contempt as an officer of the
court who has misbehaved in his official
transactions, and he may be disciplined for
professional misconduct.
Authority of counsel to compromise
GR: The attorney has no authority to compromise his
client’s case. This is so because the client, even if
represented by counsel, retains exclusive control over
the subject matter of the litigation. The client can, of
course, authorize his lawyer to compromise his case,
and the settlement made by the lawyer will bind his
client.
XPNs:
11
1. When the lawyer is confronted with an
emergency where prompt and urgent action is
necessary to protect the interest of his client and
there is no opportunity for consultation with the
latter.
2. Settlement of monetary obligation to client is full
payment in cash.
Atty. Bravo represents Carlos Negar (an insurance
agent for Dormir Insurance Co.) in a suit filed by
insurance claimant Andy Limot who also sued
Dormir Insurance. Limot testified during the trial
that he had mailed the notice of the loss to the
insurance agent, but admitted that he lost the
registry receipt so that he did not have any
documentary evidence of the fact of mailing and
of its timeliness. Dormir Insurance denied
liability contending that the timely notice had not
been given either to the company or its agent.
A few days after Negar testified, he admitted to
Atty. Bravo that he had lied when he denied
receipt of Limot's notice; he did receive the notice
by mail but immediately shredded it to defeat
Limot's claim. If your were Atty. Bravo, what
would you do in light of your client's disclosure
that he perjured himself when he testified? (2013
Bar)
I shall promptly call upon Carlos Negar, my client, to
rectify his perjured testimony by recanting the same
before the court. Should he refuse or fail to do so I
shall then terminate my relationship with him (Canon,
19, Rule 19.02) stating that with his having committed
perjury he persuaded an illegal conduct in connection
with the case (Ibid., Canon 22, Rule 22.01).
Canon 20
Charge only fair and reasonable fees
May a lawyer collect fees for services rendered to
his client despite the absence of an agreement to
pay attorney’s fees? (2014 Bar)
Yes. Generally, the amount of attorney’s fees due is
that stipulated in the retainer agreement. In the
absence thereof, the amount of attorney’s fees is fixed
on the basis of quantum meruit.
In the absence of a contract for the payment of
attorney’s fees, what factor/s may be considered
in fixing the amount of attorney’s fees? (2014 Bar)
The following factors may be considered in
determining the amount of attorney’s fees in the
absence of any fee arrangement (TINS)
1. Time spent and the services rendered or required
2. Importance of subject matter
3. Novelty and difficulty of questions
4. Skill demanded of a lawyer
Attorney’s RETAINING Lien
 LEGAL ETHICS
A retaining lien is the right of an attorney to retain
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.
Attorney’s CHARGING Lien
A charging lien is the right of a lawyer 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 records of the court rendering such
judgment, or issuing such execution, and shall have
caused written notice thereof to be delivered to his
client and to the adverse party; and he shall have the
same right and power over such judgments and
executions as his client would have to enforce his lien
and secure the payment of his fees and
disbursements (Sec. 37, Rule 138, Revised Rules of
Court).
Requisites in order for an attorney to be able to
exercise his retaining lien
1. Attorney-client relationship;
2. Lawful possession by the lawyer of the client’s
funds, documents and papers in his professional
capacity; and
3. Unsatisfied claim for attorney’s fees or
disbursements.
4.
5. Retaining fee
A retaining fee is a preliminary fee given to an
attorney or counsel to insure and secure his future
services, and induce him to act for the client.
M engaged the services of Atty. D to prosecute his
annulment of marriage case in the RTC. After a
long-drawn trial, Atty. D was able to secure a
favourable judgment from the court.
Unfortunately, M failed to pay in full the
stipulated attorney’s fees of Atty. D. How can Atty.
D collect his fees from M? Discuss fully. (2014
Bar)
Atty. D can collect his fees from M either in the same
case in which it may be asserted either in the very
action in which the services of a lawyer had been
rendered, or in a separate civil action by a petition for
attorney's fees before the judgment in favor of the
client is satisfied or the proceeds thereof delivered to
the client.
Can a lawyer who refuses to return certain
documents to the client pending payment of his
attorney’s fee be sanctioned?
No. He is entitled to a retaining lien by virtue of which
he may retain funds, documents and papers of his
clients which have lawfully come into his possession,
12
until his lawful fees and disbursements have been
paid (Sec. 37, Rule 138, Rules of Court).
True or False: A charging lien, as distinguished
from a retaining lien, is an active lien which can
be enforced by execution. (2009 Bar)
TRUE. It is active because it requires the lawyer to
charge the judgment and its execution for the
payment of his fees.
Contingency Fee
A contract for contingent fees is an agreement in
writing by which the fees, usually a fixed percentage
of what may be recovered in the action, are made to
depend upon the success in the effort to enforce or
defend a supposed right. Contingent fees depend
upon an express contract, without which the attorney
can only recover on the basis of quantum meruit.
When a contingency fee contract was made verbally
and that there was no evidence presented to justify
the contingent fees being claimed, the only way to
determine his right to appropriate attorney’s fees is
to apply the principle of quantum meruit (Aquino v.
Casabar, G.R. No. 191470, January 26, 2015).
For services to be rendered by Atty. Delmonico as
counsel for Wag Yu in a case involving 5,000 sq.m.
of land, the two agreed on a success fee of P50,000
plus 500 sq.m. of the land. The trial court
rendered judgment in favor of Wag Yu which
became final and executory. After receiving
P50,000, Atty. Delmonico demanded the transfer
to him of the promised 500 sq.m. Instead of
complying, Wag Yu filed an administrative
complaint charging Atty. Delmonico with
violation of the Code of Professional
Responsibility and Article 1491(5) of the Civil
Code for demanding the delivery of a portion of
the land subject of litigation. Is Atty. Delmonico
liable under the Code of Professional
Responsibility and the Civil Code? Explain. (2010
Bar)
Atty. Delmonico is not guilty of violating the CPR and
the Civil Code. He and his client agreed on a success
fee of P50,000 plus 500 sq. of the land involved in the
case he was handling. This is a contingent fee contract
which is allowed under Canon 20 of the CPR and
Canon 13 of the CPE. A contingent fee agreement does
not violate Art. 1491 of the Civil Code because the
transfer or assignment of the property in litigation
takes effect only after the finality of a favorable
judgment.
Champertous Contracts
Is one where the lawyer stipulates with his client in
the prosecution of the case that he will bear all the
expenses for the recovery of things or property being
claimed by the client, and the latter agrees to pay the
former a portion of the thing or property recovered
as compensation. It is void for being against public
 UST LAW PRE-WEEK NOTES 2017
policy (like gambling). A champertous contract is
considered void due to public policy.
The contract of attorney’s fee entered into by Atty.
Quintos and his client, Susan, stipulates that if a
judgment is rendered in her favor, he gets 60% of
the property recovered as contingent fee. In turn,
he will assume payment of all expenses of the
litigation. Is the agreement valid?
No. The agreement that the lawyer will assume
payment of all the expenses of litigation makes it a
champertous contract, which is invalid.
Canon 21
Lawyer shall preserve the confidences and secrets of his
client even after the attorney-client relation is
terminated.
GR: A lawyer shall not reveal the confidences and
secrets of his client.
NOTE: 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, or with a view to, professional employment,
nor can an attorney’s secretary, stenographer, or
clerk be examined, without the consent of the client
and his employer, concerning any fact the knowledge
of which has been acquired in such capacity (Sec.
24(b), Rule 130, RRC).
XPNs:
1. When authorized by his client after acquainting
him of the consequences of the disclosure;
2. When required by law;
3. When necessary to collect his fees or to defend
himself, his employees or associates by judicial
action.
NOTE: Payment of retainer fee is not essential before
an attorney can be required to safeguard a
prospective client’s secret acquired by the attorney
during the course of the consultation with the
prospective client. This is so even if the attorney did
not accept the employment.
Instances when a lawyer may testify as a witness
in a case which he is handling for a client
1. On formal matters, such as the mailing,
authentication or custody of an instrument and
the like;
2. Acting as an expert on his fee;
3. Acting as an arbitrator;
4. Depositions; and
5. On substantial matters in cases where his
testimony is essential to the ends of justice, in
which event he must, during his testimony,
entrust the trial of the case to another counsel.
Canon 22
Lawyer can withdraw his services only for good cause
and upon notice appropriate in the circumstances.
13
When the client has not failed to pay the lawyer's fees
or to comply with the retainer agreement but only
refused to agree with the lawyer's demand for an
increase in his fees, the lawyer’s withdrawal is not
justified. Client’s right to refuse is part of his freedom
of contract.
A lawyer may withdraw his services only for good
cause and upon notice appropriate in the
circumstances
Grounds for withdrawal
1. Client pursues an illegal or immoral course of
conduct;
2. Client insists that lawyer violate canons and rules;
3. Inability to work with co-counsel to detriment of
client;
4. Mental or physical condition of lawyer makes it
5. Difficult for him to continue;
6. Client deliberately fails to pay attorney’s fees;
7. Election or appointment to public office;
8. Other similar cases
Can a client discharge the services of his lawyer
without a cause?
Yes. A client has the right to discharge his attorney at
any time with or without a cause or even against his
consent.
1. With just cause – lawyer is not necessarily
deprived of his right to be paid for his services.
He may only be deprived of such right if the cause
for his dismissal constitutes in itself a sufficient
legal obstacle to recovery.
2. Without just cause
a) No express written agreement as to fees -
reasonable value of his services up to the date
of his dismissal (quantum meruit).
b) There is written agreement and the fee
stipulated is absolute and reasonable – full
payment of compensation.
c) The fee stipulated is contingent.
d) If dismissed before the conclusion of the
action - reasonable value of his services
(quantum meruit)
e) If contingency occurs or client prevents its
occurrence – full amount.
NOTE: Even if the compensation of the attorney is
dependent only on winning the litigation, the
subsequent withdrawal of the case upon the client’s
initiative would not deprive the attorney of the
legitimate compensation for professional services
rendered. Although a client may dismiss her lawyer
at any time, the dismissal must be for a justifiable
cause if a written contract between the lawyer
and the client exists. In the absence of the lawyer’s
fault, consent or waiver, a client cannot deprive the
lawyer of his just fees already earned in the guise of a
justifiable reason (Malvar v. Kraft Food, G.R. No.
183952, September 9, 2013).
 LEGAL ETHICS
Duties of a discharged lawyer or one who
withdraws
1. Immediately turn-over all papers and property to
which the client is entitled; and
2. To cooperate with his successor in the orderly
transfer of the case.
DISBARMENT, SUSPENSION, AND DISCIPLINE
OF LAWYERS
The right to institute a disbarment proceeding is not
confined to clients nor is it necessary that the person
complaining suffered injury from the alleged
wrongdoing of the lawyer.
Suspension
When this court orders a lawyer suspended from the
practice of law, the lawyer must desist from
performing all functions requiring the application of
legal knowledge within the period of suspension. This
includes desisting from holding a position in
government requiring the authority to practice law
(Lingan v. Atty. Baliga, A.C. No. 5377, June 30, 2014).
Disbarment is sui generis
Alleging that Atty. Malibu seduced her when she
was only 16 years old, which resulted in her
pregnancy and the birth of a baby girl, Miss
Magayon filed a complaint for his disbarment
seven years later. Atty. Malibu contended that,
considering the period of delay, the complaint can
no longer be entertained much less prosecuted
because the alleged offense has already
prescribed. Is Atty. Malibu’s contention tenable?
No, his contention is not tenable. Disbarment
proceedings are sui generis. They are neither criminal
nor civil proceedings. Disbarment is imprescriptible.
Unlike ordinary proceedings, it is not subject to the
defense of prescription. The ordinary statute of
limitations has no application to disbarment
proceedings.
Is the defense of Atty. R in a disbarment complaint
for immorality filed by his paramour P that P is in
pari delicto material or a ground for exoneration?
Explain. (2010 Bar)
The defense of in pari delicto is immaterial in an
administrative case which is sui generis. The
administrative case is about the lawyer’s conduct, not
the woman’s.
Give at least five (5) reasons why disbarment is
sui generis.
1. It is neither a civil nor a criminal proceedings
2. Double jeopardy cannot be availed of as a defense
14
3. It can be initiated motu proprio by the Supreme
Court of by the IBP
4. It can proceed regardless of lack of interest of the
complainant
5. It is imprescriptible
6. It is confidential
7. It is in itself due process
Specific grounds for suspension or disbarment
(List is NOT exclusive)
1. Deceit;
2. Malpractice;
3. Grossly immoral conduct;
4. Conviction of a crime involving moral turpitude;
5. Violation of oath of office;
6. Willful disobedience of any lawful order of a
superior court;
7. Corrupt or willful appearance as an attorney for a
party to a case without authority to do so (Sec. 27,
Rule 138, RRC);
8. Non-payment of IBP membership dues
NOTE: In order to hold a lawyer amenable to
disbarment by reason of his or her having committed
a crime involving moral turpitude, it is not enough to
show that there is a pending case involving moral
turpitude against him or her, because Section 27 of
Rule 138 expressly requires that he or she must have
been found by final judgment guilty of the crime
involving moral turpitude (Interadent Zahntechnik v.
Atty. Francisco-Simbillo, A.C. No. 9464, August 24,
2016).
Cliff and Greta were law school sweethearts. Cliff
became a lawyer, but Greta dropped out. One day,
Cliff asked Greta to sign a marriage contract. The
following day, Cliff showed Greta the document
already signed by an alleged solemnizing officer
and two witnesses. Cliff then told Greta that they
were already married and Greta consented to go
on a honeymoon. Thereafter, the couple
cohabited and begot a child. Two years later, Cliff
left Greta and married a Venezuelan beauty.
Incensed, Greta filed a disbarment complaint
against Cliff. Will the case prosper? Explain. (2009
Bar)
The disbarment case will prosper. In the case of
Cabrera v. Agustin, a lawyer who deceived a woman to
believe that they were already married after they had
signed an application for marriage license, and
afterward took advantage of her belief to satisfy his
lust, until she bore him a child, was considered by the
Supreme Court to be lacking in integrity and good
morals to remain a member of the Bar.
Lawyer’s misconduct committed prior and after
admission to the bar and its effects
1. Prior to admission to the bar - acts of misconduct
prior to admission include those that indicate that
at the time the lawyer took his oath, he did not
possess the required qualifications for
membership in the bar.
 UST LAW PRE-WEEK NOTES 2017
2. After admission to the bar - those which cause loss
of moral character on his part or involve violation
of his duties to the court, his client, to the legal
profession and to the public.
Proceedings in Disbarment
1. Initiated by the Supreme court motu proprio or by
the IBP, or upon verified complaint by any person
filed with the Supreme Court or an IBP Chapter
2. If complaint is prima facie meritorious, referred
to the IBP, the Solicitor General, any officer of the
Court or a judge of a lower court
3. IBP Board of Governors assigns complaint to
Commission on Bar Discipline (CBD).
4. CBD will assign complaint to a Commissioner or
group Commissioners.
5. If complaint found meritorious, Commissioner(s)
will require respondent to file an answer.
6. Commissioner will conduct hearing in which
respondent is accorded due process.
7. After hearing, Commissioner(s) will submit
Report and Recommendation to IBP Board of
Governors.
8. Board of Governors will render decision, either
exonerating the respondent and dismissing the
case, or imposing a sanction less than suspension,
or recommending suspension or disbarment to
the Supreme Court.
Exoneration may be appealed by the complainant
to the Supreme Court. Sanction of less than
suspension or disbarment may be appealed by
the respondent to the Supreme Court. Either one
may file a motion for reconsideration with the IBP
Board before appealing.
9. Supreme Court renders decision, by division if
penalty is fine of P10,000 less and/or suspension
for one year or less, and by the court en banc, if
penalty is fine of more than P10,000.00 and/or
suspension for more than one year, or
disbarment.
Atty. D was required by Judge H of the RTC of
Manila to show cause why he should not be
punished for contempt of court for shouting
invectives at the opposing counsel and harassing
his witness. Assuming that there was sufficient
cause or ground, may Judge H suspend Atty. D
from the practice of law? If Judge H finds that the
actuations of Atty. D are grossly unethical and
unbecoming of a member of the bar, may Judge H
disbar Atty. D instead? Explain your answer.
(2014 Bar)
No, Judge H cannot suspend nor disbar Atty. D.
Proceedings for disbarment, suspension or discipline
of attorneys may be taken only by the Supreme Court
motu proprio, or by the Integrated Bar of the
Philippines upon the verified complaint of any
person.
Discipline of Filipino lawyers practicing abroad
15
If the Filipino lawyer is disbarred or suspended from
the practice of law by a competent court or
disciplinary agency in a foreign jurisdiction where he
has been admitted as an attorney, and a ground
therefor includes any of the acts enumerated in
Section 27, Rule 138 of the RRC, such disbarment or
suspension is a ground for his disbarment or
suspension in the Philippines
Atty. Forma is a member of the Philippine Bar. He
went to New York City, took the New York State
Bar, and passed the same. He then practiced in
New York City. One of his American clients filed a
case for disbarment against him for pocketing the
money which was entrusted to him as payment
for the filing fee and other incidental expenses of
his damage suit. Atty. Forma was later disbarred
for dishonesty. Disheartened, Atty. Forma came
back to the Philippines and practiced as a lawyer.
Will his disbarment in New York be used against
him for purposes of disbarment proceedings here
in the Philippines? (2014 Bar)
Yes. If the Filipino lawyer is disbarred from the
practice of law by a competent court in a foreign
jurisdiction where he has been admitted as an
attorney, such disbarment can be a ground for
disbarment in the Philippines provided that the cause
for disbarment is included in Section 27, Rule 138 of
RRC. The pocketing of money entrusted to him may
constitute deceit which is a ground for discipline and
disbarment.
Desistance
A disbarment proceeding may proceed regardless of
interest or lack of interest of the complainant (Rayos-
Ombac v. Rayos, A.C. No. 2884, January 28, 1998). The
withdrawal of a disbarment case against a lawyer
does not terminate or abate the jurisdiction of the IBP
and of the Court to continue an administrative
proceeding against a lawyer-respondent as a member
of the Philippine Bar (Quianchon v. Atty. Ramos, A.C.
No. 9317, June 4, 2014).
Arabella filed a complaint for disbarment against
her estranged husband Atty. P on the ground of
immorality and use of illegal drugs. After Arabella
presented evidence and rested her case before
the Investigating Commissioner of the IBP
Committee on Bar Discipline, she filed an Affidavit
of Desistance and motion to dismiss the
complaint, she and her husband having reconciled
for the sake of their children. You are the
Investigating Commissioner of the IBP. Bearing in
mind that the family is a social institution which
the State is duty-bound to preserve, what will be
your action on Arabella’s motion to dismiss the
complaint? (2010 Bar)
I would still deny the motion to dismiss. The general
rule is that no investigation shall be interrupted or
terminated by reason of desistance, settlement,
compromise, restitution, withdrawal of charges or
 LEGAL ETHICS
failure of complainant to prosecute the same unless
the SC motu proprio or upon recommendation of the
IBP Board determines that there is no compelling
reason to continue with the proceedings. An affidavit
of desistance will have no effect on it, being a sui
generis proceeding.
RE-ADMISSION TO THE BAR
The objective of a disciplinary case is not so much to
punish the individual attorney as to protect the
dispensation of justice by sheltering the judiciary and
the public from the misconduct or inefficiency of offi-
cers of the court. Restorative justice, not retribution,
is the goal in disciplinary proceedings.
Whether or not the applicant shall be reinstated rests
on the discretion of the court.
In a petition for reinstatement to the practice of law,
the Court will take into consideration his or her
character and standing prior to the disbarment, the
nature and character of the charge/s for which he or
she was disbarred, his or her conduct subsequent to
the disbarment, and the time that has elapsed in
between the disbarment and the application for
reinstatement (Que v. Atty. Rivera, Jr., A.C. No. 7054,
November 11, 2014).
Suspension
1. After a finding that the respondent lawyer must
be suspended from the practice of law, the Court
shall render a decision imposing the penalty.
2. Unless the Court explicitly states that decision is
immediately executory upon receipt thereof, the
respondent has 15 days within which to file a
motion for reconsideration thereof. Denial of the
motion for reconsideration shall render the
decision final and executory.
3. Upon expiration of the period of suspension, the
respondent shall file a Sworn Statement with the
Court through the Office of the Bar Confidant
stating therein that he or she has desisted from
the practice of law and has not appeared in any
court during the period of his or her suspension.
4. Copies of the sworn statement shall be furnished
the Local Chapter of the IBP and to the Executive
Judge of the courts where he or she has pending
cases and/or has appeared as counsel.
5. The Sworn Statement shall be considered as
proof of respondent’s compliance with the order
of suspension.
6. Any finding or report contrary to the statements
made by the lawyer under oath shall be ground
for imposition of a more severe punishment, or
disbarment, as may be warranted (Maniago v.
Atty. De Dios, A.C. No. 78472, March 30, 2010).
Lifting of Suspension
The lifting of a lawyer’s suspension is not
automatic upon the end of the period stated in the
Court’s decision, and an order from the Court lifting
the suspension at the end of the period is necessary in
16
order to enable him to resume the practice of his
profession.
Executive Pardon Granted by the President
If during the pendency of 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
conditional.
1. Absolute or unconditional pardon - the disbarment
case will be dismissed.
2. Conditional pardon - the disbarment case will NOT
be dismissed on the basis thereof.
To be reinstated, there is still a need for the filing of
an appropriate petition with the Supreme Court
Resumption of Practice of Law (2013 Bar)
Before a lawyer who reacquires Filipino citizenship
pursuant to R.A. 9225 can resume his law practice, he
must first secure from the SC the authority to do so,
conditioned on:
1. The updating and payment in full of the annual
membership dues in the IBP;
2. The payment of professional tax;
3. The completion of at least 36 credit hours of
mandatory continuing legal education, this is
especially significant to refresh the
applicant/petitioner’s knowledge of Philippine
laws and update him of legal developments; and
4. The retaking of the lawyer’s oath which will not
only remind him of his duties and responsibilities
as a lawyer and as an officer of the Court, but also
renew his pledge to maintain allegiance to the
Republic of the Philippines.
MANDATORY CONTINUING LEGAL EDUCATION
State the aims and objectives sought to be
accomplished by MCLE.
Continuing legal education is required of members of
the IBP to ensure that throughout their career, they
keep abreast with law and jurisprudence, maintain
ethics of the profession and enhance the standards of
practice of law.
Requirements of completion of MCLE
Members of the IBP, unless exempted under Rule 7,
shall complete every 3 years at least 36 hours of
continuing legal education activities. The 36 hours
shall be divided as follows:
1. 6 hours – legal ethics
2. 4 hours – trial and pretrial skills
3. 5 hours – alternative dispute resolution
4. 9 hours – updates on substantive and procedural
laws and jurisprudence
5. 4 hours – legal writing and oral advocacy
 UST LAW PRE-WEEK NOTES 2017
6. 2 hours – international law and international
conventions
7. Remaining 6 hours – such other subjects as may
be prescribed by the Committee on MCLE
Non-compliance of the MCLE
1. Failure to complete education requirement
within the compliance period;
2. Failure to provide attestation of compliance or
exemption;
3. Failure to provide satisfactory evidence of
compliance (including evidence of exempt status)
within the prescribed period;
4. Failure to satisfy the education requirement and
furnish evidence of such compliance within 60
days from receipt of non-compliance notice;
5. Failure to pay non-compliance fee within the
prescribed period; or
6. Any other act or omission analogous to any of the
foregoing or intended to circumvent or evade
compliance with the MCLE requirements.
Consequences of non-compliance (2014 Bar)
A member who fails to comply with the requirements
after the 60-day period shall be listed as delinquent
member by the IBP Board of Governors upon
recommendation of the Committee on MCLE.
A lawyer who teaches major subjects in law school for
8 years is not exempt from MCLE, while a professor
who teaches for 30 years not in College of Law is also
not exempt. (2012 Bar)
Persons exempted from the MCLE
1. President and Vice-President, Secretaries and
Undersecretaries of Executive Departments
2. Senators and Members of the House of
Representatives
3. 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 court lawyers
covered by the Philippine Judicial Academy
4. Chief State Counsel, Chief State Prosecutor, and
Assistant Secretaries of the Department of Justice
5. Solicitor General and Assistant Solicitor General
6. Government Corporate Counsel, Deputy an
Assistant Government Corporate Counsel
7. Chairmen and Members of Constitutional
Commissions
8. The Ombudsman, over-all Deputy Ombudsman,
Deputy Ombudsman and Special Prosecutor of
the Office of the Ombudsman
9. Heads of government agencies exercising quasi-
judicial functions
10. Incumbent deans, bar reviewers and professors
of law who have teaching experience for at least
ten years in an accredited law school
11. The Chancellor, Vice-Chancellor and members of
the Corps of Professors and Professorial
Lecturers of the Philippine Judicial Academy
17
12. Governors and mayors
13. Those who are not in law practice, private or
public
14. Those who have retired from law practice
approved by the IBP Board of Governor
15. Good cause for exemption from or modification of
requirement, member may file a verified request
(such as physical disability, illness, post-graduate
study abroad, proven expertise in law, etc.) from
compliance with or modification of any of the
requirements.
NOTARIAL PRACTICE
Qualifications
1. Citizen of the Philippines
2. Over 21 years of age
3. Resident of the Philippines for at least 1 year
4. Maintains a regular place of work in the city or
province where the commission is to be issued,
5. Member of the Philippine bar in good standing
6. Has not been convicted in the first instance of a
crime involving moral turpitude.
Term of office: Two (2) years, commencing from the
first day of January of the year in which the
commission was issued.
Jurisdiction of Notary Public: Territorial
jurisdiction of the commissioning court.
Place of notarization: Regular place of work, except:
1. public office, 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 documents or instruments
requiring notarization,
3. hospitals and other medical institutions where a
party to an instrument is confined for treatment.,
4. any place where a party to an instrument is under
detention.
The “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.
Authority of judges to notarize
MTC Judges: MTC and MCTC judges may act as
notaries public ex-officio in the notarization of
documents connected only with the exercise of their
official functions and duties. They may not, as
notaries public ex-officio, undertake the preparation
and acknowledgment of private documents, contracts
and other acts of conveyances which bear no direct
relation to the performance of their functions as
judges.
RTC Judges: No judge or other official or employee of
the superior courts shall engage in private practice as
a member of the bar or give professional advice to
clients. Notarization of documents is considered a
practice of law.
 LEGAL ETHICS

h. fails to identify a principal on the basis of

Commission
A notarial commission may be issued by an Executive
Judge to any qualified person who submits a petition
in accordance with the Rules on Notarial Practice
Commissioned notary public is enjoined from
performing a notarial act unless the affiant is:
1. in his presence at the time of the notarization;
and
2. personally known to him or otherwise identified
by him through competent evidence of identity as
defined by the Rules.
personal knowledge or competent evidence;
i. executes a false or incomplete certificate;
j. knowingly perform or fails to perform any
other act prohibited or mandated by the
Rules;
k. commits any other dereliction or act which in
the judgment of the Executive Judge
constitutes good cause for revocation of
commission or imposition of administrative
sanction
A notary public is empowered to perform the
following notarial acts:

Q: Enumerate the instances when a Notary Public 1. Acknowledgments;

may authenticate documents without requiring the 2. Oaths and affirmations;
physical presence of the signatories. (2010 Bar) 3. Jurats;
4. Signature witnessing;
A: 5. Copy certifications; and
1. If the signatory is old or sick or otherwise unable 6. Any other act authorized by these rules
to appear, his presence may be dispensed with if
one credible witness not privy to the instrument A notary public is authorized to certify the affixing of
and who is known to the notary public, certifies a signature by thumb or other mark on an instrument
under oath or affirmation the identity of the or document presented for notarization. Also, he is
signatory. authorized to sign on behalf of a person who is
2. If two credible witnesses neither of whom is privy physically unable to sign or make a mark on an
to the instrument, not known to the notary public instrument or document. (1995 Bar)
but can present their own competent evidence of
identity of the signatory. Acknowledgment v. Jurat
3. In cases of copy certification and issuance of
certified true copies. ACKNOWLEDGMENT JURAT
Act of one who has That part of an
Expired Commission executed a deed, in going to affidavit in which the
some competent officer or notary public or
A notary public may file a written application with the court and declaring it to be officer certifies that
Executive Judge for the renewal of his commission his act or deed the instrument was
within 45 days before the expiration thereof. Failure sworn to before him.
to file said application will result in the deletion of the
name of the notary public in the register of notaries The notary public or officer It is not part of a
public and may only be reinstated therein after he is taking the pleading but merely
issued a new commission acknowledgment shall evidences the fact
certify that the person that the affidavit was
Revocation of Commission acknowledging the properly made.
instrument or document is
Executive judge may revoke commission: known to him and he is the
1. For any ground for which an application for a same person who executed
commission may be denied; it and acknowledged that
2. Where the notary public – the same is his free act and
a. fails to keep a notarial register; deed.
b. fails to make a proper entry in his notarial Two-fold purpose: To Purpose: Gives the
register; authorize the deed to be document a legal
c. fails to send a copy of his entries to the given in evidence without character.
Executive within10 days of the following further proof of its
month; execution, and, to entitle it
d. fails to affix to acknowledgments date of to be recorded.
expiration of his commission;
e. fails to submit his notarial register, when Where used: Where used:
filled, to the Executive Judge; 1. To authenticate an 1. Affidavits;
f. fails to make his report to the Executive Judge agreement between two or 2. Certifications;
within a reasonable time, concerning the more persons; or 3. Whenever the
performance of his duties, as may be 2. Where the document person executing
required by the Judge; contains a disposition of makes a
g. fails to require the presence of a principal at property. statement of facts
the time of a notarial act;

18
 UST LAW PRE-WEEK NOTES 2017
or attests to the
truth of an event,
under oath.
E.g. The acknowledgment E.g. An affidavit
in a deed of lease of land. subscribed before a
notary public or
public official
authorized for the
purpose.
Limitations to the performance of notarial acts
A person shall not perform a notarial act if the person
involved as signatory to the instrument or document
is:
1. Not in the notary's presence personally at the
time of the notarization; and
2. Not personally known to the notary public or
otherwise identified by the notary public through
competent evidence of identity as defined by the
Rules on Notarial Practice
3. The document is blank or incomplete;
4. An instrument or document is without
appropriate notarial certification
Instances when Notary public may refuse to notarize:
1. The notary knows or has good reason to believe
that the notarial act or transaction is unlawful or
immoral;
2. 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;
3. In the notary's judgment, the signatory is not
acting of his or her own free will
4. If the document or instrument to be notarized is
considered as an improper document by the
Rules on Notarial Practice.
A notary public is disqualified to perform notarial act
when he:
1. Is a party to the instrument or document that is to
be notarized;
2. Will receive, as a direct or indirect result, any
commission, fee, advantage, right, title, interest,
cash, property, or other consideration, except as
provided by the Rules on Notarial Practice and by
law; or
3. Is a spouse, common-law partner, ancestor,
descendant, or relative by affinity or
consanguinity of the principal within the fourth
civil degree
Notary public is personally accountable for all entries
in his notarial register. They cannot be relieved of
responsibility for the violation of the aforesaid
sections by passing the buck to their secretaries
(Lingan v. Atty. Calibaquib, A.C. No. 5377, June 15,
2006).
19
Punishable acts under Notarial Practice Law
1. Acts or otherwise impersonates a notary public;
2. Obtains, conceals, defaces, or destroys the seal,
notarial register, or official records of a notary
public; and
3. Solicits, coerces, or in any way influences a notary
public to commit official misconduct to be
notarized.
Atty. D allegedly notarized an Extrajudicial
Settlement with Waiver of Rights where the
signatures were forged, the persons did not
appear and acknowledge the same before Atty. D
as notarizing officer, and the community tax
certificates were also not theirs. Atty. D admitted
that he notarized the document, relying in good
faith on the representation of one of the heirs that
the signatures and tax certificates were correct.
Was there a violation of the Notarial Law?
Yes. Notaries public should refrain from affixing their
signature and notarial seal on a document unless the
persons who signed it are the same individuals who
executed and personally appeared before the notaries
public to attest to the truth of what are stated therein.
Without the appearance of the person who actually
executed the document in question, notaries public
would be unable to verify the genuineness of the
signature of the acknowledging party and to ascertain
that the document is the party’s free act or deed.
Furthermore, notaries public are required by the
Notarial Law to certify that the party to the
instrument has acknowledged and presented before
the notaries public the proper residence certificate
(or exemption from the residence certificate) and to
enter its number, place, and date of issue as part of
certification.
The 2004 Rules on Notarial Practice (as amended by
A.M. No. 02-8-13-SC, February 19, 2008) requires a
party to the instrument to present competent
evidence of identity: (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 (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
 LEGAL ETHICS
the individual and shows to the notary public
documentary identification.
JUDICIAL ETHICS
The branch of moral science which treats of the right
and proper conduct to be observed by all judges in
trying and deciding controversies brought before
them for adjudication and which conduct must be
demonstrative of impartiality, integrity, competence,
independence and freedom from improprieties. This
freedom from improprieties must be observed in both
the public and private life of a judge who is the visible
representation of the law.
A judge is a public officer who, by virtue of his office,
is clothed with judicial authority and is lawfully
appointed to decide litigated questions in accordance
with law (People v. Manantan, G.R. No. L-14129,
August 30, 1962).
The two sources of judicial ethics
a. New Code of Judicial Conduct for the
Philippine Judiciary (Bangalore Draft);
b. Code of Judicial Conduct
NEW CODE OF JUDICIAL CONDUCT FOR THE
PHILIPPINE JUDICIARY
(BANGALORE DRAFT)
The New Code of Judicial Conduct (NCJC) for the
Philippine Judiciary which took effect on June 1, 2004
supersedes the Canons of Judicial Ethics and the
Code of Judicial Conduct. Provided, however, that in
case of deficiency or absence of specific provisions in
this New Code, the Canons of Judicial Ethics and Code
of Judicial Conduct shall be applicable in a
suppletory character (2007, 2009 Bar Questions).
One of the foundations of the Bangalore Draft of
the Code of Judicial Conduct is the importance in a
modern democratic society of what? (2011 Bar
Question)
Public confidence in its judicial system and in the
moral authority and integrity of its judiciary.
The six (6) canons under the New Code of Judicial
Conduct for the Philippine Judiciary
1. Independence
2. Integrity
3. Impartiality
4. Propriety
5. Equality
6. Competence and Diligence
INDEPENDENCE
Canon 1
Judicial independence is a pre-requisite to the rule of
law and a fundamental guarantee of a fair trial. a
20
judge shall, therefore, uphold and exemplify judicial
independence in both its individual and institutional
aspects
Individual Judicial Independence focuses on each
particular case and seeks to insure the ability of the
judge to decide cases with autonomy and within the
constraints of the law while Institutional Judicial
Independence focuses on the independence of the
judiciary as a branch of the government and protects
judges as a class (In the Matter of the Allegations
Contained in the Columns of Mr. Amado P. Macasaet
Published in Malaya dated September 18, 19, 20 and
21, 2007).
Judges must reject pressure by maintaining
independence from, but not limited to the following:
1. Independence from public officials – the public laid
their confidence on the fact that the official is
mentally and morally fit to pass upon the merits
of their varied intentions.
2. Independence from government as a whole – avoid
inappropriate connections, as well as any
situation that would give rise to the impression of
the existence of such inappropriate connections.
3. Independence from family, social, or other
relationships –avoid sitting in litigation where a
near relative is a part of or counsel; be
independent from judicial colleagues (Sec. 2) and
avoid such actions as may reasonably tend to
wake the suspicion that his social or business
relations constitute an element in determining his
judicial course.
4. Independence from public opinion – the only guide
of the official is the mandate of law.
Principle of Subjudice
A judge is prohibited from making public statements
in the media regarding a pending case so as not to
arouse public opinion for or against a party (2007
Bar)
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.
The term “judge’s family” includes:
1. Judge’s spouse
2. Son/s
3. Daughter/s
4. Son/s-in-law
5. Daughter/s-in-law
6. Other relatives by consanguinity or affinity within
the sixth civil degree, or
7. Any person who is a companion or employee
of the judge and who lives in the judge’s
household
 UST LAW PRE-WEEK NOTES 2017
When the judge is related to one of the parties within
the sixth degree of consanguinity or affinity, a judge’s
disqualification to sit in a case is mandatory,
“notwithstanding lack of pecuniary interest in the
case”.
Judges of the first and second level courts are
allowed to receive assistance from the local
government units where they are stationed. This
assistance could be in the form of equipment or
allowance. Justices at the Court of Appeals in the
regional stations in the Visayas and Mindanao are
not necessarily residents thereof, hence, they
incur additional expenses for their
accommodations. Pass on the propriety of the
justices' receipt of assistance/allowance from the
local governments. (2010 Bar)
Section 5, Cannon 1 of the New Code of Judicial
Conduct for the Philippine judiciary provides that
Judges shall be free from inappropriate connections
with, and influence by, the executive branch, and
must appear to be free therefrom to a reasonable
extent. It is a common perception that the receipt of
allowances or assistance from a local government
unit may affect the judge's ability to rule
independently in cases involving the said unit.
INTEGRITY
Canon 2
Integrity is essential not only to the proper discharge of
the judicial office, but also to the personal demeanor of
judges
Presumption regarding judges
Judges are presumed honest and men of integrity,
unless proven otherwise.
Integrity is essential not only to the proper discharge
of the judicial office but also to the personal
demeanor of judges. 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 people who run the
system have done justice. Justice must not be merely
done but must also be seen to be done (Panaligan v.
Judge Ibay, A.M. No. TJ-06-1972, June 21, 2006).
A judge may summarily punish any person including
lawyers and court personnel, for direct contempt for
misbehaviour committed in the presence of or so near
a court or a judge as to obstruct or interrupt the
proceedings before the same.
While Judge Tuparin was in his chambers
dictating an order to a stenographer, two lawyers
who were in the courtroom waiting for the start of
the session almost came to blows as a result of a
heated argument. Tuparin came out of his
chambers and after identifying the lawyers
involved in the commotion promptly declared
them in contempt of court. Was the action of Judge
Tuparin proper?
21
No. The act committed by the two lawyers was
indirect contempt violative of the rule punishing “any
improper conduct tending directly or indirectly, to
impede, obstruct, or degrade the administration of
justice”, since the judge was then engaged in dictating
an order before the morning session was called. The
act of the two lawyers constituted obstruction of the
administration of justice, which was indirect
contempt. Accordingly, they could only be punished
after notice and hearing.
IMPARTIALITY
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
Principle of cold neutrality of an impartial judge
A judge should not only render just, correct, and
impartial decision but should do so in a manner free
from suspicion as to his fairness, impartiality and
integrity. This is an indispensable requisite of due
process (Rallos v. Gako, A.M. No.RTJ-98-1484, March
17, 2000).
Degree of proof required to prove bias on the part
of the judge
The complainant must prove the same by clear and
convincing evidence since allegations of bias are quite
serious. Mere allegations are not sufficient to
constitute a violation of the rule. Bias and prejudice
cannot be presumed and mere suspicion of partiality
is not enough.
Extra-judicial source rule
It means that the decision is based on some influence
other than the facts and law presented in the
courtroom
In a murder trial, Judge T asked searching
questions of all the witnesses for the accused
prompting Atty. O, counsel the accused, to request
Judge T to desist from acting as counsel for the
prosecution. The Judge, however, reminded Atty.
O that she wanted to determine whether the
accused was guilty of the crime charged. Is it
proper for Judge T to take an active part on the
examination of the accused’s witnesses? (1996
Bar)
No, it is not proper. The intervention of the judge in a
case must be done with considerable circumspection.
It must be done sparingly and not throughout the
trial, which will have the effect of or will tend to build
or bolster the case for one of the parties. The reason
for this rule is that the judge should not only be
impartial but also appear to be impartial.
Judges shall, so far as is reasonable, so conduct
themselves as to minimize the occasions on which it
 LEGAL ETHICS
will be necessary for them to be disqualified from
hearing or deciding cases.
Meaning of “duty to sit”
It means that a judge must ensure that he will not be
unnecessarily disqualified from a case. A judge cannot
inhibit himself as he pleases. A decision to inhibit
must be based on good, sound or ethical grounds, or
for just and valid reasons. It is not enough that a party
cast some tenuous allegations of partiality at the
judge.
Judge Segotier is a member of Phi Nu Phi
Fraternity. Atty. Nonato filed a motion to
disqualify Judge Segotier on the ground that the
counsel for the opposing party is also a member
of the same fraternity. Judge Segotier denied the
motion. Comment on his ruling. (2005 Bar)
The ruling of Judge Segotier is correct. The fact that a
judge is a former classmate of one of the counsels in a
case has been held to be sufficient ground for the
disqualification of the judge. Intimacy or friendship
between judge and an attorney of record has also
been held to be sufficient ground for disqualification.
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.
Judges should not only be impartial but should also
appear impartial. Judges must not only render just,
correct and impartial decisions, but must do so in a
manner free from any suspicion as to their fairness,
impartiality and integrity.
Judges shall disqualify themselves from participating
in any proceeding 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.
The phrase “any proceedings” includes, but is not
limited to instances where:
1. The judge has actual bias or prejudice concerning
a party or personal knowledge of disputed
evidentiary facts concerning the proceedings
2. The judge previously served as a lawyer or was a
material witness in the matter in controversy
3. A judge may be disqualified if he was formerly
associated with one of the parties or their
counsel.
4. A judge who previously notarized the affidavit of
a person to be presented as a witness in a case
before him shall be disqualified from proceeding
with the case.
5. The judge, or a member of his or her family, has
an economic interest in the outcome of the matter
in controversy
22
6. 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
7. The judge is related by consanguinity or affinity
to a party litigant within the 6th civil degree or to
counsel within the 4th civil degree
Judge Mijares was charged with grave misconduct
for taking cognizance and deciding a special
proceeding for correction of entry in the record of
her grandson, notwithstanding such relationship.
It was also alleged that the judge dispensed with
the publication requirement in said proceeding.
In her answer, Judge Mijares contended that the
prohibition provided for under the Code did not
apply to special proceedings which are not
controversial in nature and that she does not have
any pecuniary interest in the case. Is the
contention correct?
No. A judge who is related to a party within the 6th
degree of consanguinity is mandated to inhibit
himself from hearing the case “notwithstanding lack
of pecuniary interest in the case”. This is so because
lack of such interest does not mean that she can
already be free from bias and partiality in resolving
the case by reason of her close blood relationship as
evident from the fact that here, she waived the
publication requirement in order to save the
petitioner from the payment of publication fee. Thus,
the judge’s taking cognizance of the petition was
improper (Villaluz v. Mijares, A.M. No. RTJ -98-1402
288, April 3, 1998).
Inhibition
An act when a judge personally prevents himself from
taking cognizance of the case. This is made through a
written petition to inhibit which shall state the
grounds for the same. The explanation of the judge
whether or not to take cognizance of the case must
also be in writing.
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 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.
Types of disqualification
1. Mandatory or compulsory disqualification
2. Voluntary disqualification or inhibition
Disqualification Inhibition
There are specific The rule only provides
grounds enumerated broad basis for
under the rules of court inhibition.
 UST LAW PRE-WEEK NOTES 2017
for disqualification.
The judge has no The rule leaves the
discretion; mandatory matter to the judge’s
sound discretion
Grounds for mandatory/compulsory
disqualification
1. When he, or his wife, or child is pecuniarily
interested as heir, legatee, creditor, or otherwise;
2. When he is related to either party within the 6th
degree of consanguinity or affinity or to counsel
within the 4th civil degree;
3. When he has been an executor, guardian,
administrator, trustee, or counsel; or
4. When he has presided in an inferior court where
his ruling or decision is subject to review, without
the written consent of the parties (Rule 137, RRC).
XPN to compulsory disqualification: The judge may
hear and decide the case despite the presence of a
disqualification provided the interested parties both
give their written consent, signed by them and
entered upon the record. It has been decided by the
Supreme Court that oral consent is not valid, even
though both parties have agreed
In a verified complaint, Kathy said that Judge
Florante decided a petition for correction of entry
involving the birth record of her grandson,
Joshua, who happened to be child of Judge
Florante’s daughter, Pilita. Judge Florante insisted
that he committed no wrong since the proceeding
was non-adversarial and since it merely sought to
correct an erroneous entry in the child’s birth
certificate. Is Judge Florante liable? (2011 Bar)
Yes, because Florante breached the rule on
mandatory disqualification. Sec. 5, Canon 3 provides
that: “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: “xx 6. The judge is related by consanguinity or
affinity to a party litigant within the 6th civil degree or
to counsel within the fourth civil degree.” This is
considered as a MANDATORY INHIBITION. Strict
compliance with the rules on disqualification is
required.
Can a judge who refuses to inhibit himself
although one of the lawyers in the case is his
second cousin be sanctioned?
No. The ground for mandatory disqualification refers
to the counsel within the 4th civil degree of the judge. A
second cousin of a judge is his relative within his sixth
degree, hence, he may not be sanctioned for not
inhibiting.
In a case for homicide filed before the Regional
Trial Court (RTC), Presiding Judge Quintero
23
issued an order for the arrest of the accused,
granted a motion for the reduction of bail, and set
the date for the arraignment of the accused.
Subsequently, Judge Quintero inhibited himself
from the case, alleging that even before the case
was raffled to his court, he already had personal
knowledge of the circumstances surrounding the
case. Is Judge Quintero’s inhibition justified?
Explain. (2009 Bar)
Judge Quintero’s inhibition is justified. One of the
grounds for inhibition under Section 5, Canon 3 of the
New Code of Judicial Conduct for the Philippine
Judiciary is “where a judge has actual bias or
prejudice concerning a party or personal knowledge
of disputed evidentiary facts concerning the
proceedings”.
Rebecca’s complaint was raffled to the sala of
Judge A. Rebecca is a daughter of Judge A’s wife by
a previous marriage. This is known to the
defendant who does not, however, file a motion to
inhibit the Judge. Is the Judge justified in not
inhibiting himself from the case? (2010 Bar)
The judge is not justified in not inhibiting himself. It is
mandatory for him to inhibit if he is related to any of
the parties by consanguinity or affinity within the
sixth civil degree. Judge A, being the stepfather of
Rebecca, is related to her by affinity by just one
degree. “Judges shall disqualify themselves from
participating in any proceeding 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”. The fact that
Rebecca is a daughter of Judge A’s wife is enough to
make a reasonable observer doubt his impartiality.
Voluntary inhibition of a judge
The judge may in his discretion inhibit himself, for
just and valid reasons other than the grounds for
mandatory disqualification. The rule on voluntary
disqualification or inhibition is discretionary upon
the judge on the basis of his conscience.
The filing of an administrative case against a judge
does not automatically disqualify him from sitting in a
case. It must be shown that there are other acts or
conducts by the judge which constitute a ground for
his disqualification.
The judge may not voluntarily inhibit himself by the
mere fact that a lawyer recommended him to the
bench. ‘Utang na loob’ per se, should not be a
hindrance to the administration of justice. Nor should
recognition of such value in Philippine society
prevent the performance of one’s duties as judge.
However, in order to avoid any suspicion of partiality,
it is better for the judge to voluntarily inhibit himself.
Atty. Abigail filed administrative cases before the
Supreme Court against Judge Luis. Thereafter,
Atty. Abigail filed a Motion for Inhibition praying
 LEGAL ETHICS
that Judge Luis inhibit himself from trying,
hearing or in any manner acting on all cases, civil
and criminal, in which Atty. Abigail is involved
and handling. Should Judge Luis inhibit? (2008
Bar)
Judge Luis should not inhibit. The mere filing of an
administrative case against a judge is not a ground for
disqualification on the ground of bias and prejudice.
Remittal of disqualification
A judge disqualified may, instead of withdrawing
from the proceeding, disclose in 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 insubstantial; 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. 6,
Canon 3, NCJC).
Requirements for a judge to continue hearing a
case despite the existence of reasons for
disqualifications
1. The bona fide disclosure to the parties in
litigation; and
2. The express acceptance by all the parties of the
cited reason as not material or substantial.
No absolute prohibition against judges from
making comments
Not all comments are impermissible. Judges may
express their open-mindedness regarding a pending
issue in cases where the judges’ comments do not
necessarily favor one side over the other.
However, judges should avoid side remarks, hasty
conclusions, loose statements or gratuitous
utterances that suggest they are prejudging a case.
Judges should be aware that the media might
consider them a good and credible source of opinion
or ideas, and, therefore, should refrain from making
any comment on a pending case. There is danger not
only of being misquoted, but also of compromising
the rights of the litigants in the case.
PROPRIETY
Canon 4
Propriety and the appearance of propriety are essential
to the performance of all the activities of a judge
Judges must avoid not only impropriety but also the
appearance of impropriety. They are mandated not to
allow family, social or other relationships to influence
judicial conduct or judgment, nor convey or permit
others to convey the impression that they are in a
special position to influence the judge.
24
Judges shall avoid impropriety and the
appearance of impropriety in all of their activities
Acts done by a judge which are not illegal may still
constitute a violation of this rule.
During the hearing of an election protest filed by
the brother of Judge Dojillo, the latter sat beside
the counsel of his brother allegedly to give moral
support. Did the judge commit any improper
conduct?
Yes. The judge violated the rule on propriety under
Sec 1, Canon 4, NCJC for even if he did not intend to
use his position as a judge to influence the outcome of
his brother’s election protest, it cannot be denied that
his presence in the courtroom during the hearing of
his brother’s case would immediately give cause for
the community to suspect that his being a colleague in
the judiciary would influence the judge trying the
case to favor his brother (Vidal v. Judge Dojillo Jr., A.M.
No. MTJ-05-1591, July 14, 2005).
NCJC does not prohibit a judge from joining or
maintaining an account in social networking sites.
Section 6, Canon 4 of the New Code of Judicial
Conduct recognizes that judges, like any other citizen,
are entitled to freedom of expression. However, the
same provision also imposes a correlative restriction
on judges: in the exercise of their freedom of
expression, they should always conduct themselves in
a manner that preserves the dignity of the judicial
office and the impartiality and independence of the
Judiciary (Lorenzana v. Judge Austria, A.M. No. RTJ-09-
2200, April 2, 2014).
As a general rule, a judge is prohibited from serving
as executor, administrator, trustee, guardian or other
fiduciary. When a member of the bench serves as
administrator of the properties of private individuals,
he runs the risk of losing his neutrality and
impartiality, especially when the interests of his
principal conflicts with those of the litigant who
comes before his court. The only exception to this
rule is when the estate or trust belongs to, or the
ward is a member of his immediate family, and only if
his service as executor, administrator, trustee,
guardian or fiduciary will not interfere with the
proper performance of his judicial duties. The Code
defines "immediate family" as being limited to the
spouse and relatives within the second degree of
consanguinity (Lopez v. Judge Lucmayo, September 24,
2014).
Pending before the sala of Judge Magbag is the
case of CDC versus JQT. The legal counsel of JQT is
Atty. Ocsing who happens to be the brother of
Atty. Ferreras, a friend of Judge Magbag. While the
case was still being heard, Atty. Ferreras and his
wife celebrated their wedding anniversary. They
invited their friends including Judge Magbag who
attended the party and was seen conversing with
Atty. Ocsing while they were eating at the same
 UST LAW PRE-WEEK NOTES 2017
table. Comment on the propriety of Judge
Magbag’s act.
A judge is not required to live in seclusion. He is
permitted to have social life as long as it does not
interfere with his judicial duties. However, the judge
should be careful to avoid suspicion that his social life
constitutes an element in determining judicial action.
Sitting on the same table and conversing with lawyers
with a pending case before him raises such
appearance of impropriety.
A and B are accused of estafa by C, the wife of
Regional Trial Court (RTC) Judge D. Judge D
testified as a witness for the prosecution in the
estafa case. Did Judge D commit an act of
impropriety?
If the testimony of Judge D is essential for the
prosecution of estafa case, it is not improper for him
to testify. But if it is not essential, his act of testifying
will be improper. 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.
In an action to prevent the condominium
developer from building beyond ten (10) floors,
Judge Cerdo rendered judgment in favor of the
defendant developer. The judgment became final
after the plaintiffs failed to appeal on time. Judge
Cerdo thereafter purchased a condominium unit
from the developer. Did Judge Cerdo commit any
act of impropriety? (2013 Bar)
Yes, Judge Cerdo is guilty of an act of impropriety. It is
desirable that he should, so far as reasonably
possible, refrain from all relations which would
normally tend to arouse the suspicion that such
relations warp or bias his judgment, or prevent his
impartial attitude of mind in the administration of his
judicial duties.
It was inappropriate for a judge to have entertained a
litigant in his house particularly when the case is still
pending before his sala.
It is reprehensible for a judge to humiliate a lawyer,
litigant or witness. A judge must at all times be
temperate in his language. He must choose his words,
written or spoken, with utmost care and sufficient
control.
Subject to the proper performance of judicial duties,
judges may:
1. Write, lecture, teach and participate in activities
concerning the law, the legal system, the
administration of justice or related matter;
2. Appear at a public hearing before an official body
concerned with matters relating to the law, the
25
legal system, the administration of justice or
related matters;
3. 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.
Judges shall not practice law whilst a holder of
judicial office
Judges are prohibited from engaging in the practice of
law or giving professional advice to clients. Philippine
courts not only prohibit judges from overtly
representing clients as counsel of record, but also
from acting more subtly in a way more befitting an
advocate than a judge.
NCJC do not make any distinction in prohibiting
judges from engaging in the private practice of law
while holding judicial office. A judge who was merely
suspended and not dismissed from service is still
bound by the prohibition (Binalay v. Lelina Jr, A.M. No.
RTJ-08-2132, July 31, 2009).
Rules relating to prohibition against accepting
gifts, bequests, or loans
GR: 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. Also, 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, to be done or omitted to be done in
connection with their duties or functions.
XPN: 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 official duties or otherwise give
rise to an appearance of partiality.
Anti-Graft and Corrupt Practices Act
Unsolicited gifts or presents of small value offered or
given as a mere ordinary token of gratitude or
friendship according to local custom or usage are
allowed.
Allowed gifts and grants from foreign countries
1. The acceptance and retention by a public official
or employee of a gift of nominal value tendered
and received as a souvenir or mark of courtesy;
2. The acceptance by a public official or employee of
a gift in the nature of a scholarship or fellowship
grant or medical treatment; or
3. The acceptance by a public official or employee of
travel grants or expenses for travel taking place
 LEGAL ETHICS
entirely outside the Philippines (such as
allowances, transportation, food and lodging) of
more than nominal value if such acceptance is
appropriate or consistent with the interest of the
Philippines, and permitted by the head office,
branch or agency to which the judge belongs
Reacting to newspaper articles and verbal
complaints on alleged rampant sale of Temporary
Restraining Orders by Judge X, the Supreme Court
ordered the conduct of a discreet investigation by
the Office of the Court Administrator. Judges in
the place where Judge X is assigned confirmed the
complaints. What administrative charge/s may be
leveled against Judge X? Explain. (2010 Bar)
He could be charged with gross misconduct, arising
from violations of the Anti-Graft and Corrupt
Practices Act. He could also be charged with
violations of Canon 4 of the New Code of Judicial
Conduct for the Philippine Judiciary which provides
that 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.
EQUALITY
Canon 5
Ensuring equality of treatment to all before the courts
is essential to the due performance of the judicial office
Every judge should decide cases with dispatch and
should be careful, punctual, and observant in the
performance of his functions for delay in the
disposition of cases erodes the faith and confidence of
our people in the judiciary, lowers its standards and
brings it into disrepute. However, in imposing the
penalty of fine, other circumstances may be
considered such as the judge’s continuous service in
the judiciary, his avowed dire need of funds, and his
expressed willingness to abide by whatever penalty
the Court may impose upon him.
Atty. Quinto was the defense counsel in a criminal
case. In his verified complaint, he alleged that
during the hearing, he manifested that he was
waiving the presentation of evidence for the
accused. Judge Vios then allegedly got angry,
shouted and scolded him, stating that the defense
had no right to waive the presentation of
evidence. He did not even listen to Atty. Quinto’s
explanation and, thereafter, compelled the latter
to withdraw his appearance as counsel of the
accused, under pain of contempt. In the presence
of the complainant, Judge Vios appointed a
counsel de officio. May Judge Vios be held
administratively liable for compelling the lawyer
to withdraw as counsel for the accused under pain
of contempt?
Yes. A judge should avoid unconsciously falling into
the attitude of mind that the litigants are made for the
26
courts, instead of the courts for the litigants. Here, the
judge should be held liable for misconduct when he
threatened to punish complainant for contempt of
court if he would refuse to withdraw his appearance,
as counsel for the accused, when the latter insisted on
waiving the presentation of the evidence for the
defense (Atty. Quinto v. Judge Vios, A.M. No. MTJ-04-
1551, May 21, 2004).
Judges shall carry out judicial duties with appropriate
consideration for all persons, without differentiation
on any irrelevant ground.
Judges shall not permit court staff to differentiate
between persons concerned in a matter before the
judge on any irrelevant ground.
Judges shall require lawyers in proceedings before
the court to refrain from manifesting bias or
prejudice based on irrelevant grounds.
COMPETENCE AND DILIGENCE
Canon 6
Competence and diligence are prerequisites to the due
performance of judicial office
To constitute gross ignorance of the law, it is not
enough that the subject decision, order or actuation of
the respondent judge in the performance of his
official duties is contrary to existing law and
jurisprudence but, most importantly, he must be
moved by bad faith, fraud, dishonesty or corruption.
A judge should always be a symbol of rectitude and
propriety, and should always comport himself in a
manner that will raise no doubt whatsoever about his
honesty. A judge’s act of misappropriating the money
entrusted to him by litigants in connection with a case
pending in his court constitutes gross misconduct.
Absent any evidence showing outright bad faith, a
judge should not be held liable for gross misconduct
and gross ignorance of the law. Thus, for committing
acts that manifested poor judgment and negligence, he
is only guilty of simple misconduct.
After being diagnosed with stress dermatitis,
Judge Rosalind, without seeking permission from
the Supreme Court, refused to wear her robe
during court proceedings. When her attention
was called, she explained that whenever she
wears her robe she is reminded of her heavy
caseload, thus making her tense. This, in turn,
triggers the outbreak of skin rashes. Is Judge
Rosalind justified in not wearing her judicial
robe? Explain. (2009 Bar)
Judge Rosalind is not justified. The wearing of robes
by judges as required by Adm. Circular No. 25, serves
the dual purpose of heightened public consciousness
on the solemnity of judicial proceedings and in
impressing upon the judge the exacting obligations of
his office. The robe is a part of the judges’ appearance
and is as important as the gavel. The Supreme Court
 UST LAW PRE-WEEK NOTES 2017
added that “while circumstances, such as a medical
condition claimed by the respondent judge, may
exempt one from complying with A.C. no. 25, he must
first secure the Court’s permission for such
exemption. He cannot simply excuse himself, like
respondent judge, from complying with the
requirement.
Judges shall keep themselves informed about relevant
developments of international law, including
international conventions and other instruments
establishing human rights norms.
Judges shall perform all judicial duties, including the
delivery of reserved decisions, efficiently, fairly and
with reasonable promptness.
Unreasonable delay of a judge in resolving a pending
incident is a violation of the norms of judicial conduct
and constitutes gross inefficiency that warrants the
imposition of an administrative sanction against the
defaulting magistrate
Prompt disposition of cases is attained basically
through the efficiency and dedication to duty of
judges. If judges do not possess those traits, delay in
the disposition of cases is inevitable to the prejudice
of the litigants. Accordingly, judges should be imbued
with a high sense of duty and responsibility in the
discharge of their obligation to administer justice
promptly.
Judge X was invited to be a guest speaker during
the annual convention of a private organization
which was covered by the media. Since he was
given the liberty to speak on any topic, he
discussed the recent decision of the Supreme
Court declaring that the President is not, under
the Constitution, proscribed from appointing a
Chief Justice within two months before the
election. In his speech, the judge demurred to the
Supreme Court decision and even stressed that
the decision is a serious violation of the
Constitution. Did Judge X incur any administrative
liability? Explain. If instead of ventilating his
opinion before the private organization, Judge X
incorporated it, as an obiter dictum, in one of his
decisions, did he incur any administrative
liability? Explain. (2010 Bar)
He did not incur administrative liability. Judges, like
any other citizen, are entitled to freedom of
expression, but in exercising such rights, they shall
always conduct themselves in a manner as to
preserve the dignity of the judicial office and the
impartiality and independence of the judiciary.
In deciding cases, a judge is supposed to be faithful to
the law, which includes decisions of the SC. If he feels
that a doctrine enunciated by the SC is against his way
of reasoning, he may state his personal opinion but
should decide the case in accordance with the law.
The fact that Judge X ventilated his personal opinion
in an obiter dictum indicates that he did not decide
27
the case in his personal opinion. But still, it
undermines the authority of the SC and he may incur
administrative liability for it.
DISCIPLINE OF MEMBERS OF JUDICIARY
The Court en banc has the power to discipline all
judges of lower courts including justices of the Court
of Appeals.
Disbarment of judges and justices
Judges and justices, being lawyers, may also be
disbarred, if found guilty of certain crimes and/or
other causes for disbarment under the Rules of Court.
Condition before Justices of the Supreme Court
may be disbarred
Justices of the Supreme Court in order to be disbarred
must first be impeached in accordance with the
Constitution.
Purpose of impeachment: Primarily intended for the
protection of the State, not for the punishment of the
offender.
Discipline of the Members of the Lower Court
Judges, Justices of the Court of Appeals and the
Sandiganbayan
The acts of a judge in his judicial capacity are not
subject to disciplinary action. In the absence of fraud,
malice or dishonesty in rendering the assailed
decision or order, the remedy of the aggrieved party
is to elevate the assailed decision or order to the
higher court for review and correction. However, an
inquiry into a judge’s civil, criminal and/or
administrative liability may be made after the
available remedies have been exhausted and decided
with finality.
Discipline of Judges; Grounds
1. Serious Misconduct – implies malice or wrongful
intent, not mere error of judgment. Judicial acts
complained of:
a. must be corrupt or inspired by an intention to
violate the law; or
b. were in persistent disregard for well-known
legal rules.
2. Inefficiency – implies negligence, incompetence,
ignorance and carelessness. A judge would be
inexcusably negligent if he failed to observe in the
performance of his duties that diligence,
prudence and circumspection which the law
requires in the rendition of any public service.
Several administrative complaints were filed
against Judge Yu for her refusal to comply with
the Supreme Court’s AO 19-2011 which
established “night courts” to expedite the
handling of criminal cases in foreign tourists
arrested at nighttime in Pasay and Makati;
 LEGAL ETHICS
sending inappropriate messages with sexual
undertones to a fellow judge when she was a state
prosecutor; and unlawfully issuing show-cause
orders on her colleagues. Should she be
disbarred?
Yes. Judge Yu unquestionably committed several
gross and serious administrative offenses ranging
from gross misconduct and gross ignorance to the
lesser offense of conduct unbecoming of a judicial
officer.
The grossness and severity of her offenses taken
together demonstrated Judge Yu's unfitness and
incompetence to further discharge the office and
duties of a Judge. Her arrogance and insubordination
in challenging A.O. No. 19-2011, and her unyielding
rejection of the appointments of court personnel
constituted gross insubordination and gross
misconduct, and warranted her immediate dismissal
from the Judiciary. Her requiring her fellow Judges to
submit to her authority by virtue of her show-cause
order, whereby she revealed her utter disrespect
towards and disdain for them, as well as her conduct
unbecoming of a judicial officer aggravated her
liability. The administration of justice cannot be
entrusted to one like her who would readily ignore
and disregard the laws and policies enacted by the
Court to guarantee justice and fairness for all.
Under Section 27, Rule 138 of the Rules of Court, an
attorney may be disbarred on the ground of gross
misconduct and willful disobedience of any lawful
order of a superior court. Given her wanton defiance
of the Court's own directives, her open disrespect
towards her fellow judges, her blatant abuse of the
powers appurtenant to her judicial office, and her
penchant for threatening the defenseless with legal
actions to make them submit to her will, we should
also be imposing the penalty of disbarment (OCA v.
Judge Eliza Yu, A.M. No. MTJ-12-1813, November 22,
2016).
Should a judge be held administratively liable for
ignorance of the law for granting bail to an
accused in a criminal case without the requisite
bail hearing, and despite the fact that there was
an eyewitness to the murder who made a positive
identification of the accused?
Yes. It is already settled that when a judge grants bail
to a person charged with a capital offense, or an
offense punishable by reclusion perpetua or life
imprisonment without conducting the required bail
hearing, he is considered guilty of ignorance or
incompetence the gravity of which cannot be excused
by a claim of good faith or excusable negligence.
When a judge displays an utter unfamiliarity with the
law and the rules, he erodes the confidence of the
public in the courts. A judge owes the public and the
court the duty to be proficient in the law and is
expected to keep abreast of laws and the prevailing
jurisprudence. Ignorance of the law by a judge can
28
easily be the mainspring of injustice (Grageda v. Judge
Tresvalles, A.M. MTJ No. 04-1526, February 2, 2004).
Judge C was administratively charged with Delay
in Rendering Judgement relative to an ejectment
case which he dismissed on the ground that the
plaintiff’s representative lacked the personality to
file the case as his authority to file the same was
for another case. It took the judge 6 years to
resolve, on technicality, a case governed by the
Rule on Summary Procedure. Is Judge C guilty of
undue delay?
Yes. Under the Rule on Summary Procedure, the first
duty of the respondent upon the filing of the case for
ejectment was to examine the allegations in the
complaint and the evidence appended to it, and to
dismiss the case outright on any of the grounds
apparent for the dismissal of a civil action. In this
case, the ground for dismissing the Civil Case existed
and was apparent upon the filing of the basic
complaint. The representative’s lack of personality
was reflected in the corporate secretary's certificate
appended to the complaint. Yet, respondent judge
allowed the case to unnecessarily drag on for more
than five years. Further, respondent having allowed
several and doubtless unnecessary postponements
which contributed to the delay in the resolution of
what was otherwise a simple case. Undue delay in
rendering a decision or order constitutes a less
serious offense for which respondent is subjected to a
fine (Naguiat v. Judge Capellan, A.M. No. MTJ-11-1782,
March 23, 2011).
Institution of proceedings for the discipline of
judges and justices
Proceedings for the discipline of judges of regular and
special courts and justices of the Court of Appeals and
the Sandiganbayan may be instituted:
1. Motu proprio by the Supreme Court;
2. Upon a verified complaint filed before the
Supreme Court supported by:
a. Affidavit of persons who have personal
knowledge of the facts alleged therein; or
b. Documents which may substantiate said
allegations.
3. Anonymous complaint supported by public
records of indubitable integrity filed with the
Supreme Court.
Resignation or retirement pending administrative
case
The retirement of a judge or any judicial officer from
service does not preclude the finding of any
administrative liability to which he should still be
answerable. Also, the withdrawal or recantation of
the complaint does not necessarily result in the
dismissal of the case.
Confidentiality of proceedings
 UST LAW PRE-WEEK NOTES 2017
Proceedings against judges of regular and special
courts and justices of the Court of Appeals and the
Sandiganbayan shall be private and confidential, but a
copy of the decision or resolution of the Court shall be
attached to the record of the respondent in the Office
of the Court Administrator.
Quantum of evidence required: Ground for removal
of a judicial officer should be established beyond
reasonable doubt.
AMALI is the owner and developer of the 37-
storey condominium project. Needing to use
Fordham street as an access road and staging area
for the construction, it asked permission from the
Wack Wack Residents Association, Inc. (WWRAI)
but such request was ignored. Left with no option,
AMALI set up a field office along Fordham Street
which it enclosed with a temporary fence. WWRAI
allegedly tried to demolish the field office and set
up a fence to deny access to AMALI’s construction
workers, which prompted AMALI to file a petition
for the enforcement of an easement of right of
way in the RTC in Pasig City. RTC granted AMALI’s
prayer. However, CA issued an order granting
WWRAI’s petition against AMALI.
AMALI then brought this administrative
complaint, alleging that the decision of the CA had
been rendered in bad faith and with conscious
and deliberate intent to favor WWRAI, and to
cause grave injustice to AMALI. Is the contention
of AMALI tenable?
No. In administrative proceedings, the complainant
has the burden of proving the allegations of the
complaint by substantial evidence. Failure to do so
will lead to the dismissal of the complaint for its lack
of merit. This is because an administrative charge
against any official of the Judiciary must be supported
by at least substantial evidence. But when the charge
equates to a criminal offense, such that the judicial
officer may suffer the heavy sanctions of dismissal
from the service, the showing of culpability on the
part of the judicial officer should be nothing short of
proof beyond reasonable doubt, especially because
the charge is penal in character.
AMALI’s allegations directly attacked the validity of
the proceedings in the CA through an administrative
complaint. The attack in this manner reflected the
pernicious practice by disgruntled litigants and their
lawyers of resorting to administrative charges against
sitting judges instead of exhausting all their available
remedies. We do not tolerate the practice. Such
actuations cannot be tolerated at all, for even a mere
threat of administrative investigation and
prosecution made against a judge to influence or
intimidate him in his regular performance of the
judicial office always subverts and undermines the
independence of the Judiciary (Re: Verified Complaint
for Disbarment of AMA Land, Inc. against Court of
Appeals Associate Justices, OCA IPI No. 12-204-CA-J,
March 11, 2014).
29
Suspension pendente lite not applicable to judges
Rules on the liability of judges
GR: A judge is not liable administratively, civilly, or
criminally, when he acts within his legal powers and
jurisdiction, even though such acts are erroneous so
long as he acts in good faith. In such a case, the
remedy of aggrieved party is not to file an
administrative complaint against the judge but to
elevate the error to a higher court for review and
correction.
XPN: Where an error is gross or patent, deliberate
and malicious, or is incurred with evident bad faith;
or when there is fraud, dishonesty, or corruption.
The filing of administrative complaints or just the
threat of the filing of such complaints do subvert and
undermine the independence of the Judiciary and its
Judges. Disciplinary proceedings and criminal actions
brought against any judge in relation to the
performance of his official functions are neither
complementary to nor suppletory of appropriate
judicial remedies, nor a substitute for such remedies.
Any party who may feel aggrieved should resort to
these remedies, and exhaust them, instead of
resorting to disciplinary proceedings and criminal
actions (Hernandez v. Judge Gella, A.M. No. RTJ-13-
2356, June 9, 2014).
Promotion as Judge does not exculpate liability
Promotion as a judge during the pendency of
administrative case committed while still a Clerk of
Court cannot be considered either as a mitigating or
an exculpatory circumstance to excuse him from any
administrative liability. A judge is still bound by the
same principle enshrined in Section 1, Article XI of
the Constitution, which states that a public office is a
public trust, and all public officers and employees
must at all times be accountable to the people, serve
them with utmost responsibility, integrity, loyalty,
and efficiency, act with patriotism and justice, and
lead modest lives (OCA v. Atty. Mario Melchor, Jr., A.M.
No. P-06-2227, August 19, 2014).
Reinstatement of a Judge previously disciplined
Reinstatement is proper when there is no indication
that the judge is inspired by corrupt motives or
reprehensive purpose in the performance of his
functions.
POWERS AND DUTIES OF COURTS AND
JUDICIAL OFFICERS
GR: Courts of justice shall always be open; justice to
be promptly and impartially administered.
XPN: Legal holidays
Requirement of public hearing
 LEGAL ETHICS
GR: The sitting of every court of justice shall be
public.
XPN: When the evidence to be adduced is of such
nature as to require their exclusion in the interest of
morality or decency.
All trials on merits shall be conducted in open
court or regular court room.
Availability to the public of court records
GR: The records of every court of justice shall be
public records and shall be available for the
inspection of any interested person, at all proper
business hours, under the supervision of the clerk
having custody of such records.
XPN: Unless the court shall, in any special case, have
forbidden their publicity, in the interest of morality or
decency.
Enforceability of inferior court’s processes
GR: Within the province where the municipality or
city lies.
XPN: the approval of judge of Regional Trial Court of
the province where it would be enforced.
COURT RECORDS AND GENERAL DUTIES OF
CLERKS AND STENOGRAPHERS
Records kept by the clerk
1. General Docket
2. Judgment and Entries Book
3. Execution Book
Duties of clerks in general
1. The clerk shall safely keep all records, papers,
files, exhibits and public property committed to
his charge, including the library of the court, and
the seal and furniture belonging to his office (Sec.
7, Rule 136, Rules of Court);
2. Demand that the stenographer deliver notes of
the session of the court to him immediately after
each session (Sec. 17, Rule 136, Rules of Court).
Furthermore, in the absence of the judge, the clerk
may:
1. Perform all the duties of the judge in receiving
applications, petitions, inventories, reports;
2. Issue orders and notices(Sec. 5, Rule 136, Rules of
Court)
Duty of stenographer
It shall be the duty of the stenographer to deliver to
the clerk of court, immediately at the close of such
30
morning or afternoon session, all the notes he has
taken, to be attached to the record of the case (Sec. 17,
Rule 136, Rules of Court).
Transcript of notes delivered to the clerk, must be
duly initialled on each page, to be attached to the
record of the case.
A clerk’s delayed remittance of cash collections
constitutes gross neglect of duty because this
omission deprives the court of interest that may be
earned if the amounts were to be deposited in the
authorized depository bank. SC Circular No. 13-92
requires clerks of court to withdraw interest earned
on deposits and to remit the same to the account of
the JDF within two weeks after the end of each
quarter. Delay in the remittance of court’s funds casts
a serious doubt on the concerned court employee’s
trustworthiness and integrity (OCA v. Aurora Zuniga,
A.M. No. P-10-2800, November 18, 2014).
A clerk’s falsification of an official document like the
personal data sheet required for employment in the
Judiciary is gross dishonesty, and constitutes a
serious administrative offense that warrants the
dismissal of the employee (Concerned Citizens of
Naval, Biliran v. Florante Ralar, A.M. No. P-14-3278,
October 21, 2014).
LEGAL FEES
Payment should be made upon filing of the pleading
or other application and the prescribed fee to be paid
in full upon filing of said same. If the fees are not paid,
the Court may refuse to proceed with the action until
they are paid and may dismiss the action or
proceeding.
Fees in Lien
If the Court awards claim not alleged or more than
that claimed, the amount shall be considered fees in
lien and the party concerned shall pay the additional
fees which shall constitute a lien on the judgment in
the satisfaction of said lien.
Persons authorized to collect legal fees
1. Clerks of the Supreme Court, Court of Appeals,
Sandiganbayan and Court of Tax Appeals
2. Clerks of Regional Trial Courts
3. Clerks of Court of the First Level Courts
4. Sheriffs, process servers and other persons
serving processes
5. Notaries
6. Other officers taking depositions
The list is EXCLUSIVE
The persons herein authorized to collect legal fees
shall be accountable officers and shall be required to
post bond in such amount as prescribed by the law.
Exempt from payment of Legal Fees
 UST LAW PRE-WEEK NOTES 2017
1. Indigent litigants - the legal fees shall be a lien on
any judgment rendered in the case favorable to
the indigent litigant unless the court otherwise
provides.
2. Republic of the Philippines – but does not include
local governments and government-owned or
controlled corporations with or without
independent charters.
COSTS
Recovery of Costs
Costs shall be allowed to a prevailing party as a
matter of course. However, the court shall have
power, for special reasons, to adjudge that either
party shall pay the costs of an action, or that the same
be divided, as may be equitable
Costs cannot be adjudged against the Republic of
the Philippines.
Dismissed appeal or action
Court retains the power to render judgment for costs
as justice may require.
Frivolous Appeal
Double or Treble Costs shall be imposed on the
plaintiff or appellant, which shall be paid by his
attorney, if so ordered by the Court
False Allegations
False Allegation made without reasonable cause and
found untrue shall subject the offending party to the
reasonable expenses as may have been necessarily
incurred by the other part by reason of such untrue
pleading.
Non-appearance of Witnesses
If a Witness fails to appear at the time and place
specified in the subpoena issued by any inferior court,
the costs of the warrant of arrest and of the arrest of
the witness shall be borne by him, if the court
determines that his failure to answer the subpoena
was willful and without excuse.
EFFICIENT USE OF PAPER RULE
A.M. No. 11-9-4-SC
Format and Style
a) All pleadings, motions, and similar papers intended
for the court and quasi-judicial body's consideration
and action (court-bound papers) shall be written in
single space with a one and-a-half space between
paragraphs, using an easily readable font style of the
party's choice, of 14-size font, and on a 13-inch by
8.5-inch white bond paper; and
31
b) All decisions, resolutions, and orders issued by
courts and by quasi-judicial bodies under the
administrative supervision of the Supreme Court shall
comply with these requirements. Similarly covered
are the reports submitted to the courts and
transcripts of stenographic notes (Section 3).
Margins and Prints
A left hand margin of 1.5 inches from the edge; an
upper margin of 1.2 inches from the edge; a right
hand margin of 1.0 inch from the edge; and a lower
margin of 1.0 inch from the edge. Every page must be
consecutively numbered (Section 4).
Copies to be Filed
1. Supreme Court: one original (properly marked)
and four copies, unless the case is referred to the
Court En Bane, in which event, the parties shall
file ten additional copies. For the En Bane, the
parties need to submit only two sets of annexes,
one attached to the original and an extra copy.
For the Division, the parties need to submit also
two sets of annexes, one attached to the original
and an extra copy. All members of the Court shall
share the extra copies of annexes in the interest
of economy of paper.
Parties to cases before the Supreme Court are
further required, on voluntary basis for the first
six months following the effectivity of this Rule
and compulsorily afterwards unless the period is
extended, to submit, simultaneously with their
court-bound papers, soft copies of the same and
their annexes (the latter in PDF format) either by
email to the Court's e-mail address or by
compact disc (CD). This requirement is in
preparation for the eventual establishment of an
e-filing paperless system in the judiciary.
2. Court of Appeals and Sandiganbayan: one original
(properly marked) and two copies with their
annexes;
3. Court of Tax Appeals: one original (properly
marked) and two copies with annexes. On appeal
to the En Banc, one original (properly marked)
and eight copies with annexes;
4. Other Courts: one original (properly marked)
with the stated annexes attached to it (Section 5).
 LEGAL ETHICS

FORMS

QUITCLAIM IN LABOR CASES

(Release, Waiver and Quitclaim)

KNOW ALL MEN BY THESE PRESENTS:

That I, __________________, Filipino, of legal age, a resident of __________________, and formerly employed with
__________________, do by these presents acknowledge receipt of the sum of __________________, Philippine Currency,
from _____________________ in full payment and final settlement of the (financial assistance or separation pay,
overtime pay, salary or salaries, wage or wages, commutable sick and vacation leaves, gratuities or any kind of
compensation or emoluments) due to me or which may be due to me from ____________________ under the law or
under any existing agreement with respect thereto, as well as any and all claims of whatever kind and nature
which I have or may have against ________________, arising from my employment with (and the termination of my
employment with)______________________.

In consideration of said payment, I do hereby release, discharge and waive any and all actions of whatever
nature, expected, real or apparent, which I may have against _______________, its directors, officers, employees,
agents and clients by reason of or arising from my employment with the company. I will institute no action,
whether civil, criminal, labor or administrative against _________________, its directors, officers, employees, agents
and clients. Any and all actions which I may have commenced either solely in my name or jointly with others
before any office, board, bureau, court, or tribunal against _________________, its directors, officers, employees, agents
and clients are hereby deemed and considered voluntarily withdrawn by me and I will no longer testify or
continue to prosecute said action(s).

I declare that I have read this document and have fully understood its contents. I further declare that I
voluntarily and willingly executed this Release, Waiver and Quitclaim with full knowledge of my rights under the
law.

IN WITNESS WHEREOF, I have hereunto set my hand at _____________, this ___ day of _______________, 2017.

_______________________
Affiant

SIGNED IN THE PRESENCE OF

_______________________ ______________________

32
 UST LAW PRE-WEEK NOTES 2017

CONTRACT OF LEASE

This CONTRACT OF LEASE is made and executed at the City of _____, this day of _______________, 20____, by and
between:

(NAME OF LESSOR), of legal age, single/married to (Name of spouse if any), Filipino, and with residence and
postal address at (Address), hereinafter referred to as the LESSOR.

-AND-

(NAME OF LESSEE), of legal age, single/married to (Name of spouse if any), Filipino and with residence and
postal address at (Address), hereinafter referred to as the LESSEE.

WITNESSETH; That

WHEREAS, the LESSOR is the owner of a residential property situated at (Address of property to be leased);
hereinafter referred to as the property;

WHEREAS, the LESSOR agrees to lease-out the property to the LESSEE and the LESSEE is willing to lease the
same;

NOW THEREFORE, for and in consideration of the foregoing premises, the LESSOR leases unto the LESSEE and
the LESSEE hereby accepts from the LESSOR the property, subject to the following:

TERMS AND CONDITIONS

1. PURPOSES: That the property shall be used exclusively by the LESSEE for residential purposes only and shall
not be diverted to other uses. It is hereby expressly agreed that if at any time the property are used for other
purposes, the LESSOR shall have the right to rescind this contract without prejudice to its other rights under the
law.

2. TERM: This term of lease is for ONE (1) YEAR, or from (Date) to (Date). Upon its expiration, this lease may be
renewed under such terms and conditions as my be mutually agreed upon by both parties, provided written
notice of intention to renew the lease shall be served to the LESSOR not later than seven (7) days prior to
the expiry date of the period herein agreed upon.

3. RENTAL RATE: The monthly rental rate shall be in AMOUNT IN WORDS (P 00,000.00), Philippine Currency.
All rental payments shall be payable to the LESSOR.

4. DEPOSIT: That the LESSEE shall deposit to the LESSOR upon signing of this contract and prior to move-in an
amount equivalent to the rent for THREE (3) MONTHS or the sum of AMOUNT IN WORDS (P 00,000.00),
Philippine Currency. wherein the two (2) months deposit shall be applied as rent for the 11th and 12th months
and the remaining one (1) month deposit shall answer partially for damages and any other obligations, for
utilities such as Water, Electricity, CATV, Telephone, Association Dues or resulting from violation(s) of any of the
provision of this contract.

5. DEFAULT PAYMENT: In case of default by the LESSEE in the payment of the rent, such as when the checks
are dishonored, the LESSOR at its option may terminate this contract and eject the LESSEE. The LESSOR has the

33
 LEGAL ETHICS

right to padlock the premises when the LESSEE is in default of payment for One (1) month and may forfeit
whatever rental deposit or advances have been given by the LESSEE.

6. SUB-LEASE: The LESSEE shall not directly or indirectly sublet, allow or permit the property to be occupied the
property leased in whole or in part by any person or corporation, neither shall the LESSEE assign its rights
hereunder to any other person or entity and no right of interest thereto or therein shall be conferred on or vested
in anyone by the LESSEE without the LESSOR'S written approval.
7. PUBLIC UTILITIES: The LESSEE shall pay for its telephone, electric, cable TV, water, Internet, association
dues and other public services and utilities during the duration of the lease.

8. FORCE MAJEURE: If whole or any part of the property leased shall be destroyed or damaged by fire, flood,
lightning, typhoon, earthquake, storm, riot or any other unforeseen disabling cause of acts of God, as to render
the property during the term substantially unfit for use and occupation of the LESSEE, then the contract of lease
may be terminated, without compensation by the LESSOR or by the LESSEE by notice in writing to the other.

9. LESSOR'S RIGHT OF ENTRY: The LESSOR or its authorized agent shall after giving due notice to the LESSEE
shall have the right to enter the property in the presence of the LESSEE or its representative at any reasonable
hour to examine the same or make repairs therein or for the operation and maintenance of the building or to
exhibit the property leased to prospective LESSEE, or for any other lawful purposes which it may deem necessary.

10. EXPIRATION OF LEASE: At the expiration of the term of this lease or cancellation thereof, as herein
provided, the LESSEE will promptly deliver to the LESSOR the property leased with all corresponding keys and in
as good and tenable condition as the same is now, ordinary wear and tear expected devoid of all occupants,
movable furniture, articles and effects of any kind. Non-compliance with the terms of this clause by the LESSEE
will give the LESSOR the right, at the latter's option, to refuse to accept the delivery of the property and compel
the LESSEE to pay rent therefrom at the same rate plus Twenty Five (25) % thereof as penalty until the LESSEE
shall have complied with the terms hereof. The same penalty shall be imposed in case the LESSEE fails to leave
the property after the expiration of this Contract of Lease or termination for any reason whatsoever.

11. JUDICIAL RELIEF: Should any one of the parties herein be compelled to seek judicial relief against the other,
the losing party shall pay an amount of One Hundred (100) % of the amount clamed in the complaint as attorney's
fees which shall in no case be less than P50,000.00 pesos in addition to other cost and damages which the said
party may be entitled to under the law.

12. This CONTRACT OF LEASE shall be valid and binding between the parties, their successors-in-interest and
assigns.

IN WITNESS WHEREOF, parties herein affixed their signatures on the date and place above written.

(Name of Lessor) (Name of Lessee)

LESSOR LESSEE

Signed in the presence of:

_____________________________ ______________________________

ACKNOWLEDGEMENT

Republic of the Philippines)

_________________________) S.S

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 UST LAW PRE-WEEK NOTES 2017

BEFORE ME, personally appeared:

Name CTC Number Date/Place Issued

(Name of Lessor) 10000000 February 24, 20__ / Cavite City

(Name of Lessee) 10000000 January 07, 20__ / Makati

Known to me and to me known to be the same persons who executed the foregoing instrument and acknowledged
to me that the same is their free and voluntary act and deed.

This instrument consisting of ____ page/s, including the page on which this acknowledgement is written, has been
signed on each and every page thereof by the concerned parties and their witnesses, and and sealed with my
notarial seal.

WITNESS MY HAND AND SEAL, on the date and place first above written.

Notary Public

Doc. No.______;

Page No. ______;

Book No.______;

Series of 20___.

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 LEGAL ETHICS

DEED OF ABSOLUTE SALE

KNOW ALL MEN BY THESE PRESENTS:

This DEED OF ABSOLUTE SALE is made, executed and entered into by:

(NAME OF SELLER), of legal age, single/married to (Name of spouse if any), Filipino, and with residence and
postal address at (Address of Seller), hereinafter referred to as the SELLER

-AND-

(NAME OF BUYER), of legal age, single/married to (Name of spouse if any), Filipino and with residence and
postal address at (Address of Buyer), hereinafter referred to as the BUYER.

WITNESSETH;

WHEREAS, the SELLER is the registered owner of a parcel of land with improvements located at (Address of
property to be sold) and covered by Transfer Certificate of Title No. (TCT Number) containing a total area of
(Land Area of Property in Words) (000) SQUARE METERS, more or less, and more particularly described as
follows:

TRANSFER CERTIFICATE OF TITLE NO. 0000

"(Insert the technical description of the property on the title) Example: A PARCEL
OF LAND (Lot 20 Blk 54 of consolidation subdivision plan (LRC) Pcs-13265, being a
portion of the consolidation of Lots 4751-A and 4751-B (LRC) Psd-50533, Lot 3,
Psd-100703, Lot 1, Psd-150980, LRC Rec. Nos. Nos. N-27024, 51768, 89632, N-11782,
N-13466, and 21071 situated in the Bo. of San Donisio, Mun. of Paranaque, Prov. of
Rizal, Is. of Luzon. Bounded on NE, point 4 to 1 by Road Lot 22, on...to the point of
beginning; containing an area of (280) square meters more or less..."

WHEREAS, the BUYER has offered to buy and the SELLER has agreed to sell the above mentioned property
for the amount of (Amount in words) (P 000,000.00) Philippine Currency;

NOW THEREFORE, for and in consideration of the sum of (Amount in words) (P 000,000.00) Philippine
Currency, the SELLER DO HEREBY SELL, TRANSFER, and CONVEY by way of Absolute Sale unto the said BUYER,
his heirs and assigns, the parcel of land above-described together with all the improvements found thereon, free
from all liens and encumbrances of whatever nature including real estate taxes as of the date of this sale.

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 UST LAW PRE-WEEK NOTES 2017

(NAME OF SELLER) (NAME OF BUYER)

Seller Buyer

WITH MARITAL CONSENT:

________________________ _________________________
Name of Seller's Spouse Name of Buyer's Spouse

SIGNED IN THE PRESENCE OF:

__________________________ ____________________________

ACKNOWLEDGMENT

REPUBLIC OF THE PHILIPPINES)

_____________________________ ) SS.

BEFORE ME, a Notary Public for and in the City of ___________________, personally appeared:

Name Valid ID Number Date/Place Issued

(Name of Seller) 10000000 Jan 15, 20__ / Angeles City

(Name of Buyer) 10000000 Jan 9, 20__ / Manila

Known to me and to me known to be the same persons who executed the foregoing instrument and acknowledged
to me that the same are their free act and voluntary deed.

This instrument, consisting of (__) pages, including the page on which this acknowledgment is written, has been
signed on the left margin of each and every page thereof by the concerned parties and their witnesses, and sealed
with my notarial seal.

WITNESS MY HAND AND SEAL on this ___day of __________________20__ at_______________.

Notary Public

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 LEGAL ETHICS

Doc. No. ........;

Page No. .......;
Book No. .......;
Series of 20__.

PROMISSORY NOTE

P__________

FOR VALUE RECEIVED, I promise to pay without need of demand to the order of __Payee__, at his office at
_____________, the principal amount of PESOS: _______________(P_________), on or before _____________.

__Date__, _____________, Philippines.

Maker

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 UST LAW PRE-WEEK NOTES 2017

VERIFICATION AND CERTIFICATION ON

FORUM SHOPPING

I._____________________________________________, of legal age, single/married, Filipino, and with residence at _______________

(Name)

after having been duly sworn to in accordance with law, hereby, depose and say:

1. That I am the ____________________in the above-entitled case and have caused this ___________________________________ to
be prepared;

2. That I read and understood its contents which are true and correct of my own personal knowledge and/or
based on authentic records.

3. That I have not commenced any action of proceeding involving the same issue in the Supreme Court, the Court
of Appeals or any other tribunal or agency; that to the best of my knowledge, no such action or proceeding is
pending in the Supreme Court, the Court of Appeals or any tribunal or agency, and that, if I should learn thereafter
that a similar action or proceeding has been filed or is pending before these courts of tribunal or agency, I
undertake to report that the fact to the Court within five (5) days therefrom.

IN WITNESS WHEREFORE, I have hereunto set my hand this ____ day of __________________,20____.

____________________________________

Affiant

Affiant SUBSCRIBED AND SWORN to before me this______day of _______________, 20_____ .

____________________________________

Admin. Officer

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 LEGAL ETHICS

NOTARY PUBLIC

Doc. No. : ________;

Page No. : ________;

Book No. : ________;

Series of 20_______.

AFFIDAVIT OF LOSS

REPUBLIC OF THE PHILIPPINES)

_____________________________ ) S.S.

I, (Name of Affiant)., Filipino, of legal age, civil status (single or married, “married to…”) residing at
(Address of Affiant), after having been sworn in accordance with law hereby depose and state:

1. That I am the true and lawful owner of a certain motor vehicle which is more
particularly described as follows:

MAKE : MOTOR NO. :

SERIES : SERIAL/CHASSIS NO. :

TYPE OF BODY : PLATE NO. :

YEAR MODEL : FILE NO. :

(Change the declaration below to the actual circumstances)

2. That sometime in June of this year, I was looking for the original Certificate of Registration
of my car but to my surprise, said Owner’s original Copy could not found;

3. That I took pains to look for said Certificate of Registration, but to no avail;

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 UST LAW PRE-WEEK NOTES 2017

4. That I am executing this affidavit to attest to the truth of the foregoing and to request from
the Land Transportation Office of Angeles City, a copy of said Certificate of Registration.

IN WITNESS WHEREOF, I have hereunto set my hand this _____ day of _______________.

20___ at _________________________.

(Name Over Signature of Affiant)

SUBSCRIBED AND SWORN to before me, this ____ day of ______________, 20___ in ___________________ City, with
affiant exhibiting his Valid ID No. _______________, issued on _______________at _______________.

NOTARY PUBLIC

Until December 31, 200___

Doc. No. : ________;

Page No. : ________;

Book No. : ________;

Series of 20_______.

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 LEGAL ETHICS

CHANGE OF NAME

Republic of the Philippines

[REGION]

[COURT]

[BRANCH], [CITY]

[NAME] __________________,

Petitioner,

SP PROC. No. _____

For Change of Name

x ------------------------------------ x

PETITION FOR CHANGE OF NAME

PETITIONER, by counsel, respectfully states that:

1. Petitioner is of legal age, [CIVIL STATUS], and a resident of [RESIDENCE];

2. He/She has been a bonafide resident of the [CITY/PROVINCE] since the year [YEAR], or for at least
three (3 years) prior to the date of the filing of this petition;

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 UST LAW PRE-WEEK NOTES 2017

3. His/her present name is [GIVEN NAME];

4. Such name is [INDICATE GROUND];

5. Petitioner requests that his present name be changed to [REQUESTED NAME].

PRAYER

WHEREFORE, it is respectfully prayed that, after due notice, publication, and hearing in accordance with
the Rules of Court, this Honorable Court adjudge that the petitioner’s name of ____________ be changed to ____________.

[CITY] ___________; [DATE] _____________.

[SIGNATURE]

[NAME] ______________

Counsel for Petitioner/s

[ADDRESS] _______________________

IBP Lifetime No. ____________; [CITY] _____________

PTR No. _______________; [DATE], [CITY]

Roll of Attorney No. _______________________

MCLE Compliance No. ____________________

VERIFICATION & CERTIFICATION AGAINST FORUM SHOPPING

I, [NAME] _____________________, of legal age, do hereby state that: I am the plaintiff in the pleading/document
entitled [PLEADING/DOCUMENT BEING VERIFIED] ___________________ and in such capacity, caused this Complaint
to be prepared; I have read its contents and affirm that they are true and correct to the best of my own personal
knowledge; I hereby certify that there is no other case commenced or pending before any court involving the
same parties and the same issue and that, should I learn of such a case, I shall notify the court within five (5) days
from my notice.

IN WITNESS WHEREOF, I have signed this instrument on [DATE]_____________.

[SIGNATURE]

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 LEGAL ETHICS

[NAME] _________________

SUBSCRIBED AND SWORN TO before me in the City of _______________ on this day of [MONTH AND
YEAR]_________________, affiant exhibiting before me his Government Issued ID no. _______________ issued on
[DATE}__________________ at [PLACE OF ISSUANCE]_____________________.

[SIGNATURE]

[NAME]_______

Notary Public

Until [DATE]__________________

PTR No. [NUMBER] ____________

Issued at [PLACE]______________

On [DATE] ___________________

Doc. No.

Page No.

Book No.

Series of [YEAR] ___________.

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 UST LAW PRE-WEEK NOTES 2017

BILL OF EXCHANGE

P 10,000

Ten (10) days after date, pay Ms. N or order the sum ten thousand pesos (10,000).

_____________________________

Sgd. Ms. L

To: Mr. G
Managing Partner
Ugong, Pasig

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 LEGAL ETHICS

DEMAND LETTER
(to pay)

___________________
(Date)

To:
Address:

Dear:_______________

I write on behalf of _______________or the Company.

Despite several oral demands given to you, the latest of which was___________(state the date of demand), to pay the
sum________________(amount), you have failed and continue to fail to this date, to pay your outstanding obligation to
the Company.

Accordingly, this final demand is hereby made upon you to restore and pay to the Company the full amount of
PHP_________________ within ________ days from your receipt of this demand letter. Otherwise, we shall file the
necessary criminal and civil action against you to protect our client’s interests.

For payment arrangements, kindly contact_________________________

Very truly yours,

_________

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 UST LAW PRE-WEEK NOTES 2017

NOTARIAL WILL

LAST WILL AND TESTAMENT

of

___________________

KNOW ALL MEN BY THESE PRESENTS:

I, ___________________ , of legal age, married to _________ , residing at _____________, being of sound and disposing
mind and memory, and not acting under influence, violence, fraud or intimidation of whatever kind, declare this to
be my Last Will and Testament which I have caused to be written in English, the language which is known to me.
And I hereby declare that:

I. The following are my heirs and their addresses;

[INDICATE THE NAME OF HEIRS AND THEIR ADDRESSES)

II. I give and bequeath to my heirs __________, __________, and __________, in equal shares, the
following properties, real and personal, whatsoever and wheresoever located:

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 LEGAL ETHICS

[DESCRIPTION OF PROPERTY]

III. I designate _______________ as the sole executor of this Last Will and Testament.

IN WITNESS WHEREOF, I have set my hand this ______________ in ________________.

(Sgd.) ________________

ATTESTATION CLAUSE

WE, the undersigned witnesses, whose residences are stated opposite our respective names, do hereby
certify that: the testator _________________ has published unto us the foregoing will consisting of ___ pages numbered
correlatively in letters on the upper part of each page, as his/her last will and testament and has signed the same
and every page thereof, on the left margin, in our joint presence and we, in turn, at his/her request have witnessed
and signed the same and every page thereof, on the left margin, in the presence of the testator and in the presence
of each other.

(1ST WITNESS) ______________ [RESIDENCE]

(2ND WITNESS) ______________ [RESIDENCE]

(3RD WITNESS) ______________ [RESIDENCE]

JOINT ACKNOWLEDGMENT

BEFORE ME, Notary Public for the ____________, this ___________, personally appeared:

_____________ (TESTATOR), with Valid Identification Document _______ issued by

_____________ (ISSUING AUTHORITY) on __________;

_____________ (WITNESS), with Valid Identification Document _______ issued by

_____________ (ISSUING AUTHORITY) on __________;

_____________ (WITNESS), with Valid Identification Document _______ issued by

_____________ (ISSUING AUTHORITY) on __________;

_____________ (WITNESS), with Valid Identification Document _______ issued by

_____________ (ISSUING AUTHORITY) on __________;

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 UST LAW PRE-WEEK NOTES 2017

all known to me to be the same persons who signed the foregoing Will, the first as testator and the last three as
instrumental witnesses, and they respectively acknowledged to me that they signed the same as their own free act
and deed.

This Will consists of ___ pages, including the page in which this acknowledgment is written, and has been
signed on the left margin of each and every page thereof by the testator and his witnesses and has been sealed
with my Notarial seal.

IN WITNESS WHEREOF, I have set my hand the day, year and place written.

(Sgd.) __________
Notary Public
Until __________________
PTR No. _______________
Issued at ______________
On ___________________

Doc. No.
Page No.
Book No.
Series of 2007.

SPECIAL POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS:

I, ______________, of legal age, and resident of _________, do hereby name, constitute and appoint ___________, of
legal age, and resident of ____________, to be my true and lawful Attorney-in-Fact and in my name, place and stead,
do perform the following specific act(s):

[SPECIFY THE ACTS TO BE PERFORMED]

Giving and granting unto said attorney-in-fact power and authority to do every act necessary and
required in connection with these presents, and hereby ratifying and confirming all that said attorney-in-fact shall
do or cause to be done under and by virtue of these presents.

IN WITNESS WHEREOF, I have signed this Special Power of Attorney this _________ at __________.

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 LEGAL ETHICS

(Sgd.) _____________

Principal

SIGNED IN THE PRESENCE OF:

(Sgd.) ______________

(Sgd.) ______________

[INCLUDE ACKNOWLEDGMENT AS PROVIDED BELOW]

Republic of the Philippines )

City of Manila ) s.s.

BEFORE ME, this ____________ in the City of _____________, personally appeared ___________, with [VALID ID with
ID No.] _______________ issued by the [ISSUING AUTHORITY] ______________ on _____________, known to me to be the
same person who executed the foregoing instrument, and who acknowledged to me that the same is his free act
and deed.

IN WITNESS WHEREOF, I have set my hand and affixed my Notarial seal on the day, year and place
written.

Sgd.) __________

Notary Public

Until__________________
PTR No. _______________
Issued at ______________
On ___________________

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