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LEGAL ETHICS – PRACTICE OF LAW

I. LEGAL ETHICS “To engage in the practice of law is to perform


those acts which are characteristics of the
profession. Generally, to practice law is to give
Q: What is legal ethics?
notice or render any kind of service, which device or
service requires the use in any degree of legal
A: It is a branch of moral science which treats of the
knowledge or skill.”(Cayetano v. Monsod, G.R. No.
duties which an attorney owes to the court, to his
100113, Sept. 3, 1991)
client, to his colleagues in the profession and to the
public as embodied in the Constitution, Rules of
Q: Who is a practicing lawyer?
Court, the Code of Professional Responsibility,
Canons of Professional Ethics, jurisprudence, moral,
A: A practicing lawyer is one engaged in the practice
laws and special laws. (Justice George Malcolm)
of law, who by license is an officer of the court and
(1993, 1996 Bar Questions)
is empowered to appear, prosecute and defend a
client’s cause.
Q: What are the sources of ethical standards in the
Philippine judiciary?
A practicing lawyer is a member of the Philippine
Bar who appears for and in behalf of parties in
A:
courts of law and quasi-judicial agencies.
1. Primary
a. Bar
Q: What does the term “practicing lawyer”
i. Canons of Professional Ethics
include?
ii. Code of Professional Responsibility
A: It includes:
b. Bench
1. Government employees and incumbent
i. Canons of Judicial Ethics
elective officials not allowed by law to
ii. Code of Judicial Ethics
practice;
iii. New Code of Judicial Conduct for the
2. Lawyers who by law are not allowed to
Philippine Judiciary
appear in court;
3. Supervising lawyers of students enrolled
c. Other personnel – Code of Conduct for
in law student practice in duly
Court Personnel
accredited legal clinics of law schools
and lawyers of Non-Government
2. Secondary
Organizations (NGOs) and People’s
a. Decisions/Resolutions of the Supreme
Organizations (POs) who by the nature
Court
of their work already render free legal
b. Supreme Court Circulars
aid to indigent and pauper litigants; and
c. Order/Resolution of other courts
4. Lawyers not covered under
d. IBP Issuances
subparagraphs (i) to (iii) (of Sec. 4, B.M.
2012) including those who are
Q: “What is legal is moral.” State your comment
employees in the private sector but do
on the correctness or incorrectness of this
not appear for and in behalf of parties in
proposition.
courts of law and quasi-judicial
agencies.
A: The statement is not necessarily correct. There
are several acts of a lawyer, which may be legal but
Q: Differentiate bar from bench.
not necessarily moral. This is precisely the purpose
of the legal ethics, which governs the ethical and
A:
moral behavior of a lawyer. (1993 Bar Question)
Bar refers to the whole Bench refers to the
A. PRACTICE OF LAW body of attorneys and whole body of judges
counselors, collectively, and justices.
1. CONCEPTS the members of the legal
profession.
Q: What constitutes practice of law?
Q: What is a bar association?
A: Practice of law means any activity, in or out of
court, which requires the application of law, legal A: It is an association of the members of the legal
procedure, knowledge, training, and experience. profession like the Integrated Bar of the Philippines
(IBP) where membership is integrated or
THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS
CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
1
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

compulsory. necessarily a lawyer.

Q: Who is an amicus curiae? Q: Who is an attorney of record?


A: Attorney of record is an attorney whose name is
A: An amicus curiae is an experienced and impartial entered in the records of an action or suit as the
attorney invited by the court to appear and help in lawyer of a designated party thereto.
the disposition of the issues submitted to it. It
implies friendly intervention of counsel to call the Q: Who is a counsel/attorney de officio?
attention of the court to some matters of law or
facts which might otherwise escape its notice and in A: A counsel/attorney de officio is an attorney
regard to which it might be wrong. An amicus curiae appointed by the court to defend an indigent
appears in court not to represent any particular defendant in a criminal action. (1998 Bar Question)
party but only to assist the court. (plural: Amici
Curiae) (1993, 1996, 1998 Bar Questions) Note: In a criminal action, if the defendant appears
without an attorney, he must be informed by the court
Q: What is amicus curiae par excellence? that it is his right to have an attorney before being
arraigned and must be asked if he desires the aid of an
A: It is a bar association who appears in court as attorney. If he desires and is unable to employ an
amicus curiae or a friend of the court. It acts merely attorney, the court must assign a counsel de officio to
as a consultant to guide the court in a doubtful defend him. He is also designated as counsel of
indigent litigants. The appointment of a counsel de
question or issue pending before it.
officio in that instance is a matter of right on the part
of the defendant.
Q: What is assumpsit?
On appeal in criminal cases, the appellate court must
A: Literally means “he has undertaken”. It is an also appoint a counsel de officio if, as shown by the
action for the recovery of damages by reason of the certificate of the clerk of court of the trial court, a
breach or non-performance of a simple contract, defendant is confined in prison or without means to
either express or implied, or whether made orally employ an attorney or desires to be defended de
or in writing. Assumpsit is the word always used in officio. (Secs. 6-8, Rule 116 and Sec. 13, Rule 122)
pleadings by the plaintiff to set forth the
defendant’s undertaking or promise. (2006 Bar Q: Who is a counsel de parte?
Question)
A: Private counsel of a party, secured by him,
Note: Claims in action of assumpsit were ordinarily without intervention from the government.
divided into (a) common or indebitatus assumpsit,
brought usually on an implied promise, and (b) special Q: Who is an in-house or house counsel?
assumpsit, founded on an express promise.
A: He is one who acts as attorney for a business
Q: Who is an attorney ad hoc? though carried as an employee of that business and
not as an independent lawyer.
A: An attorney ad hoc is a person appointed by the
court to defend an absentee defendant in the suit Q: Who is a lead counsel?
in which the appointment was made.
A: A lead counsel is a lawyer on either side of a
Q: Distinguish attorney-at-law from attorney in litigated action who is charged with the principal
fact. management and direction of a party’s case, as
distinguished from his juniors or subordinates.
A:
Attorney-at-law is that Attorney in fact is Q: Who is an Of Counsel?
class of persons who are simply an agent whose
licensed officers of the authority is strictly A: He is an experienced lawyer, usually a retired
court empowered to limited by the member of the judiciary, employed by law firms as
appear, prosecute and instrument appointing consultants.
defend, and upon whom him. His authority is
peculiar duties, provided in a special Q: What is pro se?
responsibilities and power of attorney or
liabilities are developed general power of A: It is an appearance by a lawyer in his own behalf.
by law as consequence. attorney or letter of (1995 Bar Question)
attorney. He is not

2
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – PRACTICE OF LAW

Q: Who is a trial lawyer? constitutional right but a mere privilege. It is not a


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

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
3
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

removal. she allowed to do?


3. The relation of trust and confidence
cannot arise where the attorney is A: She can teach law and deliver lectures on law but
employed by a corporation to practice not do the other things. (2011 Bar Question)
for it, his employer and him owing, at
best, a secondary and divided loyalty to 2. QUALIFICATIONS
the clientele of his corporate employer.
4. The intervention of the corporation is Q: Who may practice law?
destructive of that confidential and trust
relation and is obnoxious to the law. A: Any person heretofore duly admitted as a
member of the bar, or hereafter admitted as such in
Q: State the essential criteria in determining accordance with the provisions of the rule, and who
engagement in the practice of law. is in good and regular standing, is entitled to
A: CAHA practice law. (Sec. 1, Rule 138, Revised Rules of
1. Compensation – implies that one must Court (RRC))
have presented himself to be in the active
practice and that his professional services Q: A criminal case was filed against Atty. Javellana,
are available to the public for which resulted to his arrest and temporary
compensation, as a source of livelihood or detention at the house of the clerk of court where
in consideration of his said services. his case was pending. Despite his detention, Atty.
2. Application of law, legal principle, practice Javellana continues with his normal activities
or procedure which calls for legal including his practice of law, in appearing as
knowledge, training and experience; counsel for certain cases. Can Atty. Javellana still
3. Habituality – implies customary or engage in the practice of law despite his arrest and
habitually holding oneself out to the detention?
public as a lawyer. Practice of law is more
than an isolated appearance for it consists A: As a detention prisoner, Javellana is not allowed
in frequent or customary action; and to practice his profession as a necessary
4. Attorney-Client relationship - engaging in consequence of his status as a detention prisoner.
the practice of law presupposes the The trial court's order was clear that Javellana "is
existence of a lawyer-client relationship. not to be allowed liberty to roam around but is to
Thus, activities like teaching of law or be held as a detention prisoner." The prohibition to
writing law books or articles which involve practice law referred to all other cases, except in
no attorney-client relationship do not cases where Javellana would appear in court to
qualify a lawyer as being engaged in the defend himself. (Pro Se)
practice of his profession as a lawyer.
All prisoners whether under preventive detention
Q: Ronnie, a paralegal in a law firm, helped Beth in or serving final sentence cannot practice their
a property dispute in which she was involved by profession nor engage in any business or
giving her legal advice and preparing a complaint occupation, or hold office, elective or appointive,
that she eventually filed in court under her own while in detention. This is a necessary consequence
signature. When the lawyer for the defendant of arrest and detention. (People v. Maceda, G.R.
learned of it, he told Ronnie to desist from Nos. 89591-96, Jan. 24, 2000)
practicing law. But he disputed this, claiming that
he had not practiced law since he did not receive Q: Is a clerk of court allowed to practice law?
compensation from Beth for his help. Is Ronnie
correct? A: No, except if it is an isolated practice.
A: No, because receipt of compensation is not the
sole determinant of legal practice. (2011 Bar Q: What are the requisites if a clerk of court
Question) wishes to practice law?

Q: Judge Cristina has many law-related activities. A:


She teaches law and delivers lectures on law. 1. Written permission which must be
Some in the government consult her on their legal approved by the Supreme Court; and
problems. She also serves as director of a stock 2. Approved leave of absence with justifiable
corporation devoted to penal reform, where she reasons
participates in both fund raising and fund
management. Which of the aforesaid activities is Note: Notarial act is practice of law. Notarization of a

4
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – PRACTICE OF LAW

single document is not an isolated transaction, 2. Prescribe the qualifications of a candidate


therefore, a permit must be secured in order to and the subjects of the bar examinations;
prevent the violation of law. 3. Decide who will be admitted to practice;
4. Discipline, suspend or disbar any unfit and
Q: Atty. Ladaga, a Clerk of Court, appeared as unworthy member of the bar;
counsel for and in behalf of his cousin in a criminal 5. Reinstate any disbarred or indefinitely
case for falsification of public documents before suspended attorney;
the METC of Quezon City. The appearance of Atty. 6. Ordain the integration of the Philippine
Ladaga in said case was without the previous Bar;
permission of the Court. Did Atty. Ladaga violate 7. Punish for contempt any person for
the Code of Conduct and Ethical Standards for unauthorized practice of law;
Public Officials and Employees by engaging in 8. Exercise overall supervision of the legal
private practice? profession; and
9. Exercise any other power as may be
A: Yes. "Private practice" of a profession, which is necessary to elevate the standards of the
prohibited, does not pertain to an isolated court bar and preserve its integrity.
appearance; rather, it contemplates a succession of
acts of the same nature habitually or customarily Q: Can the legislature enact laws to regulate the
holding one's self to the public as a lawyer. It is true practice of the law?
that he filed leave applications corresponding to the
dates he appeared in court but he failed to obtain a A: No. It is noteworthy that unlike the 1935 and
prior permission from the head of the Department. 1973 Constitution, the 1987 Constitution no longer
(Oca v. Atty. Ladaga, A.M. No. P-99-1287, Jan. 26, provides for the power of the legislature to repeal,
2001) alter and supplement the Rules promulgated by the
Supreme Court.
Q: What branch of the government has the power
to admit persons in the practice of law? However, the legislature, in the exercise of police
power may enact laws regulating the practice of law
A: The Constitution vests the power of control and to protect the public and promote public welfare.
regulation in the Supreme Court. The constitutional
power to admit candidates to the legal profession is Note: The legislature may not pass a law that will
a judicial function and involves the exercise of control the SC in the performance of its functions to
discretion. Petition to that end is filed with the decide who may enjoy the privilege of practicing law
Supreme Court as are other proceedings invoking and any law of that kind is unconstitutional being an
judicial function. (In Re: Almacen, G.R. No. L-27654, invalid exercise of legislative power. (In Re: Cunanan,
Feb. 18, 1970) (1995 Bar Question) Resolution, Mar. 18, 1954)

Note: The SC acts through a Bar Examination Q: Enumerate the initial requirements for
Committee in the exercise of its judicial function to admission to the bar.
admit candidates to the legal profession. The
committee is composed of a member of the court who A: Under Sections 2, 5 and 6 of Rule 138, the
acts as a Chairman and eight (8) members of the Bar applicant must be: (C21GRENAPOS)
who act as examiners in the eight (8) bar subjects with 1. Citizen of the Philippines;
one subject assigned to each examiner. 2. At least 21 years of age;
3. Of Good moral character;
Acting as a sort of liaison officer between the 4. Resident of the Philippines;
Court and the Bar Chairman, on one hand, and the 5. Must produce before the SC satisfactory
individual members of the committee, on the other, is
Evidence of good moral character;
the Bar Confidant who is at the same time a Deputy
6. No charges against him, involving moral
Clerk of the Court. He does not possess any discretion
with respect to the matter of admission of examinees
turpitude, have been filed or are pending
to the Bar. (In Re: Lanuevo, A.C. No. 1162, Aug. 29, in any court in the Philippines (Sec. 2, Rule
1975) 138, RRC);
7. Must have complied with the Academic
Q: What are the powers of the Supreme Court in requirements;
relation to regulating the practice of law? 8. Must Pass the bar examinations;
9. Take the lawyer’s Oath; and
A: DPD-DRO-PEE 10. Sign the Roll of Attorneys.
1. Define them;
Note: Section 5 of Rule 138, RRC, now provides that

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
5
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

before being admitted to the examination, all Philippine citizenship, 14 years after reaching the
applicants for admission to the bar shall age of majority (required under the 1935
satisfactorily show that they have successfully Constitution)?
completed all the prescribed courses for the degree
of Bachelor of Laws or its equivalent degree in a law A: No, Ching is not qualified to be a lawyer for
school or university officially recognized by the having elected Philippine citizenship 14 years after
Philippine Government or by the proper authority in reaching the age of majority. Ching offered no
the foreign jurisdiction where the degree has been reason why he delayed the election of Philippine
granted. citizenship. The procedure is not a tedious process.
All that is required is to execute an affidavit and file
Q: What are the requirements in order for a the same in the nearest registry. (In Re: Application
Filipino citizen who graduated from a foreign law for Admission to the Philippine Bar of Vicente Ching,
school to be admitted to the bar? B.M. 914, Oct. 1, 1999)

A: He may be admitted to the bar only submission Q: Lee became a lawyer in 1988 under a claim that
to the Supreme Court of certifications showing: he is a Filipino like his parents. Efren sought Lee’s
(a) Completion of all courses leading to the disbarment on the ground that he really is a
degree of Bachelor of Laws or its Chinese. To prove he is a Filipino, Lee cited an
equivalent degree; Albay regional trial court’s final judgment in an
(b) Recognition or accreditation of the law action to recover real property which mentioned
school by the proper authority; and his citizenship as Filipino. This final judgment
(c) Completion of all fourth year subjects in resulted in the correction of his birth records in a
the Bachelor of Laws academic program in separate special proceeding to show he is a
a law school duly recognized by the Filipino, not Chinese as there stated. Is Lee’s claim
Philippine Government.” to Filipino citizenship valid?

A Filipino citizen who completed and obtained A: No, since the mention of his citizenship in the
his or her degree in Bachelor of Laws or its land case was just incidental. (2011 Bar Question)
equivalent in a foreign law school must also present
proof of completion of a Q: Atty. Melendrez filed a petition to disqualify
separate bachelor’s degree. Meling from taking the bar exams and to impose
disciplinary penalty as a member of the Philippine
The Supreme Court has directed the Clerk of Shari'a Bar. He alleges that Meling, in his
Court, through the Office of the Bar Confidant, to application to take the bar, failed to disclose the
circularize its resolution approving the said fact that he has 3 pending criminal cases.
amendments among all law schools in the country. Also, Meling has been using the title “Attorney" in
(Bar Matter No. 1153, Re: Letter of Atty. Estelito P. his communications as secretary to the Mayor.
Mendoza Proposing Reforms in the Bar Should Meling be disqualified from admission to
Examinations through Amendments to Rule 138 of the Bar?
the Rules of Court, Mar. 9, 2010)
A: Meling's deliberate silence and non-revelation of
Q: How many times can a law graduate take up the his pending criminal cases constitute concealment.
bar? The disclosure requirement is imposed to
determine whether there is satisfactory evidence of
A: Bar Matter (B.M.) 1161 which regulates the good moral character of the applicant. By
conduct of the bar examinations, limits the concealing the existence of such cases, the
examination up to five times only. applicant flunks the test of fitness even if the cases
are ultimately proven unwarranted or insufficient to
Note: B.M. 1161 – also requires submission of the impugn or affect the good moral character of the
dean of a certification that the candidate has no applicant.
derogatory record in school and if any in detail and
status thereof.
Q: May sanctions be imposed on Meling as
Q: Ching was born on April 1964 of Filipino mother member of the Philippine Shari'a Bar?
and Chinese father. He was conditionally admitted
to take the bar examination because of questions A: It was highly improper for Meling, as member of
arising to his citizenship. Upon passing the bar he the Shari'a Bar, to use the title "Attorney". Only
was required to take further proof of citizenship members of the Philippine Bar, who have obtained
and was not allowed to take the oath. Can he elect

6
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – PRACTICE OF LAW

the necessary degree in the study of law and Question)


successfully passed the bar exams, been admitted
to the IBP and remain members in good standing Q: Enumerate the continuing requirements for the
are authorized to practice law and thus use the practice of law after admission to the Bar.
title. Meling was suspended from membership in
the Philippine Shari'a Bar. (In Re: Disqualification of A: He must: MIP-MEJ
Bar Examinee Haron S. Meling, B.M. No. 1154, June 1. Remain a Member of the Bar;
8, 2004) 2. Regularly pay all IBP membership dues;
3. Regularly pay the Professional Tax Receipt
Q: Mike Adelantado, an aspiring lawyer, disclosed (PTR);
in his petition to take the 2003 bar examinations 4. Comply with the Mandatory Continuing
that there were two civil cases pending against Legal Education (MCLE);
him for nullification of contract and damages. He 5. Faithfully observe the rules and Ethics of
was thus allowed to conditionally take the bar, the legal profession; and
and subsequently placed third in the said exams. 6. Be continually subject to Judicial
In 2004, after the two civil cases had been disciplinary control.
resolved, Mike Adelantado filed his petition to
take the Lawyer’s Oath and sign the Roll of Q: What are the obligations of a newly constituted
Attorneys before the Supreme Court. The Office of lawyer?
the Bar Confidant, however, had received two
anonymous letters: the first alleged that at the A:
time Mike Adelantado filed his petition to take the 1. Pay the full annual membership dues
bar, he had two other civil cases pending against Note: Lawyers who are senior citizens
him, as well as a criminal case for violation of B.P. are not exempt from payment of IBP
22; the other letter alleged that Mike Adelantado, dues, since the Senior Citizens Act,
as Sangguniang Kabataan Chairperson, had been which exempts senior citizens from
signing the attendance sheets of SK meetings as payment of taxes does not include
“Atty. Mike Adelantado.” Having passed the Bar, exemption from payment of
can Mike already use the appellation “attorney”? membership and association fees.
Explain your answer. 2. Undergo Mandatory Continuing Legal
Education or MCLE;
A: No. Only those who have been admitted to the 3. Undergo Mandatory Legal Aid Service;
Philippine Bar can be called “Attorney." (Alawi v. 4. Pay Professional Tax Receipt; and
Alauya, A.M. No. SDC-97-2-P, Feb. 4, 1997) 5. Prove that he is a person of good moral
character.
Note: Passing the Bar examination is not sufficient
for admission of a person to the Philippine Bar. He 3. APPEARANCE OF NON-LAWYERS IN COURTS
still has to take the oath of office and sign the
Attorney’s Roll as prerequisites to admission. Q: May a non-lawyer appear in court?

Q: Should Mike be allowed to take his oath as a A:


lawyer and sign the Roll of Attorneys? Explain your GR: No. Only those who are licensed to practice
answer. law can appear and handle cases in court.

A: No, he should not be allowed to take his oath XPNs:


and sign the Attorney’s Roll. Rule 7.01 of the Code a. Law student practice
of Professional Responsibility provides that “a b. Non-lawyers in court
lawyer shall be answerable for knowingly making a c. Non-lawyers in administrative tribunal
false statement or suppressing a material fact in
connection with his application for admission to the a. LAW STUDENT PRACTICE
Bar”. Mr. Adelantado made a false statement in his
application to take the bar by revealing only that Law student practice rule – A law student who has
there were two civil cases pending against him. This successfully completed his third year of the regular
is sufficient ground to deny him admission to the four-year prescribed law curriculum and is enrolled
bar (In Re: Galang, 66 SCRA 245 [1975]). He also in a recognized law school's clinical legal education
showed lack of good moral character in using the program approved by the Supreme Court, may
title “attorney” before admission to the Bar appear without compensation in any civil, criminal
(Aguirre v. Rana, 403 SCRA 342 [2003]). (2005 Bar or administrative case before any trial court,
tribunal, board or officer, to represent indigent

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
7
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

clients accepted by the legal clinic of the law school Q: May a party represent himself?
(Sec. 1, Rule 138-A).
A: In civil cases, an individual litigant has the right to
The appearance of the law student authorized by conduct his litigation personally. In criminal cases,
this rule, shall be under the direct supervision and in grave and less grave offenses, an accused who is
control of a member of the Integrated Bar of the a layman must always appear by counsel; he cannot
Philippines duly accredited by the law school. Any conduct his own defense without violating his right
and all pleadings, motions, briefs, memoranda or to due process of law.
other papers to be filed, must be signed by the
supervising attorney for and in behalf of the legal Note: Where an accused was not duly represented by
clinic. (Sec. 2, Rule 138-A) a member of the Bar during trial, the judgment should
be set aside, and the case remanded to the trial court
Note: The law student shall comply with the standards for a new trial. (People v. Santocildes, Jr., G.R. No.
of professional conduct governing members of the Bar. 109149, Dec. 21, 1999)
Failure of an attorney to provide adequate supervision
of student practice may be a ground for disciplinary With regard to a juridical person, it must always appear
action (Circular No.19, dated Dec. 19, 1986). in court through a duly licensed member of the bar,
except before MTC where it may be represented by its
b. NON-LAWYERS IN COURT agent or officer who need not be a lawyer.

a. Cases before the MTC: A party to the Note: Partnership with a non-lawyer is VOID. In the
formation of partnership for the practice of law, no
litigation, may conduct his own case or
person should be admitted or held out as a
litigation in person, with the aid of an
practitioner or member who is not a member of the
agent or friend appointed by him for that legal profession duly authorized to practice, and
purpose (Sec. 34, Rule 138, RRC); amenable to professional discipline.

b. Before any other court, a party may Q: A, a mere high school graduate, with the aid of
conduct his litigation personally. But if he a friend who is a college undergraduate, filed a
gets someone to aid him, that someone complaint for recovery of a sum of money in the
must be authorized member of the Bar amount of Four Thousand (P4,000.00) Pesos in the
(Sec. 34, Rule 138, RRC) Metropolitan Trial Court of his town. The Clerk of
Court told A that his complaint might be dismissed
Note: A non-lawyer conducting his own for insufficiency as to form because neither he nor
litigation is bound by the same rules in his friend who is assisting him is a lawyer. Is the
conducting the trial case. He cannot after Clerk of Court correct?
judgment, claim that he was not properly
represented. A: The Clerk of Court is not correct. In the Justice of
the Peace Courts (now known as Municipal Trial
c. Criminal case before the MTC in a locality Court or Municipal Circuit Trial Courts or
where a duly licensed member of the Bar Metropolitan Trial Court), a party may conduct his
is not available, the judge may appoint a litigation in person, with the aid of an agent or
non- lawyer who is a: friend appointed by him for that purpose, or with
the aid of an attorney. (Sec. 34, Rule 138, Rules of
i. Resident of the province; AND Court). (1999 Bar Question)
ii. Of good repute for probity and
ability to aid the accused in his c. NON-LAWYERS IN ADMINISTRATIVE TRIBUNAL
defense; (Sec. 7, Rule 116 RRC)
a. Under the Labor Code, non-lawyers may
d. Any official or other person appointed or appear before the NLRC or any Labor
designated to appear for the Government Arbiter, if:
of the Philippines in accordance with law. i. They represent themselves; or
(Sec. 33, Rule 138 RRC) ii. They represent their
organization or members
Note: Such person shall have all the rights of thereof; (Art 222, PD 442, as
a duly authorized member of the Bar to
amended) (2002 Bar Question)
appear in any case in which said government
iii. If they are duly accredited
has an interest direct or indirect. (Sec. 33,
Rule 138, RRC)
members of any legal aid office
duly recognized by the

8
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – PRACTICE OF LAW

Department of Justice, or the Kanlaon. The authority to compromise cannot be


Integrated Bar of the Philippines lightly presumed and should be duly established by
in cases referred to by the evidence. (Kanlaon Construction v. NLRC, G.R. No.
latter. (Lapena, 2009) 126625, Sept. 18, 1997)

Note: He is not, however, entitled Q: What are the limitations on appearance of non-
to attorney’s fees under Article 222 lawyers before the courts?
of the Labor Code for not being a
lawyer. (Five J. Taxi v. NLRC, G.R. A:
No. 111474, Aug. 22, 1994) 1. He should confine his work to non-
adversary contentions;
b. Under the Cadastral Act, a non-lawyer 2. He should not undertake purely legal
can represent a claimant before the work, such as the examination or cross-
Cadastral Court. (Sec. 9, Act No. 2259) examination of witnesses, or the
presentation of evidence; and
Q: Eric, a labor federation president, represented 3. His services should not be habitually
Luisa, a dismissed WXT employee, before the rendered. He should not charge or
NLRC. Atty. John represented Luisa's two co- collect attorney’s fees. (PAFLU v.
complainants. In due course, the NLRC reinstated Binalbagan Isabela Sugar Co., G.R. No.
the three complainants with backwages and L-23959, Nov. 29,1971)
awarded 25% of the backwages as attorney’s fees,
15% for Atty. John and 10% for Eric, a non-lawyer. Pro Se (Section 34, Rule 138)
When WXT appealed to the Court of Appeals, Atty.
John questioned Eric’s continued appearance Q: Maderada filed charges against Judge Mediodea
before that court on Luisa’s behalf, he not being a for "gross ignorance of the law amounting to grave
lawyer. Is Eric's appearance before the Court of misconduct" for failing "to observe and apply the
Appeals valid? Revised Rule on Summary Procedure" in the civil
case. On the other hand, Judge Mediodea
A: No, because the representation of another in maintained that Maderada, in appearing as
courts can be entrusted only to lawyers. (2011 Bar counsel on her own behalf, failed to secure
Question) authority from the Court and to file her leave of
absence every time she appeared in court. Can
Q: Kanlaon Construction and Reluya’s, et al. case Maderada appear as counsel for herself and her
were assigned before two labor arbiters. The co-plaintiff even if she is not a lawyer?
Engineers as co-defendant, without written
authority to represent Kanlaon Construction, A: Section 34 of Rule 138 of the Rules of Court
admitted the complaints against them. By virtue of allows persons who are not lawyers by profession
such, the labor arbiters adjudicated the case in to litigate their own case in court. The right of
favor of Reluya and the others. Can an engineer complainant to litigate her case personally cannot
represent a co-defendant in a case before the be taken away from her. Her being an employee of
Labor Arbiter? the judiciary does not remove from her the right to
proceedings in propria persona or to self-
A: No, the appearance of the engineer on behalf of representation. Clearly, in appearing for herself,
Kanlaon Construction required written proof of complainant was not customarily or habitually
authorization. It was incumbent upon the arbiters holding herself out to the public as a lawyer.
to ascertain this authority especially since both Neither was she demanding payment for such
engineers were named co-respondents in the cases services. Hence, she cannot be said to be in the
before the arbiters. Absent this authority, whatever practice of law.
statements and declarations the engineers made
before the arbiters could not bind Kanlaon. However, it was also clearly established that
complainant had appeared on behalf of her co-
Nevertheless, even assuming that the engineers plaintiff in the aforementioned case, for which act
were authorized to appear as representatives of the former cannot be completely exonerated.
Kanlaon, they could bind the latter only in Obviously, because she was already defending the
procedural matters before the arbiters and the rights of another person when she appeared for her
Commission. Kanlaon's liability arose from co-plaintiff, it cannot be argued that complainant
engineer’s alleged promise to pay. A promise to pay was merely protecting her rights. That their rights
amounts to an offer to compromise and requires a may be interrelated will not give complainant
special power of attorney or the express consent of

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
9
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

authority to appear in court. The undeniable fact PROHIBITED FROM APPEARING


remains that she and her co-plaintiff are two
distinct individuals. The former may be impairing Q: What are the proceedings to which lawyers are
the efficiency of public service once she appears for prohibited from appearing?
the latter without permission from the Court.
(Maderada v. Judge Mediodea, A.M. No. MTJ-02- A:
1459, Oct. 14, 2003) 1. Proceedings before the Small Claims Court
- No attorney shall appear in behalf of or
Q: Ferdinand Cruz sought permission to enter his represent a party at the hearing, unless
appearance for and on his behalf before the RTC as the attorney is the plaintiff or defendant
the plaintiff in a Civil Case for Abatement of (Sec. 17, Rule of Procedure for Small
Nuisance. Cruz, a fourth year law student, anchors Claims Cases)
his claim on Section 34 of Rule 138 of the Rules of
Court that a non-lawyer may appear before any Note: If the court determines that a party cannot
court and conduct his litigation personally. Judge properly present his/her claim or defense and
Mijares denied the motion with finality. In the needs assistance, the court may, in its discretion,
same Order, the trial court held that for the failure allow another individual who is not an attorney
of Cruz to submit the promised document and to assist that party upon the latter’s consent.
jurisprudence and for his failure to satisfy the (Sec. 17, Rule of Procedure for Small Claims
requirements or conditions under Rule 138-A of Cases)
the Rules of Court, his appearance was denied. Did
the court act with grave abuse of discretion 2. Proceedings before the Katarungang
amounting to lack or excess of jurisdiction when it Pambarangay - During the pre-trial
denied the appearance of Cruz as party litigant? conference under the Rules of Court,
lawyers are prohibited from appearing for
A: Yes. The law recognizes the right of an individual the parties. Parties must appear in person
to represent himself in any case to which he is a only except minors or incompetents who
party. The Rules state that a party may conduct his may be assisted by their next of kin who
litigation personally or with the aid of an attorney, are not lawyers. (Formerly Sec. 9, P.D. No.
and that his appearance must either be personal or 1508; Sec. 415, Local Government Code of
by a duly authorized member of the Bar. The 1991, R.A. 7160)
individual litigant may personally do everything in
the course of proceedings from commencement to 4. SANCTIONS FOR PRACTICE OR APPEARANCE
the termination of the litigation. Considering that a WITHOUT AUTHORITY
party personally conducting his litigation is
restricted to the same rules of evidence and a. SANCTIONS AGAINST UNAUTHORIZED PRACTICE
procedure as those qualified to practice law, Cruz, OF LAW OF LAWYERS
not being a lawyer himself, runs the risk of falling
into the snares and hazards of his own ignorance. Q: What are the remedies against unauthorized
practice of law of lawyers?
Therefore, Cruz as plaintiff, at his own instance, can
personally conduct the litigation of his case. He A: DICEDA
would then be acting not as a counsel or lawyer, 1. Declaratory relief;
but as a party exercising his right to represent 2. Petition for Injunction;
himself. 3. Contempt of court;
4. Criminal complaint for Estafa against a
The trial court must have been misled by the fact person who falsely represented himself to
that Cruz is a law student and must, therefore, be be an attorney to the damage of a party;
subject to the conditions of the Law Student 5. Disqualification and complaints for
Practice Rule. It erred in applying Rule 138-A, when disbarment; or
the basis of Cruz's claim is Section 34 of Rule 138. 6. Administrative complaint against the
The former rule provides for conditions when a law erring lawyer or government official.
student may appear in courts, while the latter rule
allows the appearance of a non- lawyer as a party Q: On 17 April 2006 NWD, a local water district
representing himself. (Cruz v. Mijares, et al., G.R. entity, hired Atty. Chito as private counsel for a
No. 154464, Sept. 11, 2008) year with the consent of the Office of the
Government Corporate Counsel (OGCC). Shortly
d. PROCEEDINGS WHERE LAWYERS ARE after, a leadership struggle erupted in NWD
between faction A and faction B. Siding with the

10
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – PRACTICE OF LAW

first, Atty. Chito filed several actions against the Under Section 27, Rule 138 of the Rules of Court, a
members of Faction B. Eventually, the court member of the Bar may be disbarred or suspended
upheld Faction B which thus revoked Atty. Chito’s from his office as attorney by the Supreme Court
retainer on 14 January 2007. With OGCC’s for corruptly or willfully appearing as an attorney
approval, NWD hired Atty. Arthur in his place. for a party to a case without authority to do so.
When Atty. Arthur sought the dismissal of the Disbarment, however, is the most severe form of
actions that Atty. Chito had instituted, the latter disciplinary sanction, and, as such, the power to
objected on the ground that his term had not yet disbar must always be exercised with great caution,
expired and Atty. Arthur had no vacancy to fill up. and should be imposed only for the most
Is Atty. Chito right? imperative reasons and in clear cases of misconduct
affecting the standing and moral character of the
A: No, because Atty. Chito’s continued appearances lawyer as an officer of the court and member of the
in the cases was without authority since 14 January Bar. Accordingly, disbarment should not be decreed
2007. (2011 Bar Question) where any punishment less severe such as a
reprimand, suspension or fine, would accomplish
Q: KWD, a GOCC, hired respondent, Atty. I, as the end desired. (Vargas v. Atty. Ignes, Atty. Mann,
private legal counsel for one (1) year effective with Atty. Viajar and Atty. Nadua, A.C. No. 8096, July 5,
the consent of the Office of the Government 2010)
Corporate Counsel (OGCC) and the Commission on
Audit (COA). The controversy erupted when two Note: In any case, an unauthorized appearance of an
(2) different groups, herein referred to as the Dela attorney may be ratified by the client either expressly
Peña board and Yaphockun board, laid claim as the or impliedly. Ratification retroacts to the date of the
legitimate Board of Directors of KWD. Dela Peña lawyer’s first appearance and validates the action
board appointed respondents Atty. N, V and M as taken by him. (Sps. Agbulos v. Gutierrez, G.R. No.
private collaborating counsels for all cases of KWD 176530, June 16, 2009)
and its Board of Directors, under the direct
supervision and control of Atty. I. Meanwhile, the b. SANCTIONS AGAINST UNAUTHORIZED PRACTICE
OGCC had approved the retainership contract of OF LAW OF PERSONS WHO ARE NOT LAWYERS
Atty. C as new legal counsel of KWD and stated
that the retainership contract of Atty. I had Q. What are the remedies against unauthorized
expired. The termination of Atty. I’s contract was practice of law of persons who are not lawyers?
said to be justified by the fact that the Local Water
Utilities Administration had confirmed the A: DICE
Yaphockun board as the new Board of Directors of 1. Declaratory relief;
KWD and that said board had terminated Atty. I’s 2. Petition for Injunction;
services and requested to hire another counsel. 3. Contempt of court;
Complainants then filed a disbarment complaint 4. Criminal complaint for Estafa against a
against counsels V and M alleging that person who falsely represented himself to
respondents acted as counsel for KWD without be an attorney to the damage of a party;
legal authority. Are respondents validly authorized
to appear as counsels of KWD? Q. What are the sanctions against unauthorized
practice of law of persons who are not lawyers?
A: No. Attys. N, V and M had no valid authority to
appear as collaborating counsels of KWD. Nothing A: He may be punished with contempt of court,
in the records shows that Atty. N was engaged by severe censure and three (3) months imprisonment
KWD as collaborating counsel. While the 4th because of the highly fraudulent and improper
Whereas Clause of Resolution appointing Atty. N conduct tending directly to impede, obstruct,
partly states that he and Atty. I "presently stand as degrade, and make a mockery of the administration
KWD legal counsels," there is no proof that the of justice. (Manangan v. CFI, G.R. No. 82760, Aug.
OGCC and COA approved Atty. N’s engagement as 30,1990; Lapena, 2009)
legal counsel or collaborating counsel. Insofar as
Attys. V, Jr. and M are concerned, their Q: May a disbarred lawyer still appear in court as
appointment as collaborating counsels of KWD counsel?
under Resolution No. 009 has no approval from the
OGCC and COA. In the case of Atty. I, he also A: No. A disbarred lawyer has no more authority to
appeared as counsel of KWD without authority, appear in court as a lawyer. A lawyer who was
after his authority as its counsel had expired. previously disbarred but continued to represent
himself as a lawyer was found guilty of indirect
contempt and fine with imprisonment in case of

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
11
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

failure to pay within five (5) days. (Lemoine v. Atty. the power of contempt?
Balon, Jr., A.C. No. 5829, Oct. 28, 2003) A:
1. The proper punishment of the guilty party
Contempt of Court for his disrespect to the court or its order;
and
Q: What is the nature of the power of contempt? 2. To compel his performance of some act or
duty required of him by the court which
A: It is exercised on the preservative and not on the he refuses to perform.
vindictive principle and on corrective rather than
the retaliatory idea of punishment, for purposes Note: The question of whether the contempt
that are impersonal. It is criminal in nature. The committed is civil or criminal, does not affect the
power to punish for contempt is inherent in all jurisdiction or the power of a court to punish the same.
courts. It is essential in the observance of order in (Halili v. CIR, G.R. No. L-24864, Nov. 19, 1985)
judicial proceedings and to the enforcement of
judgment orders and writs. Q: Enumerate the acts of a lawyer that constitutes
contempt?
Q: What are the kinds of contempt?
A:
A: 1. Misbehavior as officer of court
1. Direct – Consists of misbehavior in the 2. Disobedience or resistance to court order
presence of or so near a court or judge as 3. Abuse or interference with judicial
to interrupt or obstruct the proceedings proceedings
before the court or the administration of 4. Obstruction in administration of justice
justice; punished summarily. 5. Misleading the courts
2. Indirect – One committed away from the 6. Making false allegations, criticisms,
court involving disobedience of or insults, veiled threats against the court
resistance to a lawful writ, process, order, 7. Aiding in unauthorized practice of law
judgment or command of the court, or (suspended or disbarred)
tending to belittle, degrade, obstruct, 8. Unlawful retention of client’s funds
interrupt or embarrass the court; not 9. Advise client to commit contemptuous
summary in nature. acts
3. Civil – Is the failure to do something
ordered to be done by a court or a judge Note: "A practicing lawyer and officer of the court
for the benefit of the opposing party facing contempt proceedings cannot just be allowed to
voluntarily retire from the practice of law which would
therein. It is remedial in nature.
negate the inherent power of the court to punish him
4. Criminal – Conduct directed against the
for contempt" (Montecillo v. Gica, 60 SCRA 234). (1998
authority and dignity of a court or of a Bar Question)
judge, as in unlawfully assailing or
discrediting the authority or dignity of a Q: A judge cited complainant, a driver at the
court or of a judge, or in doing a duly Engineering Department of the Makati City Hall, in
forbidden act. Intent is necessary. contempt for using the former’s parking space,
and refused to accept the driver’s apology. He
Note: Where the punishment imposed, whether
sentenced the driver to five (5) days imprisonment
against a party to a suit or a stranger, is wholly or
and a fine of (P1,000.00). Is the judge
primarily to protect or vindicate the dignity and power,
either by fine payable to the government or by
administratively liable for grave abuse of authority
imprisonment, or both, it is deemed a judgment in in citing the driver for contempt of court?
criminal case.
A: Yes. The Court does not see how the improper
Where the punishment is by fine directed to be paid to parking by the driver could even in the remotest
a party in the nature of damages for the wrong manner disrupt the speedy administration of
inflicted, or by imprisonment as coercive measure to justice, as claimed by the judge. At most, it would
enforce the performance of some act for the benefit of cause the Judge inconvenience or annoyance, but
the party or in aid of the final judgment or decree still, this does not fall under any of the acts for
rendered in his behalf, the contempt judgment will, if which a person could be cited for contempt.
made before final decree, be treated as in the nature Neither does it appear from the records, nor from
of an interlocutory order. the evidence presented, that the complainant
intended any disrespect toward respondent Judge.
Q: What are the two-fold aspects of the exercise of Worse, the Judge immediately detained the driver,

12
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – PRACTICE OF LAW

thereby preventing him from resorting to the attorney and acting as such without authority
remedies provided under the Rules of Court. Such constitutes indirect contempt which is punishable
abusive behavior on the part of respondent judge by fine or imprisonment or both. The liability for the
fails to show his integrity, which is essential not unauthorized practice of law under Section 3(e),
only to the proper discharge of the judicial office, Rule 71 of the Rules of Court is in the nature of
but also to his personal demeanor. (Nunez v. Ibay, criminal contempt and the acts are punished
A.M. No. RTJ-06-1984, June 30, 2009) because they are an affront to the dignity and
authority of the court, and obstruct the orderly
Q: Dela Cruz misrepresented himself as a lawyer in administration of justice. (Tan v. Balajadia, G.R. No.
the application for habeas corpus of Gamido. What 169517, Mar. 14, 2006)
punishment should the court impose on Dela Cruz?
5. PUBLIC OFFICIALS AND THE PRACTICE OF LAW
A: The Court declared him guilty of indirect
contempt for maliciously and falsely portraying Q. Who are the public officials?
himself as a member of the bar, appearing in court
and filing pleadings. (In the Matter of the A: Public officials include elective and appointive
Application for Habeas Corpus of Maximino officials and employees, permanent or temporary,
Gamido; Gamido v. New Bilibid Prison, G.R. 146783, whether in the career or non-career service,
July 29, 2002) including military and police personnel, whether or
not they receive compensation, regardless of
Q: Are the power to hold a person in contempt amount. (Sec. 3[b], RA 6713)
and the power to disbar the same?
Q: What are the prohibited acts or omissions of
A: No. The power to punish for contempt and the public officers?
power to disbar are separate and distinct, and that
the exercise of one does not exclude the exercise of A:
the other. (People v. Godoy, G.R. Nos. 115908-09, 1. Accepting or having any member of his
Mar. 29, 1995) family accept employment in a private
enterprise which has pending official
Q: Balajadia filed a criminal case against business with him during the pendency
petitioners. In paragraph 5 of the complaint- thereof or within one year after
affidavit, Balajadia appeared to have asserted that termination. (Sec. 3[d], RA 3019)
he is a "practicing lawyer”. However, certifications 2. Own, control, manage or accept
issued by the Office of the Bar Confidant and the employment as officer, employee,
Integrated Bar of the Philippines showed that he consultant, counsel, broker, agent,
has never been admitted to the Philippine Bar. trustee or nominee in any private
Hence, petitioners filed a case against him claiming enterprise regulated, supervised or
that he is liable for indirect contempt for licensed by their office unless expressly
misrepresenting himself as a lawyer. Balajadia, on allowed by law. (Sec. 7[b], RA 6713)
his defense, claimed that the allegation that he is a
practicing lawyer was an honest mistake. He Note: These prohibitions shall continue to apply for a
stated that the secretary of Atty. Aquino prepared period of 1 year after resignation, or separation from
the subject complaint-affidavit copying in verbatim public office. The 1-year prohibition shall also apply in
paragraph 5 of Atty. Aquino’s complaint-affidavit. connection with any matter before the office he used
Hence, it was inadvertently alleged that to be with.
respondent is a “practicing lawyer in Baguio City”
which statement referred to the person of Atty. a. PROHIBITION OR DISQUALIFICATION OF
Aquino and his law office address. Is Balajadia FORMER GOVERNMENT ATTORNEYS
liable for indirect contempt?
A: No. Respondent Balajadia never intended to Rule 6.03, Canon 6, CPR
project himself as a lawyer to the public. It was a Rule 6.03 – A lawyer shall not, after leaving
clear inadvertence on the part of the secretary of government service, accept engagement or
Atty. Aquino. The allegation that he is a practicing employment in connection with any matter in
lawyer cannot, by itself, establish intent as to make which he had intervened while in said service.
him liable for indirect contempt.
Q: What are the two theories on the
In several cases, the Court ruled that the disqualification of former government lawyers in
unauthorized practice of law by assuming to be an representing a client on a matter in which they
intervened when they were in office?

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
13
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

A: (Sec. 14, Art. VI, 1987 Constitution)


(1) Adverse-Interest Conflict – A former
government lawyer is enjoined from Note: The word “appearance” includes not
representing a client in private practice in a only arguing a case before any such body but
matter which is substantially related to also filing a pleading on behalf of a client as
another matter which the former dealt “by simply filing a formal motion, plea or
with while employed by the government, answer”. (Ramos v. Manalac, G.R. No. L-
and if the interests of the current and 2610, June 16, 1951)
former clients are adverse
Neither can he allow his name to appear in
(2) Congruent-Interest Representation Conflict
such pleading by itself or as part of a firm
– The lawyer is prohibited from name under the signature of another
representing a private practice client even qualified lawyer because the signature of an
if the interests of the government, the agent amounts to a signing of a non-
former employer, and the new client are qualified senator or congressman, the office
entirely parallel (PCGG v. SB, et.al, G.R. No. of an attorney being originally of agency,
151809-12, April 12, 2005) and because he will, by such act, be
appearing in court or quasi-judicial or
Note: The restriction against a public official from administrative body in violation of the
using his public position as a vehicle to promote or constitutional restriction. (In re: David, Adm.
advance his private interests extends beyond his Case No. 98, July 13, 1953)
tenure on certain matters in which intervened as a
public official. (Agpalo, 2004) 2. Under the Local Government Code (Sec.
91, R.A. 7160), Sanggunian members may
b. PUBLIC OFFICIALS WHO CANNOT PRACTICE LAW practice their professions provided that if
OR WITH RESTRICTIONS they are members of the Bar, they shall
not:
Q: Who are the public officials who cannot engage a. Appear as counsel before any
in the private practice of law in the Philippines? court in any civil case wherein a
local government unit or any
A: JOPPCOMS office, agency, or
1. Judges and other officials as employees of instrumentality of the
the Supreme Court. (Rule 148, Sec. 35, government is the adverse party
RRC) b. Appear as counsel in any
2. Officials and employees of the OSG. (Ibid.) criminal case wherein an officer
3. Government Prosecutors. (People v. or employee of the national or
Villanueva, G.R. No. L-19450, May 27, local government is accused of
1965) an offense committed in
4. President, Vice-President, members of the relation to his office
cabinet, their deputies and assistants. c. Collect any fee for their
(Sec. 13, Art VII, 1987 Constitution) appearance in administrative
5. Members of the Constitutional proceedings involving the local
Commission. (Sec. 2, Art IX-A, 1987 government unit of which he is
Constitution) an official
6. Ombudsman and his deputies. (Sec. 8 d. Use property and personnel of
[second par.], Art. IX, 1987 Constitution) the government except when
7. All governors, city and municipal Mayors. the Sanggunian member
(R.A. No. 7160, Sec. 90) concerned is defending the
8. Those prohibited by Special law. (1990 interest of the government.
Bar Question) (1992, 2000 Bar Questions)

Q: Who are the public officials restricted from Q: Atty. Eliseo represented Allan in a collection
engaging in the practice of law in the Philippines? suit against the Philippine Charity Sweepstakes
Office (PCSO). After his election as sangguniang
A: bayan member, the court rendered a decision in
1. No Senator or member of the House of PCSO’s favor. Still, Atty. Eliseo appeared for Allan
Representatives may personally “appear” in the latter’s appeal, prompting the PCSO to
as counsel before any court of justice or question his right to do so. In response, Atty.
before the Electoral Tribunals, or quasi- Eliseo claimed that the local government code
judicial and other administration bodies. authorizes him to practice law as long it does not

14
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – PRACTICE OF LAW

conflict with his duties. Is Atty. Eliseo right? A.

A: No, because he cannot appear against a 1. Solicitor General (Sol Gen)


government instrumentality in a civil case. (2011
Bar Question) Q: What are the possible actions that the Sol Gen
may undertake in the discharge of his duties?
Note: While certain local elective officials (like
governors, mayors, provincial board members and A: The Sol Gen, in his discretion, may pursue any of
councilors) are expressly subjected to a total or partial the following actions:
proscription to practice their profession or engage in 1. Prosecute;
any occupation, no such interdiction is made on 2. Not to prosecute;
punong barangay and the members of the 3. To abandon a prosecution already
Sangguniang Barangay. Expressio unius est exclusio started; or
alterius. Since they are excluded from any prohibition,
4. To take a position adverse to the people
the presumption is that they are allowed to practice
of the Philippines in a criminal case or to
their profession. However, he should procure prior
permission or authorization from the head of his
that of a government agency or official,
Department, as required by the Civil Service when he believes that justice will be
Regulations. (Catu v. Rellosa, A.C. No. 5738, Feb. 19, served by taking a different stand.
2008)
Q: In a case between two government agencies,
3. Under Sec. 1, R.A. 910, as amended, a should the Sol Gen refrain from performing his
retired justice or judge receiving pension duty?
from the government, cannot act as
counsel: A: No. It is incumbent upon him to present to the
court what he considers as would legally uphold the
a. In any civil case in which the best interest of the government.
Government, or any of its
subdivision or agencies is the Q: In the above question, what is the remedy of
adverse party; or the government office adversely affected by the
b. In a criminal case wherein an position taken by the Sol Gen?
officer or employee of the
Government is accused of an A: The government agency adversely affected, if it
offense in relation to his office; still believes in the merits of its case, may appear on
nor its own behalf through its legal officer or
c. Collect any fees for his representative.
appearance in any
administrative proceedings to 2. Any person appointed to appear for the
maintain an interest adverse to government of the Philippines in accordance with
the government, provincial or law. (Sec. 33, Rule 138 RRC)
municipal, or to any of its legally
constituted officers. (Sec. 1, R.A. Q: Justice Frank, a retired Court of Appeals justice,
910) appeared before the Supreme Court on behalf of
Landbank, a government bank, in a case involving
4. Civil service officers and employees the compensable value of the property taken from
without permit from their respective a landowner under the agrarian reform law. The
department heads. (Noriega v. Sison, G.R. landowner questioned Justice Frank's appearance
No. L- 24548, Oct. 27, 1983) in the case, pointing out that the same is unethical
and smacks of opportunism since he obviously
Note: Misconduct in office as a public official may be a capitalizes on his judicial experience. Is Justice
ground for disciplinary action if it is of such character Frank's appearance in the case valid?
as to affect his qualification as lawyer or show moral
delinquency. A: Yes, because the law allows such appearance as
long as the government is not the adverse party.
6. LAWYERS AUTHORIZED TO REPRESENT THE (2011 Bar Question)
GOVERNMENT

Q: Who are persons authorized to represent the


government?

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
15
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

7. LAWYER’S OATH Atty. Samuel C. Occeña, as her lawyer. The


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

Q: Under the terms of the Last Will and Testament Q: Grande was the private offended party in a
of the late Ogan, his residuary estate was divided criminal case while Atty. De Silva was the counsel
among his seven children. One of them, Necitas for the accused. During the course of the
Ogan-Occeña, was named in the will as executrix proceedings, Atty. De Silva tendered a check in
of the estate. As such, she retained her husband,

16
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – PRACTICE OF LAW

favor of Grande in order for the latter to desist


from participating as a witness against her client.
Eventually, Grande accepted the check and refused
to participate as a complaining witness thereby
leading to the dismissal of the case. However, to
Grande’s consternation, the check bounced
because Atty. De Silva’s account was already
closed. When the court ordered Atty. De Silva to
comment on the charges against her, she
deliberately refused to accept all the notices
coming from the court. Is Atty. De Silva guilty of
breach of trust? Did she violate her oath as a
lawyer by issuing a bouncing check and by refusing
to accept the notices sent to her coming from the
court?

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


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

Moreover, the attitude of Atty. De Silva in


deliberately refusing to accept the notices served
on her betrays a deplorably willful character or
disposition, which stains the nobility of the legal
profession. Her conduct not only underscores her
utter lack of respect for authority; it also brings to
the fore a darker and more sinister character flaw in
her psyche which renders highly questionable her
moral fitness to continue in the practice of law: a
defiance for law and order which is at the very core
of her profession. (Grande v. Atty. De Silva, A.C. No.
4838, July 29, 2003)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
17
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

B. DUTIES AND RESPONSIBILITIES OF A legal system


LAWYER 5. Keep abreast of legal development and
participate in continuing legal education
Q: What are the four-fold duties of a lawyer? program and assist in disseminating
information regarding the law and
A: jurisprudence
1. Public/Society – He must not undertake 6. Applicability of the CPR to lawyers in the
any action which violates his government service
responsibility to the society as a whole, he
must be an example in the community for Chapter 2
his uprightness as a member of the The lawyer and the legal profession
society. The lawyer must be ready to Canons 7-9
render legal aid, foster legal reforms, be 7. At all times uphold integrity and dignity of
guardian of due process, and aware of his the profession and support the activities
special role in the solution of special of the IBP
problems and be always ready to lend 8. Conduct himself with courtesy, fairness
assistance in the study and solution of and candor toward his colleagues and
social problems. (Canon 1-6, CPR) avoid harassing tactics against opposing
2. Bar/Legal Profession – Observe candor, counsel
fairness, courtesy and truthfulness in his 9. Not to directly or indirectly assist in the
conduct towards other lawyers, avoid unauthorized practice of law
encroachment in the business of other
lawyers and uphold the honor of the Chapter 3
profession. (Canon 7-9, CPR) The lawyer and the courts
3. Courts – A lawyer must maintain towards Canons 10-13
the court a respectful attitude, defend 10. Owes candor, fairness and good faith to
against unjust criticisms, uphold the the court
court’s authority and dignity, obey court 11. Observe and maintain the respect due to
orders and processes, assists in the the courts and judicial officers and insist
administration of justice. (Canon 10-13, in similar conduct
CPR) 12. Duty to assist in the speedy and efficient
4. Clients – The lawyer owes entire devotion administration of justice
to the interest of his client, warm and zeal 13. Rely upon the merits of his cause, refrain
in the maintenance of the defense of his from any impropriety which tends to
rights and exertion of utmost learning influence courts, or give the appearance
ability to the end that nothing be taken or of influencing the courts
withheld from his client except in
accordance with law. He owes a duty of Chapter 4
competent and zealous representation to The lawyer and the client
the client, and should preserve his client’s Canons 14-22
secrets, preserve his funds and property 14. Not to refuse his services to the needy
and avoid conflicts of interest. (Canon 14- 15. Observe candor, fairness and loyalty in all
22, CPR) his dealings and transactions with clients
16. Hold in trust all the moneys and property
CANONS OF PROFESSIONAL RESPONSIBILITY of his client that may come to his
(Overview) possession
17. Owes fidelity to client’s cause and be
Chapter 1 mindful of the trust and confidence
Lawyer and Society reposed in him
Canons 1-6 18. Serve client with competence and
1. Uphold the Constitution and obey the diligence
laws of the land and legal processes 19. Represent client with zeal and within the
2. Make legal services available in an bounds of law
efficient and convenient manner 20. Charge only fair and reasonable fees
3. Use of true, honest, fair, dignified and 21. Preserve the confidence and secrets of
objective information in making known client even after the attorney-client
legal services relation is terminated
4. Participate in the improvement of the 22. Withdraw services only for good cause

18
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

and upon notice Note: The duty of a counsel de oficio is to render


effective service and to exert his best efforts on
Q: Atty. Francisco’s retainer agreement with RXU behalf of an indigent accused. He has a high duty to
said that his attorney's fees in its case against CRP a poor litigant as to a paying client. (1991, 1993,
“shall be 15% of the amounts collected.” Atty. 1994, 1996, 1998, 2001, 2002, 2004 Bar Questions)
Francisco asked the trial court to issue a temporary
restraining order against CRP but this was denied, 1. LAWYER AND THE SOCIETY
prompting him to file a petition for certiorari with
the Court of Appeals to question the order of a. RESPECT FOR LAW AND LEGAL PROCESSES
denial. At this point, RXU terminated Atty.
Francisco’s services. When the parties later settled Laws refer to all laws, and not just those of general
their dispute amicably, CRP paid RXU P100 million. application. Thus, they include presidential decrees,
Because of this, Atty. Francisco came around and executive orders, and administrative rules and
claimed a 15% share in the amount. What should regulations enforcing or implementing existing
be his attorney’s fees? laws. (CPR Annotated, PhilJA)

A: A reasonable amount that the court shall fix Legal processes pertain to all the proceedings in an
upon proof of quantum meruit. (2011 Bar action or proceeding. (CPR Annotated, PhilJA)
Question)
CANON 1, CPR
Q: After representing Lenie in an important lawsuit A LAWYER SHALL UPHOLD THE CONSTITUTION,
from 1992 to 1995, Atty. Jennifer lost touch of her OBEY THE LAWS OF THE LAND, AND PROMOTE
client. Ten years later in 2005, Evelyn asked Atty. RESPECT FOR LAW AND FOR LEGAL PROCESSES.
Jennifer to represent her in an action against
Lenie. Such action involved certain facts, some Q: What is the two-fold duty imposed by the
confidential, to which Atty. Jennifer was privy Canon 1 of the Canons of Professional
because she handled Lenie's old case. Can Atty. Responsibility?
Jennifer act as counsel for Evelyn?
A: No, because her duty to keep the confidences of A:
previous clients remains. (2011 Bar Question) 1. Personally obey the laws and the legal
processes
Q: What is the first and most important duty of an 2. Inspire respect and obedience thereto (CPR
attorney? Why? Annotated, PhilJA)

A: The first and most important duty of the lawyer Note: The portion of Canon 1, which calls for lawyers
is his duty to the court. The reason is that the to “promote respect for law and for legal processes”, is
attorney is an officer of the court. He is an officer of a call to uphold the ‘Rule of Law’. (Funa, 2009)
the court in the sense that his main mission is to
assist the court in the administration of justice. His Q. What is the Rule of Law?
public duties take precedence over his private
duties. A: “The supremacy of the law”. It provides that
decisions should be made by the application of
Q: How should a lawyer view representation of the known legal principles or laws without the
poor, the marginalized, and the oppressed before intervention of discretion in their application.
our courts of justice? (Black’s Law Dictionary)

A: As an officer of the court, the lawyer has the Note: A lawyer’s oath to uphold the cause of justice is
duty of representing the poor, the marginalized and superior to his duty to his client; its primacy is
the oppressed without expecting to be indisputable. (Cobb-Perez v. Lantin, No. L-22320, July
compensated for his services. One of the main 29, 1968)
duties of the lawyer is to maintain the rule of law.
The rule of law cannot be maintained if the poor, Q: Peter Donton filed a complaint against Atty.
the marginalized or the oppressed are not afforded Emmanuel Tansingco and others, as the notary
legal services to protect their rights against the rich public who notarized the Occupancy Agreement,
and the privileged. The lawyer should consider it as for estafa thru falsification of public document.
a duty and not as a charitable work. (1988 Bar Atty. Tansingco in his complaint stated that he
Question) prepared and notarized the Occupancy Agreement
at the request of Mr. Stier, an owner and long-
time resident of a real property located at Cubao,

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
19
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Quezon City. Since Mr. Stier is a U.S. Citizen and deceitful.


thereby disqualified to own real property in his Q: Define Unlawful Conduct.
name, he agreed that the property be transferred
in the name of Mr. Donton, a Filipino. Donton A: It refers to a transgression of any provision of
averred that Atty. Tansingco’s act of preparing the law, which need not be a penal law. The presence
Occupancy Agreement, despite knowledge that of evil intent on the part of the lawyer is not
Stier is a foreign national, constitutes serious essential in order to bring his act or omission within
misconduct and is a deliberate violation of the the terms of this Rule.
Code. Donton prayed that Atty. Tansingco be
disbarred. Is Atty. Tansingco guilty of serious Q: Define Dishonest Conduct.
misconduct?
A: Dishonest conduct refers to the disposition to lie,
A. Yes. Atty. Tansingco is liable for violation of cheat, deceive, defraud, or betray; be
Canon 1 and Rule 1.02 of the Code. A lawyer should untrustworthy; lacking in integrity, honesty, probity,
not render any service or give advice to any client, integrity in principle, fairness and
which will involve defiance of the laws which he is straightforwardness.
bound to uphold and obey. Atty. Tansingco had
sworn to uphold the Constitution. Thus, he violated Q: Define Immoral Conduct.
his oath and the Code when he prepared and
notarized the Occupancy Agreement to evade the A: Immoral Conduct refers to a conduct which is
law against foreign ownership of lands. Atty. willful, flagrant, or shameless, and which shows a
Tansingco used his knowledge of the law to achieve moral indifference to the opinion of the good and
an unlawful end. Such an act amounts to respectable members of the community. To
malpractice in his office, for which he may be warrant disciplinary action, the act must not only be
suspended. (Donton v. Atty. Tansingco, A.C. No. merely immoral but GROSSLY IMMORAL.
6057, June 27, 2006)
Note: Grossly immoral conduct is one that is so corrupt
Q: Prosecutor Coronel entered his appearance on and false as to constitute a criminal act or so
behalf of the State before a Family Court in a case unprincipled or disgraceful as to be reprehensible to a
for declaration of nullity of marriage, but he failed high degree. (Figueroa v. Barranco, SBC Case No. 519,
to appear in all the subsequent proceedings. When July 31, 1997)
required by the Department of Justice to explain,
he argued that the parties in the case were ably Q: What are the instances of Gross Immorality and
represented by their respective counsels and that the resulting consequences?
his time would be better employed in more
substantial prosecutorial functions, such as A:
investigations, inquests and appearances in court 1. Abandonment of wife and cohabiting with
hearings. Is Atty. Coronel’s explanation tenable? another woman. DISBARRED. (Obusan v.
Obusan, Jr., Adm. Case No. 1392, Apr. 2,
A: Atty. Coronel’s explanation is not tenable. The 1984)
role of the State’s lawyer in nullification of marriage 2. A lawyer who had carnal knowledge with
cases is that of protector of the institution of a woman through a promise of marriage
marriage (Art 48, FC). “The task of protecting which he did not fulfill. DISBARRED. (In re:
marriage as an inviolable social institution requires Disbarment of Armando Puno, A.C. No.
vigilant and zealous participation and not mere pro 389, Feb. 28, 1967)
forma compliance” (Malcampo-Sin v. Sin, G.R. No. 3. Seduction of a woman who is the niece of
137590, Mar. 26, 2001). This role could not be left a married woman with whom respondent
to the private counsels who have been engaged to lawyer had an adulterous relation.
protect the private interest of the parties. (2006 Bar DISBARRED. (Royong v. Oblena, A.C. No.
Question) 376, Apr. 30, 1963)
4. Lawyer arranging marriage of his son to a
woman with whom the lawyer had illicit
Rule 1.01, Canon 1, CPR
relations. DISBARRED. (Mortel v. Aspiras,
A lawyer shall not engage in unlawful, dishonest,
A.M. No. 145, Dec. 28, 1956)
immoral and deceitful conduct.
5. Lawyer inveigling a woman into believing
that they have been married civilly to
Q: What are the acts punishable under this Rule?
satisfy his carnal desires. DISBARRED.
(Terre v. Terre, A.M. No. 2349, July 3,
A: Act which are unlawful, dishonest, immoral or
1992)

20
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

6. Lawyer taking advantage of his position as connected with his professional duties, that would
chairman of the college of medicine and show him to be unfit for the office and unworthy of
asked a lady student to go with him to the privileges which his license and the law confer
Manila where he had carnal knowledge of upon him. The grounds expressed in Section 27,
her under threat that if she refused, she Rule 138, of the Rules of Court are not limitative
would flunk in all her subjects. and are broad enough to cover any misconduct,
DISBARRED. (Delos Reyes v. Aznar, A.M. including dishonesty, of a lawyer in his professional
No. 1334, Nov. 28, 1989) or private capacity. Such misdeed puts his moral
7. Bigamy perpetrated by the lawyer. fiber, as well as his fitness to continue in the
DISQUALIFIED FROM ADMISSION TO THE advocacy of law, in serious doubt. Atty.Adaza's
BAR. (Royong vs. Oblena, A.C. No. 376, issuance of worthless checks and his contumacious
Apr. 30, 1963) refusal to comply with his just obligation for nearly
8. Concubinage coupled with failure to eight years is appalling and hardly deserves
support illegitimate children. SUSPENDED compassion from the Court. (Orbe v. Atty. Adaza,
INDEFINITELY. (Laguitan v. Tinio, A.M. No. A.C. No. 5252, May 20, 2004)
3049, Dec. 4, 1989)
9. Maintaining adulterous relationship with Q: Atty. Danilo Velasquez was charged before IBP
a married woman. SUSPENDED Committee on Bar Discipline with Gross
INDEFINITELY. (Cordova v. Cordova, A.M. Misconduct and Gross Immoral Conduct by
No. 3249, Nov. 29, 1989) complainant Mecaral. Complainant Mecaral was
10. A retired judge who penned a decision 7 his secretary and she became his lover and
months after he retired, antedating the common-law wife. Atty. Velasquez then brought
decision and forcing his former court staff her to the mountainous Upper San Agustin in
to include it in the expediente of the case. Caibiran, Biliran where he left her with a religious
DISBARRED. (Radjaie v. Alovera, A.C. No. group known as the Faith Healers Association of
4748, Aug. 4, 2000) the Philippines, of which he was the leader.
11. Forging a Special Power of Attorney. Although he visited her daily, his visits became
SUSPENDED FOR 3 YEARS. (Rural Bank of scarce, prompting her to return home to Naval,
Silay, Inc. v. Pilla, A.C. No. 3637, Jan. 24, Biliran. Furious, Atty. Velasquez brought her back
2001) to San Agustin where, on his instruction, his
12. Attempting to engage in an opium deal followers tortured, brainwashed and injected her
SUSPENDED FOR 1 YEAR. (Piatt v. Abordo, with drugs. When she tried to escape, the
58 Phil. 350, Sept. 1, 1933) members of the group tied her spread-eagled to a
13. Facilitating the travel of a person to the bed. Made to wear only a T- shirt and diapers and
U.S. using spurious travel documents. fed stale food, she was guarded 24 hours a day by
DISBARRED. (Sebastian v. Calis, A.C. No. the women members. Her mother sought the help
5118, Sept. 9, 1999) of the Provincial Social Welfare Department which
immediately dispatched two women volunteers to
Q: Atty. Adaza obtained a loan from Orbe with rescue her. The religious group refused to release
interest. He then issued two checks as installment. her, however, without the instruction of Atty.
However, the first check was dishonored. The Velasquez. Is Atty. Velasquez guilty of gross
other check was not accepted for being a stale immoral conduct and violated Canon 1 of the Code
check. Efforts were exerted by Orbe to see him but of Professional Responsibility?
her efforts turned to be futile. After a criminal case
was filed, Atty. Adaza went to Orbe’s house and A: Yes. Atty. Velasquez’ act of converting his
promised to pay the checks. Orbe then agreed to secretary into a mistress is grossly immoral which
have the service of the warrant of arrest withheld no civilized society in the world can countenance.
but, again, Atty. Adaza failed to make good of his The subsequent detention and torture of the
promise. Did the act of Atty. Adaza’s in issuing complainant is gross misconduct [which] only a
worthless checks constitute gross misconduct? beast may be able to do. Certainly, the Atty.
Velasquez had violated Canon 1 of the Code of
A: Yes. A member of the bar may be removed or Professional Responsibility.
suspended from office as an attorney for any
deceit, malpractice, or misconduct in office. The When a lawyer’s moral character is assailed, such
word "conduct" used in the rules is not limited to that his right to continue practicing his cherished
conduct exhibited in connection with the profession is imperiled, it behooves him to meet
performance of the lawyer's professional duties but the charges squarely and present evidence, to the
it also refers to any misconduct, although not satisfaction of the investigating body and this Court,

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
21
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

that he is morally fit to keep his name in the Roll of is used upon another who is ignorant of the fact, to
Attorneys. Atty. Velasquez has not discharged the the prejudice and damage of the party imposed
burden. (Mecaral v. Velasquez, A.C. No. 8392, June upon. (CPR Annotated, PhilJA)
29, 2010)
Note: By indicating “IBP Rizal 259060” in his pleadings
Q: What are the acts which do not constitute gross and thereby misrepresenting to the public and the
immorality? courts that he had paid his IBP dues to the Rizal
Chapter, Atty. Llamas is guilty of violating the Code of
A: Professional Responsibility which provides: Rule 1.01 –
1. Stealing a kiss from a client (Advincula v. A lawyer shall not engage in unlawful, dishonest,
Macabata, A.C. No. 7204, Mar. 7, 2007) immoral or deceitful conduct. His act is also a violation
of Rule 10.01 which provides that: A lawyer shall not
2. Live-in relationship involving two
do any falsehood, nor consent to the doing of any in
unmarried persons
court; nor mislead or allow the court to be misled by
3. Failure to pay a loan any artifice. (Santos Jr. v. Atty. Llamas, A.C. No. 4749,
- A lawyer may not be disciplined for Jan. 20, 2000)
failure to pay a loan. The proper remedy
is the filing of an action for collection of a Q: Atty. Llorente and Atty. Salayon were election
sum of money in regular courts (Toledo v. officers of the COMELEC. They helped conduct and
Abalos, A.C. No. 5141, Sept. 29, 1999) oversee the 1995 elections. Then Senatorial
candidate Pimentel, Jr. alleged that Atty. Llorente
Exception: A deliberate failure to pay just and Atty. Salayon tampered with the votes
debts and the issuance of worthless checks received by him. Pimentel Jr. filed an
(Lao v. Medel, A.C. No. 5916, July 1, 2003) administrative complaint for their disbarment. The
two lawyers argued that the discrepancies were
Having incurred just debts, a lawyer has the due to honest mistake, oversight and fatigue. They
moral duty and legal responsibility to settle also argued that the IBP Board of Governors had
them when they become due. He should already exonerated them from any offense and
comply with his just contractual obligations, that the motion for reconsideration filed by
act fairly and adhere to high ethical Pimentel Jr. was not filed in time. Are Attys.
standards to preserve the court’s integrity, Llorente and Salayon guilty of violating the Code of
since he is an employee thereof. (Cham v. Professional Responsibility?
Paita-Moya, A.C. No.7494, June 27, 2008).
A: Yes. Atty. Llorente and Atty. Salayon do not
Note: Just debts include unpaid rentals, dispute the fact that massive irregularities attended
electric bills, claims adjudicated by a court of
the canvassing of the Pasig City election returns.
law, and claims the existence and justness
The only explanation they could offer for such
which are admitted by the debtor (Cham v.
Paita-Moya, A.C. No.7494, June 27, 2008).
irregularities is that the same could be due to
honest mistake, human error, and/or fatigue on the
Q: Differentiate morality from immoral conduct part of the members of the canvassing committees
and grossly immoral conduct. who prepared the Statements of Votes (SoVs).
There is a limit, we believe, to what can be
A: construed as an honest mistake or oversight due to
Morality as understood in Immoral conduct has
fatigue, in the performance of official duty.
law is a human standard been defined as that
based on natural moral conduct which is willful, Here, by certifying as true and correct the SoVs in
law which is embodied in flagrant, or shameless question, Atty. Llorente and Atty. Salayon
man’s conscience and and which shows a moral committed a breach of Rule 1.01 of the Code which
which guides him to do indifference to the stipulates that a lawyer shall not engage in
good and avoid evil. opinion of the good and “unlawful, dishonest, immoral or deceitful
respectable members of conduct.” By express provision of Canon 6, this is
the community (Arciga v. made applicable to lawyers in the government
Maniwang, A.M. No. service. In addition, they likewise violated their oath
1608, Aug. 14, 1981). of office as lawyers to “do no falsehood.” (Pimentel,
Jr. v. Atty. Llorente and Atty. Salayon, A.C. No. 4680,
Q: Define deceitful conduct. Aug. 29, 2000)

A: An act that has the proclivity for fraudulent and Q: An administrative complaint for disbarment
deceptive misrepresentation, artifice or device that against Atty. Iris was filed for allegedly carrying an

22
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

immoral relationship with Carlos, husband of bar examinations. Their relationship continued
complainant Leslie. Atty. Iris contended that her and Simeon allegedly made more than twenty or
relationship with Carlos is licit because they thirty promises of marriage. Patricia learned that
were married. And when she discovered Carlos’ Simeon married another woman. Meanwhile,
true civil status, she cut off all her ties with him. Is Simeon successfully passed the 1970 bar
Atty. Iris guilty of committing gross immoral examinations after four attempts. But before he
conduct warranting her disbarment? could take his oath, Patricia filed a petition to
disqualify Simeon to take the Lawyer’s Oath on
A: No, her relationship with Carlos, clothed as it was the ground of gross immoral conduct. Does
with what Atty. Iris believed was a valid marriage, the act of Simeon in engaging in premarital
cannot be considered immoral. Immorality relations with Patricia and making promises to
connotes conduct that shows indifference to the marry her constitute gross immoral conduct?
moral norms of the community. Moreover for such
conduct to warrant disciplinary action, the same A: The SC ruled that the facts do not constitute
must be “grossly immoral”, that is it must be so gross immoral conduct warranting a permanent
corrupt and false as to constitute a criminal act or exclusion of Simeon from the legal profession. His
so unprincipled as to be reprehensible to a high engaging in premarital sexual relations with
degree. Atty. Iris’ act of immediately dyistancing complainant and promises to marry suggests a
herself from Carlos upon discovering his true civil doubtful moral character on his part but the same
status belies that alleged moral indifference and does not constitute grossly immoral conduct. The
proves that she had no intention of flaunting the Court has held that to justify suspension or
law and the high moral standard of the legal disbarment the act complained of must not only be
profession. (Ui v. Atty. Bonifacio, A.C. No. 3319, immoral, but grossly immoral. A grossly immoral act
June 8, 2000) is one that is so corrupt and false as to constitute a
criminal act or so unprincipled or disgraceful as to
Q: Catherine and Atty. Rongcal maintained an be reprehensible to a high degree. It is willful,
illicit affair. Catherine filed a case for disbarment flagrant, or shameless act, which shows a moral
against Atty. Rongcal based on gross immoral indifference to the opinion of respectable members
conduct alleging that he misrepresented himself to of the community. (Figueroa v. Barranco, Jr., G.R.
be single when he was in fact married, and due to No. 97369, July 31, 1997)
the false pretenses she succumbed to his sexual
advances. Will her petition prosper? Note: Mere intimacy between a man and woman, both
of whom possess no impediment to marry, voluntarily
A: Yes. Good moral character is a continuing carried on and devoid of any deceit on the part of the
condition in a privilege of law practice. The mere former, is neither so corrupt nor so unprincipled as to
fact of sexual relation between two unmarried warrant the imposition of disciplinary sanction against
adults is not sufficient to warrant administrative him, even if as a result of such relationship a child was
sanction for such illicit behavior, it is not with born out of wedlock. (CPR Annotated, PhilJA)
respect to betrayal of the marital vow of fidelity.
Atty. Rongcal is guilty of immorality in violation of Q: Define moral turpitude.
Rule 1.01 that a lawyer should not engage in
unlawful, dishonest, immoral or deceitful conduct. A: Moral turpitude imports an act of baseness,
But his remorse over his indiscretion and the fact of vileness or depravity in the duties which one person
ending the illicit relationship mitigates the liability. owes to another or to society in general which is
Hence a penalty of imposing a fine will suffice with contrary to the usual accepted and customary rule
a warning that the same will be dealt with more of right and duty which a person should follow. The
severely. (Vitug v. Rongcal, A.C. No. 6313, question as to whether an offense involves moral
September 7, 2006) turpitude is for the Supreme Court to decide. (1992,
1993, 1997, 2004 Bar Questions)
Note: Any errant behavior on the part of a lawyer, be it
in his public or private activities, which tends to show Q: What are examples of acts that involve moral
him deficient in moral character, honesty, probity or turpitude and their consequences?
good demeanor, is sufficient to warrant his suspension A:
or disbarment. (Tiong vs. Atty. Florendo, A.C. No. 4428, 1. Conviction of estafa and/or BP 22.
Dec. 12, 2011) DISBARRED. (In the Matter of Disbarment
Proceedings v. Narciso N. Jaramillo, A.C.
Q: Patricia and Simeon were teen sweethearts. It No. 229, Apr. 30, 1957)
was after their child was born that Simeon first 2. Conviction of bribery/ attempted bribery.
promised he would marry her after he passes the DISBARRED. (In Re: Dalmacio De los

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
23
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Angeles, A.C. No. L-350, Aug. 7,1959); 7 A lawyer shall not counsel or abet activities aimed
C.J.S., p. 736; 5 Am. Jur. p. 428) at defiance of the law or at lessening confidence in
3. Conviction of murder. DISBARRED. (In Re: the legal system.
Disbarment Proceedings Against Atty. (1994, 1998 Bar Questions)
Diosdado Q. Gutierrez, A.C. No. L- 363,
July 31, 1962) Note: A lawyer should not promote nor hold an
4. Conviction of homicide. DISBARRED. organization known to be violating the law nor assist it
(Soriano v. Dizon, A.C. No. 6792, Jan. 25, in a scheme which is dishonest. He should not allow his
2006) services to be engaged by an organization whose
5. Conviction of illegal marriage before members are violating the law and defend them
admission to the bar. DISQUALIFIED should they get caught.
FROM BEING ADMITTED TO THE BAR.
(Villasanta v. Peralta, 101 Phil.313, Apr. Q: Atty. Asilo, a lawyer and a notary public,
30, 1957) notarized a document already prepared by
6. Conviction of falsification of public spouses Roger and Luisa when they approached
document. REMOVED FROM HIS him. It is stated in the document that Roger and
OFFICE/NAME ERASED FROM ROLL OF Luisa formally agreed to live separately from each
ATTORNEYS. (Ledesma de Jesus-Paras v. other and either one can have a live-in partner
Quinciano Vailoces, A.C. No. 439, Apr. 12, with full consent of the other. What is the liability
1961) of Atty. Asilo, if any?
7. Conviction of estafa through falsification
of public document. DISBARRED. A: Atty. Asilo may be held administratively liable for
(Villanueva v. Sta. Ana, CBD Case No. 251, violating Rule 1.02 of the CPR - a lawyer shall not
July 11, 1995) counsel or abet activities aimed at defiance of the
8. Conviction of abduction. SUSPENDED law or at lessening confidence in the legal system.
FROM OFFICE FOR 1 YEAR. (In Re Basa, 41 An agreement between two spouses to live
Phil. 275, Dec. 7, 1920) separately from each other and either one could
9. Conviction of concubinage. SUSPENDED have a live-in partner with full consent of the other,
FROM OFFICE FOR 1 YEAR. (In re Isada, 60 is contrary to law and morals. The ratification by a
Phil. 915, Nov. 16, 1934) notary public who is a lawyer of such illegal or
10. Conviction of smuggling. DISBARRED. (In immoral contract or document constitutes
re Rovero, A.C. No. 126, Oct. 24, 1952) malpractice or gross misconduct in office. He should
at least refrain from its consummation. (In Re:
Note: Moral turpitude implies something immoral Santiago, A.C. No. 923, June 21, 1940; Panganiban
regardless of the fact that it is punishable by law or v. Borromeo, 58 Phil. 367; In Re: Bucana, A.C. No.
not. It must not merely be mala prohibita, but the act 1637, July 6, 1976) (1998 Bar Question)
itself must be inherently immoral. The doing of the act
itself, and not the its prohibition by statute fixes the Rule 1.03, Canon 1, CPR
moral turpitude. (Zari v. Flores, Adm. Matter No. A lawyer shall not, for any corrupt motive or
[2170-MC] P-1356) interest, encourage any suit or proceeding or delay
any man’s cause.
Q: In settling his client's claims, Atty. Cruz received
from the adverse party P200,000 in cash for his
Note: Aimed against the practice of
client. Which of the following is an IMPROPER way “barratry”, “stirring up litigation” and “ambulance
for Atty. Cruz to handle the money? chasing”.

A. Ask his client to prepare a check for his fees for Q: Enumerate the unprofessional acts prohibited
swapping with the cash. by Rule 1.03.
B. Deposit the cash in his own bank account and
later issue his personal check to his client, less his A:
fees. 1. Volunteering advice to bring lawsuit
C. Turn over the cash to his client with a request except where ties of blood, relationship
that the latter pay him his fees. and trust make it a duty to do so
D. Tell his client about the settlement and the cash 2. Hunting up defects in titles or other
and wait for the client's instructions. causes of action and informing thereof to
be employed to bring suit or collect
A: B (2011 Bar Question) judgment, or to breed litigation by
seeking out claims for personal injuries or
Rule 1.02, Canon 1, CPR any other grounds to secure them as

24
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

clients
3. Employing agents or runners for like Q: Does the rule absolutely prohibit all forms of
purposes voluntary giving of advice?
4. Paying direct or indirect reward to those
who bring or influence the bringing of A: No. It may be allowed when the giving of advice
such cases to his office is motivated by a desire to protect one who does
5. Searching for unknown heirs and soliciting not recognize that he may have legal problems or
their employment of him who is ignorant of his legal rights or obligations.
6. Initiating a meeting of a club and inducing (CPR Annotated, PhilJA)
them to organize and contest legislation
under his guidance Q: Atty. Melissa witnessed the car accident that
7. Purchasing notes to collect them by resulted in injury to Manny, a friend of hers. While
litigation at a profit visiting him at the hospital, she advised him about
what action he needed to take regarding the
Q: What is crime of maintenance? accident. Is Atty. Melissa subject to disciplinary
action if she eventually handles the case for him?
A: A lawyer owes to society and to the court the
duty not to stir up litigation. A: No, because Manny happened to be a friend.
(2011 Bar Question)
Q: What is the difference between barratry and
ambulance chasing? Q: When does voluntary giving of advice become
improper?
A: Barratry is an offense of frequently exciting and
stirring up quarrels and suits, either at law or A: When it is motivated by a desire to obtain
otherwise; lawyer’s act of fomenting suits among personal benefit, secure personal publicity, or cause
individuals and offering his legal services to one of legal action to be taken merely to harass or injure
them. another. (CPR Annotated, PhilJA)

Note: Barratry is not a crime under the Philippine laws. Q: A difficult client directed his counsel to bring up
However, it is proscribed by the rules of legal ethics. to the Supreme Court the trial court’s dismissal of
(CPR Annotated, PhilJA) their action. Counsel believes that the trial court
acted correctly and that an appeal would be futile.
Ambulance chasing is an act of chasing victims of Which of the following options should counsel
accidents for the purpose of talking to the said take?
victims (or relatives) and offering his legal services A. Withdraw from the case to temper the client’s
for the filing of a case against the person(s) who propensity to litigate.
caused the accident(s) (1993 Bar Question). It has B. Engage a collaborating counsel who can assist in
spawned a number of recognized evils such as: the case.
FSMD C. Submit a new retainer proposal to the client for
1. Fomenting of litigation with resulting a higher fee.
burdens on the courts and the public; D. Elevate the case to the Supreme Court as
2. Subordination of perjury; directed by client.
3. Mulcting of innocent persons by
judgments, upon manufactured causes of A: B (2011 Bar Question)
action; and
4. Defrauding of injured persons having Rule 1.04, Canon 1, CPR
proper causes of action but ignorant of A lawyer shall encourage his clients to avoid, end
legal rights and court procedures by or settle a controversy if it will admit of a fair
means of contracts which retain settlement.
exorbitant percentages of recovery and
illegal charges for court costs and Note: It is the duty of the lawyer to temper his client’s
expenses and by settlement made for propensity to litigate and resist his client’s whims and
quick returns of fees and against just caprices for the lawyer also owes duty to the court.
rights of the injured persons (Hightower v. Lawyer should be a mediator for concord and a
Detroit Edison Co. 247 NW 97, 1993) conciliator for compromise rather than an initiator of
controversy and a predator of conflict.
Note: Volunteer advice to bring lawsuit comes within
the prohibition, except where ties of blood, The rule requires that lawyers encourage settlement
relationship and trust make it a duty to do so. only when the same is fair. It should be noted that the

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
25
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

duty and the right of the lawyer is limited to that justice is accorded to all without
encouraging the client to settle. Ultimately, however, discrimination.
the final decision to settle a claim rests upon the client.
(CPR Annotated, PhilJA) Rule 2.01, Canon 2, CPR
A lawyer shall not reject, except for valid reasons,
Q: Jon de Ysasi III was employed by his father, in the cause of the defenseless or the oppressed.
their farm in Negros Occidental. During the entire
period of Jon de Ysasi III's illnesses, his father took
Q: Who are considered Defenseless?
care of his medical expenses and Jon de Ysasi III
continued to receive compensation. However,
A: Defenseless are those who are not in a position
later on, without due notice, his father ceased to
to defend themselves due to poverty, weakness,
pay Jon de Ysasi III’s salary. Jon de Ysasi III made
ignorance or other similar reasons.
oral and written demands from Atty. Sumbingco
(Jon de Ysasi's auditor and legal adviser) for an
Q: Who are considered Oppressed?
explanation for the sudden withholding of his
salary, as well as for the remittance of his salary.
A: Oppressed are those who are the victims of the
Both demands, however, were not acted upon. Jon
cruelty, unlawful, exaction, domination or excessive
de Ysasi III filed a case in court. Can the lawyers
use of authority.
who have been employed by the parties be
admonished for not trying to reconcile the parties
Note: By specific authority, the court may appoint an
before the filing of suit? attorney to render professional aid to a destitute
appellant in a criminal case who is unable to employ an
A: Yes. The conduct of the respective counsel of the attorney. Correspondingly, a duty is imposed upon a
parties, as revealed by the records, sorely lawyer so assigned to “render the required service”. A
disappoints the Court and invites reproof. Both lawyer so appointed as counsel for an indigent
counsels may well be reminded that their ethical prisoner, the Canons of Professional Ethics demands,
duty as lawyers to represent their clients with zeal should always “exert his best efforts” in the
goes beyond merely presenting their clients' indigent’s behalf. (People v. Estebia, G.R. No. L-26868,
respective causes in court. It is just as much their Feb. 27, 1969)
responsibility, if not more importantly, to exert all
reasonable efforts to smooth over legal conflicts, The inability to pay for legal services is not a valid
preferably out of court and especially in reason to refuse acceptance of a case. This is because
consideration of the direct and immediate the profession is a branch of the administration of
consanguineous ties between their clients. Once justice and not a mere money-getting trade. (CPR
again, the useful function of a lawyer is not only to Annotated, PhilJA)
conduct litigation but to avoid it whenever possible
Note: A lawyer who accepts the cause of a person
by advising settlement or withholding suit. He is
unable to pay his professional fees shall observe the
often called upon less for dramatic forensic exploits same standard of conduct governing his relation with
than for wise counsel in every phase of life. He paying client.
should be a mediator for concord and a conciliator
for compromise, rather than a virtuoso of LEGAL AID IS NOT A MATTER OF CHARITY, BUT A
technicality in the conduct of litigation. PUBLIC RESPONSIBILITY. It is a means for the
correction of social imbalance that may, and often do,
Rule 1.04 of the Code of Professional Responsibility lead to injustice, for which reason it is the public
explicitly provides that "a lawyer shall encourage his responsibility of the Bar.
client to avoid, end or settle the controversy if it will
admit of a fair settlement." (De Ysasi v. NLRC, G.R. Rule on Mandatory Legal Aid Service
No. 104599, Mar. 11, 1994)
PROPOSED RULE ON MANDATORY LEGAL AID
b. EFFICIENT AND CONVENIENT LEGAL PROCESSES SERVICE FOR PRACTICING LAWYERS RESOLUTION
(February 10, 2009)
CANON 2, CPR
A LAWYER SHALL MAKE HIS LEGAL SERVICES Acting on the Memorandum dated January 27, 2009
AVAILABLE IN AN EFFICIENT AND CONVENIENT of Justice (now Chief Justice) Renato C. Corona re:
MANNER COMPATIBLE WITH THE INDEPENDENCE, Comment of the Integrated Bar of the Philippines
INTEGRITY AND EFFECTIVENESS OF THE on our Suggested Revisions to the Proposed Rule of
PROFESSION. Mandatory Legal Aid service for Practicing Lawyers,
the Court Resolved to approve the same.
Rationale: It is the lawyer’s prime duty to see to it

26
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

This Resolution shall take effect on July 1, 2009 practice;


following publication of the said Rule and its 2. Lawyers who by law are not allowed to
implementing regulations in at least two (2) appear in court;
newspapers of general circulation. 3. Supervising lawyers of students enrolled
in law student practice in duly accredited
Q: What is the rule on Mandatory Legal Aid legal clinics of law schools and lawyers of
Service? non-governmental organizations (NGOs)
and peoples’ organizations (POs) like the
A: The mandatory Legal Aid Service mandates every Free Legal Assistance Group who by the
practicing lawyer to render a minimum of 60 hours nature of their work already render free
of free legal aid services to indigent litigants yearly. legal aid to indigent and pauper litigants;
and
Note: Rule on Mandatory Legal Aid Service (B.M. No. 4. Lawyers not covered under
2012): Pursuant to an en banc Resolution of the subparagraphs 1 to 3 including those who
Supreme Court, this Rule took effect on January 1, are employed in the private sector but do
2010, provided its implementing regulations have been not appear for and in behalf of parties in
published prior to the said date. courts of law and quasi-judicial
agencies.(Sec. 4[a], B.M. 1. 2012)
Q: What is the purpose of the rule?
Q: Who are these indigent and pauper litigants?
A: The rule seeks to enhance the duty of lawyers to
the society as agents of social change and to the A: Under Section 19, Rule 141, Rules of Court,
courts as officers thereof by helping improve access indigent litigants are those:
to justice by the less privileged members of society 1. Whose gross income and that of their
and expedite the resolution of cases involving them. immediate family do not exceed an
Mandatory free legal service by members of the bar amount double the monthly minimum
and their active support thereof will aid the wage of an employee; and
efficient and effective administration of justice 2. Who do not own real property with a fair
especially in cases involving indigent and pauper market value as stated in the current tax
litigants. (Sec. 2, B.M. No. 2012) declaration of more than three hundred
thousand (P300,000.00) pesos shall be
Q: What is the scope of the rule? exempt from the payment of legal fees

A: It shall govern the mandatory requirement for Note: A party may be authorized to litigate his action,
practicing lawyers to render free legal aid services claim or defense as an indigent if the court upon an ex-
in all cases (whether, civil, criminal or parte application and hearing, is satisfied that the
administrative) involving indigent and pauper party is one who has no money or property sufficient
litigants where the assistance of a lawyer is needed. and available for food, shelter and basic necessities for
It shall also govern the duty of other members of himself and his family. (Sec. 21, Rule 3, RRC)
the legal profession to support the legal aid
program of the Integrated Bar of the Philippines. Q: What does legal aid cases include?
(Sec 3, B.M. No. 2012)
A: It includes actions, disputes, and controversies
Q: Who are the practicing lawyers for the purpose that are criminal, civil and administrative in nature
of this rule? in whatever stage wherein indigent and pauper
litigants need legal representation. (Sec. 4[c], B.
A: Practicing lawyers are members of the Philippine M.2012)
Bar who appear for and in behalf of parties in courts
of law and quasi-judicial agencies, including but not Q: What are free legal aid services?
limited to the National Labor Relations Commission,
National Conciliation and Mediation Board, A: Free legal aid services refer to appearance in
Department of Labor and Employment Regional court or quasi-judicial body for and in behalf of an
Offices, Department of Agrarian Reform indigent or pauper litigant and the preparation of
Adjudication Board and National Commission for pleadings or motions. It shall also cover assistance
Indigenous Peoples. by a practicing lawyer to indigent or poor litigants in
court-annexed mediation and in other modes of
The term “practicing lawyers” shall exclude: alternative dispute resolution (ADR). Services
1. Government employees and incumbent rendered when a practicing lawyer is appointed
elective officials not allowed by law to counsel de oficio shall also be considered as free

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
27
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

legal aid services and credited as compliance under (NCLA) for recording and documentation.
the Rule. (Sec. 4[d], B.M. 2012) The submission shall be made within
forty-five (45) days after the mandatory
Q: What are the requirements for mandatory legal submission of compliance reports by the
aid service? practicing lawyers. (Sec. 5[d] B.M. 2012)

A: Under the Rule, a practicing lawyer, among 6. Practicing lawyers shall indicate in all
others, shall coordinate with the Clerk of Court or pleadings filed before the courts or quasi-
the Legal Aid Chairperson of one’s Integrated Bar of judicial bodies the number and date of
the Philippines (IBP) Chapter for cases where the issue of their certificate of compliance for
lawyer may render free legal aid service: the immediately preceding compliance
period. (Sec 5[e] B.M. 2012)
1. Every practicing lawyer is required to
render a minimum of 60 hours of free Q: What should the certificate from the Clerk of
legal aid services to indigent litigants in a Court, attesting the number of hours spent
year. Said 60 hours shall be spread within rendering free legal services contain?
the period of 12 months, with a minimum
of 5 hours of free legal aid services each A: The certificate shall contain the following
month. However, where it is necessary for information:
the practicing lawyer to render legal aid 1. The case or cases where the legal aid
service for more than 5 hours in one service was rendered, the party or parties
month, the excess hours may be credited in the said case(s), the docket number of
to the said lawyer for the succeeding the said case(s) and the date(s) the
periods. (Sec. 5[a] first par., B.M. 2012) service was rendered
2. The number of hours actually spent
Note: For this purpose, a practicing lawyer 3. The number of hours actually spent
shall coordinate with the Clerk of Court for attending mediation, conciliation or any
cases where he may render free legal aid other mode of ADR on a particular case
service. He may also coordinate with the IBP 4. A motion (except a motion for extension
Legal Aid Chairperson of the IBP Chapter to of time to file a pleading or for
inquire about cases where he may render postponement of hearing or conference)
free legal aid service. In this connection, the or pleading filed on a particular case shall
IBP Legal Aid Chairperson of the IBP Chapter
be considered as one (1) hour of service.
shall regularly and actively coordinate with
(Sec 5[b] B.M. 2012)
the Clerk of Court. (Sec. 5[a] second par.,
B.M. 2012)
Note: The Clerk of Court shall issue the certificate in
triplicate, one (1) copy to be retained by the practicing
2. The practicing lawyer shall report
lawyer, one (1) copy to be retained by the Clerk of
compliance with the requirement within Court and one (1) copy to be attached to the lawyer's
10 days of the last month of each quarter compliance report. (Sec 5[b][iv] second par., B.M.
of the year. (Sec. 5[a] third par., B.M. 2012)
2012)
Q: What credits should be given to a lawyer who
3. A practicing lawyer shall be required to renders mandatory legal aid service?
secure and obtain a certificate from the
Clerk of Court attesting to the number of A: A lawyer who renders mandatory legal aid
hours spent rendering free legal aid service for the required number of hours in a year
services in a case. (Sec. 5[b] B.M. 2012) for the three year-period covered by a compliance
period under the Rules on MCLE shall be credited
4. 4. Said compliance report shall be the following:
submitted to the Legal Aid Chairperson of 1. Two (2) credit units for legal ethics
the IBP Chapter within the Court’s 2. Two (2) credit units for trial and pretrial
jurisdiction. (Sec. 5[c] B.M. 2012) skills
3. Two (2) credit units for alternative dispute
5. The IBP chapter shall, after verification, resolution
issue a compliance certificate to the 4. Four (4) credit units for legal writing and
concerned lawyer. The IBP Chapter shall oral advocacy
also submit compliance reports to the 5. Four (4) credit units for substantive and
IBP’s National Committee on Legal Aid procedural laws and jurisprudence

28
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

6. Six (6) credit units for such subjects as as counsel.


may be prescribed by the MCLE 7. Provided, however, that the “not in good
Committee under Section 2(g), Rule 2 of standing” status shall subsist even after
the Rules on MCLE the lapse of the 3-month period until and
unless the penalty shall have been paid.
A lawyer who renders mandatory legal aid service 8. Any lawyer who fails to comply with his
for the required number of hours in a year for at duties under this Rule for at least 3
least two consecutive years within the three year- consecutive years shall be the subject of
period covered by a compliance period under the disciplinary proceedings to be instituted
Rules on MCLE shall be credited the following: motu proprio by the Committee on Bar
1. One (1) credit unit for legal ethics Discipline. (Sec. 7, B.M. 2012)
2. One (1) credit unit for trial and pretrial
skills Note: The falsification of a certificate or any contents
3. One (1) credit unit for alternative dispute thereof by any Clerk of Court or by any Chairperson of
resolution the Legal Aid Committee of the IBP local chapter where
4. Two (2) credit units for legal writing and the case is pending or by the Director of a legal clinic or
oral advocacy responsible officer of an NGO (non-governmental
5. Two (2) credit units for substantive and organizations) or PO (people’s organizations) shall be a
procedural laws and jurisprudence ground for an administrative case against the said
Clerk of Court or Chairperson. This is without prejudice
6. Three (3) credit units for such subjects as
to the filing of the criminal and administrative charges
may be prescribed by the MCLE
against the malfeasor. (Sec. 7[e] B.M. 2012)
Committee under Section 2(g), Rule 2 of
the Rules on MCLE. (Sec. 8, B.M. 2012)
AN ACT PROVIDING A MECHANISM FOR FREE
LEGAL ASSISTANCE AND FOR OTHER PURPOSES
Q: What is the sanction in case of non- compliance
R.A. NO. 9999
of the rule on mandatory legal aid service?
February 23, 2010
A: Note: Otherwise known as the “Free Legal Assistance
1. At the end of every calendar year, any Act of 2010”. (Sec. 1, R.A. 9999)
practicing lawyer who fails to meet the
minimum prescribed 60 hours of legal aid Q: What are the purposes of R.A. No. 9999?
service each year shall be required by the A: To:
IBP, through the National Committee on 1. Encourage lawyers and professional
Legal Aid (NCLA), to explain why he was partnerships to provide free legal
unable to render the minimum prescribed assistance
number of hours. 2. Solicit the assistance of lawyers and
2. If no explanation has been given or if the professional partnerships in the private
NCLA finds the explanation unsatisfactory, practice of law in providing quality legal
the NCLA shall make a report and assistance to indigent litigants through a
recommendation to the IBP Board of system of tax incentives
Governors that the erring lawyer be 3. Provide relief to the Public Attorney’s
declared a member of the IBP who is not Office (PAO) and other associations
in good standing. accredited by the Supreme Court from the
3. Upon approval of the NCLA’s numerous cases it handles
recommendation, the IBP Board of 4. Provide indigent litigants the opportunity
Governors shall declare the erring lawyer to acquire the services of the
as a member not in good standing. distinguished law firms and legal
4. The notice to the lawyer shall include a practitioners of the country for free
directive to pay P4,000.00 penalty which 5. Ensure that the right of every individual to
shall accrue to the special fund for the counsel, as mandated in the Constitution,
legal aid program of the IBP. is protected and observed
5. The “not in good standing” declaration
shall be effective for a period of 3 months Q: How are the services availed of?
from the receipt of the erring lawyer of
the notice from the IBP Board of A: Public Attorney's Office (PAO), Department of
Governors. Justice (DOJ) and other legal aid clinics accredited
6. During the said period, the lawyer cannot by the Supreme Court shall refer pauper litigants to
appear in court or any quasi-judicial body identified lawyers and professional partnerships.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
29
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

PAO, DOJ or the accredited legal aid clinic shall the person concerned if only to the extent
issue a certification that services were rendered by necessary to safeguard the latter’s rights.
the lawyer or the professional partnership under
this act. The certification shall include the cost of Q: What does rendering of legal advice include?
the actual services given.
A: It shall include preliminary steps that should be
Q: What are the incentives given to lawyers taken, at least, until the person concerned has
rendering free legal services? obtained the services of a proper counsel’s
representation. Even though no attorney-client
A: A lawyer or professional partnerships rendering relationship is created between the parties, the
actual free legal services, as defined by the lawyer, by providing interim advice, preserves the
Supreme Court, shall be entitled to an allowable dignity of the profession by inspiring public faith in
deduction from the gross income, the amount that the profession. (CPR Annotated, PhilJA)
could have been collected for the actual free legal
services rendered or up to ten percent (10%) of the Note: If only to the extent necessary to safeguard the
gross income derived from the actual performance latter’s right means such as advising him what
of the legal profession, whichever is lower: preliminary steps to take until he shall have secured
Provided, That the actual free legal services herein the services of a counsel. However, he shall refrain
contemplated shall be exclusive of the minimum from giving this preliminary advice if there is a conflict
sixty (60)-hour mandatory legal aid services of interest between a present client and a prospective
rendered to indigent litigants as required under the one. Extending such legal advice will create and
Rule on Mandatory Legal Aid Services for Practicing establish an attorney-client relationship between them
Lawyers, under BAR Matter No. 2012, issued by the and may involve a violation of the rule prohibiting a
lawyer from representing conflicting interest.
Supreme Court. (Sec. 5, R.A. 9999)

Q: What are the salient features of R.A. No. 9999? Rule 2.03, Canon 2, CPR
A lawyer shall not do or permit to be done any act
A: designated primarily to solicit legal business.
1. The law will allow indigent litigants to (1997 Bar Question)
acquire the services of renowned lawyers
and law firms for free Q: Why is legal profession not considered as a
2. In exchange for the services rendered by business?
the lawyer or the law firm, they will be A: It is not a business because it is a:
given tax incentives equivalent to the cost 1. Relation, as an “officer of the court”, to
of the services rendered to the indigent the administration of justice involving
litigant thorough sincerity, integrity and reliability
3. It will help relieve the Public Attorney’s 2. Duty of public service
Office (PAO) of its numerous caseloads 3. Relation to clients with the highest degree
involving indigent litigants who shall be of fiduciary
referred to lawyers or law firms in the 4. Relation, to the colleagues at the bar,
private practice characterized by candor, fairness, and
4. It should entice renowned and unwillingness to resort to current
distinguished firms and lawyers in the business methods of advertising and
practice as their services shall still be encroachment on their practice, or
compensated commensurately through dealing directly with their clients. (2006
the tax incentives Bar Question)

Note: The DOJ, in cooperation with the Philippine Note: The best type of advertisement for a lawyer is a
Information Agency (PIA), is hereby mandated to well-deserved reputation for competence, honesty and
conduct an annual Information, Education and fidelity to private trust and public duty.
Communication (IEC) campaign in order to inform the
lawyers of the procedures and guidelines in availing tax Q: Atty. David agreed to give ½ of his professional
deductions and inform the general public that a free fees to an intermediary or commission agent and
legal assistance to those who cannot afford counsel is he also bound himself not to deal directly with the
being provided by the State. (Sec. 6, R.A. 9999) clients. Can he be subject to disciplinary action?

Rule 2.02, Canon 2, CPR A: Yes. The agreement is void because it was
In such cases, even if the lawyer does not accept a tantamount to malpractice which is the practice of
case, he shall not refuse to render legal advice to soliciting cases of law for the purpose of gain either

30
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

personally or through paid agents or brokers. deemed improper, be seen as indirect


Malpractice ordinarily refers to any malfeasance or solicitation or would be the equivalent of
dereliction of duty committed by a lawyer. The a law practice
meaning of malpractice is in consonance with the 8. Activity of an association for the purpose
notion that the practice of law is a profession not a of legal representation.
business. The lawyer may not seek or obtain 9. Notice to other local lawyers and
employment by himself or through others, to do so publishing in a legal journal of one’s
would be unprofessional. (Tan Tek Beng v. David, A. availability to act as an associate for them
C. No. 1261, Dec. 29, 1983) 10. Seeking a Public office, which can only be
held by a lawyer or, in a dignified manner,
Q: Are advertisements of lawyers and law firms a position as a full time corporate counsel
allowed in Philippine jurisdiction? 11. Listing in a phone Directory, but not
under a designation of a special branch of
A: law. (Atty. Khan Jr. v. Atty. Simbillo, A.C.
GR: No advertisements allowed. The most No. 5299, Aug.19, 2003)
worthy and effective advertisement possible is the
establishment of a well-merited reputation for Q: What is the rationale for the prohibition on
professional capacity and fidelity to trust. advertisements?

Note: Lawyers may not advertise their services or A:


expertise nor should they resort to indirect 1. The profession is primarily for public
advertisements for professional employment, such as service
furnishing or inspiring newspaper comments, or 2. Commercializes the profession
procuring his photograph to be published in 3. Involves self-praise and puffing
connection with causes in which the lawyer has been 4. Damages public confidence
engaged or concerning the manner of their conduct, 5. May increase lawsuits and result in
the magnitude of the interest involved, the importance
needless litigation
of the lawyer's position, and all other self-laudation.
Q: What activities constitute indirect solicitation?
XPN: LEPO-LABAN-PD
1. Reputable Law lists, in a manner
A:
consistent with the standards of conduct
1. Writing and selling for publication articles
imposed by the canons, of brief
of general nature on legal subjects
biographical and informative data, are
2. Writing unsolicited article on a legal
allowed.
subject
2. Advertisements or simple announcement
of the Existence of a lawyer or his law firm
Note: If engaged in another profession or occupation
posted anywhere it is proper such as his concurrently with the practice of law, the lawyer shall
place of business or residence except make clear to his client whether he is acting as a
courtrooms and government buildings. lawyer or in another capacity.
3. Ordinary simple Professional Card. It may
contain only a statement of his name, the Q: Atty. Dulcinea writes a regular column in a
name of the law firm which he is newspaper of general circulation and articles on
connected with, address, telephone unforgettable legal stories in a leading magazine.
number and the special branch of law Her by-line always includes the name of her firm
practiced. where she is a name partner. Would you consider
4. A simple announcement of the Opening this as improper advertising? Explain your answer.
of a law firm or of changes in the
partnership, associates, firm name or A: Atty. Dulcinea’s by-line including the firm name
office address, being for the convenience where she belongs is improper because it is an
of the profession, is not objectionable. indirect way of solicitation or is an advertisement of
5. Advertisements or announcement in any the law firm.
Legal publication, including books,
journals, and legal magazines and in Q: A paid advertisement appeared in the July 5,
telephone directories. (Ulep v. Legal 2000 issue of Philippine Daily Inquirer, which
Clinic, Inc., B.M. No. 553, June 17, 1993) reads: "ANNULMENT' OF MARRIAGE Specialist
6. Writing legal Articles 532-4333/521-2667." Similar advertisements were
7. Engaging in Business and other published in the August 2 and 6, 2000 issues of the
occupations except when such could be Manila Bulletin and August 5, 2000 issue of The

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
31
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Philippine Star. customarily prescribed unless the circumstances so


warrant.
A staff member of the SC called up the published (1997, 2005 Bar Questions)
telephone number and pretended to be an
interested party. She spoke to Mrs. Simbillo, who Q: Dante wants to file a case against his wife for
claimed that her husband, Atty. Simbillo, was an support; he secured the services of Atty. Reyes, his
expert in handling annulment cases and can cousin and a private practitioner. However, Dante
guarantee a court decree within four to six does not have sufficient money to pay for legal
months, provided the case will not involve services. Nevertheless, Atty. Reyes accepted the
separation of property or custody of children. Mrs. case and promised to charge a lower rate. Did
Simbillo also said that her husband charges a fee Atty. Reyes violate the Code of Professional
of P48,000.00, half of which is payable at the time Responsibility?
of filing of the case and the other half after a
decision thereon has been rendered. A: No, Atty. Reyes did not violate the CPR.

Does the appearance of the following: GR: A lawyer shall not charge rates lower than
"ANNULMENT' OF MARRIAGE Specialist 532- those customarily prescribed.
4333/521-2667", in a newspaper, amount to
advertising and solicitation of legal services XPN: When clients are relatives, co-lawyers, or
prohibited by the Code of Professional are indigents. These are the valid justifications.
Responsibility and the Rules of Court?
The case of Dante falls under the valid justifications,
A: Yes. It has been repeatedly stressed that the so Atty. Reyes did not commit any unethical act.
practice of law is not a business. It is a profession in
which duty to public service, not money, is the Note: What the rule prohibits is a competition in the
primary consideration. Lawyering is not primarily matter of charging professional fees for the purpose of
meant to be a money-making venture, and law attracting clients in favor of the lawyer who offers
advocacy is not a capital that necessarily yields lower rates. The rule does not prohibit a lawyer from
profits. The gaining of a livelihood should be a charging a reduced fee or none at all to an indigent.
secondary consideration. The duty to public service (Comments of the IBP Committee)
and to the administration of justice should be the
primary consideration of lawyers, who must c. TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE
subordinate their personal interests or what they INFORMATION ON LEGAL SERVICES
owe to themselves. (Atty. Khan Jr. v. Atty. Simbillo,
A.C. No. 5299, Aug. 19, 2003) CANON 3, CPR
A LAWYER IN MAKING KNOWN HIS LEGAL
Note: The rule against solicitation applies to a SERVICES SHALL USE ONLY TRUE, HONEST, FAIR,
lawyer who offers monetary reward to those who DIGNIFIED AND OBJECTIVE INFORMATION OR
can serve as witness/es in the case, which he is STATEMENT OF FACTS.
handling. (CPR Annotated, PhilJA) (1993, 1997, 1998, 2001, 2002, 2003 Bar
Questions)
Q: Facing disciplinary charges for advertising as a
lawyer, Atty. A argues that although the calling Rationale: The practice of law is not a trade like the
card of his businessman friend indicates his law sale of commodities to the general public where
office and his legal specialty, the law office is "the usual exaggerations in trade, when the proper
located in his friend’s store. Decide. party had the opportunity to know the facts, are
not in themselves fraudulent.”
A: This appears to be a circumvention of the
prohibition on improper advertising. There is no Q: Atty. E has a daily 10-minute radio program
valid reason why the lawyer’s businessman friend billed as a “Court of Common Troubles.” The
should be handing out calling cards which contains program is advertised by the radio station as a
the lawyer’s law office and legal specialty, even if public service feature for those who seek but
his office is located in his friend’s store. What cannot afford to pay for legal advice. Its sponsors
makes it more objectionable is the statement of his include a food processing company and a
supposed legal specialty. (2001 Bar Question) detergent manufacturing firm which share with
the radio station the monthly remuneration of
Rule 2.04, Canon 2, CPR Atty. E. Is there any impropriety in Atty. E’s role
A lawyer shall not charge rates lower than those under the above arrangement?

32
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

A: Giving advice on legal matters through the (2011 Bar Question)


medium of a newspaper column or radio station or
television broadcast is improper. It would involve Rule 3.02, Canon 3, CPR
indirect advertising and violation of the confidential In the choice of a firm name, no false, misleading
relation between the lawyer and the client. (Agpalo, or assumed name shall be used. The continued use
Legal Ethics) (1997 Bar Question) of the name of a deceased partner is permissible
provided that the firm indicates in all its
Rule 3.01, Canon 3, CPR communications that said partner is deceased.
A lawyer shall not use or permit the use of any (1994, 1996, 2001 Bar Questions)
false, fraudulent, misleading, deceptive,
undignified, self-laudatory or unfair statement or Q: What is the reason in allowing a firm to use the
claim regarding his qualifications or legal services. name of a deceased partner?
(1997 Bar Question)
A: All the partners have, by their joint and several
Q: Cite some examples of information in lawyer efforts over a period of years contributed to the
advertising, that could be considered deceptive. good will attached to the firm name. In the case of a
firm having widespread connections, this good will
A: is disturbed by a change in firm name every time a
1. Misstatements of fact partner dies, and that reflects a loss in some degree
2. Suggestions that the ingenuity or prior of the good will to the building up of which the
record of a lawyer rather than the justice surviving partners have contributed their time, skill
of the claim are the principal factors likely and labor through a period of years. (CPR
to determine the result Annotated, PhilJA)
3. Inclusion of information irrelevant on
selecting a lawyer Note: No name not belonging to any of the partners or
4. Representations concerning the quality of associates may be used in the firm name for any
service, which cannot be measured or purpose.
verified. (CPR Annotated, PhilJA)
Continued use of the name of a deceased partner is
Q: Atty. Lana, a famous family lawyer, asked his permissible provided that the firm indicates in all its
secretary to draft the contents of his new calling communications that said partner is deceased. The
card. The secretary inserted in such draft the use of a cross after the name of the deceased
phrase, the “best family lawyer in the Philippines”. partner is sufficient indication. It is advisable though
The draft was checked by Atty. Lana and approved that the year of the death be also indicated.
it. The new calling cards were then made and Atty.
Lana gave it to prospective clients. Did Atty. Lana Rule 3.03, Canon 3, CPR
commit any unethical act? Where a partner accepts public office, he shall
withdraw from the firm and his name shall be
A: Yes, under Rule 3.01 of CPR, violation of Rule dropped from the firm name unless the law allows
3.01 is unethical, whether done by him personally him to practice law concurrently.
or through another with his permission.
Q: Is a Filipino lawyer allowed to practice under a
Q: A Court Administrator's auditing team found name of a foreign law firm?
that Judge Ruby used business cards which stated,
in addition to her official title as presiding judge of A: Filipino lawyers cannot practice law under the
her court, that she is bar topnotcher, her law name of a foreign law firm, as the latter cannot
school’s “class valedictorian,” and “one of the practice law in the Philippines and the use of a
most sought after private law practitioners” foreign law firm in the country is unethical.
before she joined the judiciary, all of which are (Dacanay v. Baker and McKenzie, A.C. No. 2131,
true. Asked to explain this seeming impropriety, May 10, 1985)
Ruby pointed out that business cards can include
the person’s “title” which is broad enough to Rationale: To prevent the law firm or partners from
include in her case her standing in the bar and all making use of the name of the public official to
the honors she earned. Did Ruby commit an attract business and to avoid suspicion of undue
impropriety? influence.

A: Yes, because she showed a hunger for publicity Q: Samonte alleges that when she went to Branch
and recognition that debases her judicial post. 220, RTC, Quezon City, to inquire about the reason

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
33
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

for the issuance of the temporary restraining Rationale: To prevent some lawyers from gaining
order, Atty. Rolando Gatdula (Clerk of Court) an unfair advantage over others through the use of
blamed her lawyer for writing the wrong address gimmickry, press agentry or other artificial means.
in the complaint for ejectment, and told her that if
she wanted the execution to proceed, she should Q: Fiscal Salva conducted the investigation of the
change her lawyer and retain the law office of case concerning the killing of Monroy, in the
Atty. Gatdula, at the same time giving his calling session hall of the Municipal Court of Pasay City to
card with the name "Baligod, Gatdula, Tacardon, accommodate the public and members of the
Dimailig and Celera" with office at Rm. 220 press. Also, he told the press that “if you want to
Mariwasa Bldg., 717 Aurora Blvd., Cubao, Quezon ask question, I am allowing you to do so and the
City, otherwise she will not be able to eject the questions will be reproduced as my own”. Is the
defendant Dave Knope. Samonte told Atty. act of the fiscal in sensationalizing the case
Gatdula that she could not decide because she was unethical?
only representing her sister. To her consternation,
the RTC Branch 220 issued an order granting the A: Yes. Fiscal Salva should be publicly reprehended
preliminary injunction as threatened by Atty. and censured for the uncalled and wide publicity
Gatdula despite the fact that the MTC, Branch 37 and sensationalism that he had given to and
had issued an Order directing the execution of the allowed in connection with his investigation,
Decision in Civil Case No. 37-14552. whatever be his motive, which is considered and
found to be contempt of court. (Cruz v Salva, G.R.
Samonte filed an administrative case for No. L-12871, July 25, 1959)
misconduct, alleging that Atty. Gatdula is engaged
in the private practice of law. Did Atty. Gatdula d. PARTICIPATE IN THE IMPROVEMENT OF THE
violate the Code of Conduct and Ethical Standards LEGAL SYSTEM
for the Public Officials and Employees?
CANON 4, CPR
A: Yes. Samonte by her failure to appear at the A LAWYER SHALL PARTICIPATE IN THE
hearings, failed to substantiate her allegation that it DEVELOPMENT OF THE LEGAL SYSTEM BY
was Atty. Gatdula who gave her calling card INITIATING OR SUPPORTING EFFORTS IN LAW
"Baligod, Gatdula, Tacardon, Dimailig and Celera REFORM AND IN THE ADMINISTRATION OF
Law Offices" and that he tried to convince her to JUSTICE.
change counsels. However, that while Atty. Gatdula (2008 Bar Question)
vehemently denies Samonte's allegations, he does
not deny that his name appears on the calling card Note: By reason of education and experience,
attached to the complaint, which admittedly came lawyers are especially qualified to recognize
into the hands of Samonte. deficiencies in the legal system and to initiate
corrective measures therein. Thus, they should
The card clearly gives the impression that he is participate in proposing and supporting legislation
connected with the said law firm. The and programs to improve the system, without
inclusion/retention of his name in the professional regard to the general interests or desires of clients
card constitutes an act of solicitation which violates or former clients. (Ethical Consideration 8-1, 1978,
Section 7 sub-par. (b) (2) of R.A. 6713, otherwise Model Code of Professional Responsibility, American
known as "Code of Conduct and Ethical Standards Bar Association)
for the Public Officials and Employees" which
declares it unlawful for a public official or employee E.g.:
to, among others: (2) Engage in the private practice 1. Presenting position papers or resolutions
of their profession unless authorized by the for the introduction of pertinent bills in
Constitution or law, provided that such practice will Congress; or
not conflict or tend to conflict with official 2. Petitions with the SC for the amendment
functions. (Samonte v. Gatdula, A.M. No. 99-1292, of the Rules of Court
Feb. 26, 1999)
A lawyer may, with propriety, endorse a candidate
Rule 3.04, Canon 3, CPR and seek that endorsement from other lawyers. A
A lawyer shall not pay or give anything of value to lawyer should not use or attempt to use the power
representatives of the mass media in anticipation or prestige of the judicial office to secure such
of, or in return for, publicity to attract legal endorsement. On the other hand, the lawyer whose
business. endorsement is sought should have the courage
and moral stamina to refuse the request for

34
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

endorsement if he believes the candidate lacks the (1992, 1993 Bar Questions)
essential qualifications for the office or believes the
opposing candidate is better qualified. (ABA Opinion Q: What is the foremost duty of a lawyer?
189 (1938); Funa, 2009)
A: The foremost duty of a lawyer is not to his client
e. PARTICIPATION IN LEGAL EDUCATION but to the administration of justice. To this end,
his client’s success is wholly subordinate.
CANON 5, CPR
A LAWYER SHALL KEEP ABREAST OF LEGAL Note: His conduct ought to and must always be
DEVELOPMENTS, PARTICIPATE IN CONTINUING scrupulously observant of law and ethics, while a
LEGAL EDUCATION PROGRAMS, SUPPORT EFFORTS lawyer must advocate his client’s cause in utmost
TO ACHIEVE HIGH STANDARDS IN LAW SCHOOLS earnestness and with the maximum skill he can
AS WELL AS IN THE PRACTICAL TRAINING OF LAW marshal; he is not at liberty to resort to illegal means
STUDENTS AND ASSIST IN DISSEMINATING for his client’s interest. It is the duty of an attorney to
INFORMATION REGARDING THE LAW AND employ for the purpose of maintaining the causes
JURISPRUDENCE. confided in him such means as are consistent with
(2003, 2006, 2008 Bar Questions) truth and honor. (Valencia v. Cabanting, A.M. Nos.
1302, 1391, 1543, Apr. 26, 1991)
Note: This duty carries with it the obligation to be well
informed of the existing laws, and to keep abreast with Q: From the viewpoint of legal ethics, why should
legal developments, recent enactment and it be mandatory that the public prosecutor be
jurisprudence. It is imperative that they be conversant present at the trial of a criminal case despite the
with the basic legal principles. Unless they faithfully presence of a private prosecutor?
comply with such duty, they may not be able to
discharge competently and diligently their obligations A: The public prosecutor must be present at the
as members of the Bar. Worse, they may become trial of the criminal case despite the presence of a
susceptible to committing mistakes. (Dulalai Jr. v. Cruz, private prosecutor in order to see to it that the
A.C. No. 6854, Apr. 27, 2007, citing Santiago v. interest of the State is well-guarded and protected,
Rafanan, A.C. No. 6252, Oct. 5, 2004) should the private prosecutor be found lacking in
competence in prosecuting the case. Moreover, the
Q: What is the three-fold obligation of a lawyer? primary duty of a public prosecutor is not to convict
but to see to it that justice is done (Rule 6.01, CPR).
A: A private prosecutor would be naturally interested
1. He owes it to himself to continue only in the conviction of the accused. (2001 Bar
improving his knowledge of the laws Question)
2. He owes it to his profession to take an
active interest in the maintenance of high Rule 6.02, Canon 6, CPR
standards of legal education A lawyer in the government service shall not use
3. He owes it to the lay public to make the his public position to promote or advance his
law a part of their social consciousness. private interests, nor allow the latter to interfere
with his public duties.
CANON 6, CPR
THESE CANONS SHALL APPLY TO LAWYERS IN Q: What are the restrictions on lawyers who are
GOVERNMENT SERVICES IN THE DISCHARGE OF
also public officials and employees during their
THEIR TASKS
incumbency?
(1992, 1993, 2000, 2001, 2006 Bar Questions)
A: They must not:
Note: Lawyers in the employ of the government should
PERU
be more sensitive in the performance of their
professional obligations as their conduct is subject to 1. Engage in the Private practice of their
constant scrutiny of the public. profession unless authorized by the
Constitution or law, provided that such
practice will not conflict or tend to
Rule 6.01, Canon 6, CPR
conflict with their official functions;
The primary duty of a lawyer engaged in public
2. Own, control, manage or accept
prosecution is not to convict but to see to it that
Employment as officer, employee,
justice is done. The suppression of facts or the
consultant, counsel, broker, agent,
concealment of witnesses capable of establishing
trustee or nominee in any private
the innocence of the accused is highly
enterprise regulated, supervised or
reprehensible and is cause for disciplinary action.
licensed by their office unless expressly
THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS
CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
35
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

allowed by law; or interpreting government or agency proceeding,


3. Recommend any person to any position in regulations or laws or briefing abstract principles of
a private enterprise which has a regular or law.
pending official transaction with their
office; and “Intervene” includes an act of a person who has the
4. Use or divulge confidential or classified power to influence the subject proceedings. (PCGG
information officially known to them by v. Sandiganbayan, G.R. Nos. 151809-12, Apr. 12,
reason of their office and not available to 2005)
the public.
Q: Former Solicitor General Estelito Mendoza filed
Q: What is the difference between rule 6.02 and a petition with the CFI praying for the assistance
6.01? and supervision of the court in the GenBank’s
liquidation. Mendoza gave advice on the
A: Unlike Rule 6.01, 6.02 is not limited to public procedure to liquidate the GenBank.
prosecutors, or public lawyers engaged principally Subsequently, President Aquino established the
in criminal prosecution cases. The restriction PCGG to recover the alleged ill-gotten wealth of
applies particularly to lawyers in government former President Marcos, his families and cronies.
service, who are allowed by law to engage in The PCGG filed with the Sandiganbayan a
private law practice, and those who, though complaint for reversion, reconveyance, restitution,
prohibited from engaging in the practice of law, accounting and damages against Tan, et al. and
have friends, former associates and relatives who issued several writs of sequestration on properties
are in the active practice of law. (CPR Annotated, they allegedly acquired. Tan, et al. were
PhilJA) represented by former SolGen Mendoza, who has
then resumed his private practice of law. The
Rule 6.03, Canon 6, CPR PCGG filed motions to disqualify Mendoza as
A lawyer shall not, after leaving government counsel for Tan, et al. The motions alleged that
service, accept engagement or employment in Mendoza, as then SolGen and counsel to Central
connection with any matter in which he had Bank, “actively intervened” in the liquidation of
intervened while in said service. GenBank, which was subsequently acquired by
(1992, 1993, 2001 Bar Questions) Tan, et al.
Is Rule 6.03 of the CPR applicable to Mendoza?
Note: The intervention must be substantial.
A: No. The advice given by Mendoza on the
Q: Atty. Madrigal worked in the Supreme Court, procedure to liquidate the GenBank is not the
under the division which handles the case of Mr. “matter” contemplated by Rule 6.03 of the CPR.
Roxas. Before the promulgation of the decision of
the case, Atty. Madrigal resigned and started to ABA Formal Opinion No. 342 is clear in stressing
work in the law firm which handles the case of Mr. that the “drafting, enforcing or interpreting
Roxas. Is Atty. Madrigal allowed to use the government or agency procedures, regulations or
information he got to help in the case handled by laws, or briefing abstract principles of law” are acts
the firm? which do not fall within the scope of the
term “matter” and cannot disqualify.
A: No, such act is unethical and is violative of Rule
6.03 of the CPR. It is submitted that the court should apply Rule 6.03
in all its strictness for it correctly disfavors lawyers
Note: Sec. 7(b) of R.A. 6713 prohibits former public who “switch sides”. It is claimed that “switching
official or employee for a period of 1 year after sides” carries the danger that former government
retirement or separation from office to practice his employee may compromise confidential official
profession in connection with any matter before the information in the process.
office he used to be with.
However, this concern does not cast shadow in the
Q: What is the meaning of “any matter” and case at bar. The act of Mendoza in informing the
“intervene”? Central Bank on the procedure on how to liquidate
the GenBank is a different matter from the subject
A: “Any matter”, according to the American Bar matter of the civil case which is about the
Association Formal Opinion, is any discrete sequestration of the shares of Tan et al. in Allied
isolatable act, as well as identifiable transaction or Bank.
conduct involving a particular situation and specific
party, and not merely an act of drafting, enforcing

36
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Consequently, the danger that confidential official Note: Integrated Bar is a state-organized bar, to
information might be divulged is still nil, if not which every lawyer must belong as distinguished
inexistent. To be sure, there are no inconsistent from bar associations organized by individual
sides to be bothered about in this case. For there is lawyers themselves, membership in which is
no question that in lawyering for Tan et al., voluntary. It is a national organization of lawyers
Mendoza is indirectly defending the validity of the created on 16 January 1973 under Rule 139-A, Rules
action of the Central Bank in liquidating GenBank of Court, and constituted on 4 May 1973 into a
and selling it later to Allied Bank. Their interests body corporate by PD No. 181.
coincide instead of colliding. (PCGG v.
Sandiganbayan, G.R. Nos. 151809-12, Apr. 12, Q: What is Integration of the Bar?
2005)
A: The Integration of the Philippine Bar means the
Q: Distinguish adverse-interest conflicts and official unification of the entire lawyer population,
congruent-interest representation conflicts? and this requires membership and financial support
of every attorney as condition sine qua non to the
A: practice of law and the retention of his name in the
Adverse-interest conflicts Congruent-interest Roll of Attorneys of the Supreme Court. (Pineda,
exist where the matter in representation conflicts 1999)
which the former are unique to government
government lawyer lawyers and apply Q: What are the fundamental purposes of the IBP?
represents a client in primarily to former
private practice is government lawyers. A:
substantially related to 1. To elevate the standards of the legal
the matter that the profession;
lawyer dealt with while
2. Improve the administration of justice; and
employed by the
3. Enable the Bar to discharge its public
government and the
interests of the
responsibility more effectively. (Sec. 2,
government and the Rule 139-A, RRC)
interests of the current
and former are adverse Note: The Philippines is divided into 9 Regions of the
Integrated Bar, with a Chapter organized in every
province. Each Chapter shall have its own local
Source: (CPR Annotated, PhilJA)
government as provided for by uniform rules to be
prescribed by the Board of Governors and approved by
Note: The restriction provided under the rule covers
the SC (Secs. 3 and 4, Rule 139-A, RRC)
engagement or employment which means that he
cannot accept any work or employment from anyone
that will involve or relate to the matter in which he Q: Is the integration of the IBP constitutional?
intervened as a public official, except on behalf of the
body or authority which he served during his public A: Yes, the practice of law is not a vested right but a
employment. (CPR Annotated, PhilJA) privilege clothed with public interest. Hence, it is
fair and just that the exercise of that privilege be
2. THE LAWYER AND THE LEGAL PROFESSION regulated to assure compliance with the lawyer's
public responsibilities. Given existing Bar
CANON 7, CPR conditions, the most efficient means of doing so is
A LAWYER SHALL AT ALL TIMES UPHOLD THE by integrating the Bar through a rule of court that
INTEGRITY AND DIGNITY OF THE LEGAL requires all lawyers to pay annual dues to the
PROFESSION AND SUPPORT THE ACTIVITIES OF Integrated Bar. (In the Matter of the Integration of
THE INTEGRATED BAR. the Bar of the Philippines, 49 SCRA 22, Jan. 9, 1973)

a. INTEGRATED BAR OF THE PHILIPPINES The Board of Governors

Q: What is Integrated Bar of the Philippines? Q: Who governs the IBP?


A: The Integrated Bar shall be governed by a Board
A: It is an official national body composed of all of Governors. (Sec. 6, Rule 139-A, RRC)
persons whose names now appear or may hereafter
be included in the Roll of Attorneys of the Supreme Q: How many and what is the procedure in the
Court. (Sec. 1, Rule 139-A, RRC) selection of the Board of Governors?
A: Nine Governors shall be elected by the House of
Delegates from the nine Regions on the

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
37
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

representation basis of one Governor from each as it may fix. Said officers and employees
Region. Each Governor shall be chosen from a list of need not be members of the Integrated
nominees submitted by the Delegates from the Bar. (Sec. 7, Rule 139-A, RRC)
Region, provided that not more than one nominee
shall come from any Chapter. The President and the Q: What is the officers’ term of office?
Executive Vice President, if chosen by the A: The President and the Executive Vice President
Governors from outside of themselves as provided shall hold office for a term of one year from the
in Section 7 of this Rule, shall ipso facto become date of their election and until their successors shall
members of the Board. (Sec. 6, Rule 139-A, RRC) have duly qualified. The Executive Vice President
shall automatically become the President for the
Q: What is the term of the members of the Board? next succeeding full term. The Presidency shall
A: The members of the Board shall hold office for a rotate from year to year among all the nine Regions
term of one year from the date of their election and in such order of rotation as the Board of Governors
until their successors shall have been duly elected shall prescribe. No person shall be President or
and qualified. No person may be a Governor for Executive Vice President of the Integrated Bar for
more than two terms. (Sec. 6, Rule 139-A, RRC) more than one term. (Sec. 7, Rule 139-A, RRC)

Q: When is the regular meeting of the Board? Q: What are the basic qualifications for one who
A: The Board shall meet regularly once every three wishes to be elected governor for a particular
months, on such date and at such time and place as region?
it shall designate. A majority of all the members of
the Board shall constitute a quorum to do business. A:
Special meetings may be called by the President or 1. He is a member in good standing of the
by five members of the Board. (Sec. 6, Rule 139-A, IBP
RRC) 2. He is included in the voters list of his
chapter or he is not disqualified by the
Note: Subject to the approval of the Supreme Court, Integration Rule, by the By-Laws of the
the Board shall adopt By-Laws and promulgate Canons Integrated Bar, or by the By-Laws of the
of Professional Responsibility for all members of the Chapter to which he belongs
Integrated Bar. The By-Laws and the Canons may be 3. He does not belong to a chapter from
amended by the Supreme Court motu proprio or upon which a regional governor has already
the recommendation of the Board of Governors. been elected, unless the election is the
start of a new season or cycle
The Board shall prescribe such other rules and
4. He is not in the government service. (In
regulations as may be necessary and proper to carry
Re: Petition to disqualify Atty. De Vera,
out the purposes of the Integrated Bar as well as the
provisions of this Rule. (Sec. 6, Rule 139-A, RRC)
A.C. No. 6052, Dec. 11, 2003)

Q: Who are the officers of the IBP? How are they Q: Is a candidate required to be morally fit in order
selected? to be qualified to run as an officer?

A: The Integrated Bar shall have a/an: A: There is nothing in the by-laws which explicitly
1. President provides that one must be morally fit before he can
2. Executive Vice President who shall be run for IBP governorship. For one, this is so because
chosen by the Governors immediately the determination of moral fitness of a candidate
after the latter’s election; either from lies in the individual judgment of the members of
among themselves or from other the House of Delegates. Indeed, based on
members of the Integrated Bar, by the each member’s standard of morality, he is free to
vote of at least five Governors. Each of nominate and elect any member, so long as the
the regional members of the Board shall latter possesses the basic requirements under the
be ex officio Vice President for the Region law. For another, basically the disqualification of a
which he represents. candidate involving lack of moral fitness should
3. Secretary emanate from his disbarment or suspension from
4. Treasurer the practice of law by the Court, or conviction by
5. Such other officers and employees as may final judgment of an offense which involves moral
be required by the Board of Governors, to turpitude. (Ibid.)
be appointed by the President with the
consent of the Board, and to hold office at
the pleasure of the Board or for such term

38
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Q: In the event of vacancy, who performs the in any form or manner, by himself or through
duties of the President? another person:
1. Distribution, except on election day, of
A: election campaign materials;
a. In the event the President is absent or 2. Distribution, on election day, of election
unable to act, his duties shall be campaign materials other than a
performed by the Executive Vice statement of the bio data of the
President candidate on not more than one page of a
b. In the event of the death, resignation, legal size sheet of paper; or causing the
or removal of the President, the distribution of such statement to be done
Executive Vice President shall serve as by persons other than those authorized
Acting President during the remainder by the officer presiding at the elections;
of the term of the office thus vacated 3. Campaigning for or against any candidate,
c. In the event of the death, resignation, while holding an elective, judicial, quasi-
removal or disability of both the judicial or prosecutory office in the
President and the Executive Vice Government or any political subdivision,
President, the Board of Governors shall agency or instrumentality thereof;
elect an Acting President to hold office 4. Formation of tickets, single slates, or
until the next succeeding election or combinations of candidates as well as the
during the period of disability. (Sec. 8, advertising thereof; and
Rule 139-A, RRC) 5. For the purpose of inducing or influencing
a member to withhold his vote, or to vote
Note: The filling of vacancies in the House of for or against a candidate:
Delegates, Board of Governors, and all other positions a. Payment of the dues or other
of Officers of the Integrated Bar shall be as provided in indebtedness of any member;
the By-Laws. Whenever the term of an office or b. Giving of food, drink,
position is for a fixed period, the person chosen to fill a entertainment, transportation
vacancy therein shall serve only for the unexpired or any article of value, or any
term. (Sec. 8, Rule 139-A, RRC) similar consideration to any
person; or
Q: How is the mandate in Sec. 13 of Rule 139-A of c. Making a promise or causing an
the Rules of Court stating that the IBP is non- expenditure to be made,
politically manifested? offered or promise to any
person. (Sec. 4, IBP By-Laws; In
A: By strictly providing that every activity tending to the Matter of the Inquiry into
impair this basic feature is strictly prohibited and the 1989 Elections of the
shall be penalized accordingly. No lawyer holding an Integrated Bar of the
elective, judicial, quasi-judicial or prosecutory office Philippines, A.M. No. 491, Oct.
in the Government or any political subdivision or 6, 1989)
instrumentality thereof shall be eligible for election
or appointment to any position in the Integrated Q: In the election of national officers of the IBP,
Bar or any Chapter thereof. A Delegate, Governor, the Supreme Court received reports of
officer or employee of the Integrated Bar, or an electioneering and extravagance that
officer or employee of any Chapter thereof shall be characterized the campaign conducted by the 3
considered ipso facto resigned from his position as candidates (Paculdo, Nisce and Mrs. Drilon) for
of the moment he files his certificate of candidacy President of the IBP. It is alleged that they used
for any elective public office or accepts government planes, give free accommodations to
appointment to any judicial, quasi judicial, or voters to expensive hotels and there has been
prosecutory office in the Government or any intervention of public officials to influence the
political subdivision or instrumentality thereof. (Sec. voting. Is there a violation of the IBP by-laws? Is
13, Rule 139-A, RRC) there sufficient ground for the Supreme Court to
suspend the oath taking of the officials?
Q: What are the prohibited acts and practices
relative to the elections of IBP officers? A: Yes. The candidates for the national positions in
the IBP conducted their campaign preparatory to
A: The following acts and practices relative to the election on June 3, 1989 in violation of Section
elections are prohibited, whether committed by a 14 of the IBP by-laws and the Rules of Court, that
candidate for any elective office in the Integrated the IBP shall be strictly non-political. Also the ethics
Bar or by any other member, directly or indirectly,

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
39
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

of the legal profession imposed on all lawyers has 4. To protect errant lawyers from
been violated corollary to their obligation to obey themselves.
and uphold the constitution and the laws, the duty
to promote respect for law and legal processes and Each purpose is as important as the other.
to abstain activities aimed at the defiance of the (Garrido v. Attys. Garrido and Valencia,
law or at lessening confidence in the legal system. A.C. No. 6593, Feb. 4, 2010)
(In Re: IBP Elections, B.M. 491, Oct. 6, 1989)
Q: What is the procedure for voluntary
Q: May a delegate or governor or any national or termination of membership in the IBP?
local officer of the IBP receive any compensation,
allowance or emolument from the funds of the A: A member may terminate his membership by
Integrated Bar? filing a written notice to that effect with the
Secretary of the Integrated Bar, who shall
A: No. Except as may be specifically authorized or immediately bring the matter to the attention of
allowed by the Supreme Court, no Delegate or the Supreme Court. Forthwith he shall cease to be a
Governor and no national or local Officer or member and his name shall be stricken by the Court
committee member shall receive any from the Roll of Attorneys. (Sec.11, Rule 139-A,
compensation, allowance or emolument from the RRC)
funds of the Integrated Bar for any service rendered
therein or be entitled to reimbursement for any Note: Re-instatement may be made by the Court in
expense incurred in the discharge of his accordance with rules and regulations prescribed by
functions.(Sec. 14, Rule 139-A, RRC) the Board of Governors and approved by the Court.
(Sec.11, Rule 139-A, RRC)
Membership and Dues
Membership Dues
Membership
Note: Every member of the Integrated Bar shall pay
Note: Membership in the National IBP is integrated such annual dues as the Board of Governors shall
or compulsory (Santos-Ong, 2009; Pineda, 1999). determine with the approval of the Supreme Court.
A fixed sum equivalent to ten percent (10%) of the
A lawyer does not automatically become a member collections from each Chapter shall be set aside as a
of the IBP chapter where he resides or works after Welfare Fund for disabled members of the Chapter
becoming a full-fledged member of the Bar. He has and the compulsory heirs of deceased members
the discretion to choose the IBP Chapter he wants thereof. (Sec. 9, Rule 139-A, RRC)
to join. (Garcia v. De Vera, A.C. 6052, Dec. 11, 2003)
Q: Who determines the amount of annual dues to
Note: Unless he otherwise registers his preference for be paid by members?
a particular Chapter, a lawyer shall be considered a
member of the Chapter of the province, city, political A: Every member of the Integrated Bar shall pay
subdivision or area where his office is or, in the such annual dues as the Board of Governors shall
absence thereof, his residence is located. In no case determine with the approval of the Supreme Court.
shall any lawyer be a member of more than one (Sec. 9, Rule 139-A, RRC)
Chapter. (Sec. 4, Rule 139-A, RRC)
Q: Is the provision requiring payment of a
Q: Is the requirement of good moral character a membership fee void?
continuing requirement?
A: No. It is quite apparent that the fee is indeed
A: Yes. Well-settled is the rule that good moral imposed as a regulatory measure, designed to raise
character is not only a condition precedent for funds for carrying out the purposes and objectives
admission to the legal profession, but it must also of the integration. There is nothing in the
remain intact in order to maintain one’s good Constitution that prohibits the court, under its
standing in that exclusive and honored fraternity. constitutional power and duty to promulgate rules
(Tapucar v. Tapucar, A.C. No. 4148, July 30, 1998) concerning the admission to the practice of law and
the integration of the Philippine bar. (In the Matter
Note: The requirement of good moral character has of IBP Membership dues delinquency of Atty.
four general purposes, namely: Marcial Edillon, A.M. No. 1928, Aug. 3, 1978)
1. To protect the public
2. To protect the public image of lawyers
3. To protect prospective clients

40
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Q: What is the effect of non-payment of IBP dues? delinquent’s name from the Roll of Attorneys. It
does not matter whether or not Atty. Llamas is only
A: Default in the payment of annual dues for six engaged in “limited” practice of law. Moreover, the
months shall warrant suspension of membership in exemption invoked by Atty. Llamas does not include
the Integrated Bar, and default in such payment for exemption from payment of membership or
one year shall be a ground for the removal of the association dues. (Santos Jr. v. Atty. Llamas, A.C.
name of the delinquent member from the Roll of No. 4749, Jan. 20, 2000)
Attorneys (Sec. 10, Rule 139-A, RRC) subject to the
requirement of due process. (Funa, 2009) Note: The exemption granted by R.A. 7432 to senior
citizens from paying individual income tax does not
Q: The Integrated Bar of the Philippines adopted a exempt lawyers who are likewise senior citizens from
resolution recommending to the Court the paying IBP dues and privilege tax. (Ibid) As regards
removal of the name Marcial A. Edillon, a duly dues, they are not entitled to 20% discount. (Pineda,
licensed practicing attorney, from its Roll of 1999)
Attorneys for stubborn refusal to pay his
membership dues to the IBP since its constitution, Q: Atty. Arevalo sought exemption from payment
notwithstanding due notice. Is Edillon correct in of IBP dues for the alleged unpaid accountability
his objection that the Court is without power to for the years 1977-2005. He alleged that after
compel him to become a member of the IBP, being admitted to the Philippine Bar in 1961, he
hence, Sec. 1 of Rule 139-A of the Rules of Court is became part of the Philippine Civil Service then
unconstitutional for it impinges on his migrated to, and worked in, the USA in December
constitutional right of freedom to associate (and 1986 until his retirement in the year 2003. He
not to associate)? maintained that he cannot be assessed IBP dues
for the years that he was working in the Philippine
A: No. To compel a member of the Integrated Bar is Civil Service since the Civil Service law prohibits
not violative of his constitutional freedom to the practice of one’s profession while in
associate. Integration does not make a lawyer a government service, and neither can he be
member of any group of which he is not already a assessed for the years when he was working in the
member. He became a member of the Bar when he USA. Is Atty. Arevalo entitled to exemption from
passed the Bar Examinations. All that integration payment of his dues during the time that he was
actually does is to provide an official national inactive in the practice of law?
organization for the well-defined but unorganized
and incohesive group of which every lawyer is A: No. The Integration of the Philippine Bar means
already a member. the official unification of the entire lawyer
population. This requires membership and financial
Assuming that the questioned provision does in a support of every attorney as condition sine qua non
sense compel a lawyer to be a member of the to the practice of law and the retention of his name
Integrated Bar, such compulsion is justified as an in the Roll of Attorneys of the Supreme Court.
exercise of the police power of the State. (In the
Matter of IBP Membership Dues Delinquency of Payment of dues is a necessary consequence of
Atty. Edillon, A.C. No. 1928, Dec. 19, 1980) membership in the IBP, of which no one is exempt.
This means that the compulsory nature of payment
Q: Atty. Llamas, for a number of years, has not of dues subsists for as long as one’s membership in
indicated the proper PTR and IBP OR Nos. and data the IBP remains regardless of the lack of practice of,
in his pleadings. He only indicated “IBP Rizal or the type of practice, the member is engaged in.
259060” but he has been using this for at least 3 There is nothing in the law or rules which allow
years already. Atty. Llamas averred that he is only exemption from payment of membership dues. At
engaged in a “limited” practice of law and under most, as correctly observed by the IBP, he could
R.A. 7432, as a senior citizen, he is exempted from have informed the Secretary of the Integrated Bar
payment of income taxes and included in this of his intention to stay abroad before he left. In
exemption, is the payment of membership dues. Is such case, his membership in the IBP could have
Atty. Llamas correct? been terminated and his obligation to pay dues
could have been discontinued. (Letter of Atty.
A: Rule 139-A requires that every member of the Arevalo, Jr. Requesting Exemption from Payment of
Integrated Bar shall pay annual dues and default Dues, B.M. No. 1370, May 9, 2005)
thereof for six months shall warrant suspension of
membership and if nonpayment covers a period of
1-year, default shall be a ground for removal of the

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
41
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

b. UPHOLDING THE DIGNITY AND INTEGRITY OF NOT involving moral turpitude?


THE PROFESSION
A: Concealment will be taken against him. It is the
Rule 7.01, Canon 7, CPR fact of concealment and not the commission of the
A lawyer shall be answerable for knowingly crime itself that makes him morally unfit to become
making a false statement or suppressing a a lawyer. When he made concealment he
material fact in connection with his application for perpetrated perjury.
admission to the bar.
(1995, 1997, 2004, 2005 Bar Questions) Rule 7.02, Canon 7, CPR
A lawyer shall not support the application for
Note: The concealment of an attorney in his admission to the bar of any person known by him
application to take the bar exams of the fact that he to be unqualified in respect to character, education
had been charged with or indicted for an alleged or other relevant attribute.
crime, is ground for revocation of his license to
practice law. Note: The rationale behind the rule goes beyond the
personal responsibility to be upright and honest. It
Q: Is honest mistake a valid excuse? further extends to the lawyer’s responsibility to uphold
the integrity and dignity of the profession, by not
A: An honest mistake in making false statement blindly issuing certifications in support of applications
may be a valid excuse but the burden of proof lies for admission to the bar of persons known to him or
on the one who alleges it. her to have questionable character, inadequate
education or other relevant attributes not consistent
On the other hand, to be liable for suppressing a with any or all of the requirements for admission. (CPR
fact or information in the application, the Annotated, PhilJA)
suppression must be:
1. Deliberately or knowingly made; and Public policy requires that the practice of law be
limited to those individuals found duly qualified in
2. The fact or information suppressed must be
education and character. The permissive right
material. (CPR Annotated, PhilJA)
conferred on the lawyer is an INDIVIDUAL AND
LIMITED PRIVILEGE subject to withdrawal if he fails to
Note: In order to determine whether or not a factual maintain proper standards of moral and professional
declaration is material or not, reference should be
conduct.
made to the requirements in applying for admission to
the bar. (CPR Annotated, PhilJA)
Rule 7.03, Canon 7, CPR
Q: What are the consequences of knowingly A lawyer shall not engage in a conduct that
making a false statement or suppression of a adversely reflects on his fitness to practice law, nor
material fact in the application for admission to shall he, whether in public or private life, behave in
the Bar? a scandalous manner to the discredit of the legal
profession.
A: Consequences of knowingly making a false (2004 Bar Question)
statement or suppression of a material fact in the
application for admission to the Bar: Q: What constitutes fitness to practice law?
1. If the false statement or suppression of
material fact is discovered before the A: It is not to be determined only by the specific
candidate could take the bar qualifications for admission into the bar but
examinations, he will be denied encompasses practically all aspects of a lawyer’s
permission to take the examinations. public or private life that could actually or
2. If the false statement or suppression of potentially tarnish the integrity and dignity of the
material fact was discovered after the legal profession. (CPR Annotated, PhilJA)
candidate had passed the examinations
but before having been taken his oath, he Q: Atty. Perenia got married in 2005. Then he met
will not be allowed to take his oath as a another woman, Helen; they fell in love and
lawyer. started living together. Atty. Perenia would even
3. If the discovery was made after the bring her along social functions and introduce her
candidate had taken his oath as a lawyer, as his second wife. Is such act unethical?
his name will be stricken from the Roll of
Attorneys. A: Yes, it violates Rule 7.03 of CPR. The fact that he
shamelessly flaunts his mistress constitutes an act
Q: What is the effect if what is concealed is a crime which embarrass and discredit the law profession

42
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

since it is his duty and obligation to uphold the Privileges and Duties of a Lawyer
dignity and integrity of the profession. The
actuation of Atty. Perenia is contrary to good Q: What are the privileges of a lawyer?
morals.
A: PSP-IS-12
Note: While it has been held in disbarment cases that 1. To Practice law during good behavior
the mere fact of sexual relations between two before any judicial, quasi-judicial, or
unmarried adults is not sufficient to warrant administrative agency;
administrative sanction for such illicit behavior, it is not 2. First one to Sit in judgment on every case,
so with respect to betrayals of the marital vow of to set the judicial machinery in motion;
fidelity. Even if not all forms of extra-marital relations 3. Enjoys the Presumption of regularity in
are punishable under penal law, sexual relations
the discharge of his duty;
outside marriage is considered disgraceful and
4. He is Immune, in the performance of his
immoral as it manifests deliberate disregard of the
sanctity of marriage and the marital vows protected by
obligations to his client, from liability to
the Constitution and affirmed by our laws. (Vitug v. third persons, insofar as he does not
Roncal, A.C. No. 6313, Sept. 7, 2006) materially depart from his character as a
quasi-judicial officer;
Q: Atty. Kuripot was one of Town Bank’s valued 5. His Statements, if relevant, pertinent or
clients. In recognition of his loyalty to the bank, he material to the subject of judicial inquiry
was issued a gold credit card with a credit limit of are absolutely privileged regardless of
P250,000.00. After two months, Atty. Kuripot their defamatory tenor and of the
exceeded his credit limit, and refused to pay the presence of malice;
monthly charges as they fell due. Aside from a 6. 1st grade civil service eligibility for any
collection suit, Town Bank also filed a disbarment position in the classified service in the
case against Atty. Kuripot. In his comment on the government the duties of which require
disbarment case, Atty. Kuripot insisted that he did knowledge of law; and
not violate the Code of Professional Responsibility, 7. 2nd grade civil service eligibility for any
since his obligation to the bank was personal in other governmental position, which does
nature and had no relation to his being a lawyer. Is not prescribe proficiency in law as a
Atty. Kuripot correct? Explain your answer. qualification.

A: Atty. Kuripot is not correct. Section 7.03 of the Q: What are the duties of attorneys under the
Code of Professional Responsibility provides that “a Revised Rules of Court?
lawyer shall not engage in conduct that adversely
affects his fitness to practice law, nor shall he, A: ADA- RECORD
whether in public or private life, behave in a 1. To maintain Allegiance to the Republic of
scandalous manner to the discredit of the legal the Philippines and to support the
profession.” Constitution and obey the laws of the
Philippines;
Q: Explain whether Atty. Kuripot should be held 2. Not to encourage either the
administratively liable for his refusal to settle his commencement or the continuance of an
credit card bill. action or proceeding, or Delay any man’s
cause, from any corrupt motive or
A: He may not be held administratively liable. The interest;
Supreme Court has held that it does not take 3. To counsel and maintain such Actions or
original jurisdiction of complaints for collection of proceedings only as appear to him to be
debts. The creditor’s course of action is civil, not just, and such defenses only as he
administrative in nature and proper reliefs may be believes to be honestly debatable under
obtained from the regular courts (Litigio v. Dicon, the law;
A.M. No. MTJ-93-806, July 13, 1995). Although 4. To observe and maintain the Respect due
lawyers have been held administratively liable for to the courts of justice and judicial
obstinacy in evading payment of a debt officers;
(Constantino v. Saludares, A.C. No. 2029, Dec. 7, 5. To Employ, for the purpose of maintaining
1993; Lao v. Medel, A.C. No. 5916, July 1, 2003), the causes confided to him, such means
there is no obstinacy shown in this case. (2005 Bar only as are consistent with truth and
Question) honor, and never seek to mislead the
judge or any judicial officer by an artifice
or false statement of fact or law;

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
43
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

6. To maintain inviolate the Confidence and Discuss the propriety of the act of Joli Bank’s
at every peril to himself, to preserve the lawyers, considering that all lawyers are mandated
secrets in connection with his client and to conduct themselves with courtesy, fairness and
to accept no compensation in connection candor toward their professional colleagues and to
with his client’s business except from avoid harassing tactics against opposing counsel.
him or with his knowledge and approval;
7. To abstain from all Offensive personality A: Considering that there was a restraining order
and to advance no fact prejudicial to the issued by the Court of Appeals, it was proper for
honor and reputation of a party or Gretel to take steps to maintain possession of his
witness unless required by the justice of residence with the assistance of Hansel as a lawyer.
the cause with which he is charged; It was not proper for Joli Bank’s lawyer to file an
8. Never to Reject, for any consideration action for trespass to dwelling against Gretel and
personal to himself, the cause of the lawyer Hansel. Canon 8 of the CPR provides that a
defenseless or oppressed; and lawyer shall conduct himself with fairness and
9. In the Defense of a person accused of a candor towards his professional colleagues and
crime, by all fair and honorable means, shall avoid harassing tactics against opposing
regardless of his personal opinion as to counsel. (1989 Bar Question)
the guilt of the accused, to present every
defense that the law permits to the end Rule 8.01, Canon 8, CPR
that no person may be deprived of life, A lawyer shall not, in his professional dealings, use
liberty, but by due process of law. (Sec. language which is abusive, offensive or otherwise
20, Rule 138, RRC) (2006 Bar Question) improper.

c. COURTESY, FAIRNESS AND CANDOR TOWARDS Q: Cite some instances of disrespectful language.
PROFESSIONAL COLLEAGUES
A:
CANON 8, CPR 1. Categorizes the SC decision as false,
A LAWYER SHALL CONDUCT HIMSELF WITH erroneous and illegal (Suo v. Cloribel, A.M.
COURTESY, FAIRNESS AND CANDOR TOWARD HIS No. 01-1-15-RTC, July 10, 2003)
PROFESSIONAL COLLEAGUES, AND SHALL AVOID 2. Description of judges attitude as “unjust,
HARASSING TACTICS AGAINST OPPOSING hostile, vindictive and dangerous”
COUNSEL. (Cornejo v. Judge Tan, G.R. No. L-2217,
Mar. 23, 1950)
Q: Gretel’s residence in Makati Village was 3. Stating that “justice is blind and also deaf
foreclosed by Joli Bank. Armed with a writ of and dumb” (In Re: Almacen, G.R. No. L-
possession issued by the lower court, the sheriff 27654, Feb. 18, 1970)
and Joli Bank’s lawyers evicted Gretel and 4. Attributing to the SC acts of dismissing
padlocked the house. A restraining order issued by judges “without rhyme and reason” and
the Court of Appeals which Gretel showed the disbarring lawyers “without due process”
sheriff was disregarded. Gretel requested Hansel, (Zaldivar v. Gonzales, G.R. Nos. 79690-
an attorney who lives in the same village, to assist 707, Feb. 1, 1989)
her in explaining the restraining order, 5. Calling an adverse counsel as “bobo” or
since Gretel’s counsel of record was out of town. using the word “ay que bobo” in
The discussion on the restraining order was reference to the manner of offering
conducted in the sidewalk along Gretel’s house. evidence. (Castillo v. Padilla Jr., A.M. No.
The village security guards were attracted by the 2339, Feb. 1984); and
commotion brought about by the discussion, so 6. Any other analogous cases.
they called the Makati Police and the CAPCOM
who responded immediately. The CAPCOM Note: The lawyer’s arguments, whether written or
colonel, who arrived at the scene with his troop, oral, should be gracious to both the court and
took it upon himself to open the house and opposing counsel and be of such words as may be
declare Gretel as the rightful possessor. The properly addressed by one gentleman to another.
colonel invited Gretel and Hansel to enter the (National Security Co. v. Jarvis, 278 U.S. 610)
house. Five days later, Hansel was made a co-
respondent (together with Gretel) in a complaint Q: In the pleadings and motions filed by Tiongco,
for trespass to dwelling filed by the Joli Bank’s he described Atty. Deguma as a love crazed
lawyers before the Makati Fiscal’s Office. Apache, a horned spinster, man-hungry virago and
female bull of an Amazon who would stop at

44
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

nothing to injure defendant if only to please and counsel much less should he undertake to negotiate or
attract her client. Tiongco claims that she, as a compromise the matter with him, but should deal with
lawyer in the Public Attorney’s Office, is using the his counsel.
PAO as a marriage bureau for her benefit. Is the
language employed by Tiongco improper and Exceptions:
unethical? 1. A lawyer may properly interview any witness
or prospective witness or prospective
A: Yes. The Code of Professional Responsibility witness for the opposing side in any civil or
criminal action without the consent of
provides in Canon 8 that a lawyer shall conduct
opposing counsel or party.
himself with courtesy, fairness, and candor toward
2. Any person who seeks relief against an
his professional colleagues, and shall avoid unfaithful or neglectful lawyer may
harassing tactics against opposing counsel. Rule approach another lawyer for proper advice
8.01 provides that a lawyer shall not in his and assistance. Any advice or assistance
professional dealings, use language which is extended after proper verification is not
abusive, offensive or otherwise improper while Rule encroaching upon the business of another
11.03 provides that a lawyer shall abstain from lawyer for such act is justified under the
scandalous, offensive or menacing language before circumstances.
the courts. Thus, Tiongco is warned accordingly.
(Tiongco Yared v. Ilarde, G.R. No. 114732, Aug. 1, Q: Myrna, in a case for custody of children against
2000) her husband, sought advice from Atty. Mendoza
whom she met at a party. She informed Atty.
Note: Lack of want of intention is no excuse for the Mendoza that her lawyer, Atty. Khan, has been
disrespectful language employed. Counsel cannot charging her exorbitant appearance fees when all
escape responsibility by claiming that his words did not he does is move for postponements which have
mean what any reader must have understood them as unduly delayed the proceedings; and that recently,
meaning. (Rheem of the Philippines v. Ferrer, G.R. No. she learned that Atty. Khan approached her
L-22979, Jan. 27, 1967) husband asking for a huge amount in exchange for
the withdrawal of her Motion for Issuance of Hold
A lawyer’s language should be forceful but Departure Order so that he and his children can
dignified, emphatic but respectful as befitting an leave for abroad. Is it ethical for Atty. Mendoza to
advocate and in keeping with the dignity of the advise Myrna to terminate the services of Atty.
legal profession. (In Re: Climaco, A.C. No. 134-J, Jan. Khan and hire him instead for a reasonable
21, 1974). attorney’s fees?
Note: Although the Canon that the Rule implements
A: Such advice would be unethical. A lawyer shall
pertains to a lawyer’s dealings with his fellow lawyers,
conduct himself with courtesy, fairness and candor
the Rule is generally worded to apply to anyone in the
wider context of a lawyer’s professional dealings,
towards his professional colleagues (Canon 8, CPR).
including his or her clients and witnesses. (CPR Specifically, he should not directly or indirectly
Annotated, PhilJA) encroach upon the professional employment of
another lawyer (Rule 8.02, CPR).
Rule 8.02, Canon 8, CPR
Q: What should Atty. Mendoza do about the
A lawyer shall not, directly or indirectly, encroach
information relayed to him by Myrna that Atty.
upon the professional employment of another
Khan approached her husband with an indecent
lawyer; however, it is the right of any lawyer,
proposal?
without fear or favor, to give proper advice and
assistance to those seeking relief against
A: He can advise her to terminate the services of
unfaithful or neglectful counsel.
Atty. Khan and/or file an administrative case against
(1995, 1997, 2001, 2005, 2006 Bar Questions)
Atty. Khan. It is the right of any lawyer, without fear
or favor, to give proper advice and assistance to
Note: A person without a retained lawyer is a
those seeking relief against unfaithful or neglectful
legitimate prospective client for any lawyer whom he
approaches for legal services. But, as soon as he had
counsel (Rule 8.02, CPR). (2006 Bar Question)
retained one and had not dismissed the retained
counsel, efforts on the part of another lawyer to take Q: You are the counsel of K in his action for specific
him as client constitutes an act of encroaching upon performance against DEV, Inc., a subdivision
the employment of another lawyer. developer which is represented by Atty. L. Your
A lawyer should not in any way communicate upon the client believes that the president of DEV Inc.,
subject of controversy with a party represented by would be willing to consider an amicable

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
45
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

settlement and your client urges you to discuss the Note: A lawyer is prohibited from allowing an
matter with DEV Inc., without the presence of intermediary to intervene in the performance of his
Atty. L whom he consider to be an impediment to professional obligation.
an early compromise. Would it be alright for you
to negotiate the terms of the compromise as so Rule 9.01, Canon 9, CPR
suggested above by your client? A lawyer shall not delegate to any unqualified
person the performance of any task which by law
A: No. Rule 8.02, Canon 8 of the Code of may only be performed by a member of the bar in
Professional Responsibility provides that “a lawyer good standing.
shall not, directly or indirectly, encroach upon the
professional employment of another lawyer.” Q: What is the reason for the rule?
Canon 9 of the Code of Professional Ethics is more A: The qualifications to be a lawyer is personal and
particular. “A lawyer should not in any way the bar is an exclusive group of professionals who
communicate upon the subject of the controversy possess the requisite qualifications and for whom
with a party represented by counsel, much less defined functions are reserved. To delegate the
should he undertake to negotiate or compromise functions would violate the rationale behind
the matter with him but should deal only with his reserving defined functions exclusively for those
counsel.” In the case of Likong v. Lim, A.C. No. 3149, who are admitted to the bar.
August 17, 1994, a lawyer was suspended for
negotiating a compromise agreement directly with The rationale of law in reserving defined functions
the adverse party without the presence and to those who are admitted to the bar is to protect
participation of her counsels. (1997 Bar Question) the public, the court, the client and the bar from
the incompetence or dishonesty of those
d. NO ASSISTANCE IN UNAUTHORIZED PRACTICE unlicensed to practice law and not subject to the
OF LAW disciplinary control of the court.

CANON 9, CPR Although the authority of a lawyer to represent a


A LAWYER SHALL NOT, DIRECTLY OR INDIRECTLY, client cannot be delegated to an unqualified
ASSIST IN THE UNAUTHORIZED PRACTICE OF LAW person, it does not follow however that the retained
(1992, 1995, 1997, 2000 Bar Questions) lawyer is automatically authorized to make such
delegation to a qualified person because a client-
Note: Public policy requires that practice of law be lawyer relationship is personal. (CPR Annotated,
limited only to those individuals found duly qualified in PhilJA)
education and character.
Q: Lorenzo is a lawyer but is suspended in the
Purpose: To protect the public, the court, the client practice of law due to some unethical acts. He
and the bar from the incompetence or dishonesty of
worked for a law firm owned by one of his friends.
those unlicensed to practice law and not subject to the
Since he has so many cases to handle, Atty.
disciplinary control of the court.
Berenguer assigned a case to Lorenzo, believing he
can handle such easy case. Did Atty. Berenguer
Q: Sanchez alleged that the complaint against him
violate any rule?
and the supporting affidavits were subscribed and
sworn to before Tupas, the Clerk of Court, who is
A: Yes, because he delegates handling of a case to a
not a member of the IBP and therefore engaged in
person suspended from the practice of law. Under
unauthorized practice of law. Is Tupas as Clerk of
Rule 9.01 of CPR – A lawyer shall not delegate to
Court authorized to administer oath?
any unqualified person the performance of any task
which by law may only be performed by a member
A: The term "clerk of courts" in the Section 41 of
of the bar in good standing.
the Administrative Code as amended is used as a
general term. The intention of the law is to
authorize all clerks of court regardless of whether Rule 9.02, Canon 9, CPR
they are clerks of the Metropolitan Trial Courts, A lawyer shall not divide or stipulate to divide a
Municipal Trial Courts and Municipal Circuit Trial fee for legal services with persons not licensed to
Courts, to administer oaths on matter involving practice law.
official business. As Clerk of Court of MCTC, Tupas
has the authority to administer oath of affidavits of Note: The interest promoted by the prohibition is that
parties and witnesses which are to be filed in court. the independence of the professional judgment of a
(Sanchez v. Tupas, A.M. OCA IPI No. 03- 1687-P, lawyer, which the client is paying for, could be at risk if
Mar. 1, 2004) a non-lawyer has direct rights to share in the legal fees

46
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

resulting from the exercise of such professional lose their identification cards and are required to
judgment. (CPR Annotated, PhilJA) secure an affidavit of loss before they can be
issued a new one. She claimed that this would be
Q: What are the exceptions to Rule 9.02? very lucrative for you, as more than 30 students
A: lose their identification cards every month.
1. Where there is a pre-existing agreement However, the secretary wants you to give her one-
with a partner or associate that, upon the half of your earning therefrom. Will you agree to
latter’s death, money shall be paid over a the arrangement? Explain.
reasonable period of time to his estate to
persons specified in the agreement; (Rule A: No, I will not agree. Rule 9.02 of the Code of
9.02, second par., Canon 9, CPR) or Professional Responsibility provides that “a lawyer
shall not divide or stipulate to divide a fee for legal
Note: This exception is in the nature of a service with persons not licensed to practice law”.
bequest. It is still in substance, payment to The secretary is not licensed to practice law and is
the deceased lawyer. His estate and/or not entitled to a share of the fees for notarizing
assignee could not claim entitlement to the affidavits, which is a legal service. (2005 Bar
money in their own right but only by
Question)
representation. (CPR Annotated, PhilJA)
3. THE LAWYER AND THE COURTS
2. Where a lawyer undertakes to complete
unfinished legal business of a deceased
a. CANDOR, FAIRNESS AND GOOD FAITH
lawyer; (Rule 9.02, third par., Canon 9,
TOWARDS THE COURT
CPR) or
CANON 10, CPR
The estate or the heir cannot be made a
A LAWYER OWES CANDOR, FAIRNESS AND GOOD
member of the partnership with the
FAITH TO THE COURT.
surviving partners. The legal fees in this
(1994 Bar Question)
case, no longer represent compensation
for past services.
Rationale: The burden cast on the judiciary would
be intolerable if it could not take at face value what
3. Where a lawyer or law firm includes a
is asserted by counsel.
non-lawyer employees in a retirement
plan, even if the plan is based in whole or
Q: Atty. Florido demanded that the custody of
in part, on a profit sharing agreement.
their children be surrendered to him by showing
(Rule 9.02, fourth par., Canon 9, CPR)
his spouse Hueysuwan-Florido a photocopy of an
alleged Resolution issued by the CA which
Note: This is not a division of legal fees
supposedly granted his motion for temporary child
but a pension representing deferred
custody. His spouse refused to surrender the
wages for the employees’ past services.
custody. Hence, Atty. Florido filed a verified
petition for the issuance of a writ of habeas corpus
This exception is an implicit recognition of
asserting his right to custody of the children on the
the incontestable fact that lawyers need
basis of the alleged CA’s resolution. Hueysuwan
to, and in fact, depend on non-lawyers for
obtained a certification from the CA stating that no
the administrative support functions
such resolution had been issued. Hence,
necessary to allow lawyers to discharge
complainant filed the instant complaint. May Atty.
their legal functions more efficiently. (CPR
Florido be held administratively liable for his
Annotated, PhilJA)
reliance on and attempt to enforce a spurious
Resolution of the CA?
Rationale: If attorney’s fees were allowed to non-
lawyers, it would leave the public in hopeless
A: Yes. Atty. Florido’s actions erode the public
confusion as to whom to consult in case of
perception of the legal profession. Candor and
necessity and also to leave the bar in a chaotic
fairness are demanded of every lawyer. The burden
condition, aside from the fact that non-lawyers are
cast on the judiciary would be intolerable if it could
not amenable to disciplinary measures.
not take at face value what is asserted by counsel.
The time that will have to be devoted just to the
Q: You had just taken your oath as lawyer. The
task of verification of allegations submitted could
secretary to the president of a big university
easily be imagined. (Hueysuwan- Florido v. Atty.
offered to get you as the official notary public of
Florido, A.C. No. 5624, Jan. 20, 2004)
the school. She explained that a lot of students

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
47
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Rule 10.01, Canon 10, CPR on every lawyer’s duty to “never seek to mislead
A lawyer shall not do any falsehood, nor consent the judge or any officer by an artifice or false
to the doing of any in court; nor shall he mislead, statement of fact or law”. (Maligaya v. Doronilla,
or allow the court to be misled by any artifice. A.C. No. 6198, Sept. 15, 2006)

Note: A lawyer must be a discipline of truth. He should Q: Is the lawyer’s act in presenting false evidence
bear in mind that as an officer of the court his high in order that his client would win the case
vocation is to correctly inform the court upon the law justifiable?
and the facts of the case and to aid it in doing justice
and arriving at correct conclusion. A: No, because it is a clear violation of Canon 10
and Rule 10.01 of the CPR.
The courts on the other hand are entitled to expect
only complete honesty from lawyers appearing and Note: Aside from violations of the CPR, the lawyer is
pleading before them. While a lawyer has the also guilty of a crime under Art. 184, Revised Penal
solemn duty to defend his client’s cause, his conduct Code, which states, "Any
must never be at the expense of truth. (Young v. person who shall knowingly offer in evidence a false
Batuegas, A.C. No. 5379, May 9, 2003) witness or testimony in any judicial or official
proceeding, shall be punished as guilty of false
Note: A lawyer owes fidelity to the cause of his client
testimony and shall suffer the
but not at the expense of truth and the administration
of justice. (Garcia v. Francisco, Adm. Case no. 3923,
respective penalties provided in this section.”
Mar. 30,1993)
Q: What are the requirements of candor?
Q: Noel and Emily who were involved in a road
A:
accident sued Ferdie, the driver of the other car,
1. A lawyer shall not suppress material and
for damages. Atty. Jose represented only Noel but
vital facts which bear on the merit or lack
he called Emily to testify for his client. During
of merit of complaint or petition.
direct examination, Emily claimed that her injuries
2. A lawyer shall volunteer to the court any
were serious when Atty. Jose knew that they were
development of the case which has
not. Still, Atty. Jose did not contest such claim.
rendered the issue raised moot and
Ferdie later sued Emily for giving false testimony
academic.
since her own doctor’s report contradicted it. He
3. Disclosure to the court of any decision
also sued Atty. Jose for foisting a false testimony
adverse to his position of which opposing
in court. Is Atty. Jose liable?
counsel is apparently ignorant and which
A: Yes, because he knowingly let Emily's false
court should consider in deciding a case.
testimony pass for truth. (2011 Bar Question)
4. He shall not represent himself as a lawyer
for a client, appear in court and present
Q: Dr. Maligaya, a doctor and retired colonel of the
pleadings in the latter’s behalf only to
Air Force filed an action for damages against
claim later that he was not authorized to
several military officers for whom Atty. Doronilla
do so.
stood as a counsel. During the hearing of the case,
Atty. Doronilla says that he and Dr. Maligaya had
Q: What are the some cases of falsehoods which
an agreement that if the opposing party withdraws
merited discipline?
the case against him, Dr. Maligaya will also
withdraw all the cases. However, Dr. Maligaya
A:
swore that he never entered into any agreement
1. Lawyers falsely stating in a deed of sale
to withdraw his lawsuits. Atty. Doronillo admitted
that property is free from all liens and
that there was, in fact, no such agreement. He
encumbrances when it is not so. (Sevilla v.
pointed out that his main concern was to settle
Zoleta, A.C. No. 31, Mar. 28, 1955)
the case amicably. Dr. Maligaya filed a case against
2. Lawyers making it appear that a person,
Atty. Doronilla charging him of unethical conduct
long dead, executed a deed of sale, in his
for having uttered falsehood in court. Is Atty.
favor. (Monterey v. Arayata, Per. Rec. Nos
Doronilla guilty as charged?
3527, 3408, Aug. 23, 1935)
3. Lawyer, encashing a check payable to a
A: Yes. Atty. Doronilla violated Canon 10 and Rule
deceased cousin by signing the latter’s
10.01 of the CPR. Not only that, he also violated the
name on the check. (In re: Samaniego,
lawyer’s oath to “do no falsehood, nor consent to
A.C. No. 74, Nov. 20, 1959)
the doing of any in court”, of which Canon 10 and
4. Lawyer falsifying a power of attorney and
Rule 10.01 are but restatements. His act infringed
used it in collecting the money due to the

48
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

principal and appropriating the money for the Court’s processes. Those who filed multiple or
his own benefit. (In re: Rusina, A.C. No. repetitive actions subject themselves to disciplinary
270, May 29, 1959) action for incompetence or willful violation of their
5. Lawyer alleging in one pleading that his duties as attorneys to act with all good fidelity to
clients were merely lessees of the the courts, and to maintain only such actions that
property involved, and alleged in a later appear to be just and consistent with truth and
pleading that the same clients were the honor. (Pablo R. Olivares etc. v. Atty. Arsenio
owners of the same property where there Villalon Jr., A.C. No. 6323, Apr. 13, 2007)
are false allegations in the pleadings.
(Chavez v. Viola, GR No. 2152, Apr. 19, Q: A lawyer habitually asks for the re-setting of the
1991) case of his client for no apparent reason, in order
6. Lawyer uttering falsehood in a Motion to for the complainant to get frustrated and become
Dismiss. (Martin v. Moreno, A.C. No. 1432, uninterested in the prosecution of the case. Is that
May 21, 1984) act considered unethical?
7. Lawyer denying having received the
notice to file brief which is belied by the A: Yes, under Rule 10.03 of the CPR.
return card. (Ragasajo v. IAC, G.R. No. L-
69129, Aug. 31, 1987) Note: A lawyer should not abuse his right of recourse
8. Lawyer presenting falsified documents in to the courts for the purpose of arguing a cause that
court which he knows to be false. had been repeatedly rebuffed. Neither should he use
(Berenguer v. Carranza, A.C. No. 716, Jan. his knowledge of law as an instrument to harass a
30, 1969) party nor to misuse judicial processes, as the same
9. Lawyer filing false charges or groundless constitutes serious transgression of the Code of
suits. (Retuya v. Gorduiz, A.C. No. 1388, Professional Responsibility. For while he owes fidelity
to the cause of his client, it should not be at the
Mar. 28, 1980)
expense of truth and the administration of justice.
(Garcia v. Francisco, A.C. No. 3923, Mar. 30, 1993)
Rule 10.02, Canon 10, CPR
A lawyer shall not knowingly misquote or
Rule 10.04, Canon 10, CPR
misrepresent the contents of the paper, the
A lawyer shall, when filing a pleading, furnish the
language or the argument of opposing counsel, or
opposing party with a copy thereof, together with
the text of a decision or authority, or knowingly
all the documents annexed thereto. Unless a
cite as law a provision already rendered
motion is ex parte, he should set it for hearing,
inoperative by repeal or amendment, or assert as a
with sufficient notice to the other party.
fact that which has not been proved.
The purpose of this rule is to avoid surprise and
Q. What is the rationale behind the rule?
delays in cases.
A: If not faithfully and exactly quoted, the decisions
b. RESPECT FOR COURTS AND JUDICIAL OFFICERS
and rulings of the court may lose their proper and
correct meaning, to the detriment of other courts,
CANON 11, CPR
lawyers and the public who may thereby be misled.
A LAWYER SHALL OBSERVE AND MAINTAIN THE
RESPECT DUE TO THE COURTS AND TO JUDICIAL
Note: A mere TYPOGRAPHICAL ERROR in the
OFFICERS AND SHOULD INSIST ON SIMILAR
citation of an authority is not contemptuous.
CONDUCT BY OTHERS.
(1996 Bar Question)
Q: A lawyer filed a pleading in court citing a law
which was already repealed, since the new law is
Rationale: Disrespect toward the court would
not favorable to his client’s cause. Is he guilty of
necessarily undermine the confidence of the people
any unethical act?
in the honesty and integrity of the members of the
A: Yes, because he knowingly used the old law to
court, and consequently to lower or degrade the
mislead the court, such act is unethical based on
administration of justice by the court.
Rule 10.02 of the CPR.
All lawyers are expected to recognize the authority
Rule 10.03, Canon 10, CPR of the Supreme Court and obey its lawful processes
A lawyer shall observe the rules of procedure and and orders. Despite errors which one may impute
shall not misuse them to defeat the ends of justice. on the orders of the Court, these must be
respected, especially by the bar or the lawyers who
Note: Filing multiple actions constitutes an abuse of are themselves officers of the courts. (Yap-Paras v.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
49
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Atty. Paras, A.C. No. 4947, June 7, 2007) judgment, has long put to end any question
pertaining to the legality of the ascension of Arroyo
Q: Which of the following demonstrates the into the presidency. By reviving the issue on the
lawyer’s duty to give the court the respect it validity of the assumption of Gloria Macapagal-
deserves? Arroyo to the presidency, Attorney Paguia is vainly
A. Counsel consistently appearing in court on time. seeking to breathe life into the carcass of a long
B. Counsel obeying court’s orders and processes. dead issue. Attorney Paguia has not limited his
C. Woman counsel appearing in court dressed in discussions to the merits of his client's case within
business attire. the judicial forum; indeed, he has repeated his
D. Counsel addressing the court as “Your Honor” at assault on the Court in both broadcast and print
all times. media.

A: B (2011 Bar Question) The Supreme Court does not claim infallibility; it will
not denounce criticism made by anyone against the
Note: Being an officer of the court, a lawyer occupies a Court for, if well-founded, can truly have
quasi-judicial office and has responsibilities to the constructive effects in the task of the Court, but it
courts, to the public and to his clients. The greater will not countenance any wrongdoing nor allow the
burden imposed on the lawyer is his superior duty to erosion of our people’s faith in the judicial system,
the courts. Where duties to the courts conflict with his let alone, by those who have been privileged by it
duties to his clients, his duties to court must yield to to practice law in the Philippines. Canon 11 of the
the former. (CPR Annotated, PhilJA) Code of Professional Responsibility mandates that
the lawyer should observe and maintain the respect
Q: Attorney Paguia, asserts that the inhibition of due to the courts and judicial officers and, indeed,
the members of the Supreme Court from hearing should insist on similar conduct by others. In
the petition is called for under the Code of Judicial liberally imputing sinister and devious motives and
Conduct prohibiting justices or judges from questioning the impartiality, integrity, and authority
participating in any partisan political activity. of the members of the Court, Atty. Paguia has only
According to him, the justices have violated the succeeded in seeking to impede, obstruct and
said rule by attending the 'EDSA 2 Rally' and by pervert the dispensation of justice. (Estrada v.
authorizing the assumption of Vice- President Sandiganbayan, G.R. Nos. 159486-88, Nov. 25,
Macapagal-Arroyo to the Presidency. The 2003)
subsequent decision of the Court in Estrada v.
Arroyo (G.R. Nos. 146710-15, Mar. 2, 2001 and Q: The Court En Banc issued a Resolution directing
G.R. Nos. 146710-15, Apr. 3, 2001) is a patent respondent Atty. De Vera to explain why he should
mockery of justice and due process. He went on to not be cited for indirect contempt of court for
state that — the act of the public officer, if lawful, uttering some allegedly contemptuous statements
is the act of the public office. But the act of the in relation to the case involving the
public officer, if unlawful, is not the act of the constitutionality of the Plunder Law which was
public office. Consequently, the act of the justices, then pending. Atty. De Vera admitted the report in
if lawful, is the act of the Supreme Court. But the the November 6, 2002 issue of the Philippine Daily
act of the justices, if unlawful, is not the act of the Inquirer that he “suggested that the Court
Supreme Court. It is submitted that the decision in must take steps to dispel once and for all these
Estrada v. Arroyo being patently unlawful in view ugly rumors and reports” that “the Court would
of the Code of Judicial Conduct, is not the act of vote in favor of or against the validity of the
the Supreme Court but is merely the wrong of Plunder Law” to protect the credibility of the
those individual Justices who falsely spoke and Court. Is the statement of Atty. De Vera
acted in the name of the Supreme Court (Urbano disrespectful to the courts?
v. Chavez, G.R. No. 87977, Mar. 19, 1990). Are
Atty. Paguia’s comments within the bounds of A: Indeed, freedom of speech includes the right to
“fair and well-founded criticisms” regarding know and discuss judicial proceedings, but such
decisions of the SC? right does not cover statements aimed at
undermining the Court’s integrity and authority,
A: No. Criticism or comment made in good faith on and interfering with the administration of justice.
the correctness or wrongness, soundness or Freedom of speech is not absolute, and must
unsoundness, of a decision of the Court would be occasionally be balanced with the requirements of
welcome for, if well-founded, and such reaction can equally important public interests, such as the
enlighten the court and contribute to the correction maintenance of the integrity of the courts and
of an error if committed. (In re: Sotto, 82 Phil. 595.) orderly functioning of the administration of justice.
The ruling in Estrada v. Arroyo, being a final

50
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

plagiarism and misrepresentation relative to the


Thus, the making of contemptuous statements Court’s decision in Vinuya v. Executive Secretary.
directed against the Court is not an exercise of free The authors directly accused the Court of
speech; rather, it is an abuse of such right. perpetrating extraordinary injustice by dismissing
Unwarranted attacks on the dignity of the courts the petition of the comfort women said case. The
cannot be disguised as free speech, for the exercise insult to the members of the Court was aggravated
of said right cannot be used to impair the by imputations of deliberately delaying the
independence and efficiency of courts or public resolution of the said case, its dismissal on the
respect therefore and confidence therein. (In Re: basis of “polluted sources,” the Court’s alleged
Published Alleged Threats by Atty. Leonard de Vera, indifference to the cause of petitioners, as well as
A.M. No. 01-12-03-SC, July 29, 2002) the supposed alarming lack of concern of the
members of the Court for even the most basic
Q: On November 28 Atty. Patrick wrote in a values of decency and respect.
newspaper column that the Supreme Court
already decided in favor of the validity of the A: While most agree that the right to criticize the
Executive Order that created the Truth judiciary is critical to maintaining a free and
Commission upon a vote of 13-2. But, as it turned democratic society, there is also a general
out, the Court actually rendered an adverse consensus that healthy criticism only goes so far.
decision only on December 7, and upon a vote of Many types of criticism leveled at the judiciary cross
10-5. Asked to explain his misleading article, the line to become harmful and irresponsible
Patrick said that his constitutionally protected attacks. These potentially devastating attacks and
right to free expression covered what he wrote. unjust criticism can threaten the independence of
Can the Court cite Patrick for contempt? the judiciary. The court must “insist on being
permitted to proceed to the disposition of its
A: Yes, because his article obstructs and degrades business in an orderly manner, free from outside
the administration of justice. (2011 Bar Question) interference obstructive of its functions and tending
to embarrass the administration of justice.”
Q: Can a lawyer criticize the courts?
The Court could hardly perceive any reasonable
A: purpose for the faculty’s less than objective
GR: Canon 11 – A lawyer shall observe and comments except to discredit the April 28, 2010
maintain the respect due to the courts and to Decision in the Vinuya case and undermine the
judicial officers and should insist on similar conduct Court’s honesty, integrity and competence in
by others. addressing the motion for its reconsideration. As if
the case on the comfort women’s claims is not
XPN: The fact that a person is a lawyer does not controversial enough, the UP Law Faculty would fan
deprive him of the right, as enjoyed by every the flames and invite resentment against a
citizen, to comment on and criticize the actuations resolution that would not reverse the said decision.
of a judge. This runs contrary to their obligation as law
professors and officers of the Court to be the first
Note: What a lawyer can ordinarily say against a to uphold the dignity and authority of this Court, to
concluded litigation and the manner the judge handed which they owe fidelity according to the oath they
down the decision therein may not generally be said to have taken as attorneys, and not to promote
a pending action. The court, in a pending litigation, distrust in the administration of justice. Their
must be shielded from embarrassment and influence actions likewise constitute violations of Canons 10,
in performing the important duty of deciding it. On the 11, and 13 and Rules 1.02 and 11.05 of the Code of
other hand, once litigation is concluded, the judge who Professional Responsibility. (Re: Letter of the UP
decided on it is subject to the same criticism as any
Law Faculty entitled “Restoring Integrity: A
other public official because then his ruling becomes
Statement by the Faculty of the University of the
public property and is thrown open to public
consumption.
Philippines College of Law on the Allegations of
Plagiarism and Misrepresentation in the Supreme
But it is the cardinal condition of all criticisms that it Court.”(A.M. No. 10-10-4-SC, Oct. 19, 2010)
shall be bona fide, and shall not spill over the walls of
decency and propriety. (Zaldivar v. Gonzales, G.R. Nos. Rule 11.01, Canon 11, CPR
79690-707, Feb. 1, 1989) A lawyer shall appear in court properly attired.

Q: Members of the faculty of the UP College of As an officer of the court and in order to maintain
Law published a statement on the allegations of the dignity and respectability of the legal

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
51
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

profession, a lawyer who appears in court must be derogatory, illuminating but not offensive. It has
properly attired. Consequently, the court can hold a been said that a lawyer's language should be
lawyer in contempt of court if he does not appear in dignified in keeping with the dignity of the legal
proper attire. Any deviation from the commonly profession. It is the duty of Atty. Depasucat et al. as
accepted norm of dressing in court (barong or tie, members of the Bar to abstain from all offensive
not both) is enough to warrant a citing for personality and to advance no fact prejudicial to the
contempt. honor or reputation of a party or witness, unless
required by the justice of the cause with which he is
The traditional attires for male lawyers in the charged. (Uy v. Depasucat, A.C. No. 5332, July 29,
Philippines are the long-sleeve Barong Tagalog or 2003)
coat and tie. Female lawyers appear in semi-formal
attires. Judges also appear in the same attire in Note: The language of a lawyer, both oral and written,
addition to black robes. must be respectful and restrained in keeping with the
dignity of the legal profession and with his behavioral
Rule 11.02, Canon 11, CPR attitude toward his brethren in the profession. The use
of abusive language by counsel against the opposing
A lawyer shall punctually appear at court
counsel constitutes at the same time disrespect to the
hearings.
dignity of the court justice. Moreover, the use of
impassioned language in pleadings, more often than
Note: Punctuality is demanded by the respect which a not, creates more heat than light. (Buenaseda v.
lawyer owes to the court, the opposing counsel and to Flavier, G.R. No. 106719, Sept. 21, 1993)
all the parties to the case. (Funa, 2009)
The duty to observe and maintain respect is not a one-
Rule 11.03, Canon 11, CPR way duty from a lawyer to a judge. A judge should also
A lawyer shall abstain from scandalous, offensive, be courteous to counsel, especially those who are
or menacing language or behavior before the young and inexperienced and to all those appearing or
Courts. concerned in the administration of justice.

Q: After the parties had filed their respective briefs Q: An administrative case and disbarment
with the Court of Appeals and before the latter's proceeding was filed against MDS, a Lady Senator
resolution submitting the case for decision was for uttering in her privilege speech delivered in the
released, respondent lawyers, Atty. Depasucat, Senate floor where she was quoted as saying that
and others filed a pleading "Manifestation of she wanted “to spit on the face of Chief Justice and
Usurpation of Authority of the Hon. Court of his cohorts in the Supreme Court,” and calling the
Appeals from a Self-Confessed Briber of Judges", Court a “Supreme Court of idiots.” She alleged that
which stated that plaintiff-appellant Uy had, in it was considered as part of her Parliamentary
fact, confessed to bribing judges. Consequently, Uy immunity as such was done during the session. Is
filed a verified complaint against respondent she correct?
lawyers for gross misconduct. Should the
respondents be disciplined for having authored A: Yes, because her statements, being part of her
and filed the “Manifestation of Usurpation of privilege speech as a member of Congress, were
Authority of the Hon. Court of Appeals from a Self- covered by the constitutional provision on
Confessed Briber of Judges”? parliamentary immunity. Indeed, her privilege
speech is not actionable criminally or in a
A: Yes. Respondents went overboard by stating in disciplinary proceeding under the Rules of Court.
the Manifestation that complainant "had in fact
confessed to bribery and telling one of the judges, However, as a member of the Bar, the Court wishes
after the judges allegedly refused to give in to their to express its deep concern about the language
demands, by using illegally taped conversations- Senator MDS used in her speech and its effect on
both actual and/or by telephone". It belied their the administration of justice. To the Court, the lady
good intention and exceeded the bounds of senator has undoubtedly crossed the limits of
propriety, hence, not arguably protected; it is the decency and good professional conduct. It is at
surfacing of a feeling of contempt towards a once apparent that her statements in question
litigant; it offends the court before which it is made. were intemperate and highly improper in
A lawyer shall abstain from scandalous, offensive or substance. MDS should have taken to heart in the
menacing language or behavior before the courts. It first place the ensuing passage in In Re: Vicente
must be remembered that the language vehicle Sotto that “x x x [I]f the people lose their
does not run short of expressions which are confidence in the honesty and integrity of this Court
emphatic but respectful, convincing but not and believe that they cannot expect justice

52
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

therefrom, they might be driven to take the law Chico-Nazario, stated that Justice Nazario decided
into their own hands, and disorder and perhaps the cases in favor of Zuzuarregui, ordering Attys.
chaos would be the result.” Roxas and Pastor to pay the former
P17,073,224.84 on considerations other than the
No lawyer who has taken an oath to maintain the pure merits of the case and called the SC a
respect due to the courts should be allowed to “dispenser of injustice." He ended his letter by
erode the people’s faith in the judiciary. In this case, mocking her when he said “sleep well if you still
the lady senator clearly violated Canon 8, Rule 8.01 can” and that “her earthly life will be judged by
and Canon 11 of the Code of Professional the Supreme Dispenser of Justice where only the
Responsibility. (Pobre v. Senator Santiago, A.C. No. merits of your Honor’s life will be relevant and
7399, Aug. 25, 2009) material and where technicalities can shield no
one from his or her wrongdoings." In the written
Note: The lawyer’s duty to render respectful explanation of Atty. Roxas, he extended apologies
subordination to the courts is essential to the orderly to Justice Nazario. He said he was merely
administration of justice. Hence, in the assertion of the exercising his rights to express a legitimate
client’s rights, lawyers – even those gifted with grievance or articulate fair criticisms of the court’s
superior intellect, are enjoined to rein up their ruling. Moreover, according to him, instead of
tempers. (Zaldivar v. Gonzalez, G.R. Nos. 79690-707, resorting to public criticisms, he chose to ventilate
Oct. 7, 1988) his criticisms in a very discreet and private manner
by writing a personal letter. Should Atty. Roxas be
Rule 11.04, Canon 11, CPR punished for the contents of his letter?
A lawyer shall not attribute to a Judge motives not
supported by the record or have no materiality to A: Yes. Atty. Roxas’ letter contains defamatory
the case. statements that impaired public confidence in the
integrity of the Judiciary. The making of
However, every citizen has the right to comment contemptuous statements directed against the
upon and criticize the actuations of public officers. court is not an exercise of free speech; rather, it is
This right is not dismissed by the fact that the an abuse of such right.
criticism is aimed at a judicial authority, or that it is
articulated by a lawyer. A letter furnished to all the members of the SC,
even if a copy was not disseminated to the media,
Such right is especially recognized where the does not enjoy the mantle of right to privacy.
criticism concerns a concluded litigation, because Letters addressed to the individual justices in
the Court’s actuations are thrown open to public connection with the performance of their judicial
consumption. Courts thus treat with forbearance functions become part of the judicial record and are
and restraint a lawyer who vigorously assails their matter of concern for the entire court.
actuations for courageous and fearless advocates
are the strands that weave durability into the Atty. Roxas is guilty of indirect contempt of court for
tapestry of justice. an improper conduct tending, directly and
indirectly, to impede, obstruct or degrade the
Post litigation utterances or publications made by administration of justice; and with his
lawyers, critical of the courts and their judicial contemptuous and defamatory statements, Atty.
actuations, whether amounting to a crime or not, Roxas likewise violated Canon 11 of the CPR
which transcend the permissible bounds of fair particularly Rules 11.03 and 11.04. (Roxas v.
comment and legitimate criticism and thereby tend Zuzuarregui, et al., G.R. No. 152072, July 12, 2007)
to bring them into dispute or to subvert public
confidence in their integrity and in the orderly Q: When is public comment and criticism of a court
administration of justice, constitute grave decision permissible and when would it be
professional misconduct which may be visited with improper?
disbarment or other lesser appropriate disciplinary
sanctions by the SC in the exercise of the A: A lawyer, like every citizen, enjoys the right to
prerogatives inherent in it as the duly constituted comment on and criticize the decision of a court. As
guardian of the morals and ethics of the legal an officer of the court, a lawyer is expected not only
fraternity. (In Re: Almacen, G.R. No. L-27654, Feb. to exercise that right but also to consider it his duty
18, 1970) to expose the shortcomings and indiscretions of
courts and judges. But such right is subject to the
Q: Atty. Romeo Roxas was charged for contempt limitations that it shall be bona fide. It is proper to
when he, in a letter addressed to Associate Justice criticize the courts and judges, but it is improper to

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
53
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

subject them to abuse and slander, degrade them ethical standard.


or destroy public confidence in them. Moreover, a 2. The court, in a pending litigation; must be
lawyer shall not attribute to a judge motives not shielded from embarrassment or
supported by the record or have no materiality in influence in its all-important duty of
the case. (Rule 11.04, CPR) (1997 Bar Question) deciding the case. Once litigation is
concluded, the judge who decided it is
Note: A lawyer should be reminded of his primary duty subject to the same criticisms as any
to assist the court in the administration of justice. The other public official because his ruling
relations between counsel and judge should be based becomes public property and is thrown
on mutual respect and on a deep appreciation by one open to public consumption.
of the duties of the other. It is upon their cordial 3. It is the cardinal condition of all such
relationship and mutual cooperation that the hope of criticism that it shall be bona fide, and
our people for speedy and efficient justice rests. shall not spill over the walls of decency
(Abiera v. Maceda, A.C. No. RTJ-91-660, June 30, 1994)
and propriety (Zaldivar v. Gonzales, G.R.
Nos. 79690-707, Apr. 7, 1993).
If the court official or employee or a lawyer is to be
disciplined, the evidence against him should be
4. The duty of the bar to support the judge
substantial, competent and derived from direct against unjust criticism and clamor does
knowledge, not on mere allegations, conjectures, not, however, preclude a lawyer from
suppositions or on the basis of hearsay. (Cervantes v. filing administrative complaints against
Atty. Sabio, A.C. No. 7828, Aug. 11, 2008) erring judges or from acting as counsel for
clients who have legitimate grievances
Rule 11.05, Canon 11, CPR against them. But the lawyer should file
A lawyer shall submit grievances against a Judge charges against the judge before the
to the proper authorities only. proper authorities only and only after the
proper circumspection and without the
use of disrespectful language and
Q: Who are considered as the proper authorities?
offensive personalities so as not to unduly
burden the court in the discharge of its
A:
function.
NATURE OF THE CASE WHERE TO FILE
If administrative in It shall be filed with the
nature Office of the Court c. ASSISTANCE IN THE SPEEDY AND EFFICIENT
Administrator of the ADMINISTRATION OF JUSTICE
Supreme Court.
If criminal and not purely It shall be filed with the CANON 12, CPR
administrative Office of the A LAWYER SHALL EXERT EFFORT AND CONSIDER IT
Ombudsman. HIS DUTY TO ASSIST IN THE SPEEDY AND EFFICIENT
If it involves a Justice of It must be coursed ADMINISTRATION OF JUSTICE.
the Supreme Court based through the House of (1991, 1994, 1996, 2003 Bar Questions)
on impeachable offenses Representative and the
Senate in accordance with The filing of another action concerning the same
the rules on subject matter, in violation of the doctrine of res
impeachment. judicata, runs contrary to this Canon. (Lim v.
Source: (CPR Annotated, PhilJA) Montano, A.C. No. 5653, Feb. 27, 2006).

Note: An administrative complaint is not an A lawyer must exert every effort and consider it his
appropriate remedy where judicial recourse is still duty to assist in the speedy and efficient
available, such as a motion for reconsideration, an administration of justice.
appeal, or a petition for certiorari, unless the assailed
order or decision is tainted with fraud, malice, or Q: Jardin engaged the services of Atty. Villar Jr. to
dishonesty. (Santiago III v. Justice Enriquez, Jr., A.M.
represent him in a collection case. The case went
No. CA-09-47-J, Feb. 13, 2009)
its course, but later despite several extensions of
time given by the trial court, Atty. Villar Jr. failed
Q: What are the rights and duties of a lawyer to
to file his formal offer of exhibits. The dismissal of
criticize Courts?
the collection case prompted Jardin to file a
A:
verified affidavit-complaint for the disbarment of
1. The fact that a person is a lawyer does not
Atty. Villar Jr. with the Court, wherein he alleged
deprive him of the rights, enjoyed by
that after the dismissal of the collection case, he
every citizen, to comment on and criticize
terminated the services of Atty. Villar Jr. as his
the actuations of a judge subject to

54
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

counsel; that Atty. Villar Jr. failed to return the interest of the client and zeal in the defense of their
originals of the documentary exhibits entrusted to client’s right, they are also officers of the court,
him; and that Atty. Villar Jr. finally handed over bound to exert every effort to assist in the speedy
the documents only as an aftermath of a heated and efficient administration of justice. They should
argument he had with the Jardin's wife. Was Atty. not misuse the rules of procedure to defeat the
Villar Jr. remiss in his duties as counsel when he ends of justice or unduly delay a case, impede the
failed to file his formal offer of exhibit? execution of a judgment or misuse court processes.
The facts and the law should advise them that a
A: Yes. The record clearly shows that Atty. Villar Jr. case such as this should not be permitted to be filed
has been languid in the performance of his duties as to merely clutter the already congested judicial
counsel for the complainant. He was given by the dockets. They do not advance the cause of law or
Trial Court several extensions of time. Therefore, their clients by commencing litigations that for
Atty. Villar Jr. had three (3) months and nine (9) sheer lack of merit do not deserve the attention of
days within which to file the formal offer of exhibits. the courts. (Eternal Gardens Memorial Park
Atty. Villar Jr. did not bother to give an explanation Corporation v. CA, G.R. No. 123698, Aug. 5, 1998)
even in mitigation or extenuation of his inaction.
Q. Sheryl, Eric's counsel, once asked for
Evidently, Atty. Villar Jr. has fallen short of the postponement and the court granted it since the
competence and diligence required of every opposing counsel, Bernadine, did not object. Eric
member of the Bar. It is indeed dismaying to note then asked Sheryl not to allow any further
Atty. Villar Jr.’s patent violation of his duty as a postponements because his case has been pending
lawyer. He committed a serious transgression when for 8 years. When trial resumed, Bernadine moved
he failed to exert his utmost learning and ability and to reset the trial because of her infant's ailment.
to give entire devotion to his client's cause. His What must Sheryl do?
client had relied on him to file the formal offer of A: Submit the motion to the Court's sound
exhibits among other things. But he failed him. discretion. (2011 Bar Question)
Resulting as it did in the dismissal of the case, his
failure constitutes inexcusable default. (Jardin v. Q: What are acts which amount to obstruction of
Atty. Villar, Jr., A.C. No. 5474, Aug. 28, 2003) justice?

Q: Which of the following instances demonstrates A: Instructing a complaining witness not to appear
counsel’s LACK of diligence in serving his client's at trial; asking a client to plead guilty to a crime he
interest? did not commit; advising a client to escape from
A. Failing to file his client’s appeal brief despite 2 prison; employing dilatory tactics; prosecuting
extensions upon the excuse that the client did not clearly frivolous cases or appeals; filing multiple
coordinate with him. actions.
B. Failing to send to client a requested legal
opinion until after the latter gave him the Rule 12.01, Canon 12, CPR
additional documents he requested. A lawyer shall not appear for trial unless he has
C. Failing to rehearse his client on his testimony adequately prepared himself on the law and the
before the trial. facts of his case, the evidence he will adduce and
D. Updating his client about the status of his case the order of its profference. He should also be
by phone and electronic mail. ready with the original documents for comparison
with the copies.
A: A (2011 Bar Question)
A newly hired counsel who appears in a case in the
Q: Judgment was rendered against Eternal midstream is presumed and obliged to acquaint
Gardens ordering it to reconvey the cemetery to himself with all the antecedent processes and
the rightful owners. Despite the final decision of proceedings that have transpired in the record prior
the SC, Eternal Gardens was able to prevent the to his takeover. (Villasis v. CA, G.R. Nos. L- 36874-
execution for 17 years, rendering the judgment 76, Sept. 30, 1974)
ineffectual. They filed several petitions and
motions for reconsideration with the trial court
Rule 12.02, Canon 12, CPR
and the CA despite the fact that it would never A lawyer shall not file multiple actions arising from
prosper as the trial court’s decision had long
the same cause.
become final before the said petitions were filed.
(1991, 1997, 1998, 2002 Bar Questions)
Did the lawyers violate Canon 12 of the CPR?
A: While lawyers owe their entire devotion to the
Q: What is forum-shopping?

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
55
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

A: It is the improper practice of filing several actions A:


or petitions in the same or different tribunals GR: The party himself as he has personal
arising from the same cause and seeking knowledge of the facts therein stated.
substantially identical reliefs in the hope of winning
in one of them. It is the omission to disclose XPN: Counsel, when clothed with a special power
pendency of appeal or prior dismissal of his case by of attorney to do so. (The lawyer shall certify that
a court of concurrent jurisdiction with intent of he has personal knowledge of the facts therein
seeking a favorable opinion. stated and shall give justifiable reason or
explanation why the party himself cannot sign the
The prohibition includes the filing of petitions for same).
writs of certiorari, mandamus and prohibition when
there are similar petitions already filed or pending. Note: In case of a juridical person, its lawyer,
(CPR Annotated, PhilJA) authorized through a board resolution, must sign the
certification.
Note: The mere filing of several cases based on the
same incident does not necessarily constitute forum Should there be more than one plaintiff or petitioner,
shopping. The question is whether the several actions all of them must execute the certification and
filed involve the same transactions, essential facts and verification. Unless, it is a suit involving conjugal
circumstances. If they involve essentially different property, in such a case, the husband alone may
facts, circumstances and causes of action, there is no execute the same.
forum shopping. (Paredes v. Sandiganbayan, G.R. No.
108251, January 31, 1996) Q: The trial court declared Paxton Development
Corporation (PDC) the lawful owner of the subject
The essence of forum shopping is the filing of multiple lots. CA affirmed. Top Rate, as the losing party,
suits involving the same parties for the same cause of sought to have the said resolution set aside and
action, either simultaneously or successively, for the thereafter filed with the Supreme Court a motion
purpose of obtaining a favorable judgment. (Foronda v. for extension of time to file a petition for review
Atty. Guerrero, A.C. No. 5469, Aug. 10, 2004) from the adverse CA decision and resolution. The
motion contained a "verification/certification"
Q: How is forum shopping committed? under oath as to non-forum shopping, without
mentioning the pending manifestation and motion
A: with the CA, which was notarized by Atty.
1. Going from one court to another in the Manlangit. Both Atty. Manlangit and Atty. Gana
hope of securing a favorable relief in one knew the relevant case status after having
court, which another court has denied; invariably acted as counsel of Top Rate before the
2. Filing repetitious suits and proceedings in trial court, the Court of Appeals and the Supreme
different courts concerning the same Court.
subject matter after one court has
decided the suit with finality; or Top Rate then filed a series of motions with the SC,
3. Filing a similar case in a judicial court after all of which failed to state that Top Rate still has a
receiving an unfavorable judgment from pending manifestation and motion with the CA. It
an administrative tribunal was only when it withdrew its Petition for Review
on Certiorari that Top Rate bared before the SC the
Q: Counsel for Philzea Mining appealed a decision existence of the said manifestation and motion
of the Bureau of Mines, which was adverse to his pending with the CA. Should Top Rate and its
client, to the Environment Secretary. At about the counsel be found guilty of forum shopping?
same time, he filed a special civil action of
certiorari with the Court of Appeals for the A: Yes. Although Top Rate as principal party
annulment of the same decision. Did counsel executed the several certifications of non-forum
commit any ethical impropriety in his actions? shopping, Atty. Gana and Atty. Manlangit cannot
deny responsibility therefore since Atty. Manlangit
A: Yes, since he was evidently shopping for a notarized the certifications and both of them
sympathetic forum, a condemnable practice. (2011 definitely knew the relevant case status after having
Bar Question) invariably acted as counsel of Top Rate before the
trial court, the Court of Appeals and the Supreme
Court.

Q: Who signs the forum shopping certification? Attys. Gana and Manlangit of the Gana and

56
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Manlangit Law Office, counsel of record of Top 2. When he institutes two or more actions
Rate, are administratively liable for grotesque or proceedings grounded on the same
violations of the Code of Professional cause, on the gamble that one or the
Responsibility. other court would make a favorable
disposition (Benguet Electric Cooperative,
Forum shopping is committed by a party who Inc. v. NEA, G.R. No. 93924, Jan. 23, 1991)
institutes two or more suits in different courts, 3. Filing a second suit in a court without
either simultaneously or successively, in order to jurisdiction (New Pangasinan Review, Inc.
ask the courts to rule on the same or related causes v. NLRC, G.R. No. 85939, Apr. 19, 1991)
or to grant the same or substantially the same 4. Filing an action in court while the same
relief, on the supposition that one or the other cause of action is still pending in an
court would make a favorable disposition or administrative proceeding (Earth Minerals
increase a party's chances of obtaining a favorable Exploration, Inc. v. Macaraig, G.R. No.
decision or action. It is an act of malpractice for it 78569, Feb. 11, 1991)
trifles with the courts, abuses their processes, 5. When counsel omits to disclose the
degrades the administration of justice and adds to pendency of an appeal, in filing a
the already congested court dockets. What is critical certiorari case (Collado v. Hernando, G.R.
is the vexation brought upon the courts and the No.L- 43866, May 30, 1988). (2002 Bar
litigants by a party who asks different courts to rule Question)
on the same or related causes and grant the same
or substantially the same relief and in the process Rule 12.03, Canon 12, CPR
creates the possibility of conflicting decisions being A lawyer shall not, after obtaining extensions of
rendered by different forums upon the same issues, time to file pleadings, memoranda or briefs, let the
regardless of whether the court, in which one of the period lapse without submitting the same or
suits was brought, has no jurisdiction over the offering an explanation for his failure to do so.
action. (Top Rate Construction and General Services (2003 Bar Question)
v. Paxton Devt. Corp., G.R. No. 151081, Sept. 11,
2003) The court censures the practice of counsels who
secure repeated extensions of time to file their
Note: The principle of non-forum shopping applies pleadings and thereafter simply let the period lapse
not only with respect to suits filed in courts but also without submitting the pleading or even an
in connection with litigations commenced in courts explanation or manifestation of their failure to do
while an administrative proceeding is pending, in so. (Achacoso v. CA, G.R. No. L-35867, June 28,
order to defeat administrative processes and in 1973).
anticipation of an unfavorable court ruling.
Asking for extension of time must be in good faith.
Q: What are the possible consequences of forum Otherwise, it is an obstruction of justice and the
shopping? lawyer is subject to discipline. (CPR Annotated,
PhilJA)
A:
1. Summary dismissal of the multiple The same rule applies more forcefully to motion for
petition or complaint continuance. Postponement is not a matter of right
2. Penalty for direct contempt of court on but of sound judicial discretion. (Edrial v. Quilat-
the party and his lawyer Quilat, G.R. No. 133625, Sept. 6, 2000)
3. Criminal action for a false certification of
non-forum shopping and indirect
Rule 12.04, Canon 12, CPR
contempt
A lawyer shall not unduly delay a case, impede the
4. Disciplinary proceedings for the lawyer
execution of a judgment or misuse court processes.
concerned. (Sec. 5, Rule 7, 1997 Rules of
Civil Procedure) (1998 Bar Question)
It is understandable for a party to make full use of
every conceivable legal defense the law allows it.
Q: Give five (5) instances of forum-shopping.
However, of such attempts to evade liability to
which a party should respond, it must ever be kept
A:
in mind that procedural rules are intended as an aid
1. When, as a result of an adverse opinion in
to justice, not as means for its frustration.
one forum, a party seeks a favorable
opinion (other than by appeal or
Once a judgment becomes final and executory, the
certiorari) in another
prevailing party should not be denied the fruits of

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
57
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

his victory by some subterfuge devised by the losing perjury, it is not only proper but it is the
party. Unjustified delay in the enforcement of a lawyer’s duty to endeavor honorable
judgment sets at naught the role of the courts in means to obtain such witness’
disposing justiciable controversies with finality. reaction, even without advising the public
(Aguilar v. Manila Banking Corporation, GR No. prosecutor of his purpose and even
157911, September 19, 2006) though the case is pending appeal; and
5. An adverse party, though he may be used
Lawyers should not resort to nor abet the resort of as a witness, is not however a witness
their clients, to a series of actions and petitions for within the meaning of the rule permitting
the purpose of thwarting the execution of a a lawyer to interview the witness of the
judgment that has long become final and executory. opposing counsel.
(Cobb-Perez v. Lantin, No. L-22320, May 22, 1968)
Note: Although the law does not forbid an attorney to
Rule 12.05, Canon 12, CPR be a witness and at the same time an attorney in a
A lawyer shall refrain from talking to his witness cause, the courts prefer that counsel should not testify
during a break or recess in the trial, while the as a witness unless it is necessary and that they should
witness is still under examination. withdraw from the active management of the case.
(PNB v. Uy Teng Piao, G.R. No. L- 35252, Oct. 21, 1932)
(2001, 2005 Bar Questions)
Q: What is the reason for the rule?
Rule 12.06, Canon 12, CPR
A: To prevent the suspicion that he is coaching the
A lawyer shall not knowingly assist a witness to
witness what to say during the resumption of the
misrepresent himself or to impersonate another.
examination.

Rationale: To uphold and maintain fair play with Q: What are the sanctions on a lawyer who shall
the other party and to prevent the examining knowingly assist a witness to misrepresent himself
lawyer from being tempted to coach his own or to impersonate another?
witness to suit his purpose.
A: Art. 184, Revised Penal Code provides: The
Q: Who is a witness? lawyer who presented a witness knowing him to be
a false witness is criminally liable for “Offering False
A: A human instrumentality through which the law Testimony in Evidence”.
and its ministers, the judges and lawyers, endeavor
to ascertain the truth and to dispense justice to the Note: The lawyer who is guilty of the above is both
following parties. criminally and administratively liable.

Q: What are the guidelines in interviewing a Q: Is the witness who committed the
witness? misrepresentation criminally liable?

A: A: Yes. The witness who commits the


1. A lawyer may interview a witness in misrepresentation is criminally liable for “False
advance of the trial to guide him in the Testimony” either under Art. 181, 182 or 183,
management of the litigation; Revised Penal Code, depending upon the nature of
2. A lawyer may also interview a the case.
“prospective witness” for the opposing
Note: The lawyer who induces a witness to commit
side in any civil and criminal action
false testimony is equally guilty as the witness.
without the consent of opposing counsel
or party;
Q: Who commits subordination of perjury?
3. A lawyer must properly obtain statements
from witnesses whose names were
A: It is committed by a person who knowingly and
furnished by the opposing counsel or
willfully procures another to swear falsely and the
interview the employees of the opposing
witness subordinated does testify under
party even though they are under
circumstances rendering him guilty of perjury. (U.S.
subpoena to appear as witnesses for the
v. Ballena, G.R. No. L-6294, Feb. 10, 1911).
opposite side;
4. If after trial resulting in defendant’s
conviction, his counsel has been advised
that a prosecution witness has committed
Rule 12.07, Canon 12, CPR

58
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

A lawyer shall not abuse, browbeat or harass a unless otherwise provided by law; or
witness nor needlessly inconvenience him. 5. Not to give an answer which will tend to
degrade his reputation, unless it be the
Q: Nolito Boras was convicted of statutory rape. very fact at issue or to a fact from which
The victim, a minor, testified and the manner of the fact in issue would be presumed. But
examination was excessive. The lawyer of Boras a witness must answer to the fact of his
was asking questions like, previous and final conviction for an
“Did you have any opportunity at the time you offense. (Sec. 3, Rule 132 of RRC)
were raped to hold the penis of Nolito Boras?”, “At
the time, when you were raped by Nolito Boras, is Note: It was highly inconsiderate for the prosecutor
his penis hard or soft?”, and “Did you see your and the defense counsel to trade quips at the precise
time the victim of rape was reviving her harrowing
uncle Cerilo after the accused stop pushing and
experience. Courts are looked up to by the people with
pulling his penis to your vagina or while he was
high respect and are regarded as places were litigants
still in the process of pushing and pulling his are heard, rights and conflicts are settled and justice
penis to your vagina?” Did the lawyer of Nolito solemnly dispensed. Levity has no place in the
Boras violate Rule 12.07? courtroom during the examination of the victim of
rape, and particularly at her expense. (People v.
A: Yes. It must be stressed that in dealing with rape Nuguid, G.R. No. 148991, Jan. 21, 2004)
cases of children, especially those below 12 years of
age, due care must be observed by the trial court in Rule 12.08, Canon 12, CPR
handling the victim. In fact, more often than not, A lawyer shall avoid testifying in behalf of his
the grueling experience in the trial court in the client, except:
course of direct examination and cross-examination a. On formal matters, such as the
is more traumatic than the fact of the rape itself. mailing, authentication or custody of an
On such occasions, mishandling of victims lead to instrument, and the like; or
psychological imbalances which, if not properly b. On substantial matters, in cases where
treated by medical experts, will lead to an abnormal his testimony is essential to the ends of justice, in
behavioral response against the idea of sex itself which event he must, during his testimony, entrust
and disturbed interaction with the opposite or same the trial of the case to another counsel.
sex.
Q: What is the reason for the rule?
By subjecting her into explaining whether she was
forced or intimidated is excessive. It is because A: The function of a witness is to tell the facts as he
proof of force and intimidation is unnecessary in recalls them in answer to questions. The function of
statutory rape. Considering that there is a medical an advocate is that of a partisan. It is difficult to
report substantiating the allegations made by the distinguish between the zeal of an advocate and the
victim, the manner of examination of the victim fairness and impartiality of a disinterested witness.
must be tempered. Especially in this case since the
child is only six years old who remains uncorrupted. Q: What are the instances when a lawyer may not
(People v. Boras, G.R. No. 127495, Dec. 22, 2000) testify as a witness in a case which he is handling
for a client?
Q: What is the obligation of a witness?
A: TARCC
A: A witness must answer questions although his 1. When, as an attorney, he is to Testify on
answer may tend to establish a claim against him. the theory of the case;
2. When such would Adversely affect any
Q: What are the rights of a witness? lawful interest of the client with respect
to which confidence has been reposed on
A: him;
1. To be protected from irrelevant, 3. Having accepted a Retainer, he cannot be
improper, or insulting questions and from a witness against his client;
harsh or insulting demeanor; 4. He cannot serve Conflicting interests; and
2. Not to be detained longer than the 5. When he is to violate the Confidence of
interest of justice requires; his client.
3. Not to be examined except only as to
matters pertinent to the issue; Q: What are the instances when a lawyer may
4. Not to give any answer which will tend to testify as a witness in a case which he is handling
subject him to a penalty for an offense for a client?

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
59
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

violate the Code of Professional Responsibility?


A: FETAD A: Yes, his actions violate the Code of Professional
1. On Formal matters, such as the mailing, Responsibility. Canon 13 of the said Code provides
authentication or custody of instrument that a lawyer shall rely upon the merits of his cause
and the like; and refrain from any impropriety which tends to
2. Acting as an Expert on his fee; influence, or gives the appearance of influencing
3. On substantial matters in cases where his the court. Rule 13.01 of the same Code provides
Testimony is essential to the ends of that a lawyer shall not extend extraordinary
justice, in which event he must, during his attention or hospitality to, nor seek opportunity for,
testimony, entrust the trial of the case to cultivating familiarity with judges. Atty. J obviously
another counsel; sought opportunity for cultivating familiarity with
4. Acting as an Arbitrator; and Judge K by being at the coffee shop where the latter
5. Deposition. takes his breakfast, and is extending extraordinary
attention to the judge by inviting him to be a
d. RELIANCE ON MERITS OF CASE, NOT FROM principal sponsor at the wedding of his son. (2000
IMPROPER INFLUENCE UPON THE COURTS Bar Question)

CANON 13, CPR Rule 13.02, Canon 13, CPR


A LAWYER SHALL RELY UPON THE MERITS OF HIS A lawyer shall not make public statements in the
CAUSE AND REFRAIN FROM ANY IMPROPRIETY media regarding a pending case tending to arouse
WHICH TENDS TO INFLUENCE, OR GIVES THE public opinion for or against a party.
APPEARANCE OF INFLUENCING THE COURT.
(1994, 1997, 2000, 2001, 2003 Bar Questions) Q: When can there be prejudicial publicity?

A lawyer shall rely upon the merits of his cause and A: There must be an allegation and proof that the
refrain from any impropriety which tends to judges have been unduly influenced, not simply that
influence, or gives the appearance of influencing they might be, by barrage of publicity. (CPR
the court. Annotated, PhilJA)

Rule 13.01, Canon 13, CPR Note: The restriction does not prohibit issuances of
A lawyer shall not extend extraordinary attention statements by public officials charged with the duty of
or hospitality to, nor seek opportunity for prosecuting or defending actions in court.
cultivating familiarity with judges.
Q: What is the test to determine whether public
Rationale: To protect the good name and statements are contemptuous?
reputation of the judge and the lawyer.
A: The character of the act done and its direct
Lawyers should not seek for opportunity to tendency to prevent and obstruct the discharge of
cultivate familiarity with judges. A lawyer who official duty.
resorts to such practices of seeking familiarity with
judges dishonors his profession and a judge who In a concluded litigation, a lawyer enjoys a wider
consents to them is unworthy of his high office. latitude of comment on or criticize the decision of a
judge of his actuation. Thus, it has been held that a
It is improper for a litigant or counsel to see a judge newspaper publication tending to impede, obstruct,
in chambers and talk to him about a matter related embarrass or influence the courts in administering
to the case pending in the court of said judge. justice in a pending case constitutes criminal
(Austria v. Masaquel, G.R. No. 22536, Aug. 31, contempt, but the rule is otherwise after the
1967) litigation is ended. (In re: Loazano, 54 Phil. 801, July
24, 1930)
Q: Atty. J requested Judge K to be a principal
sponsor at the wedding of his son. Atty. J met Q: Dumbledore, a noted professor of commercial
Judge K a month before during the IBP-sponsored law, wrote an article on the subject of letters of
reception to welcome Judge K into the community, credit, which was published in the IBP Journal.
and having learned that Judge K takes his Assume that he devoted a significant portion of
breakfast at a coffee shop near his (Judge K's) the article to a commentary on how the Supreme
boarding house, Atty. J made it a point to be at the Court should decide a pending case involving the
coffee shop at about the time that Judge K takes application of the law on letters of credit. May he
his breakfast. Comment on Atty. J's acts. Do they be sanctioned by the Supreme Court? Explain.

60
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

b. Communication intended to be
A: Professor Dumbledore may be sanctioned by the confidential
Supreme Court. Rule 13.02 of the CPR provides that
“a lawyer shall not make public statements in the 3. Fiduciary
media regarding a pending case tending to arouse a. Hold in trust all moneys and
public opinion for or against a party.” The Court in a properties of his client that may come
pending litigation must be shielded from into his possession;
embarrassment or influence in its duty of deciding b. When a lawyer enforces a charging
the case. lien against his client, the relationship
is terminated; and
Q: Assume Dumbledore did not include any c. An attorney cannot represent adverse
commentary on the case. Assume further after the interest unless the parties consent to
Supreme Court decision on the case had attained the representation after full disclosure
finality, he wrote another IBP Journal article, of facts
dissecting the decision and explaining why the
Supreme Court erred in all its conclusions. May he Q: Is a contract necessary in order to have a
be sanctioned by the Supreme Court? Explain. professional relationship between a lawyer and a
client?
A: He may not be sanctioned by the Supreme Court.
Once a litigation is concluded, the judge who A: No, the absence of a written contract will not
decided it is subject to the same criticism as any preclude a finding that there is a professional
other public official because his decision becomes relationship. Documentary formalism is not an
public property and is thrown open to public essential element in the employment of an attorney;
consumption. The lawyer enjoys a wide latitude in the contract may be express or implied.
commenting or criticizing the judge’s decision,
provided that such comment or criticism shall be It is sufficient, to establish the professional relation,
bona fide and not spill over the bounds of decency that the advice and assistance of an attorney is
and propriety. (2008 Bar Question) sought and received in any matter pertinent to his
profession. An acceptance of the relation is implied
Rule 13.03, Canon 13, CPR on the part of the attorney from his acting on
A lawyer shall not brook or invite interference by behalf of his client in pursuance of a request from
another branch or agency of the government in the the latter.
normal course of judicial proceedings.
Note: If a person, in respect to his business affairs or
Note: As it will be contrary to the principle of any troubles of any kind, consults with his attorney in
separation of powers. his professional capacity with the view to obtaining
professional advice or assistance and the attorney
All lawyers must uphold, respect and support the voluntarily permits or acquiesce in such consultation,
independence of the judiciary. This independence from as when he listens to his client’s preliminary statement
interference is made to apply against all branches and of his case or gives advice thereon, then the
agencies of the government. (Funa, 2009) professional employment is regarded as established
just as effective as when he draws his client’s pleading
The Supreme Court accordingly administered a or advocates his client’s cause in court. (Dee v. CA, G.R.
reprimand to Bumanlag for gross ignorance of law and No. 77439, Aug. 24, 1989)
of the Constitution in having asked the President to set
aside by decree the Court’s decision which suspended Q: How is a lawyer-client relationship formed?
him for two years from the practice of law. (De
Bumanlag v. Bumanlag, A.M. No. 188, Nov. 29, 1976) A:
1. Oral – When the counsel is employed
4. THE LAWYER AND THE CLIENT without a written agreement, but the
conditions and amount of attorney’s
Attorney-Client Relationship fees are agreed upon.
(1995, 1997)
1. Strictly personal – Prohibits the delegation 2. Express – when the terms and
of work without the client’s consent. conditions including the amount of
fees are explicitly stated in a written
2. Highly confidential document, which may be a private or
a. Communication made in the course of public document. Written contract of
lawyers professional employment; and attorney’s fees is the law between

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
61
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

the lawyer and the client. liberty, and property according to law, in
order to assist in proper interpretation
3. Implied – When there is no and enforcement of law; and
agreement, whether oral or written, 3. Preparation for clients of documents
but the client allowed the lawyer to requiring knowledge of legal principles
render legal services not intended to not possessed by ordinary layman. (CPR
be gratuitous without objection and Annotated, PhilJA)
client is benefited by reason thereof.
Q: Uy engaged the services of Atty. Gonzales to
Note: While a written agreement for professional prepare and file a petition for the issuance of a
services is the best evidence to show the relation, new certificate of title. Uy confided with him the
formality is not an essential element of the circumstances surrounding the lost title and
employment of an attorney. The absence of a discussing the fees and costs. When the petition
written contract will not preclude a finding that was about to be filed, Atty. Gonzales went to Uy’s
there is a professional relationship. office and demanded a certain amount from him
other than what they had previously agreed upon.
Q: What are the advantages of a written contract Uy found out later that instead of filing the
between the Lawyer and the Client? petition for the issuance of a new certificate of
title, Atty. Gonzales filed a letter- complaint
A: against him with the Office of the Provincial
1. It is conclusive as to the amount of Prosecutor for “falsification of public documents.”
compensation. The letter-complaint contained facts and
circumstances pertaining to the transfer certificate
2. In case of unjustified dismissal of an of title that was the subject matter of the petition
attorney, he shall be entitled to recover which Atty. Gonzales was supposed to have filed.
from the client full compensation Should Atty. Gonzales be suspended for violating
stipulated in the contract. (RA 636) the lawyer-client relationship when he filed a
complaint for “falsification of public documents”
Q: What are the rules protecting attorney-client against his client using facts connected with the
relationship? latter’s petition?

A: A: No. As a rule, an attorney-client relationship is


1. Best efforts must be exerted by the said to exist when a lawyer voluntarily permits or
attorney to protect his client’s interest; acquiesces with the consultation of a person, who
2. The attorney must promptly account for in respect to a business or trouble of any kind,
any fund or property entrusted by or consults a lawyer with a view of obtaining
received for his client; professional advice or assistance. It is not essential
3. An attorney cannot purchase his client’s that the client should have employed the attorney
property or interest in litigation; on any previous occasion or that any retainer
4. The privacy of communications shall at all should have been paid, promised or charged for,
times upheld; neither is it material that the attorney consulted did
5. An attorney cannot represent a party not afterward undertake the case about which the
whose interest is adverse to that of his consultation was had, for as long as the advice and
client even after the termination of the assistance of the attorney is sought and received, in
relation. matters pertinent to his profession.

Q: What are the three principal types of Evidently, the facts alleged in the complaint for
professional activity that a licensed attorney at “estafa through falsification of public documents”
law generally engages in, in the practice of his filed by Atty. Gonzales against Uy were obtained by
profession? Atty. Gonzales due to his personal dealings with Uy.
Whatever facts alleged by Atty. Gonzales against Uy
A: LAP were not obtained by Atty. Gonzales in his
1. Legal advice and instructions to clients to professional capacity but as a redemptioner of a
inform them of their rights and property originally owned by his deceased son and
obligations; therefore, when Atty. Gonzales filed the complaint
2. Appearance for clients before public for estafa against Uy, which necessarily involved
tribunals which possess power and alleging facts that would constitute estafa, Atty.
authority to determine rights of life, Gonzales was not, in any way, violating Canon 21.

62
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Clearly, there was no attorney-client relationship cases, matters and situations in which legal aid may
between Atty. Gonzales and Uy. The preparation be necessary to forestall an injustice. (Public
and the proposed filing of the petition was only Service. Sec. 1 Art. 1 IBP Guidelines on Legal Aid)
incidental to their personal transaction. (Uy v. Atty.
Gonzales, A.C. No. 5280, Mar. 30, 2004) Q: Are there instances where a lawyer has the duty
to decline employment?
a. AVAILABILITY OF SERVICE WITHOUT
DISCRIMINATION A: A lawyer should decline no matter how attractive
the fee offered may be if its acceptance will involve:
CANON 14, CPR RACCAA
A LAWYER SHALL NOT REFUSE HIS SERVICES TO 1. A violation of any of the Rules of the
THE NEEDY. legal profession;
(1990, 1992, 2006 Bar Questions) 2. Advocacy in any manner in which he
had intervened while in the
Rationale: The poor and indigent should not be government service;
further disadvantaged by lack of access to the 3. Nullification of a Contract which he
Philippine legal system. prepared;
4. Employment with a Collection
Q: Does a lawyer have a right to decline agency which solicits business to
employment? collect claims;
5. Employment, the nature of which
A: might easily be used as a means of
GR: A lawyer is not obliged to act as legal Advertising his professional services
counsel for any person who may wish to of his skill; or
become his client. He has the right to decline 6. Any matter in which he knows or has
employment. reason to believe that he or his
partner will be an essential witness
XPN: for the prospective client. (1993 Bar
1. A lawyer shall not refuse his services Question)
to the needy. (Canon 14)
2. He shall not decline to represent a Q: What are the ethical considerations in taking a
person solely on account of the bad case?
latter’s race, sex, creed or status in
life or because of his own opinion A:
regarding the guilt of said person 1. Criminal case - A lawyer may accept
(Rule 14.01); (1990, 1993, 2000, a losing criminal case because every
2002, 2006 Bar Questions) accused is presumed innocent until
3. He shall not decline, except for proven guilty and is entitled to
serious and efficient cause like counsel.
a. If he is not in a position to 2. Civil case - The rules and ethics of the
carryout effectively or profession enjoin a lawyer from
competently; and taking a bad case.
b. If he labors under a conflict
of interest between him Q: What are the reasons why a lawyer may not
and the prospective client. accept a “losing” civil case?
(Rule 14.03)
A:
Q: What is the rationale for the establishment and 1. The attorney’s signature in every
operation of legal aid offices in all chapters of the pleading constitutes a certificate by
IBP? him that there is good cause to
A: Legal aid is not a matter of charity. It is a means support it and that it is not
for the correction of social imbalances that may and interposed for delay, and willful
often do lead to injustice, for which reason it is a violation of such rule shall subject
public responsibility of the Bar. The spirit of public him to disciplinary action;
service should, therefore, underlie all legal aid 2. It is the attorney’s duty to “counsel
offices. The same should be so administered as to or maintain such actions or
give maximum possible assistance to the indigent proceedings only as appears to him
and deserving members of the community in all to be just and only such defenses as

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
63
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

he believes to be honestly should not be deprived of his counsel’s


debatable under the law”; representation solely for that reason.
3. A lawyer is not to encourage either
the commencement or the A lawyer shall not decline to represent a person
continuance of an action or solely on account of the latter’s race, sex, creed or
proceeding, or delay any man’s status of life or because of his own opinion
cause, for any corrupt motive or regarding the guilt of said person. (Canon 14, Rule
interest; and 14.01, CPR) (2004 Bar Question)
4. A lawyer must decline to conduct a
civil cause or to make a defense Services as Counsel de Officio
when convinced that it is intended
merely to harass or injure the Rule 14.02, Canon 14, CPR
opposite party or to work oppression A lawyer shall not decline, except for serious and
or wrong. sufficient cause, an appointment as counsel de
oficio or as amicus curiae, or a request from the
Q: Is there an instance when a lawyer may accept Integrated Bar of the Philippines or any of its
losing case? chapters for rendition of free legal aid.
(1991, 1993, 1994, 1996, 1998, 2001, 2002, 2004,
A: Yes, provided that, in so doing, he must not 2006 Bar Questions)
engage in dilatory tactics and must advise his client
about the prospects and advantage of settling the Q: What is the protection given by law to poor
case through a compromise. (1996, 2001, 2002, litigants who cannot afford the services of a
2005 Bar Questions) lawyer?
Services Regardless of Person’s Status
A: A court may assign an attorney to render
Rule 14.01, Canon 14, CPR professional aid free of charge to any party in case,
A lawyer shall not decline to represent a person if upon investigation it appears that the party is
solely on account of the latter’s race, sex, creed or destitute and unable to employ an attorney and
status of life, or because of his own opinion that the services of counsel are necessary to secure
regarding the guilt of said person. the ends of justice and to protect the rights of the
party. It shall be the duty of the attorney so
Rule 14.01 is applicable only in criminal cases. In assigned to render the required service, unless he is
criminal cases, a lawyer cannot decline to represent excused therefrom by the court for sufficient cause
an accused or respondent because of his opinion shown. (Sec. 31, Rule 138, RRC)
that the said person is guilty of the charge or
charges filed against him. In representing the Q: Who may be appointed as counsel de oficio?
accused or respondent, the lawyer must only use
means which are fair and honorable. (Sec. 20[I], A:
Rule 138, RRC) 1. Members of the bar in good standing;
2. Any person, resident of the province
Rule 14.01 is not applicable in civil cases because it and of good repute for probity and
is the duty of an attorney to counsel or maintain ability, in localities without lawyers
such actions or proceedings only as appear to him
to be just, and such defenses only as he believes to Q: What are considered in appointing a counsel de
be honestly debatable under the law.” (Sec. 20[c], oficio?
Rule 138, RRC)
A:
Q: Atty. DD’s services were engaged by Mr. BB as 1. Gravity of offense
defense counsel in a lawsuit. In the course of the 2. Difficulty of questions that may arise;
proceedings, Atty. DD discovered that Mr. BB was and
an agnostic and a homosexual. By reason thereof, 3. Experience and ability of appointee
Atty. DD filed a motion to withdraw as counsel
without Mr. BB’s express consent. Is Atty. DD’s Q: A criminal complaint was filed against Bermas
motion legally tenable? Reason briefly. for the crime of rape. The Second Assistant
Prosecutor issued a certification that the accused
A: No. Atty. DD’s motion is not legally tenable. He has waived his right to preliminary investigation.
has no valid cause to terminate his services. His On the day of the scheduled arraignment, the
client, Mr. BB, being an agnostic and homosexual, accused was brought before the trial court without

64
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

counsel. The court assigned a PAO attorney to be and cogent reasons.


the counsel de officio who, during trial also made a
request that she be relieved from the case. Canon 18 of the Code of Professional Responsibility
Another counsel was thereafter assigned as the requires every lawyer to serve his client with
new counsel de officio. When said new counsel for utmost dedication, competence and diligence. He
the accused failed to appear before the court for must not neglect a legal matter entrusted to him,
their presentation of evidence, the Court and his negligence in this regard renders him
appointed another counsel de officio but, again, administratively liable. Obviously, in the instant
said counsel asked to be relieved from the case. case, the aforenamed defense lawyers did not
The newly appointed counsel also failed to appear protect, much less uphold, the fundamental rights
before the court. of the accused. Instead, they haphazardly
performed their function as counsel de oficio to the
Despite the said events, the lower court convicted detriment and prejudice of the accused Sevilleno,
the accused of death penalty for the violation of however guilty he might have been found to be
the crime of rape. The defense counsel claimed after trial. (People v. Bermas, G.R. No. 120420, Apr.
that the accused was deprived of due process, was 21, 1999)
denied his Constitutional right to effective and
vigilant counsel and his Constitutional right to be Valid Grounds for Refusal
tried by an impartial judge. Is there a violation of
due process and was denied of his Constitutional Rule 14.03, Canon 14, CPR
right to effective and vigilant counsel? A lawyer may not refuse to accept representation
of an indigent client unless:
A: Yes. The right to counsel must be more than just a. He is in no position to carry out the
the presence of a lawyer in the courtroom or the work effectively or competently;
mere propounding of standard questions and b. He labors under a conflict of interest
objections. The right to counsel means that the between him and the prospective client or
accused is amply accorded legal assistance between a present client and a prospective client.
extended by a counsel who commits himself to the
cause for the defense and acts accordingly. The Q: When may refusal of a counsel to act as counsel
right assumes an active involvement by the lawyer de oficio be justified on grounds aside from the
in the proceedings, particularly at the trial of the reasons of health, extensive travel abroad, or
case, his bearing constantly in mind of the basic similar reasons of urgency?
rights of the accused, his being well-versed on the
case, and his knowing the fundamental procedures, A: Other justified grounds for refusal to act as a
essential laws and existing jurisprudence. The right counsel de oficio are:
of an accused to counsel finds substance in the 1. Too many de oficio cases assigned to
performance by the lawyer of his sworn duty of the lawyer; (People v. Daeng, G.R.
fidelity to his client. Tersely put, it means an No. L- 34091, Jan. 30, 1973)
efficient and truly decisive legal assistance and not 2. Conflict of interest; (Rule 14.03, CPR)
a simple perfunctory representation. 3. Lawyer is not in a position to carry
out the work effectively or
It is never enough that accused be simply informed competently; (supra)
of his right to counsel; he should also be asked 4. Lawyer is prohibited from practicing
whether he wants to avail himself of one and law by reason of his public office
should be told that he can hire a counsel of his own which prohibits appearances in
choice if he so desires or that one can be provided court; and
to him at his request. 5. Lawyer is preoccupied with too many
cases which will spell prejudice to
A counsel de oficio is expected to do his utmost. A the new clients.
mere pro-forma appointment of de oficio counsel
who fails to genuinely protect the interests of the Q: Atty. J. Bonanza, a semi-retired Metro Manila
accused merits disapprobation. The exacting practitioner has a cattle ranch in the remote
demands expected of a lawyer should be no less municipality of Nueva Ecija. He attends to his law
than stringent when one is a counsel de oficio. He office in Manila on Mondays, Tuesdays and
must take the case not as a burden but as an Wednesdays, and the rest of the week he spends
opportunity to assist in the proper dispensation of in his cattle ranch raising horses. In a criminal case
justice. No lawyer is to be excused from this pending before the Municipal Trial Court of
responsibility except only for the most compelling Carranglan, the only other licensed member of the

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
65
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

bar in the place is representing the complainant.


The accused is a detention prisoner. The judge Q: Ferrer was accused of having raped his 11-year-
wants to expedite proceedings. What must the old stepdaughter. Ferrer’s counsel of record was
judge do to expedite proceedings? PAO's Atty. Macabanding. During the pre-trial,
both of them failed to appear. Ferrer was
A: The judge may appoint attorney Bonanza as considered by the court as having jumped bail.
counsel de oficio considering that the accused is a Trial in absentia followed where Ferrer was
detention prisoner and therefore it is assumed that assisted by another PAO lawyer, Atty. Alonto.
he has no financial means of engaging a paid Atty. Macabanding did not appear in all the
counsel. (1988 Bar Question) subsequent hearings of the case. He did not inform
the court of his whereabouts. Ferrer was found
Q: If Atty. Bonanza is requested to act as counsel guilty beyond reasonable doubt of the crime
for the accused, could he or should he refuse by charged and imposed upon him the death penalty.
saying that in the province, he wants to do nothing Did Atty. Macabanding live up to the demands
except ride horses and castrate bulls? Explain. expected from a counsel de oficio?

A: The attorney cannot refuse to be appointed as A: No. Ferrer was not properly and effectively
counsel de oficio merely on the reason that he is a accorded the right to counsel. Canon 18 of the CPR
semi-retired practicing lawyer. Precisely one of the requires every lawyer to serve his client with
reasons for the integration of the Bar in the utmost dedication, competence and diligence. He
Philippines is to compel all persons who have been must not neglect a legal matter entrusted to him.
admitted to the practice of law in the Philippines to For all intents, purposes and appearances, Atty.
perform their duties to assist the courts in the Macabanding abandoned his client, an accused who
administration of public. (Ibid) stands to face the death penalty.

Q: Assailed in a certiorari proceeding is an order of While he faced the daunting task of defending an
respondent Judge Climaco denying a motion filed accused that had jumped bail, this unfortunate
by petitioner Ledesma to be allowed to withdraw development is not a justification to excuse him
as counsel de oficio. One of the grounds for such a from giving his heart and soul to the latter's
motion was his allegation that with his defense. The exercise of their duties as counsel de
appointment as Election Registrar by the oficio meant rendering full meaning and reality to
COMELEC, he was not in a position to devote full the constitutional precepts protecting the rights of
time to the defense of the two accused. The denial the accused. (People v. Ferrer, G.R. No. 148821, July
by respondent Judge of such a plea, 18, 2003)
notwithstanding the conformity of the defendants,
was due to “its principal effect of delaying the Q: What is the rule on the appointment of counsel
case." Is the denial of Judge Climaco correct? de oficio for an accused who was convicted by the
Regional Trial Court and is desirous of appealing
A: Yes. The reluctance of Ledesma to comply with from the judgment of conviction?
his responsibilities as counsel de oficio is not an
adequate ground for the motion of withdrawal. A: If an accused is found guilty by the trial court and
Membership in the bar is a privilege burdened with makes his intention to appeal the decision, the
a condition. For some lawyers especially the appellate court may appoint a counsel de oficio if it
neophytes in the profession being appointed as a is shown by a certificate of the Clerk of the Court
lawyer is an irksome chore. Law is a profession that:
dedicated to the ideal of service and not a mere 1. The defendant is confined in prison and
trade. Thus is made manifest the indispensable role not able to file a bail bond;
of a member of the Bar in the defense of an 2. He is without means to employ an
accused. Such a consideration could have sufficed attorney de parte; and
for Ledesma not being allowed to withdraw as 3. He desires to be represented by an
counsel de oficio. For he did betray by his moves his attorney de oficio.
lack of enthusiasm for the task entrusted to him, to
put matters mildly. He did point though to his Note: An appellant who is not confined in prison is not
responsibility as an election registrar. Assuming his entitled to an attorney de oficio unless a request is
good faith, no such excuse could be availed now. made within ten days from notice to file the
There is not likely at present, and in the immediate appellant’s brief and the right thereto is established by
future, an exorbitant demand on his time. (Ledesma affidavit of poverty. (Sec. 13, Rule 122, RRC) (1993 Bar
v. Climaco, G.R. No. L-23815, June 28, 1974) Question)

66
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Q: May a lawyer decline a request for free legal aid motions for extension or postponement will be
to an indigent accused made by a chapter of the granted or that they will be granted the length of
IBP? Explain. time they prayed for.

A: Rule 14.02 of the CPR provides that “a lawyer Further, regardless of the agreement Atty. Dajoyag,
shall not decline, except for serious and sufficient Jr. had with Ramos with respect to the payment of
cause, an appointment as counsel de oficio or as his fees, Atty. Dajoyag, Jr. owed it to Ramos to do
amicus curiae or a request from the IBP or any of its his utmost to ensure that every remedy allowed by
chapter for rendition of free legal aid.” He law is availed of. Rule 14.04 of the Code of
may, therefore, decline such appointment for Professional Responsibility enjoins every lawyer to
“serious and sufficient cause”. For example, devote his full attention, diligence, skills, and
he may decline such appointment if it will involve a competence to every case that he accepts. Pressure
conflict of interest with another client. and large volume of legal work do not excuse Atty.
Dajoyag, Jr. for filing the petition for certiorari out
Q: Will your answer be different if the legal aid is of time.
requested in a civil case?
Nevertheless, Atty. Dajoyag Jr. exerted efforts to
A: My answer will not be exactly the same, because protect the rights and interests of Ernesto Ramos,
in a civil case, the lawyer can also decline if he including trying to secure a reconsideration of the
believes the action or defense to be unmeritorious. denial of the petition. Thus, he is guilty of simple
He is ethically bound to maintain only actions and neglect of duty. (Ramos v. Dajoyag, Jr., A.C. No.
proceedings which appear to him to be just and 5174, Feb. 28, 2002)
only such defenses which he believes to be honestly
debatable under the law. (2002 Bar Question) Note: The fact that his services are rendered without
remuneration should not occasion a diminution in his
Note: A lawyer may refuse to handle cases due to zeal. (Ledesma v. Climaco, G.R. No. L-23815, June 28,
these valid reasons. However, Rule 2.02 ;requires him 1974)
to give advice on preliminary steps if he is asked until
the client secures the services of counsel. He shall Lawyers who devote their professional practice to
refrain from giving this preliminary advice if there is representing litigants who could ill afford legal services
conflict of interest between a present client and a deserve commendation. However, it is not enough to
prospective one for extending such legal advice will say that all pauper litigants should be assured of legal
create and establish an attorney-client relationship representation. They deserve quality representation as
between them and may involve a violation of the rule well. (Canoy v. Ortiz, A.C. No. 5485, Mar. 16, 2005)
prohibiting a lawyer from representing conflicting
interest. b. CANDOR, FAIRNESS AND LOYALTY TO CLIENTS

Rule 14.04, Canon 14, CPR CANON 15, CPR


A lawyer who accepts the cause of a person unable A LAWYER SHALL OBSERVE CANDOR, FAIRNESS
to pay his professional fees shall observe the same AND LOYALTY IN ALL HIS DEALINGS AND
standard of conduct governing his relations with TRANSACTIONS WITH HIS CLIENT.
paying clients. (1991 Bar Question)
(2008 Bar Question)
Q: What does the Code of Professional
Q: Atty. Mariano Dajoyag, Jr. is Ernesto Ramos’ Responsibility provide pertinent to the lawyer’s
counsel. He failed to perfect their appeal before duty as regards his dealings and transactions with
the SC. He filed the petition for certiorari within clients?
the 20-day period of extension that he sought in
his 2nd motion for extension. He learned that the A: Canon 15 of the Code of Professional
period of extension granted in his 1st motion for Responsibility provides that "A lawyer shall observe
extension was inextendible only after the candor, fairness and loyalty in all his dealings and
expiration of the 2 periods of extension that he transactions with his client.”
prayed for. A complaint for negligence and
malpractice was filed against him, to which he A lawyer owes absolute fidelity to the cause of his
pleaded good faith and excusable neglect of duty. client. He owes his client full devotion to his
Is Atty. Dajoyag Jr. guilty of neglect of duty? interest, warm zeal in the maintenance and defense
A: Yes. Motions for extension are not granted as a of his rights.
matter of right but in the sound discretion of the
court, and lawyers should never presume that their Note: It demands of an attorney an undivided

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
67
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

allegiance, a conspicuous and high degree of good information to no third person other than one
faith, disinterestedness, candor, fairness, loyalty, reasonably necessary for the transmission of the
fidelity and absolute integrity in all his dealings and information or the accomplishment of the purpose for
transactions with his clients and an utter renunciation which it was given.
of every personal advantage conflicting in any way,
directly or indirectly, with the interest of his client. Mere relation of attorney-client does not raise a
(Oparel Sr. v. Abaria, A.C. No. 959, July 30, 1971) presumption of confidentiality. (Pineda, 2009) For an
information to be considered as privileged, it must be
If they find that their client’s cause is defenseless, then intended by the client as such. (CPR Annotated, PhilJA)
it is their bounden duty to advise the latter to
acquiesce and submit rather than to traverse the Q: What are the essential factors to establish the
incontrovertible. (Rollon v. Atty. Naraval, A.C. No. existence of the attorney-client privilege
6424, Mar. 4, 2005) communication?

Confidentiality Rule A:
1. Where the legal advice of any kind is
Note: Confidentiality means the relation between sought
lawyer and client or guardian and ward, or between 2. From a professional legal adviser in his
spouses, with regard to the trust that is placed in capacity as such
th
the one by the other. (Black’s Law Dictionary 7 3. The communications relating to that
Edition 1990, 2004) purpose
4. Made in confidence
Privileged Communication 5. By the client
6. Are at his instance permanently protected
Rule 15.02, Canon 15, CPR 7. From disclosure by himself or by the legal
A lawyer shall be bound by the rule on privilege advisor
communication in respect of matters disclosed to 8. Except if the protection be waived.
him by a prospective client. (Hadjula v. Madianda, A.C. No. 6711, July
(2008 Bar Question) 3, 2007)

Q. How is Rule 15.02 different from Canon 17? Q: What are the requisites of privilege
communication?
A: Rule 15.02 speaks of the duty of confidentiality
to a prospective client while Canon 17 provides for A:
the duty of confidentiality to an actual client. (Funa, 1. There is attorney-client relationship or a
2009) kind of consultancy requirement with a
prospective client;
Q: Are matters disclosed by a prospective client to 2. The communication was made by the
a lawyer protected by the rule on privileged client to the lawyer in the course of the
communication? lawyer’s professional employment; and
3. The communication must be intended to
A: Yes. The foregoing disqualification rule applies to be confidential.
prospective clients of a lawyer. Matters disclosed by
a prospective client to a lawyer are protected by Note: The privilege continues to exist even after the
the rule on privileged communication even if the termination of the attorney-client relationship. It
prospective client does not thereafter retain the outlasts the lawyer’s engagement. The privileged
lawyer or the latter declines the employment. character of the communication ceases only when
waived by the client himself or after his death, by the
heir or legal representative. (Baldwin v. CIR, 94 F. 2d
The reason for this is to make the prospective client
355, 20 AFTR 940)
free to discuss whatever he wishes with the lawyer
without fear that what he tells the lawyer will be The party who avers that the communication is
divulged or used against him, and for the lawyer to privileged has the burden of proof to establish the
be equally free to obtain information from the existence of the privilege unless from the face of the
prospective client. (CPR Annotated, PhilJA) document itself, it clearly appears that it is privileged.
The mere allegation that the matter is privileged is not
Note: A privileged communication is one that refers to sufficient. (People v. Sleeper, G.R. No. 22783, Dec. 3,
information transmitted by voluntary act of disclosure 1924; Lapena Jr., 2009)
between attorney and client in confidence and by
means which, so far as the client is aware discloses the

68
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Q: When is client identity privileged? 2. To allow the lawyer freedom to obtain full
information from his client
A: Client identity is privileged where a strong
probability exists that revealing the client’s name Q: What are the characteristics of privileged
would implicate that client in the very activity for communication?
which he sought the lawyer’s advice. (Regala v.
Sandiganbayan, G.R. No. 105938, Sept. 20, 1996) A:
1. Attorney-client privilege where legal
Q: Rosa Mercado’s husband filed an annulment advice is professionally sought from an
against her. Atty. Julito Vitriolo represented her. attorney.
Thereafter, a criminal action against her was filed 2. The client must intend the above
by the latter for falsification of public document. communication to be confidential.
According to Atty. Vitriolo, she indicated in the 3. Attorney-client privilege embraces all
Certificates of Live Birth of her children that she is forms of communication and action.
married to a certain Ferdinand Fernandez, and that 4. As general rule, attorney-client privilege
their marriage was solemnized on April 11, 1979, also extends to the attorney’s secretary,
when in truth, she is legally married to Ruben stenographer, clerk or agent with
Mercado and their marriage took place on April reference to any fact acquired in such
11, 1978. Mercado claims that the criminal capacity.
complaint disclosed confidential facts and 5. The above duty is perpetual and
information relating to the civil case for annulment communication is absolutely privileged
handled by Vitriolo as her counsel. Did Atty. Julito from disclosure.
Vitriolo violate the rule on privileged 6. Persons entitled to claim privileges
communication between attorney and client?
Q: Who are the persons entitled to claim the
A: The evidence on record fails to substantiate privilege?
Mercado’s allegations. She did not even specify the
alleged communication in confidence disclosed by A: The attorney-client privilege covers:
Atty. Vitriolo. All of Mercado’s claims were couched 1. Lawyer;
in general terms and lacked specificity. Without any 2. Client; and
testimony from Mercado as to the specific 3. Third persons who by reason of their work
confidential information allegedly divulged by Atty. have acquired information about the case
Vitriolo without her consent, it is difficult, if not being handled such as:
impossible to determine if there was any violation a. Attorney’s secretary,
of the rule on privileged communication. It is not stenographer and clerk;
enough to merely assert the attorney-client b. Interpreter, messengers and
privilege. The burden of proving that the privilege agents transmitting
applies is placed upon the party asserting the communication; and
privilege. (Mercado v. Vitrilio, A.C. No. 5108, May c. An accountant, scientist,
26, 2005) physician, engineer who has
been hired for effective
Q: What is the test in determining whether a consultation. (Sec. 24(b), Rule
communication to an attorney is covered by the 130, RRC)
rule on privileged communication?
Q: Bureau of Immigration and Deportation (BID)
A: The test is whether the communications are Intelligence Agent Hernandez, together with a
made to an attorney with view of obtaining from reporter, went to the house of Aoyagi, a Japanese
him personal assistance or advice regardless of national. He was told that there were complaints
whether there is a pending or merely impending against him in Japan and that he was suspected to
litigation or any litigation. be a Yakuza big boss, a drug dependent and an
overstaying alien. To prove that he had done
Q: What are the purposes of making the nothing wrong, Aoyagi showed his passport to
communication privileged? Hernandez who confiscated the same. A Contract
for Legal Services was entered into by Aoyagi and
A: Atty. Acejas III. Aoyagi paid Atty. Acejas
1. To encourage a client to make a full P40,000.00, P25,000 of which is 50% of the
disclosure of the facts of the case to his acceptance fee, and the P15,000.00 is for
counsel without fear filing/docket fee. Hernandez, in the presence of

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
69
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Atty. Acejas, proposed that Aoyagi pay the amount client is intended to aid future crime or
of P1 million in exchange for the help he would perpetration of fraud.
extend to Takao in securing a permanent visa in Note: Past crime is covered by
the Philippines. Atty. Acejas did nothing. Did Atty. the privilege.
Acejas violate the legal ethics of the profession? 4. When communication between attorney
and client is heard by a third party.
A: Yes. The Court reminds lawyers to follow legal 5. When there is consent or waiver of the
ethics when confronted by public officers who client.
extort money. If the extortion is directed at the 6. When the law requires disclosure.
client, they must advise the client not to perform 7. When disclosure is made to protect the
any illegal act. Moreover, they must report it to the lawyer’s rights
authorities, without having to violate the attorney-
client privilege. Naturally, they must not participate Note: Even if the communication is unprivileged, the
in the illegal act. Atty. Acejas did not follow these rule of ethics prohibits lawyers from voluntarily
guidelines. Worse, he conspired with the revealing or using to his benefit or to that of a third
extortionists. (Acejas III v. People, G.R. No. 156643, person, to the disadvantage of the client, the said
June 27, 2006) communication unless the client consents thereto.
(Sec. 3, Rule 138-A, RRC)
Q: May a lawyer invoke privileged communication
to refuse revealing his client’s secrets in the course Conflict of Interest
of professional employment? (1991, 1992, 1993, 1994, 1997, 1999, 2000, 2001,
2002, 2003, 2004, 2005, 2006, 2008 Bar Questions)
A: Yes. Rule 15.02 of the Code provides that “A
lawyer shall be bound by the rule on privileged Rule 15.01, Canon 15, CPR
communication in respect of matters disclosed to A lawyer, in conferring with a prospective client,
him by a prospective client." shall ascertain as soon as practicable whether the
matter would involve a conflict with another client
Q: What is the duration of privileged or his own interest, and if so, shall forthwith
communication? inform the prospective client.

A: The privilege continues to exist even after the Q: What is “conflict search”?
termination of the attorney-client relationship.
A: It is examining the causes of action between the
Note: The privilege character of the communication prospective client and the lawyer’s current clients.
ceases only when waived by the client himself or after
his death, by his heir or legal representative. (Lapena, Q: What is the purpose of “conflict search”?
Jr. 2009)
A: By conducting a conflict search, the lawyer will
Q: After representing Lenie in an important lawsuit be able to determine, in the first instance, if he is
from 1992 to 1995, Atty. Jennifer lost touch of her barred from accepting the representation through
client. Ten years later in 2005, Evelyn asked Atty. conflicts with his present clients or the lawyer’s
Jennifer to represent her in an action against own interest. (CPR Annotated, PhilJA)
Lenie. Such action involved certain facts, some
confidential, to which Atty. Jennifer was privy Q: What are the three tests to determine the
because she handled Lenie's old case. Can Atty. existence of conflicting interests?
Jennifer act as counsel for Evelyn?
A: No, because her duty to keep the confidences of A:
previous clients remains. (2011 Bar Question) 1. Conflicting Duties - When, on behalf of
one client, it is the attorney’s duty to
Q: When is communication not privileged? contest for that which his duty to another
client requires him to oppose or when
A: A communication made by a client to a lawyer is possibility of such situation will develop.
not privileged: 2. Invitation of Suspicion - Whether the
1. After pleading has been filed because acceptance of the new relation will
such becomes part of public records. prevent a lawyer from the full discharge
2. When communication was intended by of his duty of undivided fidelity and
the client to be sent to a third person loyalty to his client or will invite suspicion
through his counsel. of unfaithfulness or double-dealing in the
3. When the communication sought by performance thereof.

70
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

3. Use of Prior Knowledge Obtained - present client in another case.


Whether a lawyer will be called upon in
his new relation to use against the first 3. F v. G; H v. G
client any knowledge acquired in the F is the present client and G was a former
previous employment. client and the cases are related.

Q: What are the types of conflict of interest? 3. I v. J; K v. J


I is the present client and J was a former
A: client in a case that is unrelated.
1. Concurrent or multiple representations –
Generally occurs when a lawyer 4. L, M, N v. O, P, Q
represents clients whose objectives are L, M, N are present clients but L and M
adverse to each other, no matter how joins O, P, Q. (People v. Davis)
slight or remote such adverse interest
may be. Q: What are the other instances of conflict of
interests?
The tests for concurrent or multiple
representations are: A:
a. Whether a lawyer is duty-bound 1. A corporate lawyer cannot join a labor
to fight for an issue or claim in union of employees in that corporation;
behalf of one client and, at the 2. A lawyer of an insurance corporation who
same time, to oppose that claim investigated an accident cannot represent
for the other client; the complainant/injured person;
b. Whether the acceptance of a 3. As a receiver of a corporation, he cannot
new relation would prevent the represent the creditor;
full discharge of the lawyer’s 4. As a representative of the obligor, he
duty of undivided fidelity or cannot represent the obligee; and
loyalty to the client; 5. As a lawyer representing a party in a
c. Whether the acceptance of new compromise agreement, he cannot,
relation would invite suspicion subsequently, be a lawyer representing
of unfaithfulness or double- another client who seeks to nullify the
dealing in the performance of agreement.
the lawyer’s duty of undivided
fidelity and loyalty; and Q: What constitutes representing conflicting
d. Whether, in the acceptance of a interests?
new relation, the lawyer would
be called upon to use against a A: To be guilty of representing conflicting interests,
client confidential information a counsel-of-record of one party need not also be
acquired through their counsel-of-record of the adverse party. He does not
connection. have to publicly hold himself as the counsel of the
adverse party, nor make his efforts to advance the
2. Sequential or successive representation – adverse party's conflicting interests of record ---
Involves representation by a law firm of a although these circumstances are the most obvious
present client who may have an interest and satisfactory proof of the charge. It is enough
adverse to a prior or former client of the that the counsel of one party had a hand in the
firm. (CPR Annotated, PhilJA) preparation of the pleading of the other party,
claiming adverse and conflicting interests with that
Note: What is material in determining whether there is of his original client. To require that he also be
a conflict of interest in the representation is counsel-of-record of the adverse party would
probability, not certainty of conflict. punish only the most obvious form of deceit and
reward, with impunity, the highest form of
Illustration: Existence of conflict of Interest disloyalty. (Artueza v. Atty. Maderazo, A.C. No.
1. A v. B 4354, Apr. 22, 2002)
A and B are present clients.
Q: Mr. X and his father went to the residence of
2. C v. D; E v. Dp Atty. Y to seek his advice regarding the problem of
C is the present client and D is not a the alleged indebtedness of Mr. X's brother to
present client in the same case but is a Caesar's Palace, a well-known gambling casino at

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
71
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Las Vegas. Atty. Y assured Mr. X and his father that paramount and should not be influenced by any
he would inquire into the matter, after which his interest of the individual corporate officials.
services were reportedly contracted for P100,000.
00. Several long distance telephone calls and two A lawyer engaged as counsel for a corporation
trips to Las Vegas by him elicited the information cannot represent members of the same
that indeed Mr. X's brother has an outstanding corporation's Board of Directors in a derivative suit
account to Caesar’s but further investigations brought against them. To do so would be
revealed that said account had actually been tantamount to representing conflicting interests
incurred by Ramon Sy, with Mr. X's brother merely which is prohibited by the Code of Professional
signing for the chits. Atty. Y personally talked with Responsibility. (Hornilla v. Atty. Salunat, A.C. No.
the president of Caesar's Palace and convinced the 5804, July 1, 2003)
latter’s president to go after Sy instead to which
the latter agreed with the condition that Atty. Y Q: Six months ago, Atty. Z was consulted by A,
should first convince Sy to pay the indebtedness to about a four-door apartment in Manila left by her
which Atty. Y succeeded. He was able to free Mr. deceased parents. A complained that her two
X's brother from his indebtedness. Having thus siblings, B and C, who were occupying two units of
settled the account of Mr. X's brother, Atty. Y sent the apartment, were collecting the rentals from
several demand letters to Mr. X demanding the the other two units and refusing to give her any
balance of P50,000.00 as attorney's fees. Mr. X, part thereof. Atty. Z advised A to first seek the
however, ignored these, thus, Atty. Y filed a intervention of her relatives and told her that if
complaint against Mr. X for the collection of this failed, he would take legal action as A asked
attorney's fees and refund of transport fare and him to do. B asks Atty. Z to defend him in a suit
other expenses. Mr. X claimed, that at the time brought by A against him (B) and C through
Atty. Y was rendering services to Mr. X, he was another counsel. Should Atty. Z accept the case?
actually working "in the interest" and "to the
advantage" of Caesar's Palace of which he was an A: No. When A consulted him about her complaint
agent and a consultant. This being the case, Atty. Y against B and C, a lawyer-client relationship was
is not justified in claiming that he rendered legal created between A and Atty. Z. Atty. Z cannot
services to Mr. X in view of the conflicting interests subsequently represent B against A in a matter he
involved. Did the Atty. Y violate the conflict of was consulted about. This constitutes conflict of
interest rule? interest. It does not matter if Atty. Z is not handling
the case for A.
A: No. Generally, an attorney is prohibited from
representing parties with contending positions. Q: Should Atty. Z tell B that A consulted him earlier
However, at a certain stage of the controversy about the same case? Why?
before it reaches the court, a lawyer may represent
conflicting interests with the consent of the parties. A: Yes. Rule 21.07 of the CPR provides that "a
A common representation may work to the lawyer shall not reveal that he has been consulted
advantage of said parties since a mutual lawyer, about a particular case except to avoid possible
with honest motivations and impartially cognizant conflict of interest.” In this case, he has to reveal to
of the parties' disparate positions, may well be B that he had been consulted by A on the case that
better situated to work out an acceptable B if offering to retain his services, in order to avoid a
settlement of their differences, being free of possible conflict of interest. (2002 Bar Question)
partisan inclinations and acting with the
cooperation and confidence of said parties. A Rule 15.03, Canon 15, CPR
lawyer is entitled to have and receive the just and A lawyer shall not represent conflicting interests
reasonable compensation for services rendered at except by written consent of all concerned given
the special instance and request of his client and as after a full disclosure of the facts.
long as he is honestly and in good faith trying to
serve and represent the interests of his client, the GR: An attorney cannot represent diverse interests.
latter is bound to pay his just fees. (Dee v. Court of It is highly improper to represent both sides of an
Appeals, G.R. No. 77439, Aug. 24, 1989) issue. The proscription against representation of
conflicting interest finds application where the
Q: Can a lawyer engaged by a corporation defend conflicting interest arise with respect to the same
members of the Board of the same corporation in general matter and is applicable however slight
a derivative suit? such adverse interest may be. It applies although
the attorney’s intention and motives were honest
A: No. The interest of the corporate client is and he acted in good faith.

72
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

XPN: Representation of conflicting interest may be A:


allowed where the parties consent to the 1. To decline to accept the case because to
representation after full disclosure of facts. (Nakpil do so will constitute representing
v. Valdez, A.C. No. 2040, Mar. 4, 1998) conflicting interests. It is unethical for a
lawyer to represent a client in a case
Note: A lawyer may at a certain stage of the against another client in the same case.
controversy and before it reaches the court represent 2. To accept to file the case against Huey
conflicting interests with the express written consent Company, after full disclosure to both
of all parties concerned given after disclosure of the retained clients and upon their express
facts. The disclosure should include an explanation of and written consent. The written consent
the effects of the dual representation, such as the may free him from the charge of
possible revelation or use of confidential information. representing conflicting interests, because
written consent amounts to a release by
An attorney owes loyalty to his client not only in the
the clients of the lawyer’s obligation not
case in which he has represented him but also after
relation of attorney and client has terminated.
to represent conflicting interests.

Q: What are the instances when a lawyer may not Q: If you were Atty. Anama, which option would
represent conflicting interests despite consent of you take? Explain.
both parties concerned?
A: If I were Atty. Anama, I will choose the first
A: Where the conflict is: option and inhibit myself in the case as both entities
1. Between the attorney’s interest and that are my clients. The conflict of interests between the
of a client; or contending clients may reach such a point that,
2. Between a private client’s interests and notwithstanding their consent to the common
that of the government or any of its representation, the lawyer may be suspected of
instrumentalities. disloyalty by one client. His continuing to act in a
double capacity strikes deeply in the foundation of
Q: What are the effects of representing adverse the attorney-client relationship.
interests?
Q: Atty. Sagucio was the former Personnel
A: DJ-FAC Manager and Retained Counsel of Taggat
1. Disqualification as counsel of new client Industries Inc. until his appointment as Assistant
on petition of former client; Provincial Prosecutor of Tuguegarao. Taggat
2. Where such is unknown to, and becomes Industries was sequestered by the PCGG and thus
prejudicial to the interests of the new ceased its operations. As Assistant Provincial
client, a Judgment against such may, on Prosecutor, he assigned to conduct the preliminary
that ground, be set aside; investigation over a criminal case filed against
3. The attorney’s right to Fees may be Taggat Industries. He recommended the filing of
defeated if found to be related to such 651 informations for violation of the Labor Code.
conflict and such was objected to by the He was charged for violating Rule 15.03 of the
former client, or if there was a Code of Professional Responsibility and for defying
concealment and prejudice by reason of the prohibition against private practice of law
the attorney’s previous professional while working as government prosecutor. Is Atty.
relationship with the opposite party; Sagucio guilty of engaging in private practice of
4. A lawyer can be held Administratively law while working as an Assistant Provincial
liable through disciplinary action and may Prosecutor?
be held Criminally liable for betrayal of
trust. A. Yes. “Private practice of law” contemplates a
succession of acts of the same nature habitually or
Q: Huey Company and Dewey Corporation are customarily holding one’s self to the public as a
both retainer clients of Atty. Anama. He is the lawyer.
corporate secretary of Huey Company. He
represents Dewey Corporation in three pending Atty. Sagucio admitted that he rendered his legal
litigation cases. Dewey Corporation wants to file a services to complainant while working as a
civil case against Huey Company and has government prosecutor. Even the receipts he
requested Atty. Anama to handle the case. What signed stated that the payments by Taggat were for
are the options available to Atty. Anama? Explain "Retainer’s fee.” Thus, as correctly pointed out by
your answer. complainant, Atty. Sagucio clearly violated the

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
73
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

prohibition in RA 6713. Q: A difficult client directed his counsel to bring up


to the Supreme Court the trial court’s dismissal of
Atty. Sagucio’s violation of RA 6713 also constitutes their action. Counsel believes that the trial court
a violation of Rule 1.01 of Canon 1, which mandates acted correctly and that an appeal would be futile.
that “[a] lawyer shall not engage in unlawful, Which of the following options should counsel
dishonest, immoral or deceitful conduct.” His take?
admission that he received from Taggat fees for A. Withdraw from the case to temper the client’s
legal services while serving as a government propensity to litigate.
prosecutor is an unlawful conduct, which B. Engage a collaborating counsel who can assist in
constitutes a violation of Rule 1.01. (Lim- Santiago the case.
v. Saguico, A.C. No. 6705, Mar. 31,2006) C. Submit a new retainer proposal to the client for
a higher fee.
Note: Violations of RA 6713 are not subject to D. Elevate the case to the Supreme Court as
disciplinary action under the Code of Professional directed by client
Responsibility unless the violations also constitute
infractions of specific provisions of the Code of A: A (2011 Bar Question)
Professional Responsibility. Certainly, the IBP has no
jurisdiction to investigate violations of RA 6713 – the Q: Consorcia Rollon went to the office of Atty.
Code of Conduct and Ethical Standards for Public Camilo Naraval to seek his assistance in a case filed
Officials and Employees – unless the acts involved also
against her by Rosita Julaton for Collection of Sum
transgress provisions of the Code of Professional
of Money with Prayer for Attachment. After going
Responsibility.
over the documents she brought with her, Atty.
Naraval agreed to be her lawyer and she was
Rule 15.04, Canon 15, CPR
required to pay P8,000.00 for the filing and partial
A lawyer may, with the written consent of all
service fee. Atty. Naraval did not inform her that
concerned, act as mediator, conciliator or
the said civil suit has been decided against her and
arbitrator in setting the disputes. which judgment has long become final and
executory.
Note: Where the lawyer performs the function of
mediator, conciliator, or arbitrator in disputes where Atty. Naraval was not able to act on the case.
the lawyer labors under a conflict of interest, he
Because of this, Rollon wanted to withdraw the
remains subject to the requirement of a prior written
amount she has paid and to retrieve the
informed consent from all parties concerned. The
requirement subsists even if the adverse interest is
documents pertaining to said case. Unfortunately,
very slight, and notwithstanding the lawyer’s honest despite several follow-ups, Atty. Naraval always
intention and motive. (CPR Annotated, PhilJA) said that he cannot return the documents because
they were in their house, and that he could not
Candid and Honest Advice to Clients give her back the P8,000.00 because he has no
money. Did Atty. Naraval fail to fulfill his
undertakings?
Rule 15.05, Canon 15, CPR
A lawyer when advising his client, shall give a
A: Yes. Despite his full knowledge of the finality
candid and honest opinion on the merits and
probable results of the client’s case, neither based on the documents furnished to him, Atty.
Naraval withheld such vital information and did not
overstating nor understating the prospects of the
properly appraise Rollon. He should have given her
case.
a candid and honest opinion on the merits and the
status of the case. But he withheld such vital
Note: The lawyer must temper his client’s propensity
information. He did not inform her about the
to litigate. (Cobb-Perez v. Lantin, G.R. No. L-22320, July
29, 1968)
finality of the adverse judgment. Instead, he
demanded P8,000 as “filing and service fee” and
As officers of the court, counsels are under obligation thereby gave her hope that her case would be acted
to advise their clients against making untenable and upon.
inconsistent claims. The counsel should inform his
client and dissuade him from filing the case if it is Rule 15.05 of the Code of Professional
totally devoid of merit. If he finds that his client’s cause Responsibility requires that lawyers give their
is fairly meritorious and ripe for judicial adjudication, candid and best opinion to their clients on the merit
he should refrain from making bold and confident or lack of merit of the case, neither overstating nor
assurance of success. understating their evaluation thereof. Knowing
whether a case would have some prospect of

74
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

success is not only a function, but also an obligation Rule 15.06, Canon 15, CPR
on the part of lawyers. If they find that their client's A lawyer shall not state or imply that he is able to
cause is defenseless, then it is their bounden duty influence any public official, tribunal or legislative
to advise the latter to acquiesce and submit, rather body.
than to traverse the incontrovertible. (Rollon v.
Naraval, A.C. No. 6424, Mar. 4, 2005) Note: This rule is known as INFLUENCE-PEDDLING. It is
improper for a lawyer to show in any way that he has
Note: As officers of the court, counsels are under the connections and can influence any tribunal or public
obligation to advise their client against making official, judges, prosecutors, congressmen and others,
untenable and inconsistent claims. Lawyers are not especially so if the purpose is to enhance his legal
merely hired employees who must unquestionably do standing and to entrench the confidence of the client
the bidding of the client, however unreasonably this that his case or cases are assured of victory.
may be when tested by their own expert appreciation
of the facts and applicable law and jurisprudence. Q: In a case for inhibition filed against Judge Paas,
COUNSEL MUST COUNSEL. (Periquet v NLRC, G.R. No. it was found that her husband, Atty. Renerio Paas,
91298, June 22, 1990). was using his wife's office as his office address in
his law practice. Judge Paas admitted that Atty.
Q: A Criminal Case was for Perjury and initiated by Paas did use her office as his return address for
the complainant's wife, Leni. This complaint arose notices and orders in 2 criminal cases, lodged at
from the alleged untruthful statements or the Pasay City RTC, but only to ensure and
falsehoods in the complainant's Petition for facilitate delivery of those notices, but after the
Naturalization. In due course, an information was cases were terminated, all notices were sent to his
filed in MCTC charging the complainant herein office address in Escolta. Was Atty. Paas’ act of
with perjury allegedly committed. It was alleged using his wife’s office as his office address
that the accused knew that his wife and children unprofessional and dishonorable?
were not residing at the said address stated in his
petition, having left 5 years earlier. The accused A: Yes. By allowing Atty. Paas to use the address of
was also alleged to be carrying out an immoral and her court in pleadings before other courts, Judge
illicit relationship. Paas had indeed allowed her husband to ride on her
prestige for the purpose of advancing his private
After trial, the Judge Tiongson rendered judgment interest.
and found the complainant herein guilty beyond
reasonable doubt of the crime of perjury. Thus, Atty. Paas is guilty of simple misconduct because of
Judge Chiongson was charged with grave using a fraudulent, misleading, and deceptive
misconduct, gross bias and partiality and having address that had no purpose other than to try to
knowingly rendered an unjust judgment in said impress either the court in which his cases are
criminal case. Complainant alleged that the said lodged, or his client, that he has close ties to a
judge failed to divulge the next-door-neighbor member of the judiciary, in violation of the Code of
relationship between him and the family of Leni Professional Responsibility.
and to disqualify himself from sitting in the said
case. Is respondent judge guilty for not The need for relying on the merits of a lawyer's
disqualifying himself from the said case? case, instead of banking on his relationship with a
member of the bench which tends to influence or
A: No. As to the respondent Judge's being a next- gives the appearance of influencing the court,
door neighbor of the complainant's wife the cannot be overemphasized. It is unprofessional and
complainant in the perjury case it must be stressed dishonorable, to say the least, to misuse a public
that that alone is not a ground for either a office to enhance a lawyer's prestige. Public
mandatory disqualification under the first confidence in law and lawyers may be eroded by
paragraph or for a voluntary disqualification under such reprehensible and improper conduct. (Paas v.
the second paragraph of Section 1, Rule 137 of the Almarvez, A.M. No. P-03-1690, Apr. 4, 2003)
Rules of Court. In any event, the complainant has
failed to disclose in his complaint that he had raised Compliance with Laws
this matter at any time before the rendition of the
judgment. In fact, the summary of the grounds of
Rule 15.07, Canon 15, CPR
his motion for reconsideration in the respondent's
A lawyer shall impress upon his client compliance
order denying the said motion does not include this
with the laws and the principle of fairness.
matter. (Choa v. Chiongson, A.M. No. MTJ-95- 1063,
Feb. 9, 1996)
Q: Maria Cielo Suzuki entered into contracts of

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
75
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

sale and real estate mortgage with several c. CLIENT’S MONEYS AND PROPERTIES
persons. The sale and mortgage transactions were
facilitated by Atty. Erwin Tiamson, counsel of the CANON 16, CPR
sellers. Suzuki paid P80,000 as her share in the A LAWYER SHALL HOLD IN TRUST ALL MONEYS
expenses for registration. He retained in his AND PROPERTIES OF HIS CLIENT THAT MAY COME
possession the subject deeds of absolute sale and INTO HIS POSSESSION.
mortgage as well as the owner's copy of the title. (2008 Bar Question)
However, he never registered the said documents
and did not cause the transfer of the title over the Money collected by the lawyer on a judgment
subject property in the name of Suzuki. Atty. favorable to his client constitute trust funds and
Tiamson said that he did not register the deed of should be immediately paid over to the client.
sale to protect the interest of his client and even if While Section 37, Rule 138 of the Rules of Court
the same has been registered, he cannot give him grants the lawyer a lien upon the funds, documents
the owner's duplicate copy until purchase price for and papers of his client, which have lawfully come
the subject property has been fully paid and the into his possession, such that he may retain the
real estate mortgage cancelled. Is Atty. Tiamson same until his lawful fees and disbursements have
justified in not registering the transaction? been paid, and apply such funds to the satisfaction
thereof, the lawyer still has the responsibility to
A: No. Rule 15.07 obliges lawyers to impress upon promptly account to his client for such moneys
their clients compliance with the laws and the received. Failure to do so constitutes professional
principle of fairness. To permit lawyers to resort to misconduct.
unscrupulous practices for the protection of the
supposed rights of their clients is to defeat one of The lawyer’s failure to turn over such funds,
the purposes of the State, the administration of moneys, or properties to the client despite the
justice. While lawyers owe their entire devotion to latter’s demands give rise to the presumption that
the interest of their clients and zeal in the defense the lawyer had converted the money for his
of their client's right, they should not forget that personal use and benefit. This failure also renders
they are, first and foremost, officers of the court, the lawyer vulnerable to judicial contempt under
bound to exert every effort to assist in the speedy Section 25, Rule 138 of the Rules of Court. (CPR
and efficient administration of justice. The client's Annotated, PhilJA)
interest is amply protected by the real estate
mortgage executed by complainant. Thus, Atty. Q: Luis de Guzman as defendant in a civil case,
Tiamson failed to live up to this expectation. (Suzuki obtained an adverse judgment. His counsel was
v. Tiamson, A.C. No. 6542, Sept. 30, 2005) Atty. Emmanuel Basa. He wants to challenge the
decision through a petition for certiorari. It was
Concurrent Practice of Another Profession agreed that Luis will pay P15,000 for said legal
service. Atty. Basa collected a down payment of
Rule 15.08, Canon 15, CPR P5,000. However, no such petition was filed. He
A lawyer who is engaged in another profession or did not seasonably file with the CA the required
occupation concurrently with the practice of law appellant’s brief resulting in the dismissal of the
shall make clear to his client whether he is acting appeal. Despite several extensions to file the
as a lawyer or in another capacity. appellant’s brief, Atty. Basa failed to do so.
Instead, he filed two more motions for extension.
Rationale: Intended to avoid confusion; it is for the When he filed the appellant’s brief, it was late,
benefit of both the client and the lawyer (Funa, being beyond the last extension granted by the
2009). appellate court. Was Atty. Emmanuel Basa
negligent in the performance of his professional
Note: The lawyer should inform the client when he is duty to Luis de Guzman?
acting as a lawyer and when he is not, because certain
ethical considerations governing the client-lawyer A: Yes, he is guilty of gross misconduct. Where a
relationship may be operative in one case and not in client gives money to his lawyer for a specific
the other. (Report of the IBP Committee, p.84) purpose, such as to file an action or appeal an
adverse judgment, the lawyer should, upon failure
A party’s engagement of his counsel in another to take such step and spend the money for it,
capacity concurrent with the practice of law is not immediately return the money to his client. His
prohibited, so long as the roles being assumed by such unjustified withholding of Luis’money is a gross
counsel is made clear to the client. (New Sampaguita violation of the general morality and professional
Builder Construction, Inc. v. Philippine National Bank, ethics. (De Guzman v. Atty. Emmanuel Basa, A.C.
G.R. No. 148753, July 30, 2004)

76
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

No. 5554, June 29, 2004) another case;


7. In a contract for attorney’s fees
Q: Is a lawyer prohibited from acquiring properties contingent upon the outcome of the
of his client? litigation (contingent fee arrangement);
and
A: Yes, pursuant to Canon 16 of the Code of 8. When any of the four elements of Art.
Professional Responsibility. 1491 is missing.

Furthermore, Article 1491 of the Civil Code states Q: What are the effects of violation of such
that: provision?
“The following persons cannot acquire or
purchase, even at public or judicial auction, either A:
in person or through the mediation of another: 1. Malpractice on the part of the lawyer and
xxx may be disciplined for misconduct;
(5) lawyers, with respect to the property and rights 2. Transaction is null and void.
which may be the object of any litigation in which
they take part by virtue of their profession.” Fiduciary Relationship

Note: This prohibition is entirely independent of fraud Rule 16.01, Canon 16, CPR
and such need not be alleged or proven. A lawyer shall account for all money or property
Art. 1491 (5) of the NCC applies only if the sale or collected or received for or from the client.
assignment of the property takes place during the
pendency of the litigation involving the client’s
Note: A lawyer must be scrupulously careful in
property. (Ramos v. Ngaseo, A.C. No. 6210, Dec. 9,
handling money entrusted to him in his professional
2004)
capacity, because of the high degree of fidelity and
good faith expected on his part. (Medina v. Bautista,
Q: What are the elements of prohibition against A.C. No. 190, Sept. 26, 1964)
the purchase of property in litigation under Art.
1491 of the NCC? Q: What is the nature of attorney-client
relationship?
A:
1. There is an attorney-client relationship; A: An attorney-client privilege is highly fiduciary as
2. The property is in litigation; it is founded on trust and confidence where the
3. The attorney is the counsel of record in lawyer acts as the trustee and the client acting as
the case; and trustor in regard to the matter subject of the
4. The attorney, by himself or through an professional engagement. ( Antiquiera, 2007)
agent, purchases such property during the
pendency of said case. Q: Atty. Ramon borrowed his client's (Menchu)
land title. After eight months, Menchu demanded
Q: What are the instances where the rule under its return but he failed to comply and changed his
Article 1491 of NCC is inapplicable? residence. After Menchu tracked him down, she
confronted him about the title. He then offered to
A: just buy the property and gave her five checks for
1. Where the property purchased by the it but these bounced. Charged with malpractice,
lawyer was not involved in the litigation. Atty. Ramon answered that his license to practice
2. Where the sale took place before it law cannot be in issue. He merely incurred civil
became involved in the suit; liability for a failed transaction. Will the
3. Where the attorney at the time of the malpractice action prosper?
purchase was not the counsel in the case;
4. Where the purchaser of the property in A: Yes, he has taken advantage of Menchu who was
litigation was a corporation even though not fully protected and had no independent advice.
the attorney was an officer thereof; (2011 Bar Question)
5. Where the sale took place after the
termination of the litigation; Q: X sought assistance to the President of the IBP
6. A lawyer may accept an assignment from to enable him to talk to Atty. U who had allegedly
his client of a money judgment rendered been avoiding him for more than a year. Atty. U
in the latter’s favor in a case in which he failed to turn–over to his client the amount given
was not counsel, in payment of his to him by X as settlement for a civil case. Is Atty. U
professional services performed in

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
77
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

guilty for violating Canon 16 of the Code of 4. Libelous words in pleadings; violation of
Professional Responsibility? communication privilege;
5. Liability for costs of suit (treble costs) –
A: Yes. The Code of Professional Responsibility when lawyer is made liable for insisting
mandates every lawyer to hold in trust all money on client's patently unmeritorious case or
and properties of his client that may come into his interposing appeal merely to delay
possession. A lawyer’s failure to return upon litigation
demand the funds or property held by him on
behalf of his client gives rise to the presumption Q: What are the effects of lawyer’s failure to
that he has appropriated the same for his own use return client’s money or property after demand?
to the prejudice of, and in violation of the trust
reposed in him by, his client. The relation between A:
attorney and client is highly fiduciary in nature. 1. There will be a presumption that the
Being such, it requires utmost good faith, loyalty, lawyer misappropriated the same.
fidelity and disinterestedness on the part of the 2. It will give rise to civil liability of the
attorney. Its fiduciary nature is intended for the lawyer.
protection of the client. 3. Criminal liability
4. Administrative liability
For misappropriating and failing to promptly report
and deliver the money report and deliver the Note: Obviously, respondent’s failure to return the
money received on behalf of their children of their balance to complainant upon demand gave rise to the
clients, some lawyers have been disbarred while presumption that he misappropriated it in violation of
others have been suspended for six months. Since it the trust reposed on him. (Villanueva v. Ishiwata, A.C.
appears to be the first case of respondent lawyer, No. 5041, Nov. 23, 2004)
the lighter penalty is imposed on him. (Espiritu vs.
Ulep, A.C. No. 5808, May 4, 2005) Q: When is a lawyer not liable for libelous words in
the pleadings?
Q: What is fiduciary duty?
A: A lawyer is exempted from liability for slander,
A: The principle that an attorney derives no undue libel or for words otherwise defamatory, published
advantage that may operate to the prejudice or in the course of judicial proceedings, provided the
cause an occasion for loss of a client. The statements are connected with, relevant, pertinent
relationship between the lawyer and client is one of and material to the cause in hand or subject of
mutual trust and confidence of the highest degree. inquiry.

Q: When will the liability of a lawyer for “breach of Note: Test of relevancy – The matter to which the
privilege does not extend must be palpably wanting in
fiduciary obligation” arise?
relation to the subject of controversy, that no
A: A lawyer may be held liable if he fails in his
reasonable man can doubt its relevancy or propriety.
obligation to make an accounting of funds or
property that may come to his possession for a Pleadings should contain plain and concise statements
lawyer holds his client’s funds or property in trust of material facts and if pleader goes beyond requisites
for his client. of law and alleges irrelevant matter, which is libelous,
he loses his privilege and may be liable in a separate
Q: What are the requisites for the liability of a suit.
lawyer for damages?
A: AWI Q: When will criminal liability exist?
1. Attorney-client relationship;
2. Want of reasonable care and diligence by A: A lawyer may be held criminally liable if he
lawyer; and commits any of the following:
3. Injury sustained by client as a proximate 1. Causing prejudice to the client thru
result of the lawyer’s negligence. malicious breach of professional duty or
thru inexcusable negligence or ignorance;
Q: When will civil liability arise? 2. Revealing client’s secrets learned in
A: lawyer’s professional capacity thru
1. Client is prejudiced by lawyer's negligence malicious breach of professional duty or
or misconduct; inexcusable negligence or ignorance;
2. Breach of fiduciary obligation; 3. A lawyer who has undertaken the defense
3. Civil liability to third persons; of a client or has received confidential

78
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

information from said client in a case may deliver said money to the court or to the bank. Did
be criminally liable for undertaking Atty. Caredo commit a breach of trust?
defense of opposing party in same cause
without consent of first client; (Art. 209, A: Yes. His act amounted to deceit in violation of his
RPC) oath. The relationship between a lawyer and a
4. A lawyer who shall knowingly introduce in client is highly fiduciary; it requires a high degree of
evidence in any judicial proceeding or to fidelity and good faith. Hence, in dealing with trust
the damage of another or who, with property, a lawyer should be very scrupulous.
intent to cause such damage, shall use Money or other trust property of the client coming
any false document may be held into the possession of the lawyer should be
criminally liable therefor; (Art. 172, RPC) reported by the latter and account any
and circumstances, and should not be commingled with
5. A lawyer who is appropriates his client’s his own or be used by him. (Espiritu v. Cabredo, A.C.
funds may be held liable for estafa. No. 5831, Jan. 13, 2003)

Note: When a lawyer collects or receives money from Delivery of Funds


his client for a particular purpose, he should promptly
account to the client how the money was spent. His Rule 16.03, Canon 16, CPR
failure either to render an accounting or to return the A lawyer shall deliver the funds and property of his
money (if the intended purpose of the money does not
client when due or upon demand. However, he
materialize) constitutes a blatant disregard of Rule
shall have a lien over the funds and may apply so
16.01 of the CPR. (Belleza v. Malaca, A.C. No. 7815,
much thereof as may be necessary to satisfy his
July 23, 2009)
lawful fees and disbursements, giving notice
If a lawyer does not use the money for the intended promptly thereafter to his client. He shall also have
purpose, the lawyer must immediately return the a lien to the same extent on all judgments and
money to the client. (Villanueva v. Gonzales, A.C. No. executions he has secured for his client as provided
7657, Feb. 12, 2008) for in the Rules of Court.

Conversion by a lawyer of the funds entrusted to him is Q. May a counsel unilaterally retain or appropriate
a gross violation of professional ethics and a betrayal funds of his client as his attorney’s lien?
of the public confidence in the legal profession.
(Villanueva v Ishiwata A.C. No. 5041, Nov. 23, 2004) A: No. A counsel has no right to retain or
appropriate unilaterally as lawyer’s lien any amount
Co-Mingling of Funds belonging to his client which may come into his
possession. (Cabigao v. Rodrigo, Aug. 9,1932)
Rule 16.02, Canon 16, CPR
A lawyer shall keep the funds of each client Note: While this rule provides that the lawyer has the
separate and apart from his own and those of right to retain the funds of his client as may be
others kept by him. necessary to satisfy his lawful fees and disbursements
known as attorney’s lien and his lien to the same
Failure of the lawyer to account all the funds and extent on all judgments and executions he has secured
property of his client which may come into his for his client called charging lien, he is still dutybound
possession would amount to misappropriation to render an accounting of his client’s funds and
property which may come into his possession in the
which may subject him to disbarment on the
course of his professional employment In the
ground of grave misconduct or a criminal
application of attorney’s lien, a lawyer shall give notice
prosecution for estafa under Art. 315, par. 1(b) of to his client otherwise, the same might be construed as
the RPC. (See also: Rule 16.01) misappropriation which may subject him to disciplinary
action. (Antiquiera, 2007)
Q: BPI filed two complaints for replevin and
damages against Esphar Medical Center Inc. and its Q: After Atty. Benny got a P2 million final
president Cesar Espiritu. Espiritu engaged the judgment in his client’s favor, he promptly asked
services of Atty. Juan Cabredo IV. While these the court, without informing his client, to allow
cases were pending in court, the latter advised him a charging lien over the money in the amount
Esphar to remit money and update payments to of P500,000, his agreed fees. The Court issued a
the bank through the trial court. Accordingly, writ of execution for the whole judgment in Atty.
Esphar's representative delivered a total of Benny's name with an order for him to turn over
P51,161 to Atty. Cabredo's office. However, the the excess to his client. Is Atty. Benny’s action
management of Esphar found out that he did not correct?

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
79
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

A: No, since he did not disclose to his client the XPN: Unless the client’s interests are fully
matter of getting a charging lien and a writ of protected by the nature of the case or by
execution in his name. (2011 Bar Question) independent advice.

Q: Fernandez engaged the services of Atty. Cabrera Note: While the lawyer may borrow money from his
II to handle the cases of her associates in Baguio client, where the client’s interests are fully protected
City. After taking hold of the records of the cases by the nature of the case he is handling for the client,
that Fernandez entrusted to him and after getting or by independent advice from another lawyer, he
initially paid for the services he would render, should not abuse the client’s confidence by delaying
Atty. Cabrera II suddenly disappeared and could payment. (Alindogan v. Geron, G.R. Admin. Case No.
no longer be located in his given address or in the 221, May 21, 1958).
addresses that Fernandez gathered. Did Atty.
Cabrera II violate the Code of Professional Q: Is a lawyer allowed to lend money from his
Responsibility when he accepted the records and client?
money of the complainant and thereafter failed to
render his services? A:
GR: No.
A: Yes. Acceptance of money from a client XPN: When in the interest of justice, he has to
establishes an attorney-client relationship and gives advance necessary expenses in a legal matter
rise to the duty of fidelity to the client's cause. The he is handling for the client.
Canons of Professional Responsibility require that
Note: Prohibition from lending is intended to assure
once an attorney agrees to handle a case, he should
the lawyer’s independent professional judgment, for if
undertake the task with zeal, care, and utmost
the lawyer acquires a financial interest in the outcome
devotion. of the case the free exercise of his judgment may be
adversely affected. (Agpalo, 2004; Comment of IBP
Atty. Cabrera's action projects his appalling Committee that drafted the Code, p.90)
indifference to his client's cause and a brazen
disregard of his duties as a lawyer. Not only did he Q: Atty. Lozada was the retained counsel and legal
fail to render service of any kind, he also absconded adviser of Frias to which all documents and titles
with the records of the cases with which he was of properties of the latter were entrusted to. Atty.
entrusted. Then to top it all, he kept the money Lozada persuaded Frias to sell her house, the
complainant paid to him. Such conduct is former acting as broker since she was in need of
unbecoming of a member of the bar, for a lawyer's money. Dra. San Diego, the prospective buyer then
professional and personal conduct must at all times handed 2 million in cash and 1 million in check and
be kept beyond reproach and above suspicion. The out of the 2 million, Atty. Lozada took 1 million as
duty of a lawyer is to uphold the integrity and her commission without Frias’ consent. When Dra.
dignity of the legal profession at all times. This can San Diego backed out from the sale, Frias tried to
only be done by faithfully performing the lawyer's recover from Atty. Lozada the title to the property
duties to society, to the bar, to the courts and to his and other documents but Atty. Lozada started
clients. (Fernandez v. Atty. Cabrera II, A.C. No. 5623, avoiding her. Dra. San Diego filed a case against
Dec. 11, 2003) Frias to return the 3 million she paid plus interest.
Frias claimed that her failure to return the money
Borrowing or Lending was because of Atty. Lozada’s refusal to give
back the 1 million she took as commission. A case
Rule 16.04, Canon 16, CPR was filed by Frias against Atty. Lozada but despite
A lawyer shall not borrow money from his client the favourable decision, respondent refused to
unless the client's interest are fully protected by return the money.
the nature of the case or by independent advice.
Neither shall a lawyer lend money to a client Atty. Lozada claimed that since she did not have
except, when in the interest of justice, he has to enough money, Frias requested her to sell or
advance necessary expenses in a legal matter he is mortgage the property and offered her a loan,
handling for the client. commission and attorney’s fees on the basis of the
selling price. He denied that Frias previously
Q: Is a lawyer allowed to borrow money from his demanded the return of 1 million until the civil
client? case against her was instituted in which she
expressed her willingness to pay the 900,000 plus
A: agreed interest. Did Atty. Lozada commit a
GR: No. violation of the Code of Professional Responsibility

80
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

in asking for a loan from her client? lawyer knows his whereabouts;
3. When the client is living somewhere
A: Yes. Her act of borrowing money from a client under an assumed name; and
was a violation of Canon 16.04 of the Code of 4. The communication involves the
Professional Responsibility. commission of future fraud or crime.

A lawyer’s act of asking a client for a loan, as what Q: Genato filed a disbarment case against Atty.
respondent did, is very unethical. It comes within Silapan for allegedly breaking their confidential
those acts considered as abuse of client’s lawyer-client relationship by disclosing
confidence. The canon presumes that the client is confidential information against him. In his
disadvantaged by the lawyer’s ability to use all the answer, Atty. Silapan contended that he used the
legal maneuverings to renege on her obligation. confidential statements in the course of judicial
(Frias v. Lozada, A.C. NO. 6656, Dec. 13,2005) proceedings in order to defend his case and to
discredit Genato’s credibility by establishing
Note: The principle behind Rule 16.04 is to prevent the his criminal propensity to commit fraud, tell lies
lawyer from taking advantage of his influence over the and violate the laws. Is Atty. Silapan guilty of
client or to avoid acquiring a financial interest in the breach of trust and confidence by imputing to
outcome of the case. Genato illegal practices and disclosing Genato’s
Not prohibited: advances for necessary expenses. alleged intention to bribe government officials in
connection with a pending case?
d. FIDELITY TO CLIENT’S CAUSE
A: No. It must be stressed that the privilege against
CANON 17, CPR disclosure of confidential communications or
A LAWYER OWES FIDELITY TO THE CAUSE OF HIS information is limited only to communications
CLIENT AND HE SHALL BE MINDFUL OF THE TRUST which are legitimately and properly within the
AND CONFIDENCE REPOSED IN HIM. scope of a lawful employment of a lawyer. It does
(2007, 2008 Bar Questions) not extend to those made in contemplation of a
crime or perpetration of a fraud. If the unlawful
Note: Loyalty to a client does not require a lawyer to purpose is avowed, as in this case, the
adopt a client’s political, social and economic views, or
complainant's alleged intention to bribe
refrain from a political activity that maybe in
government officials in relation to his case, the
opposition to a client’s position.
communication is not covered by the privilege as
the client does not consult the lawyer
Q: When does the lawyer’s duty of fidelity to his
professionally. It is not within the profession of a
client’s cause commence?
lawyer to advise a client as to how he may commit a
crime as a lawyer is not a gun for hire. Thus, the
A: Lawyer’s duty of fidelity commences from receipt
attorney-client privilege does not attach, there
of his retainer until his effective release from the
being no professional employment in the strict
case or the final disposition of the whole subject
sense. (Genato v. Atty. Silapan, A.C. No. 4078, July
matter of the litigation. During that period, he is
14, 2003)
expected to take such reasonable steps and such
ordinary care as his client’s interest may require.
Q: Schulz, a German national filed a complaint for
(CPR Annotated, PhilJA)
disbarment against Atty. Flores. He alleged that he
Note: Acceptance of money from a client establishes
engaged the services of Atty. Flores for the
an attorney-client relationship and gives rise to the purpose of filing a complaint against Ong for
duty of fidelity to the client’s cause. Every case revocation of contract and damages. Atty. Flores
accepted by a lawyer deserves full attention, diligence, advised him that there was no need to refer the
skill and competence, regardless of importance. complaint to barangay conciliation. Three months
(Rollon v. Atty. Naraval, A.C. No. 6424, Mar. 4, 2005) later, Atty. Flores instructed him to file his
complaint with the Lupon Tagapamayapa. Ong
Q: What are the exceptions to the general rule refused to appear at the conciliation hearings,
that the obligation to keep secrets covers only arguing that the Lupon had no jurisdiction over his
lawful purposes? person because he was a resident of another
barangay. Thus, Schulz brought the complaint
A: before the barangay in which Ong is a resident. By
1. Announcements of a client’s intention to that time, however, Schulz learned that Ong had
commit a crime; already filed a case for specific performance
2. When the client jumped bail and the against him. Schulz argued that Atty. Flores’

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
81
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

inordinate delay in acting on his case resulted in e. COMPETENCE AND DILIGENCE


his being defendant rather than a complainant
against Ong. Is the actuation of Atty. Flores in CANON 18, CPR
causing the delay of bringing the dispute under the A LAWYER SHALL SERVE HIS CLIENT WITH
system of barangay conciliation reprehensible as COMPETENCE AND DILIGENCE.
to warrant the suspension of Atty. Flores? (1998, 2001, 2002, 2005, 2008 Bar Questions)

A: Yes. Atty. Flores committed a serious Note: Diligence is the attention and care required of a
transgression when he failed to exert his utmost person in a given situation and is the opposite of
learning and ability to give entire devotion to his negligence. It is axiomatic in the practice of law that
client's cause. His client had relied upon him to file the price of success is eternal diligence to the cause of
the complaint with dispatch so that he would not the client. (Edquibal v. Ferrer, A.C. No. 5687, Feb. 3,
be pre-empted by the adverse party. But he failed 2005)
him. As a consequence of Att. Flores' indolence, his
client was haled to court as a party-defendant. It Q: In a criminal case for rape with homicide, the
therefore behooves this Court to wield its accused pleaded guilty. However, the three PAO
corrective hand on this inexcusable infraction which lawyers assigned as counsel de oficio did not
caused undeserved and needless prejudice to his advise their client of the consequences of pleading
client's interest, adversely affected the confidence guilty; one PAO lawyer left the courtroom during
of the community in the legal profession and trial and thus was not able to cross-examine the
eroded the public's trust in the judicial system. As prosecution witnesses. The other postponed the
an attorney, Atty. Flores is sworn to do his level presentation of evidence for the defense, and
best and to observe full fidelity to the court and his when he appeared, he said he would rely solely on
clients. (Schulz v. Atty. Flores, A.C. No. 4219, Dec. 8, the plea of guilty, in the belief that it would lower
2003) the penalty to reclusion perpetua. Should the
three PAO lawyers be disciplined?
Q: Matias Lagramada residing with his uncle,
Apolonio Lagramada, was invited by the latter to A: Yes. All three (3) of them displayed manifest
accompany him to the police station, supposedly disinterest on the plight of their client. They lacked
to pick up a refrigerator they were to repair. Upon vigor and dedication to their work.
their arrival there, Matias was immediately taken
in and locked behind bars. Two information were Canon 18 of the Code of Professional Responsibility
filed against him only 10 months after the first day requires every lawyer to serve his client with
of his incarceration. With the assistance of utmost dedication, competence and diligence. He
counsel, Matias pleaded not guilty when must not neglect a legal matter entrusted to him,
arraigned, without raising the invalidity of the and his negligence in this regard renders him
arrest. Was the case properly handled? administratively liable. Obviously, in the instant
case, the defense lawyers did not protect, much
A: No. Lawyers owe fidelity to the cause of their less uphold, the fundamental rights of the accused.
clients and must be mindful of the trust and Instead, they haphazardly performed their function
confidence reposed in them. Matias’ counsel, in the as counsel de oficio to the detriment and prejudice
spirit of safeguarding his client’s rights, should have of the accused Sevilleno, however guilty he might
taken the necessary steps to correct the situation. have been found to be after trial. (People v.
However, he allowed his client to enter a plea Sevilleno, G.R. No. 129058, Mar. 29, 1999)
during the latter’s arraignment without raising the
invalidity of arrest. Thus, the former effectively Collaborating Counsel
waived his client’s right to question its validity.
Defense counsels are expected to spare no effort to Rule 18.01, Canon 18, CPR
save the accused from unrighteous incarcerations. A lawyer shall not undertake a legal service which
he knows or should know that he is not qualified to
Matias’ counsel should have not only perfunctorily render. However, he may render such service if,
represented his client during the pendency of the with the consent of his client, he can obtain as
case, but should have kept in mind his duty to collaborating counsel a lawyer who is competent
render effective legal assistance and true service by on the matter.
protecting the latter’s rights at all times. (People v.
Lagramada, G.R. Nos. 146357 & 148170, Aug. 29, The lawyer’s acceptance is an implied
2002) representation that he possesses the academic
learning, skill and ability to handle the case.

82
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Q: Who is a Collaborating Counsel? Even if a lawyer was "honestly and sincerely"


protecting the interests of his client, the former still
A: Is one who is subsequently engaged to assist a had no right to waive the appeal without the latter's
lawyer already handling a particular case for a knowledge and consent. (Abay v. Atty. Montesino, A.C.
client. (Pineda, 2009) No. 5718, Dec. 4, 2003)

Note: The handling lawyer cannot just take another Q: As an incident in the main case, Velasquez
counsel without the consent of the client. The new appointed his counsel as attorney-in-fact to
lawyer on the other hand cannot just enter his represent him at the pre-trial. Counsel failed to
appearance as collaborating counsel without the appear, hence Velasquez was declared in default.
conformity of the first counsel. (Ibid.) The order of default was received by counsel but
no steps were taken to have it lifted or set aside.
The same diligence required of the first counsel is Decide.
required of the collaborating counsel. The negligence
of the latter is also binding on the client. (Sublay v. A: It is binding on Velasquez who is himself guilty of
NLRC, G.R. No. 130104. Jan. 31, 2000; Pineda 2009) negligence when, after executing the special power
of attorney in favor of his lawyer, he left for abroad
Negligence and apparently paid no further attention to his case
until he received the decision. There is therefore no
Rule 18.03, Canon 18, CPR fraud, accident, mistake or excusable negligence
A lawyer shall not neglect a legal matter entrusted which will warrant a lifting of the order of default.
to him and his negligence in connection therewith As a general rule, a client is bound by the mistakes
shall render him liable. (1998, 2002 Bar Questions) of his counsel; more so by the result of his own
negligence. (Velasquez v. CA, G.R. No. 124049, June
Q: What degree of diligence or vigilance is 30, 1999)
expected from a lawyer?
Rule 18.02, Canon 18, CPR
A: The legal profession demands of a lawyer that A lawyer shall not handle any legal matter without
degree of vigilance and attention of a good father adequate preparation.
of a family (Lapena, 2009) or ordinary pater familias
(Pineda, 2009). He is not required to exercise A lawyer should prepare his pleadings with great
extraordinary diligence. (Edquibal v. Ferrer, Jr., A.C. care and circumspection. He should refrain from
No. 5687, Feb. 3, 2005) using abrasive and offensive language, for it merely
weakens rather than strengthens the force of legal
Note: The attorney’s duty to safeguard the client’s reasoning and detracts from its persuasiveness. In
interests commences from his retainer until his preparing a complaint for damages, counsel for
effective release from the case or the final disposition
plaintiff should allege and state the specific
of the whole subject matter of the litigation. During
amounts claimed not only in the body of the
the period, he is expected to take such reasonable
steps and such ordinary care as his client’s interests
complaint but also in the prayer, so that the proper
may require. docket fees can be assessed and paid. (Fernandez v.
Atty. Novero, A.C. No. 5394, Dec. 2, 2002)
A lawyer who received money to handle a client’s case
but rendered no service at all shall be subject to The counsel must constantly keep in mind that his
disciplinary measure. (Dalisay v. Atty. Mauricio, A.C. actions or omissions, even malfeasance and
No. 5655, Apr. 22, 2005) nonfeasance would be binding to his client. Verily, a
lawyer owes to the client the exercise of utmost
Q: When can it be said that a lawyer has been prudence and responsibility in representation.
negligent? (Fernandez v. Atty. Novero, A.C. No. 5394, Dec. 2,
2002)
A: What amounts to carelessness or negligence in a
lawyer’s discharge of his duty to client is incapable Duty to Appraise Client
of exact formulation. It will depend upon the
circumstances of the case. Rule 18.04, Canon 18, CPR
A lawyer shall keep the client informed of the
Note: Failure to appeal to CA despite instructions by status of his case and shall respond within a
the client to do so constitutes inexcusable negligence reasonable time to the client’s request for
on the part of the counsel. (Abiero v. Juanino, A.C. No. information.
5302, Feb.18, 2005)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
83
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

A lawyer should notify his client of the adverse Note: The doctrine applies regardless of whether or
decision while within the period to appeal to enable not the lawyer actually communicated to the client
the client to decide whether to seek an appellate what he learned in his professional capacity, the
review. He should communicate with him attorney and his client being one judicial person.
concerning the withdrawal of appeal with all its
adverse consequences. The client is entitled to the Q: Are the mistakes or negligence of a lawyer
fullest disclosure of the mode or manner by which binding upon the client?
his interest is defended or why certain steps are
taken or omitted. A:
GR: Client is bound by attorney’s conduct,
Q: Spouses Garcia engaged the services of Atty. negligence and mistake in handling a case or in
Rolando Bala to appeal to the CA the adverse management of litigation and in procedural
Decision of the Department of Agrarian Relations technique, and he cannot complain that the
Adjudication Board (DARAB). Instead, he result might have been different had his lawyer
erroneously filed a Notice of Appeal. During one proceeded differently.
instance when the spouses had called on him to XPN: LIPIG
ask for a copy of the supposed appeal, Atty. Bala 1. Lack of acquaintance with technical
uttered unsavory words against them. Because of aspect of procedure;
his error, the prescribed period for filing the 2. When adherence thereto results in
petition lapsed, to the prejudice of his clients. Did outright deprivation of client’s liberty or
Atty. Bala violate any ethical rules? property or where Interest of justice so
requires;
A: Yes. Rule 18.04 states that a "lawyer shall keep 3. Where error by counsel is Purely technical
the client informed of the status of his case and which does not substantially affect client’s
shall respond within a reasonable time to the cause;
client's request for information." Accordingly, 4. Ignorance, incompetence, or inexperience
spouses had the right to be updated on the of lawyer is so great and error so serious
developments and status of the case for which they that client, who has a good cause, is
had engaged the services of Atty. Bala. But he prejudiced and denied a day in court;
apparently denied them that right. Having become 5. Gross negligence of lawyer. (1998, 2000,
aware of the wrong remedy he had erroneously 2002 Bar Questions)
taken, he purposely evaded his clients, refused to
update them on the appeal, and misled them as to Note: If by reason of the lawyer’s negligence, actual
his whereabouts. Moreover, he uttered invectives loss has been caused to his client, the latter has a
at them when they visited him for an update on the cause of action against him for damages. However, for
case. (Spouses Garcia v. Bala, A.C. No. 5039, Nov. the lawyer to be held liable, his failure to exercise
25, 2005) reasonable care, skill and diligence must be proximate
cause of the loss.
Note: The lawyer is obliged to respond within a
reasonable time to a client's request for information. A Q: What are the exceptions to the rule that “notice
client is entitled to the fullest disclosure of the mode to counsel is notice to client”?
or manner by which that client's interest is defended
or why certain steps are taken or omitted. A lawyer A:
who repeatedly fails to answer the inquiries or 1. Strict application might foster dangerous
communications of a client violates the rules of collusion to the detriment of justice;
professional courtesy and neglects the client's 2. Service of notice upon party instead of
interests. (Villariasa-Reisenbeck v. Abarrientos, A.C. upon his attorney is ordered by the court;
No. 6238, Nov. 4, 2004) 3. Notice of pre-trial is required to be served
upon parties and their respective lawyers;
Q: Explain the doctrine of imputed knowledge. 4. In appeal from the lower court to the RTC,
upon docketing of appeal.
A: The knowledge acquired by an attorney during
the time that he’s acting within the scope of his Q: What is a plea of guilty?
authority is imputed to the client. It is based on the
assumption that an attorney, who has notice of A: It is an admission by the accused of his guilt of a
matter affecting his client, has communicated the crime as charged in the information and of the truth
same to his principal in the course of professional of the facts alleged, including the qualifying and
dealings. aggravating circumstances.

84
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Q: What is the duty of the defense counsel when appear for or represent a client?
his client desires to enter a plea of guilty?
A: No. An attorney is presumed to be properly
A: F-CEPA authorized to represent any cause in which he
1. Fully acquaint himself with the records appears in all stages of the litigation and no written
and surrounding circumstances of the authority is required to authorize him to appear. A
case; mere denial by a party that he has authorized an
2. Confer with the accused and obtain from attorney to appear for him, in the absence of a
him his account of what had happened; compelling reason, is insufficient to overcome the
3. Thoroughly Explain to him the import of a presumption especially when the denial comes
guilty plea and the inevitable conviction after the rendition of an adverse judgment.
that will follow;
4. See to it that the prescribed Procedure Q: May a practicing lawyer be required to produce
which experience has shown to be or prove his authority to appear in court?
necessary to the administration of justice
is strictly followed and disclosed in the A: Yes. The presiding judge may, on motion of either
court records; and party and on reasonable grounds therefore being
5. Advise him of his constitutional rights. shown, require an attorney who assumes the right
to appear in a case to produce or prove the
Note: A lawyer should endeavor to seek instruction authority under which he appears, and to disclose,
from his client on any substantial matter concerning whenever pertinent to any issue, the name of the
the litigation, which may require decision on the part person who employed him, and may thereupon
of the client, such as whether to compromise the case make such order as justice requires. (Sec. 21, Rule
or to appeal an unfavorable judgment. He should give 138, RRC)
his client sound advice on any such and similar matters
and comply with the client’s lawful instructions relative Q: What are the effects of an unauthorized
thereto. He should resist and should never follow any
appearance?
unlawful instruction of his client.
A:
f. REPRESENTATION WITH SEAL WITHIN LEGAL
1. The party represented is not bound by
BOUNDS
attorney’s appearance in the case neither
by the judgment rendered therein;
CANON 19, CPR
2. Court does not acquire jurisdiction over
A LAWYER SHALL REPRESENT HIS CLIENT WITH
the person of the party represented;
ZEAL WITHIN THE BOUNDS OF THE LAW.
3. The adverse party who has been forced to
(1994, 1997, 2001, 2003 Bar Questions)
litigate as a defendant by the
unauthorized action on the part of the
Q: What does a lawyer represent to a client when
attorney for the plaintiff may, on that
he accepts a professional employment of his
ground, move for the dismissal of the
services?
complaint; and
4. If unauthorized appearance is willful,
A: When a lawyer accepts a case, whether for a fee
attorney may be cited for contempt as an
or not, his acceptance is an implied representation
officer of the court who has misbehaved
that he:
in his official transactions, and he may be
CASE
disciplined for professional misconduct.
1. Will exercise reasonable and ordinary
Care and diligence in the pursuit or
Q: May an attorney voluntarily appear for a person
defense of the case;
without being employed?
2. Will possess the requisite degree of
Academic learning, skill and ability in the
A: No. An attorney may not appear for a person
practice of his profession;
until he is in fact employed by, or retained for such
3. Will take steps as will adequately
person. An attorney willfully appearing in court for
Safeguard his client’s interests; and
a person without being employed, unless by leave
4. Will Exert his best judgment in the
of court, may be punished for contempt as an
prosecution or defense of the litigation
officer of the court, who has misbehaved in his
entrusted to him. (Islas v. Platon, G.R. No.
official transactions. (Sec. 26, Rule 138)
L-23183, Dec. 29, 1924)

Q: Is a lawyer required to show his authority to

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
85
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Q: How can an unauthorized appearance be Q: What is a compromise?


ratified? A: It is a contract whereby the parties, by making
A: reciprocal concessions, avoid litigation or put an
1. Express – Categorized assertion by client end to one already commenced. (Art. 2028, NCC)
that he has authorized a lawyer or that he
confirms his authorization to represent Q: State the rule with respect to the authority of
him in the case. an attorney to compromise his client’s case.
2. Implied – Where party with knowledge of
fact that a lawyer has been representing A:
him in a case, accepts benefits of GR: The attorney has no authority to
representation or fails to promptly compromise his client’s case. This is so because
repudiate the assumed authority. the client, even if represented by counsel,
retains exclusive control over the subject
Q: What are the requisites of implied ratification matter of the litigation. The client can, of
by silence? course, authorize his lawyer to compromise his
case, and the settlement made by the lawyer
A: will bind his client.
1. The party represented by the attorney is
of age or competent or if he suffers from XPN: When the lawyer is confronted with an
any disability, he has a duly appointed emergency where prompt and urgent action is
guardian or legal representative; necessary to protect the interest of his client
2. The party or his guardian, as the case may and there is no opportunity for consultation
be, is aware of the attorney’s with the latter.
representation; and
3. He fails to promptly repudiate assumed Use of Fair and Honest Means
authority.
Rule 19.01, Canon 9, CPR
Q: What is the extent of a lawyer’s authority in A lawyer shall employ only fair and honest means
the conduct of litigation? to attain the lawful objectives of his client and
shall not present, participate in presenting or
A: A lawyer has authority to bind the client in all threaten to present, participate in presenting or
matters of ordinary judicial procedure. The cause of threaten to present unfounded criminal charges to
action, the claim or demand sued upon and the obtain an improper advantage in any case or
subject matter of the litigation are within the proceeding.
exclusive control of the client. A client may waive, (1997 Bar Question)
surrender, dismiss, or compromise any of his rights
involved in litigation in favor of the other party even Note: Under this rule, a lawyer should not file or
without or against the consent of his attorney. threaten to file any unfounded or baseless criminal
case or cases against the adversaries of his client
Q: Who has control over the proceedings? designed to secure a leverage to compel the
adversaries to yield or withdraw their own cases
A: against the lawyer’s client. (Pena v. Atty. Aparicio, A.C.
1. As to matters of procedure - it is the client No. 7298, June 25, 2007)
who yields to the lawyer and not the
lawyer yielding to the client. (Lapena Rule 19.01 of the CPR obligates a lawyer, in defending
2009) his client, to employ only such means as are consistent
with truth and honor. He should not prosecute
Rationale: The basis of this rule is that the patently frivolous and meritless appeals or institute
clearly groundless actions. The act of a lawyer in
lawyer is better trained and skilled in law.
preventing the execution of the judgment against his
clients shows that he actually committed what the
Note: Cause of action, claim or demand, and
above rule expressly prohibits. (Que v. Revilla, A.C. No.
subject of litigation are within client’s
7054, Dec. 4, 2009)
control. Proceedings to enforce the remedy
are within the exclusive control of the
Q: Alex Ong received a demand-letter from Atty.
attorney.
Elpidio Unto, in the latter's capacity as legal
2. As to subject matter - the client is in counsel of one Nemesia Gargania. The letter is in
control. connection with the claim of support of Nemesia
Garganian against him for her son. It was further

86
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

stated therein that failure to comply with the Procedure in Handling the Case
demand will result to the filing of proper action in
court. The real father of Ms. Garganian's son was Rule 19.03, Canon 19, CPR
Alex' brother and he merely assumed his brother's A lawyer shall not allow his client to dictate the
obligation to appease Ms. Garganian who was procedure in handling the case.
threatening to sue them. Alex then did not comply
with the demands against him. Consequently, The Code enjoins a lawyer to employ only fair and
Atty. Unto filed a complaint for alleged violation of honest means to attain the lawful objectives of his
the Retail Trade Nationalization Law and the Anti- client and warns him not to allow his client to
Dummy Law. In addition, he commenced dictate the procedure in handling the case. In short,
administrative cases against Alex before the a lawyer is not a gun for hire. (Millare v. Atty.
Bureau of Domestic Trade, the Commission on Montero, A.C. No. 3283, July 13, 1995)
Immigration and Deportation, and the Office of
the Solicitor General. These cases were Note: The lawyer, and not the client, is assumed to
subsequently denied due course and dismissed. have knowledge of laws and rules of procedure. The
This prompted Alex to file a case for disbarment. procedure in handling a case should therefore fall
Did Atty. Unto fall short of professional standards? within the lawyer’s control and supervision.

A: Yes. He tried to coerce his client to comply with Q: Is the lawyer confined entirely on the
his letter-demand by threatening to file various information his client gave?
charges against the latter. When Alex did not heed
Atty. Unto’s warning, he made good his threat and A: No. The lawyer cannot entirely depend on the
filed a string of criminal and administrative cases information his client gave or the time his client
against him. His action is malicious as the cases he wished to give. The lawyer should take more
instituted against the complainant did not have any control over handling the case. Where the client is
bearing or connection to the cause of his client, Ms. based overseas, the lawyer should with more
Garganian. Clearly, Atty. Unto violated the reason, have moved to secure all the legal means
proscription in Rule 19.01. His behavior is available to him either to continue representing his
inexcusable. (Ong v. Unto, A.C. No. 2417, Feb. 6, client effectively or to make the necessary
2002) manifestation in court, with the client’s conformity,
that he was withdrawing as counsel of record. (CPR
Client’s Fraud Annotated, PhilJA)

Rule 19.02, Canon 19, CPR Q: What is appearance?


A lawyer who has received information that his
client has, in the course of the representation, A: It is the coming into court as a party either as a
perpetrated a fraud upon a person or tribunal, plaintiff or as a defendant and asking relief
shall promptly call upon the client to rectify the therefrom.
same, and failing which he shall terminate the
relationship with such client in accordance with Q: What are the kinds of appearance?
the Rules of Court.
(2001 Bar Question) A:
1. General appearance – When a party
The lawyer’s duty to his client does not mean comes to court either as plaintiff or
freedom to set up false or fraudulent claims defendant and seeks general reliefs from
especially with respect to provisions of law or the court for satisfaction of his claims or
administrative rules and that while lawyers are counterclaims respectively.
bound to exert utmost legal skill in prosecuting 2. Special appearance – When a defendant
their client’s cause or defending it, their duty, first appears in court solely for the purpose of
and foremost, is to the administration of justice. objecting to the jurisdiction of the court
(CPR Annotated, PhilJA) over his person.

Note: It is an unethical tactic for a lawyer to offer Note: By virtue of Sec. 20, Rule 14 of the 1997 Rules of
monetary rewards to anyone who could give him Civil Procedure, there is no more distinction between
information against a party so that he could have general appearance and special appearance, in the
leverage against all actions involving such party. (CPR sense that a defendant may file a motion to dismiss
Annotated, PhilJA) not only on the ground of lack of jurisdiction over his
person but also on some other grounds without
waiving the jurisdiction of the court over his person.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
87
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

g. ATTORNEY’S FEES Note: Generally, the amount of attorney’s fees due is


(1990, 1991, 1992, 1994, 1995, 1997, 1998, 2005, that stipulated in the retainer agreement which is
2006, 2007 Bar Questions) conclusive as to the amount of lawyer’s compensation
(Funa, 2009) unless the stipulated amount in the
CANON 20,CPR written contract is found by the court to be
A LAWYER SHALL CHARGE ONLY FAIR AND unconscionable or unreasonable (Sec. 24, Rule 138,
REASONABLE FEES. RRC). In the absence thereof, the amount of attorney’s
fees is fixed on the basis of quantum meruit. (Sesbreno
(1997, 1998, 2003 Bar Questions)
v. Court of Appeals, G.R. No. 117438, June 8,1995;
Funa, 2009)
Q: Who are entitled to attorney’s fees?
Q: What are the kinds of payment which may be
A:
stipulated upon?
GR: Only lawyers are entitled to attorney’s fees.
The same cannot be shared with a non-lawyer. It
A:
is unethical.
1. Fixed or absolute fee that which is payable
regardless of the result of the case.
XPN: A lawyer may divide a fee for legal services
a. A fixed fee payable per
with persons not licensed to practice law:
appearance
CPR
b. A fixed fee computed upon the
1. A lawyer undertakes to Complete the
number of hours spent
unfinished legal business of a deceased
c. A fixed fee based on piece work
lawyer;
d. Combination of any of the
2. There is a Pre-existing agreement with a
above
partner or associate that, upon the
latter’s death, money shall be paid over a
2. Contingent fee – a fee that is conditioned
reasonable period of time to his estate or
on the securing of a favorable judgment
to persons specified in the agreement;
and recovery of money or property and
3. A lawyer or law firm includes non-lawyer
the amount of which may be on a
employees in Retirement plan, even if the
percentage basis. (1990, 2000, 2001,
plan is based, in whole or in part, on a
2002, 2006, 2008 Bar Questions)
profit-sharing agreement. (Rule 9.02, CPR)
Q: What are the requisites for the right to
Note: Entitlement to lawyer’s fees is presumed. (Funa,
2009) Unless otherwise expressly stipulated, rendition
attorney’s fees to accrue?
of professional services by a lawyer is for a fee or
compensation and is not gratuitous. (Research and A:
Services Realty, Inc. v. CA, G.R. No. 124074, Jan. 1. Existence of attorney-client relationship;
27,1997) and
2. Rendition by the lawyer of services to the
Rule 20.01, Canon 20, CPR client.
A lawyer shall be guided by the following factors in
determining his fees: Note: A pauper, while exempted from payment of
legal fees is not exempted from payment of attorney’s
a. The time spent and the extent of the service
fees. (Cristobal v. Employees Compensation
rendered or required;
Commission, G.R. No. L-49280, Feb. 26, 1981)
b. The novelty and difficulty of the questions
involved;
Q: What are the factors in determining the
c. The importance of the subject matter;
attorney’s fees?
d. The skill demanded;
e. The probability of losing other employment as
A: In determining what is fair and reasonable, a
a result of acceptance of the proffered case;
lawyer shall be guided by the following factors:
f. The customary charges for similar services and
STIP-SNACCC
the schedule of fees of the IBP chapter to which he
1. Skill demanded;
belongs;
2. Time spent and the extent of the services
g. The amount involved in the controversy and
rendered or required;
the benefits resulting to the client from the service;
3. Importance of the subject matter;
h. The contingency or certainty of compensation;
4. Probability of losing other employment as
i. The character of the employment, whether
a result of acceptance of the proffered
occasional or established; and
case;
j. The professional standing of the lawyer.

88
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

5. Professional Standing of the lawyer; deeper study and research are bound to
6. Novelty and difficulty of the questions burn the lawyer’s time and stamina
involved; considering that there are no local
7. Amount involved in the controversy and precedents to rely upon.
the benefits resulting to the client from 4. Skill demanded of a lawyer – The totality
the services; of the lawyer’s experience provides him
8. Customary Charges for similar services skill and competence admired in lawyers.
and the schedule of fees of the IBP
chapter to which he belongs; Q: What does quantum meruit mean?
9. Contingency or certainty of
compensation; and A: Quantum meruit means, "as much as he
10. Character of the employment, whether deserves", and is used as the basis for determining
occasional or established. (Rule 20.01) the lawyer's professional fees in the absence of a
(1994 Bar Question) contract, but recoverable by him from his client.

Note: Imposition of interest in the payment of Q: When is the measure of quantum meruit
attorney’s fees is not justified. (Funa, 2009) resorted to?

Contracts for attorney’s services in this jurisdiction A: Quantum meruit is resorted to when:
stands upon an entirely different footing from other 1. There is no express contract for payment
contract for the payment of compensation for any of attorney’s fees agreed upon between
other services. (Mambulao Lumber Co. v. Philippine the lawyer and the client;
National Bank, 130 Phil. 366)
2. Although there is a formal contract for
attorney’s fees, the stipulated fees are
Q: Are the courts bound by the opinions of
found unconscionable or unreasonable by
attorneys as expert witnesses as to the proper
the court;
compensation of the lawyer?
3. The contract for attorney’s fees is void
due to purely formal matters or defects of
A: No. No court shall be bound by the opinion of
execution;
attorneys as expert witnesses as to the proper
4. The counsel, for justifiable cause, was not
compensation, and may disregard such testimony
able to finish the case to its conclusion;
and base its conclusion on its professional
5. Lawyer and client disregard the contract
knowledge. A written contract for services shall
for attorney’s fees; and
control the amount to be paid therefor, unless
6. The client dismissed his counsel before
found by the court to be unconscionable or
the termination of the case. (2007 Bar
unreasonable. (Sec. 24, Rule 138, RRC)
Question)
Q: In the absence of a fee arrangement, how
Q: A client refuses to pay Atty. A his contracted
would the services of an attorney be
attorney's fees on the ground that counsel did not
compensated?
wish to intervene in the process of effecting a fair
settlement of the case. Decide.
A: In the absence of a fee arrangement, the lawyer
is paid on a quantum meruit basis. The factors to be
A: Rule 1.04 of the Code of Professional
taken into consideration in determining the amount
Responsibility provides that "a lawyer shall
are:
encourage his clients to avoid, end or settle a
TINS
controversy if it will admit of a fair settlement". If a
1. Time spent and the services rendered or
lawyer should refuse to intervene in a settlement
required – A lawyer is justified in fixing
proceeding, his entitlement to his attorney's fees
higher fees when the case is so
may be affected. However, if he has already
complicated and requires more time and
rendered some valuable services to the client, he
effort in fixing it.
must be paid his attorney's fees on the basis of
2. Importance of subject matter – The more
quantum meruit, even if it is assumed that he is
important the subject matter or the
dismissed. (2001 Bar Question)
bigger the value of the interest of the
property in litigation, the higher is the
Q: What are the instances when counsel cannot
attorney’s fees.
recover full amount despite written contract for
3. Novelty and difficulty of questions
attorneys’ fees?
involved – When the questions in a case
are novel and difficult, greater effort,

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
89
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

A: Q: When are attorney’s fees considered as


1. When the services called for were not unconscionable?
performed as when the lawyer withdrew
before the case was finished, he will be A:
allowed only reasonable fees; 1. An amount compared to the value of the
2. When there is a justified dismissal of the services is so disproportionate as to shock
attorney, the contract will be nullified and human conscience.
payment will be on the basis of quantum 2. One in which no man in his right senses,
meruit only. A contrary stipulation will be not under delusion, would make on one
invalid; hand, and which no fair and honest man
3. When the stipulated attorney’s fees are would accept on the other.
unconscionable, when it is
disproportionate as compared to the Concepts of Attorney’s Fees
value of services rendered and is revolting
to human conscience; Q: What are the two concepts of attorney’s fees?
4. When the stipulated attorney’s fees are in
excess of what is expressly provided by A:
law; 1. Ordinary attorney's fee – The reasonable
5. When the lawyer is guilty of fraud or bad compensation paid to a lawyer by his
faith toward his client in the matter of his client for the legal services he has
employment; rendered to the latter. (Pineda, 2009)
6. When the counsel’s services are worthless
because of his negligence; Note: The basis for this compensation is the fact
7. When contract is contrary to law, morals of his employment by and his agreement with the
or public policy; and client. (Ibid.)
8. Serving adverse interest unless the lawyer
proves that it was with the consent of 2. Extraordinary attorney's fee – An
both parties. (2006 Bar Question) indemnity for damages ordered by the
court to be paid by the losing party in
Q: Courts may interfere and reduce contractually litigation.
agreed upon attorney’s fees when the same is
unconscionable or excessive. What is the rationale Such award belongs to the client but parties
behind this authority? may stipulate that whatever may be awarded
by the court as attorney’s fees will go directly
A: to the lawyer.
1. Indubitably intertwined with the lawyer’s
duty to charge only reasonable fees is the Note: The basis for this is any of the cases provided for
power of the court to reduce the amount by law where such award can be made, such as those
of attorney’s fees if the same is excessive authorized in Article 2208 of the Civil Code, and is
and unconscionable. (Roxas v. De payable not to the lawyer but to the client, unless they
have agreed that the award shall pertain to the lawyer
Zuzuarregui, Jr., G. R. No. 152072, Jan. 31,
as additional compensation or as part thereof.
2006);
2. A lawyer is primarily an officer of the
Ordinary Concept of Attorney’s Fees
court hence fees should be subject to
judicial control;
Q: Aurora Pineda filed an action for declaration of
3. Sound public policy demands that courts
nullity of marriage against Vinson Pineda, who was
disregard stipulations for attorney’s fees
represented by Attys. Clodualdo de Jesus, Carlos
when they appear to be a source of
Ambrosio and Emmanuel Mariano. The parties'
speculative profit at the expense of the
proposal for settlement regarding Vinson's
debtor or mortgagor. (Borcena v. IAC, et.
visitation rights over their minor child and the
al., G.R. No. 70099, Jan. 7, 1987)
separation of their properties was approved by the
court. The marriage was subsequently declared
Note: A trial judge may not order the reduction of the
attorney’s fees on the ground that the attorney is
null and void. Throughout the proceedings
“below average standard of a lawyer.” The opinion of counsels and their relatives and friends, availed of
the judge as to the capacity of a lawyer is not a basis of free products and treatments from Vinson’s
the right to a lawyer’s fees. (Fernandez v. Hon. Bello, dermatology clinic. This notwithstanding, they
No. L-14277, Apr. 30, 1960) billed him additional legal fees amounting to P16.5
million which he, however, refused to pay.

90
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Instead, he issued them several checks totaling Rules of Court and Rule 20.01, Canon 20 of the
P1.12 million as full payment for settlement. Still Code of Professional Responsibility lists several
not satisfied, the three lawyers filed in the same other factors in setting such fees, these are mere
court a motion for payment of lawyers' fees for guides in ascertaining the real value of the lawyer’s
P50 million, which is equivalent to 10% of the service. Courts are not bound to consider all these
value of the properties awarded to Pineda in the factors in fixing attorney’s fees. While a lawyer
case. Are their claim justified? should charge only fair and reasonable fees, no
hard and fast rule maybe set in the determination
A: No. Clearly, what they were demanding was of what a reasonable fee is, or what is not. That
additional payment for legal services rendered in must be established from the facts in each case.
the same case. Demanding P50 million on top of the (DOY Mercantile, Inc. v. AMA Computer College,
generous sums and perks already given to them was G.R. No. 155311, Mar. 31, 2004)
an act of unconscionable greed. They could not
charge Pineda a fee based on percentage, absent an Extraordinary Concept of Attorney’s Fees
express agreement to that effect. The payments to
them in cash, checks, free products and services Q: State the rule on attorney’s fees being awarded
from Pineda’s business more than sufficed for the as damages and its exceptions.
work they did. The full payment for settlement
should have discharged Vinson's obligation to them. A:
GR: Attorney’s fees as damages are not
As lawyers, they should be reminded that they are recoverable. An adverse decision does not ipso
members of an honorable profession, the primary facto justify their award in favor of the winning
vision of which is justice. It is the lawyer’s party.
despicable behavior in the case at bar which gives
lawyering a bad name in the minds of some people. XPN: Attorney’s fees in the concept of damages
The vernacular has a word for it: nagsasamantala. may be awarded in any of the following
The practice of law is a decent profession and not a circumstances:
money-making trade. Compensation should be but 1. When there is an agreement;
a mere incident. (Pineda v. de Jesus, G.R. No. 2. When exemplary damages are awarded;
155224, Aug. 23, 2006) 3. When defendant’s action or omission
compelled plaintiff to litigate;
Q: DOY Mercantile Inc. refused to satisfy Atty. 4. In criminal cases of malicious prosecution
Gabriel, Jr.’s attorney’s fees, prompting the latter a. Plaintiff was acquitted; and
to file with the RTC a Motion to Allow b. The person who charged him
Commensurate Fees and to Annotate Attorney’s knowingly made the false statement
Lien on certain TCTs. The RTC fixed Atty. Gabriel, of facts or that the filing was
Jr.’s fees and ordered that a lien be annotated on prompted by sinister design to vex
the TCTs. A Writ of Execution was later issued by him;
the trial court in Atty. Gabriel, Jr.’s favor. Upon 5. When the action is clearly unfounded;
Atty. Gabriel Jr.’s motion for reconsideration, the 6. When defendant acted in gross and
RTC increased his fees. It then issued another Writ evident bad faith;
of Execution to enforce the new award but denied 7. In actions for support;
the Motion to Annotate the Award at the back of 8. In cases of recovery of wages;
the TCTs. DOY, for its part, filed several petitions 9. In actions for indemnity under workmen’s
to set aside the RTC Orders involving the award of compensation and employee’s liability
attorney’s fees. Eventually, CA rendered a laws;
decision, fixing Atty. Gabriel, Jr.’s fees at 10. In a separate civil action arising from a
P200,000.00 and affirming the subsequent order of crime;
the RTC not to annotate such award on the TCTs. 11. When at least double costs are awarded
Should the court rely on the importance of the (costs of suit does not include attorney’s
subject matter in controversy and the professional fees);
standing of counsel in awarding attorney’s fee? 12. When the court deems it just and
equitable; and
A: No. DOY’s contention that the appellate court 13. When a special law so authorizes. (Art.
should also have taken into account the importance 2208, NCC)
of the subject matter in controversy and the
professional standing of counsel in determining the
latter’s fees is untenable. Although Rule 138 of the

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
91
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Acceptance Fees A:
1. Retainer’s fee where the lawyer is paid for
Q: What is an acceptance fee? services for an agreed amount for the
case.
A: It is an absolute fee arrangement which entitles a 2. The lawyer agrees to be paid per court
lawyer to get paid for his efforts regardless of the appearance.
outcome of the litigation. (Funa, 2009) 3. Contingent fee where the lawyer is paid
for his services depending on the success
Q: Rose engaged the services of Atty. Jack as of the case. This applies usually in civil
counsel for five cases. In the Retainer Agreement, suits for money or property where the
Rose agreed to pay Atty. Jack the amount of lawyer’s fee is taken from the award
200,000 as Acceptance Fee for the five cases plus granted by the court.
an additional 1,500 Appearance Fee per hearing 4. Attorney de oficio. The attorney is
and in the event that damages are recovered, she appointed by the court to defend the
would pay Atty. Jack 10% as success fee. Rose indigent litigant in a criminal case. The
issued two checks amounting to 51,716.54 in favor client is not bound to pay the attorney for
of Atty. Jack however despite receipt of said his services although he may be paid a
amounts he failed to file a case in one of the five nominal fee taken from a public fund
cases referred to him; one case was dismissed due appropriated for the purpose.
to untimely appeal; and another case was 5. Legal aid. The attorney renders legal
dismissed but he failed to inform Rose about it services for those who could not afford to
before she left for abroad. Dissatisfied with the engage the services of paid counsel.
outcome of her cases she demanded from Atty. 6. Quantum meruit basis. If there is no
Jack the return of all the records she had entrusted specific contract between the lawyer and
to him however he returned only two of the five the client, the lawyer is paid on quantum
cases. She filed a complaint charging him with meruit basis, that is, what the lawyer
violation of Canon 16 and 16.03 of the Code of deserves for his services.
Professional Responsibility. Was there a violation
of the said Canon by the respondent? Q: What is a retainer?

A: None. From the records of the case, it was found A: It may refer to two concepts:
that four of the cases referred by Rose were filed 1. Act of a client by which he engages the
but were dismissed or terminated for causes not services of an attorney to render legal
attributable to Atty. Jack; and that there was no advice or to defend or prosecute his cause
probable cause to maintain the suit. No fault or in court; or
negligence can be attributed to the Atty. Jack. Rose 2. Fee which a client pays to the attorney.
still owes payment of acceptance fee because she
only paid 51, 716.54 Q: Concept Placement retained the services of
Atty. Funk. Under their retainer contract, Atty.
An acceptance fee is not a contingent fee, but is an Funk is to render various legal services except
absolute fee arrangement which entitles a lawyer to litigation, quasi-judicial and administrative
get paid for his efforts regardless of the outcome of proceedings and similar actions for which there
the litigation. will be separate billings. Thereafter, Atty. Funk
represented Concept Placement in the case filed
Dissatisfaction from the outcome of the cases against it for illegal dismissal. While the labor case
would not render void the retainer agreement for was still pending, Concept Placement terminated
Atty. Jack appears to have represented the interest the services of Atty. Funk. Nevertheless, Atty. Funk
of Rose. (Yu v Bondal, A.C. No. 5534, Jan. 17, 2005) continued handling the case. Atty. Funk then
advised Concept Placement of the POEA’s
Note: The expiration of the retainer contract between favorable decision and requested the payment of
the parties during the pendency of the labor case does his attorney’s fees. Concept Placement refused. Is
not extinguish the respondent’s right to attorney’s Atty. Funk entitled to attorney’s fees for assisting
fees. (Uy v. Gonzales, A.C. No. 5280, Mar. 30, 2004) Concept Placement as counsel in the labor case
even if the services of Atty. Funk were already
Q: What are the different types of fee terminated?
arrangements an attorney may enter into with his
client? A: Yes. The expiration of the retainer contract
between the parties during the pendency of the

92
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

labor case does not extinguish the respondent’s supervision and close scrutiny of the court in order
right for attorney’s fees. The Court found that while that clients may be protected from unjust charges. The
the petitioner and the respondent did not execute a amount of contingent fees agreed upon by the parties
written agreement on the fees in the labor case is subject to the stipulation that counsel will be paid
aside from the Retainer Agreement, the petitioner for his legal services only if the suit or litigation
did categorically and unequivocally admit in its prospers. A much higher compensation is allowed as
Compulsory Counterclaim that it has engaged the contingent fees because of the risk that the lawyer
may get nothing if the suit fails. (Evangelina Masmud v.
services of the respondent as its counsel for a fee of
NLRC, et. al., G.R. No. 183385, Feb. 13, 2009)
P60, 000, etc. (Concept Placement Resources Inc. v.
Atty. Funk, G.R. No. 137680, Feb. 6, 2004) The acceptance of an initial fee before or during the
progress of the litigation does not detract from the
Q: What are the kinds of retainer agreements on contingent nature of the fees, so long as the bulk
attorney’s fees? thereof is made dependent upon the successful
outcome of the action. (Lapena, 2009)
A:
1. General retainer or retaining fee – It is the If a lawyer employed on contingent basis dies or
fee paid to a lawyer to secure his future becomes disabled before the final adjudication or
services as general counsel for any settlement of the case has been obtained, he or his
ordinary legal problem that may arise in estate will be allowed to recover the reasonable value
the ordinary business of the client and of the services rendered. The recovery will be allowed
referred to him for legal action. The client only after the successful termination of the litigation in
pays fixed retainer fees, which could be the client’s favor. (Morton v. Forsee, Ann. Cas. 1914 D.
monthly or otherwise. The fees are paid 197; Lapena, 2009, Pineda, 2009)
whether or not there are cases referred to
the lawyer; Q: Atty. Arthur agreed to represent Patrick in a
2. Special retainer – It is a fee for a specific personal injury case after the latter signed a
or particular case or service rendered by retainer agreement for a 33% fee contingent on
the lawyer for a client. their winning the case. In the course of trial,
Patrick dismissed Atty. Arthur after he presented
Q: Atty. Francisco’s retainer agreement with RXU their evidence in chief and engaged Atty. Winston
said that his attorney's fees in its case against CRP another lawyer. They lost the case. What fee
“shall be 15% of the amounts collected.” Atty. would Atty. Arthur be entitled to?
Francisco asked the trial court to issue a temporary
restraining order against CRP but this was denied, A: Absolutely nothing. (2011 Bar Question)
prompting him to file a petition for certiorari with
the Court of Appeals to question the order of Q: Chester asked Laarni to handle his claim to a
denial. At this point, RXU terminated Atty. sizeable parcel of land in Quezon City against a
Francisco’s services. When the parties later settled well-known property developer on a contingent
their dispute amicably, CRP paid RXU P100 million. fee basis. Laarni asked for 15% of the land that
Because of this, Atty. Francisco came around and may be recovered or 15% of whatever monetary
claimed a 15% share in the amount. What should settlement that may be received from the
be his attorney’s fees? property developer as her only fee contingent
upon securing a favorable final judgment or
A: A reasonable amount that the court shall fix compromise settlement. Chester signed the
upon proof of quantum meruit. (2011 Bar contingent fee agreement. Assume the property
Question) developer settled the case after the case was
decided by the Regional Trial Court in favor of
Contingency Fee Arrangements Chester for P1 Billion. Chester refused to pay
Laarni P150 Million on the ground that it is
Q: What is a contingency fee arrangement? excessive. Is the refusal justified? Explain.

A: Contingent fee where the lawyer is paid for his A: The refusal of Chester to pay is unjustified. A
services depending on the success of the case. This contingent fee is impliedly sanctioned by Rule
applies usually in civil suits for money or property 20.01(f) of the CPR. A much higher compensation is
where the lawyer’s fee is taken from the award allowed as contingent fees is consideration of the
granted by the court. risk that the lawyer will get nothing if the suit fails.
In several cases, the Court has indicated that a
Note: Contingent fee contracts are subject to the contingent fee of 30% of the money or property
that may be recovered is reasonable. Moreover,

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
93
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

although the developer settled the case, it was after Contrary to Evangelina’s proposition, Article 111 of
the case was decided by the RTC in favor of Chester, the Labor Code deals with the extraordinary
which shows that Atty. Laarni has already rendered concept of attorney’s fees. It regulates the amount
service to the client. recoverable as attorney's fees in the nature of
damages sustained by and awarded to the
Q: Assume there was no settlement and the case prevailing party. It may not be used as the standard
eventually reached the Supreme Court which in fixing the amount payable to the lawyer by his
promulgated a decision in favor of Chester. This client for the legal services he rendered.
time Chester refused to convey to Laarni 15% of
the litigated land as stipulated on the ground that In this regard, Section 24, Rule 138 of the Rules of
the agreement violates Article 1491 of the Civil Court should be observed in determining Atty. Go’s
Code, which prohibits lawyers from acquiring by compensation. The said Rule provides:
purchase properties and rights, which are the Sec. 24. Compensation of attorneys; agreement as
object of litigation in which they take part by to fees. An attorney shall be entitled to have and
reason of their profession. Is the refusal justified? recover from his client no more than a reasonable
Explain. compensation for his services, with a view to the
importance of the subject matter of the controversy,
A: Chester’s refusal is not justified. A contingent fee the extent of the services rendered, and the
arrangement is not covered by Art.1491 of the Civil professional standing of the attorney. No court shall
Code, because the transfer or assignment of the be bound by the opinion of attorneys as expert
property in litigation takes effect only upon finality witnesses as to the proper compensation, but may
of a favorable judgment. (Director of Lands v. disregard such testimony and base its conclusion on
Ababa, No. L-26096, Feb. 27, 1979); Macariola v. its own professional knowledge. A written contract
Asuncion, A.C. No. 133-J, May 31, 1982) (2008 Bar for services shall control the amount to be paid
Question) therefor unless found by the court to be
unconscionable or unreasonable.
Q: Evangelina Masmud’s husband, the late
Alexander, filed a complaint against his employer The retainer contract between Atty. Go and
for non-payment of permanent disability benefits, Evangelina provides for a contingent fee. The
medical expenses, sickness allowance, moral and contract shall control in the determination of the
exemplary damages, and attorney’s fees. He amount to be paid, unless found by the court to be
engaged the services of Atty. Go, as his counsel unconscionable or unreasonable. The criteria found
and agreed to pay attorney’s fees on a contingent in the Code of Professional Responsibility are also
basis, as follows: 20% of total monetary claims as to be considered in assessing the proper amount of
settled or paid and an additional 10% in case of compensation that a lawyer should receive. (Canon
appeal. Labor Arbiter rendered granted the 20, Rule 20.01, CPR; Evangelina Masmud v. NLRC,
monetary claims of Alexander. Eventually, after et. al., G.R. No. 183385, Feb. 13, 2009)
several appeals, the decision being favorable to
Evangelina (substituted her deceased husband), Q: What is a champertous contract?
the decision became final and executory. Upon
motion of Atty. Go, the surety company delivered A: It is one where the lawyer stipulates with his
to the NLRC Cashier, the check amounting to client in the prosecution of the case that he will
P3,454,079.20. Thereafter, Atty. Go moved for the bear all the expenses for the recovery of things or
release of the said amount to Evangelina. Out of property being claimed by the client, and the latter
the said amount, Evangelina paid Atty. Go the sum agrees to pay the former a portion of the thing or
of P680,000.00. Dissatisfied, Atty. Go filed a property recovered as compensation. It is void for
motion to record and enforce the attorney’s lien being against public policy. (Like gambling) (1999,
alleging that Evangelina reneged on their 2000, 2006 Bar Questions)
contingent fee agreement. Evangelina manifested
that Atty. Go’s claim for attorney’s fees of 40% of Note: A champertous contract which is considered
the total monetary award was null and void based void due to public policy, because it would make
on Article 111 of the Labor Code. Is her contention him acquire a stake in the outcome of the litigation
correct? which might lead him to place his own interest
above that of the client. (Bautista v. Gonzales, A.M.
A: No. Art. 111. Attorney's fees. (a) In cases of No. 1625, Feb. 12, 1990)
unlawful withholding of wages, the culpable party
may be assessed attorney's fees equivalent to ten
percent of the amount of the wages recovered.

94
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Q: What is the difference between a contingent Rule 20.03


contract and champertous contract? A lawyer shall not, without the full knowledge and
consent of the client, accept any fee, reward, costs,
A: commission, interest, rebate or forwarding
CONTINGENT CHAMPERTOUS allowance or other compensation whatsoever
CONTRACT CONTRACT related to his professional employment from
Payable in cash Payable in kind only anyone other than the client.
(1997, 2003 Bar Questions)
Lawyers do not Lawyers undertake to
undertake to pay all pay all expenses of
expenses of litigation litigation
Rationale: Intended to secure the fidelity of the
Valid Void
lawyer to his client’s cause and to prevent a
situation in which the receipt of him of a rebate or
commission from another with the client’s business
may interfere with the full discharge of his duty to
Q: The contract of attorney's fees entered into by
his client. (Report of the IBP Committee)
Atty. Quintos and his client, Susan, stipulates that
if a judgment is rendered in favor of the latter,
XPN: A lawyer may receive compensation from a
Atty. Quintos gets 60% of the property recovered
person other than his client when the latter has full
as contingent fee. In turn, he will assume payment
knowledge and approval thereof. (Sec. 20 (e), Rule
of all expenses of the litigation. May Atty. Quintos
138)
and Susan increase the amount of the contingent
fee to 80%?
Attorney’s Lien
A: No. Atty. Quintos and Susan cannot agree to Note: A lawyer is not entitled to unilaterally
increase the amount of the contingent fee to 80% appropriate his client’s money for himself by the mere
because the agreement is champertous. Even if fact alone that the client owes him attorney’s fees.
there is no champertous provision present, the (Rayos v. Hernandez, GR No. 169079, Feb. 12, 2007)
contingent fee of 80% of the property recovered
could still be considered as unconscionable, Q: Define an attorney’s retaining lien.
because it is so disproportionate as to indicate that
an unjust advantage had been taken of the client, A: A retaining lien is the right of an attorney to
and is revolting to human conscience. Contracts for retain the funds, documents and papers of his client
attorney's fees are always subject to control by the who have lawfully come into his possession and
courts. (2006 Bar Question) may retain the same until his lawful fees and
disbursements have been paid, and may apply such
Rule 20.02, Canon 20, CPR funds to the satisfaction thereof. (1994, 1995, 1996,
A lawyer shall, in cases of referral, with the 1998, 2000 Bar Questions)
consent of the client, be entitled to a division of
fees in proportion to the work performed and Q: What are the requisites in order for an attorney
responsibility assumed. to be able to exercise his retaining lien?

Note: This is not in the nature of a broker’s A: ALU


commission. 1. Attorney-client relationship;
2. Lawful possession by the lawyer of the
Q: How does Lawyer-Referral System work? client’s funds, documents and papers in
his professional capacity; and
A: Under this system, if another counsel is referred 3. Unsatisfied claim for attorney’s fees or
to the client, and the latter agrees to take him as disbursements.
collaborating counsel, and there is no express
agreement on the payment of attorney’s fees, the Q: Upon being replaced by Justice C, Atty. B, the
said counsel will receive attorney’s fees in former counsel of the parents of the victims of the
proportion to the work performed and OZONE Disco tragedy, was directed to forward all
responsibility assumed. The lawyers and the client the documents in his possession to Justice C. Atty.
may agree upon the proportion but in case of B refused, demanding full compensation pursuant
disagreement, the court may fix the proportional to their written contract. Sensing that a favorable
division of fees. (Lapena, 2009) judgment was forthcoming, Atty. B filed a motion
in court relative to his attorney’s fees, furnishing
his former clients with copies thereof. Is Atty. B

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
95
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

legally and ethically correct in refusing to turn over and a charging lien?
the documents and in filing the motion? Explain.
A:
A: Yes. He is entitled to a retaining lien which gives RETAINING LIEN CHARGING LIEN
him the right to retain the funds, documents and As to Nature
papers of his client which have lawfully come to his Passive lien. It cannot Active lien. It can be
possession until his lawful fees and disbursement be actively enforced. It enforced by execution. It is
have been paid (Sec. 37, Rule 138, Rules of Court; is a general lien. a special lien.
Rule 16.03, Code of Professional Responsibility).
Likewise, he is legally and ethically correct in filing a As to Basis
motion in court relative to his fees. He is entitled to Lawful possession of Securing of a favorable
a charging lien upon all judgments for the paying of papers, documents, money judgment for client.
money, and executions issued in pursuance of such property belonging to
judgments, which he has secured in a litigation of the client.
his client, from and after the time when the records
As to Coverage
of the court rendering such judgment or issuing
Covers papers, Covers all judgments for
such execution. (1996 Bar Question)
documents, and the payment of money and
properties in the lawful execution issued in
Q: Define an attorney’s charging lien. possession of the pursuance of such
attorney by reason of judgment.
A: A charging lien is the right of a lawyer to the his professional
same extent upon all judgments for the payment of employment
money, and executions issued in pursuance of such As to Effect
judgments which he has secured in a litigation of his As soon as the attorney As soon as the claim for
client, from and after the time when he shall have gets possession of attorney’s fees had been
caused a statement of his claim of such lien to be papers, documents, or entered into the records of
entered upon the records of the court rendering property. the case.
such judgment, or issuing such execution, and shall
have caused written notice thereof to be delivered As to Applicability
to his client and to the adverse party; and he shall May be exercised Generally, exercised only
have the same right and power over such before judgment or when the attorney had
judgments and executions as his client would have execution or regardless already secured a favorable
to enforce his lien and secure the payment of his thereof. judgment for his client.
fees and disbursements. (Sec. 37, Rule 138, Revised
Rules of Court) (1994, 2008 Bar Questions) As to Extinguishment
When possession When client loses action as
Q: What are the requisites in order for an attorney lawfully ends as when lien may only be enforced
lawyer voluntarily parts against judgment awarded
to be able to exercise his charging lien?
with funds, documents, in favor of client, proceeds
A:
and papers of client or thereof/executed thereon.
1. Existence of attorney-client relationship;
offers them as
2. The attorney has rendered services; evidence.
3. Favorable money judgment secured by
the counsel for his client;
Fees and Controversies with Clients
4. The attorney has a claim for attorney’s
fees or advances; and
Rule 20.04, Canon 20, CPR
5. A statement of the claim has been duly
A lawyer shall avoid controversies with clients
recorded in the case with notice thereof
concerning his compensation and shall resort to
served upon the client and the adverse
judicial action only to prevent imposition, injustice
party.
or fraud.
(1998 Bar Question)
Note: A charging lien, to be enforceable as a
security for the payment of attorney’s fees, requires
as a condition sine qua non a judgment for money Q: Can a lawyer file a case against his client for the
and execution in pursuance of such judgment enforcement of attorney’s fees?
secured in the main action by the attorney in favor
of his client. A:
GR: A lawyer should avoid the filing of any case
Q: What is the difference between a retaining lien against a client for the enforcement of
attorney’s fees.

96
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

2. Court has decided that it has no


Note: The legal profession is not a money-making jurisdiction over the action or has already
trade but a form of public service. Lawyers should lost it;
avoid giving the impression that they are mercenary 3. Person liable for attorney’s fees is not a
(Perez v. Scottish Union and National Insurance Co., party to the main action;
C.A. No. 8977, Mar. 22, 1946). It might even turn out 4. Court reserved to the lawyer the right to
to be unproductive for him for potential clients are file a separate civil suit for recovery of
likely to avoid a lawyer with a reputation of suing his attorney’s fees;
clients.
5. Services for which the lawyer seeks
payment are not connected with the
XPNs:
subject litigation; and
1. To prevent imposition
6. Judgment debtor has fully paid all of the
2. To prevent injustice
judgment proceeds to the judgment
3. To prevent fraud
creditor and the lawyer has not taken any
legal step to have his fees paid directly to
Note: A client may enter into a compromise
him from the judgment proceeds.
agreement without the intervention of the lawyer, but
the terms of the agreement should not deprive the
counsel of his compensation for the professional Q: What are the effects of the nullity of contract
services he had rendered. If so, the compromise shall on the right to attorney’s fees?
be subjected to said fees. If the client and the adverse
party who assented to the compromise are found to A: If the nullification is due to:
have intentionally deprived the lawyer of his fees, the 1. The illegality of its object - the lawyer is
terms of the compromise, insofar as they prejudice the precluded from recovering; and
lawyer, will be set aside, making both parties 2. Formal defect or because the court has
accountable to pay the lawyer’s fees. But in all cases, it found the amount to be unconscionable -
is the client who is bound to pay his lawyer for his legal the lawyer may recover for any services
representation. (Atty. Gubat v. NPC, G.R. No. 167415, rendered based on quantum meruit.
Feb. 26, 2010)
Q: To what compensation is a lawyer entitled to?
Q: Where and how may attorney's fees be claimed
by the lawyer? A:
1. Counsel de parte – He is entitled to the
A: reasonable attorney’s fees agreed upon,
1. In the same case – It may be asserted or in the absence thereof, on quantum
either in the very action in which the meruit basis.
services of a lawyer had been rendered or 2. Counsel de oficio – The counsel may not
in a separate action. demand from the accused attorney’s fees
2. In a separate civil action – A petition for even if he wins the case. He may,
attorney's fees may be filed before the however, collect from the government
judgment in favor of the client is satisfied funds, if available based on the amount
or the proceeds thereof delivered to the fixed by the court.
client. 3. Amicus Curae – not entitled to attorney’s
fees.
The determination as to the propriety of the
fees or as to the amount thereof will have to Q: Why is there a need to state the reason for the
be held in abeyance until the main case from award of attorney’s fees in the text of the
which the lawyer's claim for attorney's fees court’s decision?
may arise has become final. Otherwise, the
determination of the courts will be premature. A: The award of attorney’s fees being an exception
rather than the general rule, it is necessary for the
Note: Contracts for employment may either be oral court to make findings of facts and law that would
or express. bring the case within the exception and justify the
grant of such award. (Agustin vs. CA, G.R. No.
Q: What are the instances when an independent 84751, June 6, 1990)
civil action to recover attorney’s fees is necessary?
Q: Is attorney’s fee deemed incorporated in the
A: general prayer for ‘such other relief and remedy as
1. Main action is dismissed or nothing is this court may deem just and equitable’?
awarded;

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
97
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Q: May a lawyer reveal the confidences or secrets


A: No. Attorney’s fees must be specifically prayed of his client?
for and proven and justified in the decision itself. A:
(Trans-Asia Shipping Lines, Inc. vs. CA, G.R. No.
118126, Mar. 4, 1996) GR: A lawyer shall not reveal the confidences
and secrets of his client.
Q: Can the Court of Appeals review the decision of
lower courts fixing attorney’s fees? Note: An attorney cannot, without the consent of his
client, be examined as to any communication made by
A: Yes. The CA, in the exercise of its jurisdiction to the client to him, or his advice given thereon in the
review the decisions of lower courts can determine course of, or with a view to, professional employment,
whether the attorney’s fees fixed by said courts are nor can an attorney’s secretary, stenographer, or clerk
reasonable under the circumstances. After taking be examined, without the consent of the client and his
into consideration the various factors to guide the employer, concerning any fact the knowledge of which
has been acquired in such capacity. (Sec. 24(b), Rule
courts in the fixing of such fees, an appellate court
130, RRC)
can reduce the attorney’s fees stipulated by the
parties in a contract for professional services or
XPN:
awarded by the lower court to levels which it
a. When authorized by his client after
deems reasonable.
acquainting him of the consequences of
the disclosure;
h. PRESERVATION OF CLIENT’S CONFIDENCES
The only instance where the waiver of
CANON 21, CPR
the client alone is insufficient is when
A LAWYER SHALL PRESERVE THE CONFIDENCES
the person to be examined with
AND SECRETS OF HIS CLIENTS EVEN AFTER THE
reference to any privileged
ATTORNEY-CLIENT RELATION IS TERMINATED.
communication is the attorney’s
(1998, 2006 Bar Questions)
secretary, stenographer or clerk, in
respect to which the consent, too, of
Note: The protection given to the client is perpetual
the attorney is necessary.
and does not cease with the termination of the
litigation nor is affected by the party ceasing to
b. When required by law;
employ the attorney and employ another or any
other change of relation between them. It even
c. When necessary to collect his fees or to
survives the death of the client.
defend himself, his employees or
associates by judicial action.
Q: What is confidence?
Note: Payment of retainer fee is not essential before
A: It refers to the information protected by the an attorney can be required to safeguard a prospective
attorney-client privilege. (Report of IBP Committee) client’s secret acquired by the attorney during the
course of the consultation with the prospective client,
Q: What are secrets? even if the attorney did not accept the employment.

A: It refers to other information gained in the Q: What are the instances when a lawyer may
professional relationship that the client has testify as a witness in a case which he is handling
requested to be held inviolate or the disclosure of for a client?
which would be embarrassing or detrimental to the
client. (Ibid) A:
1. On formal matters, such as the mailing,
Rule 21.01, Canon 21, CPR authentication or custody of an
A lawyer shall not reveal the confidences or secrets instrument and the like;
of his client except; 2. Acting as an expert on his free;
a. When authorized by the client after acquainting 3. Acting as an arbitrator;
him of the consequences of the disclosure; 4. Depositions; and
b. When required by law; 5. On substantial matters in cases where his
c. When necessary to collect his fees or to defend testimony is essential to the ends of
himself, his employees or associates or by judicial justice, in which event he must, during his
action. testimony, entrust the trial of the case to
another counsel.

98
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

filing cabinet belonging to Atty. X. In seeking the


Rule 21.02, Canon 21, CPR return of the cabinet, Atty. X claimed that the
A lawyer shall not, to the disadvantage of his cabinet contained documents and articles
client, use information acquired in the course of belonging to his clients but the government
employment, nor shall he use the same to his own refused to return the cabinet. Atty. X petitioned
advantage or that of a third person, unless the the court which issued the warrant, praying that
client with full knowledge of the circumstances the agents be prohibited from opening the
consents thereto. cabinet. Should Atty. X’s petition be given due
course?
Q: Bun Siong Yao is a majority stockholder of Solar
Farms & Livelihood Corporation and Solar Textile A: Yes. The lower court cannot order the opening of
Finishing Corporation. Atty. Leonardo Aurelio is said cabinet. To do so is in violation of his rights as
also a stockholder and the retained counsel of an attorney. It would be tantamount to compelling
both the corporation and Bun Siong Yao. The latter him to disclose his client’s secrets. (Lapena, 2009)
purchased several parcels of land using his
personal funds but were registered in the name of Note: Confidential information obtains even against
the corporations upon the advice of Atty. Aurelio. government agencies and instrumentalities. (Funa,
2009)
After a disagreement between Atty. Aurelio and
Bun Siong Yao’s wife, the former demanded the
Rule 21.04, Canon 21, CPR
return of his investment in the corporations but
A lawyer may disclose the affairs of a client of the
when Yao refused to pay, he filed 8 charges for
firm to partners or associates thereof unless
estafa and falsification of commercial documents
prohibited by the client.
against Yao and his wife and the other officers of
the corporation. Yao alleged that the series of suits
Note: Professional employment of a law firm is
is a form of harassment and constitutes an abuse equivalent to retainer of members thereof. In a law
of the confidential information which Atty. Aurelio firm, partners or associates usually consult one
obtained by virtue of his employment as counsel. another involving their cases and some work as a
Atty. Aurelio however said that he only handled team. Consequently, it cannot be avoided that some
isolated labor cases for the said corporations. Did information about the case received from the client
Atty. Aurelio abuse the confidential information may be disclosed to the partners or associates.
he obtained by virtue of his employment as
counsel? Q: In need of legal services, Niko secured an
appointment to meet with Atty. Henry of Henry &
A: Yes. The long-established rule is that an attorney Meyer Law Offices. During the meeting, Niko
is not permitted to disclose communications made divulged highly private information to Atty. Henry,
to him in his professional character by a client, believing that the lawyer would keep the
unless the latter consents. Atty. Aurelio took confidentiality of the information. Subsequently,
advantage of his being a lawyer in order to get back Niko was shocked when he learned that Atty.
at Yao. In doing so, he has inevitably utilized Henry had shared the confidential information
information he has obtained from his dealings with with his law partner, Atty. Meyer, and their
Yao and Yao's companies for his own end. common friend, private practitioner Atty.
Canonigo. When confronted, Atty. Henry replied
Lawyers cannot be allowed to exploit their that Niko never signed any confidentiality
profession for the purpose of exacting vengeance or agreement, and that he shared the information
as a tool for instigating hostility against any person with the two lawyers to secure affirmance of his
most especially against a client or former client. legal opinion on Niko’s problem. Did Atty. Henry
(Bun Siong Yao v. Aurelio, A.C. No. 7023, Mar. 30, violate any rule of ethics? Explain fully.
2006)
A: Atty. Henry violated Canon No. 21 of the CPR by
Rule 21.03, Canon 21, CPR sharing information obtained from his client Niko
A lawyer shall not, without the written consent of with Atty. Canonigo. Canon No. 20 provides that “a
his client, give information from his files to an lawyer shall preserve the confidences or secrets of
outside agency seeking such information for his client even after the attorney-client relationship
auditing, statistical, bookkeeping, accounting, is terminated.” The fact that Atty. Canonigo is a
data processing, or any other similar purposes. friend from whom he intended to secure legal
opinion on Niko’s problem, does not justify such
Q: Certain government officers, armed with search disclosure. He cannot obtain a collaborating counsel
warrant duly issued, seized among other things, a without the consent of the client. (Rule 18.01, CPR)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
99
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

3. The privilege begins to exist only after


On the other hand, Atty. Henry did not violate attorney-client relationship has been
Canon 21 in sharing information with his partner established hence it does not attach until
Atty. Meyer. Rule 21.04 of the CPR specifically there is a client; and
provides that “a lawyer may disclose the affairs of a 4. The court has a right to know that the
client of the firm to partners or associates thereof client whose privileged information is
unless prohibited by the client.” Atty. Henry was sought to be protected is flesh and blood.
not prohibited from disclosing the affairs of Niko
with the members of his law firm. The employment i. WITHDRAWAL OF SERVICES
of a member of a firm is generally considered as
employment of the firm itself. (Hilado v. David, G.R. CANON 22, CPR
No. L-961, Sept. 21, 1949) (2008 Bar Question) A LAWYER SHALL WITHDRAW HIS SERVICES ONLY
FOR GOOD CAUSE AND UPON NOTICE
Rule 21.05, Canon 21, CPR APPROPRIATE IN THE CIRCUMSTANCES.
A lawyer shall adopt such measures as may be (1994, 1995, 1997, 2000, 2001, 2004, 2005, 2008
required to prevent those whose services are Bar Questions)
utilized by him, from disclosing or using
confidences or secrets of the client. Q: When is a lawyer allowed to withdraw his
services?
Rule 21.06, Canon 21, CPR
A: A lawyer shall withdraw his services only for
A lawyer shall avoid indiscreet conversation about
good cause and upon notice appropriate in the
a client’s affairs even with members of his family.
circumstances.

Rule 21.07, Canon 21, CPR GR: A lawyer lacks the unqualified right to withdraw
A lawyer shall not reveal that he has been once he has taken a case. By his acceptance, he has
consulted about a particular case except to avoid impliedly stipulated that he will prosecute the case
possible conflict of interest. to conclusion. This is especially true when such
withdrawal will work injustice to a client or
Q: Can the lawyer refuse from disclosing his frustrate the ends of justice.
client’s identity?
A: XPN: The right of a lawyer to retire from the case
GR: A lawyer may not invoke privileged before its final adjudication, which arises only from:
communication to refuse revealing a client’s 1. The client’s written consent; or
identity. 2. By permission of the court after due
notice and hearing.
XPN:
1. When there is a strong possibility that Q: Does the written consent of the client require
revealing the client’s name would approval of the court to be effective?
implicate the client in the very activity for
which he sought the lawyer’s advice; A: The withdrawal in writing of a lawyer as counsel
2. When disclosure would open the client to for a party, with the client’s written conformity,
civil liability; does not require the approval of the court to be
3. When government’s lawyers have no case effective, especially if the withdrawal is
against an attorney’s client and revealing accompanied by a formal appearance of a new
the client’s name would furnish the only counsel.
link that would come from the chain of
testimony necessary to convict him. Q. Which of the following is required of counsel
when withdrawing his services to a client in a
Q: What is the reason why a lawyer may not case?
invoke privileged communication to refuse A. Counsel's desire to withdraw, expressed in his
revealing a client’s identity? motion.
B. Payment of withdrawal fee.
A: C. Opposing counsel’s conformity to the
1. Due process considerations require that withdrawal.
the opposing party should know the D. Client's written consent filed in court.
adversary;
2. The privilege pertain to the subject matter A: D (2011 Bar Question)
of the relationship;

100
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

Q: What are the instances when a lawyer may even against his consent.
withdraw his services without the consent of his
client? 1. With just cause – lawyer is not necessarily
deprived of his right to be paid for his
A: FIC MOVIE services. He may only be deprived of such
1. When the client deliberately Fails to pay right if the cause for his dismissal
the fees for the services or fails to comply constitutes in itself a sufficient legal
with the retainer agreement; obstacle to recovery.
2. When the client pursues an Illegal or
immoral course of conduct in connection 2. Without just cause
with the matter he is handling; a. No express written agreement
3. When the lawyer finds out that he might as to fees - reasonable value of
be appearing for a Conflicting interest; his services up to the date of his
4. When the Mental or physical condition of dismissal (quantum meruit).
the lawyer renders it difficult for him to b. There is written agreement and
carry out the employment effectively; the fee stipulated is absolute
5. Other similar cases; and reasonable – full payment
6. When the client insists that the lawyer of compensation.
pursue conduct in Violation of these c. The fee stipulated is contingent.
canons and rules; d. If dismissed before the
7. When his Inability to work with co- conclusion of the action -
counsel will not promote the best interest reasonable value of his services
of the client; and (quantum meruit)
8. When the lawyer is Elected or appointed e. If contingency occurs or client
to a public office. (Rule 22.01, CPR) prevents its occurrence – full
amount.
Q: What is the procedure when withdrawal is
without client’s consent? Note: Lawyer should question his discharge otherwise
he will only be allowed to recover on quantum meruit
A: basis.
1. File a petition for withdrawal in court.
2. Serve a copy of this petition upon his Q: What are the limitations on client’s right to
client and the adverse party at least 3 discharge the services of his lawyer?
days before the date set for hearing.
A:
Note: He should present his petition well in advance of 1. When made with justifiable cause, it shall
the trial of the action to enable the client to secure the negate the attorney’s right
services of another lawyer. to full payment of compensation.
2. The attorney may, in the discretion of the
If the application is filed under circumstances that do court, intervene in the case to protect his
not afford a substitute counsel sufficient time to right to fees.
prepare for trial or that work prejudice to the client’s 3. A client may not be permitted to abuse
cause, the court may deny his application and require his right to discharge his counsel as an
him to conduct the trial. excuse to secure repeated extensions of
time to file a pleading or to indefinitely
A lawyer should not presume that the court will grant
avoid a trial.
his petition for withdrawal. Until his withdrawal shall
have been proved, the lawyer remains counsel of
record who is expected by his client as well as by the
Q: Is notice of discharge necessary?
court to do what the interests of his client require.
A: It is not necessary between client and attorney.
Discharge of the Attorney by the Client But insofar as the court and the adverse party is
(1994,1997,1998 Bar Question) concerned, the severance of the relation of
attorney and client is not effective until:
Q: Can a client discharge the services of his lawyer 1. A notice of discharge by the client or a
without a cause? manifestation clearly indicating that
purpose is filed with the court; and
A: Yes. A client has the right to discharge his 2. A copy thereof served upon the adverse
attorney at any time with or without a cause or party.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
101
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Q: What should a lawyer do if no notice of Q: What is Hot Potato Doctrine?


discharge was filed by the client with the court?
A: It refers to the prohibition from dropping smaller
A: If the client has not filed a notice of discharge, clients (like hot potatoes) in order to pick up more
the duty of the attorney, upon being informed by lucrative clients.
his client that his services have been dispensed
with, is to file: Q: On the eve of the initial hearing for the
1. A notice of withdrawal with the client’s reception of evidence for the defense, the
conformity; or defendant and his counsel had a conference where
2. An application to retire from the case, he the client directed the lawyer to present as
being released from professional principal defense witnesses 2 persons whose
responsibility only after his dismissal or testimonies were personally known to the lawyer
withdrawal is made of record. to have been perjured. The lawyer informed his
client that he refused to go along with the
Q: What are the conditions for substitution of unwarranted course of action proposed by the
counsel? defendant. But the client insisted on the directive,
or else he would not pay the agreed attorney’s
A: fees. When the case was called for hearing the
1. Written application next morning the lawyer forthwith moved in open
2. Written consent of the client court that he be relieved as counsel for the
3. Written consent of the attorney to be defendant. Both the defendant and the
substituted, or in the absence thereof, plaintiff’s counsel objected to the motion. Under
proof of service of notice of said motion the given facts, is the defense lawyer legally
to the attorney to be substituted in the justified in seeking withdrawal from the case?
manner prescribed by the rules. Why or why not? Reason briefly.

Withdrawal by the Attorney A: Yes, he is justified. Under rule 22.01 of the CPR, a
lawyer may withdraw his services “if the client
Rule 22.01, Canon 22, CPR insists that the lawyer pursue conduct violative of
A lawyer may withdraw his services in any of the these canon and rules”. The insistence of the client
following case: that the lawyer present witnesses whom he
a. When the client pursues an illegal or immoral personally knows to have been perjured, will
course of conduct in connection with the matter he expose him to criminal and civil liability and violate
is handling; his duty of candor, fairness and good faith to the
b. When the client insists that the lawyer pursue court.
conduct violative of these canons and rules;
c. When the inability to work with co- counsel will Q: Was the motion for relief as counsel made by
not promote the best interest of the client; the defense lawyer in full accord with the
d. When the mental or physical condition of the procedural requirements for a lawyer’s
lawyer renders it difficult for him to carry out the withdrawal from a court case? Explain briefly.
employment effectively;
e. When the client deliberately fails to pay the fees A: No his actuation is not in accord with the
for the services or fails to comply with the retainer procedural requirements for the lawyer’s
agreement withdrawal from a court case. Whether or not a
f. When the lawyer is elected or appointed to lawyer has a valid cause to withdraw from a case,
public office; and he cannot just do so and leave the client in the cold
g. Other similar cases. unprotected. He must serve a copy of his petition
upon the client and the adverse party. He should,
Note: In cases a-e above, the lawyer must file a written moreover, present his petition well in advance of
motion with an express consent of his client and the the trial of the action to enable the client to secure
court shall determine whether he ought to be allowed the services of another lawyer. (2004 Bar Question)
to retire.
Q: Atty. X filed a notice of withdrawal of
He may also retire at any time from an action or appearance as counsel for the accused Y after the
special proceeding without the consent of his client, prosecution rested its case. The reason for the
should the court, on notice to the client and attorney, withdrawal of Atty. X was the failure of accused Y
and on hearing, determine that he ought to be allowed to affix his conformity to the demand of Atty. X for
to retire. (Sec. 26, Rule 138, RRC)

102
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Duties And Responsibilities Of A Lawyer

increase in attorney's fees. Is the ground for recovering from adverse party.
withdrawal justified? Explain.
A: The ground for the withdrawal is not justified. Q: When will civil liability arise?
Rule 22.01 (e) of the Code of Professional A:
Responsibility provides that a lawyer may withdraw 1. Client is prejudiced by lawyer's negligence
his services when the client deliberately fails to pay or misconduct;
the fees for his services or fails to comply with the 2. Breach of fiduciary obligation;
retainer agreement. In this case, the client has not 3. Civil liability to third persons;
failed to pay the lawyer's fees or to comply with the 4. Libelous words in pleadings;
retainer agreement. He has only refused to agree 5. Violation of communication privilege;
with the lawyer's demand for an increase in his 6. Liability for costs of suit (treble costs) –
fees. It is his right to refuse that is part of his when lawyer is made liable for insisting
freedom of contract (2000 Bar Question) on client's patently unmeritorious case or
interposing appeal merely to delay
Rule 22.02, Canon 22,CPR litigation.
A lawyer who withdraws or is discharged shall,
subject to a retaining lien, immediately turn over Q: When will the liability of a lawyer for “breach
all papers and property to which the client is of fiduciary obligation” arise?
entitled, and shall cooperate with his successor in A: A lawyer may be held liable if he fails in his
the orderly transfer of the matter, including all obligation to make an accounting of funds or
information necessary for the proper handling of property that may come to his possession for a
the matter. lawyer holds his client’s funds or property in trust
for his client.
Q: What are the duties of a discharged lawyer or
one who withdraws? Q: What are the effects of lawyer’s failure to
return client’s money or property after demand?
A:
1. Immediately turn-over all papers and A:
property to which the client is entitled; 1. There will be a presumption that the
and lawyer misappropriated the same.
2. To cooperate with his successor in the 2. It will give rise to civil liability of the
orderly transfer of the case. lawyer.
3. Criminal liability
Liabilities of a Lawyer 4. Administrative liability

Q: What are the requisites for the liability of a Q: What is the remedy of the client?
lawyer for damages?
A: Recover property from lawyer, together with its
A: AWI fruits, subject to client’s returning to his lawyer the
1. Attorney-client relationship; purchase price thereof and the legal interests
2. Want of reasonable care and diligence by thereon.
lawyer
3. Injury sustained by client as a proximate Q: When is a lawyer not liable for libelous words in
result of the lawyer’s negligence. the pleadings?

Q: What are the kinds of damages? A: A lawyer is exempted from liability for slander,
libel or for words otherwise defamatory, published
A: in the course of judicial proceedings, provided the
1. Nominal – where client lost the litigation statements are connected with, relevant, pertinent
as a consequence of lawyer’s gross and material to the cause in hand or subject of
omission of negligence inquiry.
2. Actual/Compensatory
3. Moral Note: Test of relevancy – The matter to which the
4. Attorney’s fees privilege does not extend must be palpably wanting
in relation to the subject of controversy, that no
Note: For nos. 2-4 there should be a showing that: reasonable man can doubt its relevancy or
1. The lawyer had exercised due diligence propriety.
2. His client would have succeeded in

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
103
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Pleadings should contain plain and concise


statements of material facts and if pleader goes
beyond requisites of law and alleges irrelevant
matter, which is libelous, he loses his privilege and
may be liable in a separate suit.

Q: Who is liable for the payment of costs of suits?

A:
GR: Losing client and not the lawyer is liable
for costs of suit in favor of prevailing party, the
lawyer not being a party-litigant.

XPN: Where the lawyer insisted on client’s


patently unmeritorious case or interposed an
appeal to delay litigation or thwart prompt
satisfaction of prevailing party’s just and valid
claim, the court may adjudge lawyer to pay
treble costs of suit.

Q: When will criminal liability exist?

A: A lawyer may be held criminally liable if he


commits any of the following:
1. Causing prejudice to the client thru
malicious breach of professional duty or
thru inexcusable negligence or ignorance;
2. Revealing client’s secrets learned in
lawyer’s professional capacity thru
malicious breach of professional duty or
inexcusable negligence or ignorance;
3. A lawyer who has undertaken the defense
of a client or has received confidential
information from said client in a case may
be criminally liable for undertaking
defense of opposing party in same cause
without consent of first client; (Art. 209,
RPC)
4. A lawyer who shall knowingly introduce in
evidence in any judicial proceeding or to
the damage of another or who, with
intent to cause such damage, shall use
any false document may be held
criminally liable therefor; (Art. 172, RPC)
and
5. A lawyer who misappropriates his client’s
funds may be held liable for estafa.

104
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Suspension, disbarment and Discipline of Lawyers

C. SUSPENSION, DISBARMENT AND DISCIPLINE OF Note: The CA and RTC cannot disbar a lawyer.
LAWYERS
Q: What are the other sanctions and remedies?
1. NATURE AND CHARACTERISTICS OF
DISCIPLINARY ACTIONS AGAINST LAWYERS A: RALARRO
1. Restitution;
Q: What is the rationale of disciplining errant 2. Assessment of costs;
lawyers? 3. Limitation upon practice;
4. Appointment of a receiver;
A: Practice of law is not a natural or constitutional 5. Requirement that a lawyer take the bar
right, but it is in the nature of a privilege franchise. examination or professional responsibility
Hence, the same may be suspended or removed examination;
from the lawyer for reasons provided in the rules, 6. Requirement that a lawyer attend
law and jurisprudence. continuing education courses; and
7. Other requirements that the highest court
Q: What is the purpose of disciplining lawyers? or disciplinary board deems consistent
with the purposes of the sanctions.
A: To ascertain that a lawyer still possesses those
qualifications which are conditions precedent for Q: What are the forms of disciplinary measures?
the continuous practice of law and; to deter others
from similar misconduct, to protect the court and A: WARCS-DIP
the public from the misbehavior of its officers. 1. Warning – an act of putting one on his
guard against an impending danger, evil,
Q: What is the nature of the power to discipline? consequence or penalty;
2. Admonition – a gentle or friendly reproof,
A: The power to discipline a lawyer is JUDICIAL in mild rebuke, warning, reminder, or
nature and can be exercised only by the courts. It counseling on a fault, error or oversight;
cannot be defeated by the legislative or executive an expression of authoritative advice;
departments. 3. Reprimand – a public and formal censure
or severe reproof, administered to a
Note: The power to disbar and to reinstate is an person at fault by his superior officer or
inherently judicial function (Andres v. Cabrera, SBC- the body to which he belongs;
585, Feb. 29, 1984) 4. Censure – official reprimand;
5. Suspension – temporary withholding of a
Q: What are the powers of the Supreme Court with lawyer’s right to practice his profession as
regard to the discipline of errant lawyers? a lawyer for a certain period or for an
indefinite period of time:
A: WARDSIP a. Definite;
1. Warn; b. Indefinite – qualified
2. Admonish; disbarment; lawyer determines
3. Reprimand; for himself how long or how
4. Disbar; short his suspension shall last by
5. Suspend a lawyer; [Sec. 27, Rule 138, proving to court that he is once
Revised Rules of Court (RRC)] again fit to resume practice of
6. Interim suspension; and law.
7. Probation (IBP Guidelines) 6. Disbarment – it is the act of the Supreme
Court of withdrawing from an attorney
Q: What about the Court of Appeals and the the right to practice law. The name of the
Regional Trial Court? lawyer is stricken out from the Roll of
Attorneys;
A: They are also empowered to: WARSP 7. Interim Suspension – it is the temporary
1. Warn; suspension of a lawyer from the practice
2. Admonish; of law pending imposition of final
3. Reprimand; discipline;
4. Suspend an attorney from practice for any Includes:
of the causes named in Sec 27, Rule 138 a. Suspension upon conviction of a
until further action of the Supreme Court “serious crime”;
in the case; (Sec. 16, Rule 139-B) and b. Suspension when the lawyer’s
5. Probation (IBP Guidelines) continuing conduct is or is likely

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
105
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

to cause immediate and serious dismissal of the complaint arguing that the cause
injury to a client or public of action has prescribed. Must the complaint be
8. Probation – it is a sanction that allows a dismissed?
lawyer to practice law under specified
conditions. (2002, 2004 Bar Questions) A: No, because such complaints do not prescribe.
(2011 Bar Question)
a. Sui Generis
Q: May a lawyer be suspended or disciplined for
Q: What is the nature of the disciplinary actions his misconduct in his private capacity?
against lawyers?
A:
A: Administrative cases against lawyers belong to a GR: No.
class of their own (sui generis). They are distinct
from and may proceed independently of civil and XPN: If the misconduct is so GROSS as to show
criminal cases. (In re Almacen, G.R. No. L-27654, him to be wanting in moral character, honesty,
Feb. 18, 1970; Funa, 2009) probity and demeanor (Ducat, Jr. v. Villalon,
A.C. No. 3910, June 28, 2001).
Q: What are the main objectives of disbarment
and suspension? Q: To whom may the Supreme Court refer
complaints against lawyers for investigation?
A: To: A. Integrated Bar of the Philippines.
1. Compel the attorney to deal fairly and B. Office of the Bar Confidant.
honestly with his clients; C. Judicial and Bar Council.
2. Remove from the profession a person D. Office of the Court Administrator.
whose misconduct has proved him unfit
to be entrusted with the duties and A: A (2011 Bar Question)
responsibilities belonging to the office of
an attorney; Q: Atty. Gutierrez phoned Yuhico and asked for a
3. Punish the lawyer; cash loan claiming that he needed money to pay
4. Set an example or a warning for the other for the medical expenses of his mother who was
members of the bar; seriously ill, and promised to pay the loan very
5. Safeguard the administration of justice soon. Consequently, he asked Yuhico again for a
from incompetent and dishonest lawyers; loan to pay for his wife’s hospitalization
6. Protect the public. and again promised to pay “within a short
time” but failed to do so. Later, he again
Note: The purpose and the nature of disbarment attempted to borrow money for his
proceedings make the number of defenses available in daughter’s licensure examination in the US
civil and criminal actions inapplicable in disciplinary Medical Board and assured Yuhico that he will pay
proceedings. his debts on or before a certain date but Yuhico
refused to lend him the money, instead, he
b. Prescription demanded payment of his debts. Atty. Gutierrez
failed to pay which led to the filing of a complaint
Q: Is there a prescriptive period for filing before the IBP- CBD for non-payment of just debts.
administrative complaints against lawyers? It turned out that Atty. Gutierrez was previously
disbarred in the case of Huyssen v Atty. Gutierrez
A: None. Rule VII, Section 1 of the Rules of for gross misconduct in view of his failure to pay
Procedure of the CBD-IBP, which provides for a his debts and his issuance of worthless checks.
prescriptive period for the filing of administrative May Atty. Gutierrez be disbarred for the second
complaints against lawyers, should be struck down time?
as void and of no legal effect for being ultra vires.
(Heirs of Falame v. Atty. Baguio, A.C. No. 6876, Mar. A: NO. The SC held that while the IBP
7, 2008) recommended to disbar Atty. Gutierrez for the
second time, we do not have double or multiple
Q: After several years as a private practitioner, Ben disbarment in our laws or jurisprudence and neither
got appointed as an RTC judge. Five years after his do we have a law mandating a minimum 5-year
appointment, he received summons directing him requirement for readmission, as cited by the IBP.
to answer a disbarment complaint that pertained Thus, while Gutierrez’s infraction calls for the
to a document he notarized more than 10 years penalty of disbarment, they cannot disbar him
ago from appointment date. He sought the

106
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Suspension, disbarment and Discipline of Lawyers

anew. (Yuhico v Atty. Gutierrez, A.C. No. 8391, Nov. 1967)


23, 2010)
Deceit
2. GROUNDS
Q: What is deceit?
Q: What are the grounds for suspension and
disbarment of members of the bar under the Rules A: Deceit is a fraudulent and deceptive
of Court? misrepresentation, artifice or device used by one or
A: The following are specific grounds for suspension more persons to deceive and trick another who is
or disbarment of a lawyer: ignorant of the true facts, to the prejudice and
a. Deceit; damage of the party upon which it was imposed.
b. Malpractice; There must be false representation as a matter of
c. Grossly immoral conduct fact. (e.g. Misappropriation of client’s fund)
d. Conviction of a crime involving
moral turpitude; Malpractice
e. Violation of oath of office;
f. Willful disobedience of any Q: What is malpractice?
lawful order of a superior court
g. Corrupt or willful appearance as A: Malpractice refers to any malfeasance or
an attorney for a party to a case dereliction of duty committed by a lawyer. (Tan Tek
without authority to do so. (Sec. Beng v. David, Adm. Case No. 1261, Dec. 29 1983;
27, Rule 138, RRC) Lapena,Jr., 2009)

Note: Kinds of grounds for the suspension and Note: Legal malpractice consists of failure of an
disbarment of a lawyer consist of those acts of attorney to use such skill, prudence and diligence as a
misconduct committed: lawyer of ordinary skill and capacity commonly possess
1. Prior to admission to the bar - acts of and exercise in the performance of tasks which they
misconduct prior to admission include those undertake, and when such failure proximately causes
that indicate that at the time the lawyer damage, it gives rise to an action in tort. (Tan Tek Beng
took his oath, he did not possess the v. David, A.C. No. 1261, Dec. 29, 1983)
required qualifications for membership in
the bar. Consequently, the cancellation of Grossly Immoral Conduct
his license is justified.
2. After admission to the bar - those which Q: What is Gross Misconduct?
cause loss of moral character on his part or
involve violation of his duties to the court, A: Gross Misconduct is any inexcusable, shameful or
his client, to the legal profession and to the flagrant unlawful conduct on the part of the person
public. concerned in the administration of justice which is
prejudicial to the rights of the parties or to the right
Disbarment and suspension of a lawyer, being the
determination of a cause, a conduct that is
most severe forms of disciplinary sanction, should be
imposed with great caution and only in those cases
generally motivated by a predetermined, obstinate
where the misconduct of the lawyer as an officer of or intentional purpose. (Yumol Jr. v. Ferrer, Sr., A.C.
the court and a member of the bar is established by No. 6585, Apr. 21, 2005)
clear, convincing and satisfactory proof. (Vitug v.
Rongcal, A.C. No. 6313, Sept. 7, 2006) Q: What is Grossly Immoral Conduct?

Disbarment is merited when the action is not the A: Grossly immoral conduct is one that is so corrupt
lawyer’s first ethical infraction of the same nature. and false as to constitute a criminal act or so
(Que v. Revilla, A.C. No. 7054, Dec. 4, 2009) unprincipled or disgraceful as to be reprehensible
to a high degree. (Vitug v. Rongcal, A.C. No. 6313,
Q: Are the grounds for disbarment exclusive? Sept. 7, 2006);

A: No. A lawyer may be removed from office or Note: Mere intimacy between a lawyer and a
suspended from the practice of law on grounds woman with no impediment to marry each other,
other than those specifically provided in the law. and who voluntarily cohabited and had two
children, is neither so corrupt to constitute a
The statutory enumeration is not to be taken as a criminal act nor so unprincipled as to warrant
limitation on the general power of SC to suspend or disbarment or disciplinary action against the man as
disbar a lawyer. (In Re: Puno, A.C. No. 389, Feb. 28, a member of the bar. (Arciga v. Maniwang, A.C. No.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
107
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

1608, Aug. 14, 1981) immorality on the part of a lawyer in his


private relation with opposite sex may put
Conviction of a Crime Involving Moral Turpitude his character in doubt. But to justify
suspension or disbarment, the act must
Q: What is Moral Turpitude? not only be immoral, it must be grossly
immoral. (Abaigar v. Paz, A.M. No. 997,
A: Moral turpitude has been defined as “everything Sept. 10, 1979)
that is done contrary to justice, honesty, modesty,
or good morals, an act of baseness, vileness, or Note: Cohabitation per se is not grossly immoral. It
depravity in the private duties which a man owes depends on circumstances and is not necessary that
his fellowmen, or to society in general, contrary to there be prior conviction for an offense before lawyer
the accepted and customary rule of right and duty may be disciplined for gross immorality. If the evidence
between man and woman, or conduct contrary to is not sufficient to hold a lawyer liable for gross
justice, honesty modesty, or good morals. (Soriano immorality, he may still be reprimanded where
v. Dizon, A. C. No. 6792, Jan. 25, 2006) evidence shows failure on his part to comply with
rigorous standards of conduct required from lawyers.
Corrupt or Willful Appearance as Attorney for a
3. Conviction of a crime involving moral
Party to a Case Without Authority to do so
turpitude – All crimes of which fraud or
(Refer to Sanctions for Practice of Law Without
deceit is an element or those inherently
Authority)
contrary to rules of right conduct, honesty
or morality in civilized community.
Q: What are the other statutory grounds for
suspension and disbarment of members of the
4. Promoting to violate or violating penal
bar?
laws
A: Other statutory grounds include:
5. Misconduct in discharge of official duties –
1. Acquisition of interest in the subject
A lawyer who holds a government office
matter of the litigation, either through
may not be disciplined as a member of
purchase or assignment; (Art. 1491, New
the bar for misconduct in the discharge of
Civil Code)
his duties as government official.
2. Breach of professional duty, inexcusable
negligence, or ignorance, or for the
However, if the misconduct is in violation
revelation of the client’s secrets; (Art.
of the CPR or of his oath as a lawyer or is
208, Revised Penal Code)
of such a character as to affect his
3. Representing conflicting interests. (Art.
qualifications as a lawyer, he may be
209, RPC)
subject to disciplinary action such as
disbarment. (Collantes v. Renomeron, A.C.
Q: What are the other grounds for disciplining a
No. 3056, Aug. 16, 1991)
lawyer?
Note: This rule does not apply to impeachable officials
A:
like SC justices, members of constitutional
1. Non-professional misconduct commissions and Ombudsman because they can be
removed only by impeachment.
GR: A lawyer may not be suspended or disbarred
for misconduct in his non-professional or private 6. Commission of fraud or falsehood; and
capacity.
7. Misconduct as notary public
XPN: Where such is so gross as to show him to be
morally unfit for office or unworthy of privilege, the Note: By applying for having himself commissioned as
court may be justified in suspending or removing notary public, a lawyer assumes duties in a dual
him from the Roll of Attorneys. (2005 Bar Question) capacity, the non-performance of which may be a
ground for discipline as a member of the bar.
Note: The issuance of worthless checks constitutes
gross misconduct as its effect transcends the private Q: What are the acts constituting breach of duties
interests of the parties directly involved in the to court?
transaction and touches the interests of the A:
community at large. 1. Obstructing justice and abuse of legal
process;
2. Gross immorality – An act of personal

108
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Suspension, disbarment and Discipline of Lawyers

2. Misleading the court; except as all citizens have in the


3. Forum shopping; proper administration of justice.
4. Preferring false charges; There is no redress for private
5. Introducing false evidence; grievance.
6. Willfully disobeying court orders and c. Not a criminal prosecution
disrespecting the court; because it is not meant as a
7. Using vicious or disrespectful language; punishment depriving him of
8. Continuing practice after suspension source of livelihood but rather
to ensure that those who
Q: What are the acts constituting breach of duties exercise the function should be
to client? competent, honorable and
reliable so that the public may
A: repose confidence in them.
1. Negligence in the performance of his
duties Note: A disbarment proceeding may proceed
2. Employment of unlawful means regardless of interest or lack of interest of the
3. Deceit or misrepresentation to the complainant (Rayos-Ombac v. Rayos, A.C. No. 2884,
prejudice of or as a means to defraud his Jan. 28, 1998). However, if the complainant refuses to
client testify and the charges cannot then be substantiated,
4. Representing adverse interests and the court will have no alternative but to dismiss the
revealing client’s secrets case. (2000 Bar Question)
5. Purchasing client’s property in litigation
6. Failing to account or misappropriating 2. The defense of “double jeopardy” cannot
client’s property be availed of in a disbarment proceeding;
7. Collecting unreasonable fees 3. It can be initiated motu proprio by the SC
8. Acting without authority or IBP. It can be initiated without a
9. Willfully appearing without being retained complaint;
4. It is imprescriptible;
Q: What are the acts constituting breach of duties 5. Conducted confidentially;
to the bar? 6. It can proceed regardless of the interest
or the lack thereof on the part of the
A: complainant; and
1. Defaming fellow lawyers 7. It in itself constitutes due process of law.
2. Communicating with adverse party 8. Whatever has been decided in a
3. Soliciting business disbarment case cannot be a source of
4. Advertising right that may be enforced in another
5. Cooperating in illegal practice of law action;
6. Non-payment of IBP dues 9. In pari delicto rule not applicable;
10. No prejudicial question in disbarment
3. PROCEEDINGS proceedings;
11. Penalty in a disbarment case cannot be in
Q: What are the characteristics of disbarment the alternative; and
proceedings? 12. Monetary claims cannot be granted
except restitution and return of monies
A: and properties of the client given in the
1. Sui Generis – course of the lawyer-client relationship.
a. Neither purely civil nor purely
criminal, they do not involve a Q: What is the three-fold purpose of
trial of an action or a suit, but confidentiality of disbarment proceedings?
are rather investigations by the
Court into the conduct of one of A:
its officers. 1. To enable the court to make its
b. Not a civil action because there investigation free from extraneous
is neither plaintiff nor influence or interference;
respondent, and involves no 2. To protect the personal and professional
private interest. The reputation of attorneys from baseless
complainant is not a party and charges of disgruntled, vindictive and
has no interest in the outcome irresponsible persons or clients by
prohibiting publication of such charges

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
109
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

pending their final resolution (Albano v. AMENDMENT OF SECTION 1, RULE 139-B OF THE
Coloma, A.C. No. 528, Oct. 11, 1967); REVISED RULES OF COURT
3. To deter the press from publishing
charges or proceedings based thereon for Q: How is a disbarment proceeding instituted?
even a verbatim reproduction of the
complaint against an attorney in the A: Proceedings for disbarment, suspension or
newspaper may be actionable. (1991 Bar discipline of attorneys may be taken by the:
Question) 1. Supreme Court motu proprio; or
2. Integrated Bar of the Philippines (IBP)
Note: The confidentiality of the proceedings is a upon the verified complaint of any
privilege which may be waived by the lawyer in whom person. The complaint shall state clearly
and for the protection of whose personal and and concisely the facts complained of and
professional reputation it is vested, as by presenting shall be supported by affidavits of persons
the testimony in a disbarment case or using it as having personal knowledge of the facts
impeaching evidence in a civil suit. (Villalon v. IAC, G.R. therein alleged and/or by such documents
No. L-73751, Sept. 24, 1986)
as may substantiate said facts.
Q: What are the offices authorized to investigate
Disbarment Proceedings Before the IBP
disbarment cases?
The IBP Board of Governors may:
A:
1. Motu proprio; or
1. Supreme Court
2. Upon referral by the Supreme Court; or
2. IBP through its Commission on Bar
3. By a Chapter Board of Officers; or
Discipline or authorized investigator
4. At the instance of any person, initiate and
3. Office of the Solicitor General
prosecute proper charges against erring
attorneys including those in the
Q: What are the purposes of disbarment as a
government service; Provided, however,
means of disciplining erring lawyers?
that all charges against Justices of the
A: The purposes of disbarment are:
Court of Tax Appeals and the
1. To protect the public;
Sandiganbayan, and Judges of the Court
2. To protect and preserve the legal
of Tax Appeals and lower courts, even if
profession; and
lawyers are jointly charged with them,
shall be filed with the Supreme Court;
Note: The reason is because it is the court which
Provided, further, that charges filed
admits an attorney to the bar and the court requires
for such admission the possession of a good moral
against Justices and Judges before the
character. IBP, including those filed prior to their
appointment in the Judiciary, shall
Disbarment is necessary so that respectability of the immediately be forwarded to the
bar will be maintained. (1991 Bar Question) Supreme Court for disposition and
adjudication.
3. To compel the lawyer to comply with his
duties and obligations under the CPR. "Six (6) copies of the verified complaint shall be
filed with the Secretary of the IBP or the Secretary
Q: Who has the burden of proof? of any of its chapters who shall forthwith transmit
the same to the IBP Board of Governors for
A: The burden of proof is upon the complainant and assignment to an investigator.” (Sec. 1, third par.,
the SC will exercise its disciplinary power only if the Rule 139-B, RRC)
complainant establishes his case by the required
quantum of proof which is clear, convincing and Procedural Steps for Disbarment in the IBP:
satisfactory evidence. (Aquino v. Mangaoang, A.C.
No. 4934, Mar. 17, 2004) 1. The Board of Governors shall appoint
from among the IBP members an
Procedure for Disbarment investigator or when special
circumstances so warrant, a panel of 3
BAR MATTER NO. 1960 investigators to investigate the complaint;
(May 1, 2000) 2. If the complaint is meritorious, the
respondent shall be served with a copy
requiring him to answer within 15 days

110
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Suspension, disbarment and Discipline of Lawyers

from service. A: It depends.


3. The respondent shall file a verified answer 1. A party can no longer file a motion for
containing 6 copies; after receipt of the reconsideration of any order or resolution
answer or lapse of the period to do so, of the Investigating Commissioner, such
the Supreme Court, may, motu proprio or motion being a prohibited pleading.
at the instance of the IBP Board of 2. Regarding the issue of whether a motion
Governors, upon recommendation by the for reconsideration of a decision or
investigator, suspend an attorney from resolution of the Board of Governors
practice, for any of the causes under Rule (BOG) can be entertained, an aggrieved
138, Sec. 27, during the pendency of the party can file said motion with the BOG
investigation within fifteen (15) days from notice of
4. After joinder of the issues or failure to receipt thereof by said party.
answer, the respondent shall be given full 3. In case a decision is rendered by the BOG
opportunity to defend himself. But if the that exonerates the respondent or
respondent fails to appear to defend imposes a sanction less than suspension
himself in spite of notice, the investigator or disbarment, the aggrieved party can
may proceed ex parte. The investigation file a motion for reconsideration within
shall be terminated within 3 months from the 15-day period from notice. If the
commencement which period may be motion is denied, said party can file a
extended. petition for a review under Rule 45 of the
5. The investigator shall make a report to Rules of Court with the Supreme Court
the Board of Governors within 30 days within fifteen (15) days from notice of the
from termination of the investigation resolution resolving the motion. If no
which report shall contain his findings and motion for reconsideration is filed, the
recommendations together with the decision shall become final and executory
evidence. and a copy of said decision shall be
6. The Board of Governors shall have the furnished the Supreme Court.
power to review the decision of the 4. If the imposable penalty is suspension
investigator. Its decision shall be from the practice of law or disbarment,
promulgated within a period not the BOG shall issue a resolution setting
exceeding 30 days from the next meeting forth its findings and recommendations.
of the Board following the submission of The aggrieved party can file a motion for
the report of the investigator. reconsideration of said resolution with
7. If the decision is a finding of guilt of the the BOG within fifteen (15) days from
charges, the IBP Board of Governors shall notice. The BOG shall first resolve the
issue a resolution setting forth its findings incident and shall thereafter elevate the
and recommendations which shall be assailed resolution with the entire case
transmitted to the Supreme Court for records to the Supreme Court for final
final action together with the record. action. If the 15-day period lapses without
any motion for reconsideration having
If the decision is for exoneration, or if the been filed, then the BOG shall likewise
sanction is less than suspension or transmit to this Court the resolution with
dismissal, the Board shall issue a decision the entire case records for appropriate
exonerating the respondent of imposing a action.
lesser sanction. The resolution
exonerating the respondent shall be Note: Lawyers must update their records with the IBP
considered as terminating the case unless by informing the IBP National Office or their respective
upon petition of the complainant or other chapters of any change in office or residential address
interested party filed with the Supreme and other contact details. In case such change is not
Court within 15 days from notice of the duly updated, service of notice on the office or
Board’s decision. residential address appearing in the records of the IBP
National Office shall constitute sufficient notice to a
lawyer for purposes of administrative proceedings
Resolution of the Court En Banc dated
against him. (Keld Stemmerik v. Atty. Leonuel Mas, A.C.
June 17, 2008 B.M. No. 1755
No. 8010, June 16, 2009)
(Re: Rules of Procedure of the Commission onBar
Discipline) Disbarment Proceedings Before the Supreme Court
Q: Is a motion for reconsideration allowed? 1. In proceedings initiated motu proprio by

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
111
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

the Supreme Court or in other proceeding Q: Atty. Narag’s spouse filed a petition for
when the interest of justice so requires, disbarment because her husband courted one of
the Supreme Court may refer the case for his students, maintained the said student as a
investigation to the Solicitor General or to mistress and had children with her. On the other
any officer of the Supreme Court or judge hand, Atty. Narag claimed that his wife was a
of a lower court, in which case the possessive, jealous woman who abused him and
investigation shall proceed in the same filed the complaint against him out of spite. Atty.
manner provided in Sections 6 to 11 of Narag, however, failed to refute the testimony
Rule 139-B, RRC, save that the review of given against him. His actions were of public
the report of investigation shall be knowledge. Is Atty. Narag’s disbarment
conducted directly by the Supreme Court appropriate?
(Sec. 13, Rule 139-B, RRC)
A: Yes, Atty. Narag failed to prove his innocence
Note: Reference of the Court to the IBP of because he failed to refute the testimony given
complaints against lawyers is not mandatory against him and it was proved that his actions were
(Zaldivar v. Sandiganbayan, G.R. Nos. 79590- of public knowledge and brought disrepute and
707; Zaldivar v. Gonzales, G.R. No. 80578, suffering to his wife and children. Good moral
Oct. 7,1988). character is a continuing qualification required of
every member of the bar. Thus, when a lawyer fails
Note: Reference of complaints to the IBP is to meet the exacting standard of moral integrity,
not an exclusive procedure under Rule 139-
the Supreme Court may withdraw his or her
B, RRC. The Court may conduct disciplinary
privilege to practice law. When a lawyer is found
proceedings without the intervention of the
IBP by referring cases for investigation to the
guilty of gross immoral conduct, he may be
Solicitor General or to any officer of the suspended or disbarred. As a lawyer, one must not
Supreme Court or judge of a lower court. In only refrain from adulterous relationships but must
such case, the report or recommendation of not behave in a way that scandalizes the public by
the investigating official shall be reviewed creating a belief that he is flouting those moral
directly by the Supreme Court. (Bautista v. standards. (Narag v. Atty. Narag, A.C. No. 3405,
Gonzales, A.M. No. 1626, February 12,1990; June 29, 1998)
Funa, 2009)
Q: What is the effect of a lawyer’s death during
2. Based upon the evidence adduced at the pendency of disciplinary action against him?
investigation, the Solicitor General or A:
other Investigator designated by the 1. Renders the action moot and academic,
Supreme Court a report containing his but
findings of fact and recommendations 2. The Court may still resolve the case on its
together with the record and all the merit in order to clear publicly the name
evidence presented in the investigation of the lawyer
for the final action of the Supreme Court.
(Sec. 14, Rule 139-B, RRC)

112
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Suspension, disbarment and Discipline of Lawyers

PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTONEYS BY THE SUPREME COURT MOTU PROPRIO (Rule
139-B, RRC)

Supreme Court shall refer the case to an investigator,


who may either be:
1. Solicitor General,
2. Any officer of the SC, or
3. Any judge of a lower court

Notify Respondent

RESPONDENT’S VERIFIED ANSWER (Must be filed


within 15 days from service)

INVESTIGATION
(Terminate within 3 months)

REPORT TO SUPREME COURT (to be submitted not


later than 30 days from investigation’s termination)

REPORT MUST CONTAIN THE INVESTIGATOR’S: SUPREME COURT


1. Findings of fact FOR REVIEW or
2. Recommendations JUDGMENT

Note: An investigating judge cannot dismiss a case. The investigating judge’s authority is only to investigate, make a
report and recommendation on the case to be submitted to the SC for final determination. (Garciano v. Sebastian, A.M.
MTJ-88-160, Mar. 30, 1994)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
113
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTORNEYS BY THE IBP (Rule 139-B, RRC)

IBP Motu Proprio (Committee on Bar VERIFIED COMPLAINT TO THE IBP BY ANY PERSON
Discipline through National Grievance Complaint must be:
Investigator) 1. In writing;
2. State facts complained of; and
3. Supported by affidavits / documents

Shall appoint an investigator / panel of 3


investigators and notify respondent

RECOMMEND DISMISSAL IF NOT IF MERITORIOUS, RESPONDENT’S


MERITORIOUS VERIFIED ANSWER
(Must be filed within 15 days from
service)

DISMISSAL BY BOARD OF GOVERNORS –


(should be promulgated within a period not
INVESTIGATION (terminate within 3 months)
exceeding 30 days from the next meeting of
1. Investigator may issue subpoenas and
the board following the submittal of the
administer oaths,
investigator’s report) 2. Provide respondent with opportunity to be
heard,
BOARD OF GOVERNORS FOR REVIEW 3. May proceed with investigation ex parte
(issues a Resolution – Should be should respondent fail to appear.
promulgated within a period not
exceeding 30 days from the next
meeting of the board following the
submittal of the Investigator’s Report.) REPORT TO BOARD OF GOVERNORS
(Submitted not later than 30 days from
termination of investigation) containing:
Findings of facts
Recommendations

SUPREME COURT FOR


JUDGMENT

ISSUE DECISION IF:


Exonerated The case shall be deemed terminated unless
Sanction is less than upon petition of the complainant or other
suspension / disbarment interested party filed with the Supreme Court
(admonition, reprimand, or fine) within fifteen (15) days from notice of the
Board's resolution, the Supreme Court orders
otherwise

114
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Suspension, disbarment and Discipline of Lawyers

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

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
115
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

6. Failure of injured client to complain. (IBP No. 793, July 30, 2004) (2002, 2006 Bar Questions)
Guideline 9.4)
Q: Atty. LA is a member of the Philippine Bar and
Q: What are the guidelines to be observed in the the California Bar in the United States. For willful
matter of the lifting of an order suspending a disobedience of a lawful order of a Superior Court
lawyer from the practice of law? in Los Angeles, Atty. LA was suspended from the
practice of law in California for one (1) year. May
A: his suspension abroad be considered a ground for
1. Upon the expiration of the period of disciplinary action against Atty. LA in the
suspension, respondent shall file a Sworn Philippines? Why?
Statement with the Court, through the
Office of the Bar Confidant, stating A: The suspension of Atty. LA from the practice of
therein that he or she has desisted from law abroad may be considered as a ground for
the practice of law and has not appeared disciplinary action here if such suspension was
in any court during the period of his or based on one of the grounds for disbarment in the
her suspension; Philippines or shows a loss of his good moral
2. Copies of the Sworn Statement shall be character, a qualification he has to maintain in
furnished to the Local Chapter of the IBP order to remain a member of the Philippine Bar.
and to the Executive Judge of the courts (2002 Bar Question)
where respondent has pending cases
handled by him or her, and/or where he
or she has appeared as counsel; and
3. The Sworn Statement shall be considered
as proof of respondent’s compliance with
the order of suspension;

4. DISCIPLINE OF FILIPINO LAWYERS PRACTICING


ABROAD

Q: What is the effect in the Philippines of the


disbarment or suspension of a Filipino lawyer in a
foreign country?

A: If the Filipino lawyer is disbarred or suspended


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

Note: The judgment, resolution or order of the foreign


court or disciplinary agency shall be prima facie
evidence of the ground for disbarment or suspension.
(SC Resolution date 21 February 1992 amending Sec.
27, Rule 138, RRC)

Q: Is a lawyer suspended from the practice of law


in another country automatically results in his
suspension or disbarment in the Philippines?

A: No. The acts which led to his suspension in


another country, are mere grounds for disbarment
or suspension in this jurisdiction, and only if the
basis of the foreign court’s action includes any of
the grounds for disbarment or suspension in this
jurisdiction. (In re: Suspension from the practice of
law in the territory of Guam of Atty. Maquera, A.M.

116
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Readmission to the Bar

D. READMISSION TO THE BAR the Court’s decision, and an order from the Court
lifting the suspension at the end of the period is
Q: What is reinstatement? necessary in order to enable [him] to resume the
practice of his profession. (J.K. Mercado and Sons
A: It is the restoration in disbarment proceedings a Agricultural Enterprises, Inc. et al. v. Atty. de Vera,
disbarred lawyer the privilege to practice law. et al. and Atty. de Vera v. Atty. Encanto, et al.)

Note: The power of the Supreme Court to reinstate Thus, according to the OBC, a suspended lawyer
is based on its constitutional prerogative to must first present proof(s) of his compliance by
promulgate rules on the admission of applicants to submitting certifications from the Integrated Bar of
the practice of law. (Sec. 5[5], Art. VIII, 1987 the Philippines and from the Executive Judge that
Constitution) he has indeed desisted from the practice of law
during the period of suspension. Thereafter, the
Q: What are the conditions in reinstatement? Court, after evaluation, and upon a favorable
recommendation from the OBC, will issue a
A: The applicant must, like a candidate for resolution lifting the order of suspension and thus
admission to the Bar, satisfy the Court that he is a allow him to resume the practice of law. (Maniago
person of good moral character – a fit and proper v. Atty. De Dios, A.C. No. 7472, March 30, 2010)
person to practice law.
Q: What are the guidelines to be observed in case
1. READMISSION TO THE BAR OF LAWYERS WHO of lifting an order suspending a lawyer from the
HAVE BEEN SUSPENDED practice of law?

Q: Raul Gonzales was found guilty of both A: The following guidelines were issued by the
contempt of court in facie curiae and gross Supreme Court, the same to be observed in the
misconduct as an officer of court and member of matter of the lifting of an order suspending a lawyer
the bar. For this, he was suspended indefinitely. from the practice of law:
After more than 4 years from his suspension, 1. After a finding that respondent lawyer
Gonzales filed an ex-parte motion to lift his must be suspended from the practice of
suspension from the practice of law, alleging that law, the Court shall render a decision
he gave free legal aid services by paying lawyers to imposing the penalty;
do the same as he could not personally represent 2. Unless the Court explicitly states that the
said clients; pursued civic work for the poor; decision is immediately executory upon
brought honor to the country by delivering a paper receipt thereof, respondent has 15 days
in Switzerland; that he has a long record in the within which to file a motion for
service of human rights and the rule of law; his reconsideration thereof. The denial of
suspension of 51 months has been the longest so said motion shall render the decision final
far; states his profound regrets for the and executory;
inconvenience which he has caused to the Court; 3. Upon the expiration of the period of
sincerely reiterates his respect to the institution as suspension, respondent shall file a Sworn
he reiterates his oath to conduct himself as a Statement with the Court, through the
lawyer. May his suspension be lifted? Office of the Bar Confidant, stating
A: Yes. The Gonzales’ contrition, so noticeably therein that he or she has desisted from
absent in his earlier pleadings, has washed clean the practice of law and has not appeared
the offense of his disrespect. His remorse has in any court during the period of his or
soften his arrogance and made up for his her suspension;
misconduct. Gonzales’ suspension has given him 4. Copies of the Sworn Statement shall be
ample time and opportunity to amend his erring furnished to the Local Chapter of the IBP
ways, rehabilitate himself, and thus, prove himself and to the Executive Judge of the courts
worthy once again to enjoy the privileges of where respondent has pending cases
membership of the Bar. His motion was granted. handled by him or her, and/or where he
(Zaldivar v. Gonzales, G.R. Nos. 79690- 707, April 7, or she has appeared as counsel;
1993) 5. The Sworn Statement shall be considered
as proof of respondent’s compliance
Q: Is the lifting of the suspension order automatic? with the order of suspension;
6. 6. Any finding or report contrary to the
A: No. The lifting of a lawyer’s suspension is statements made by the lawyer under
not automatic upon the end of the period stated in oath shall be a ground for the imposition

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
117
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

of a more severe punishment, or Court. (In re: Rovero, A.M. No. 126, Dec. 29, 1980)
disbarment, as may be warranted.
Q: What is the effect if during the pendency of a
2. READMISSION TO THE BAR OF LAWYERS WHO disbarment proceeding, the erring lawyer was
HAVE BEEN DISBARRED granted executive pardon?

Q: What must the Supreme Court take into A: If during the pendency of a disbarment
consideration in reinstatement? proceeding the respondent was granted executive
A: pardon, the dismissal of the case on that sole basis
1. The applicant’s character and will depend on whether the executive pardon is
standing prior to the disbarment; absolute or conditional.
2. The nature and character of the charge 1. Absolute or unconditional pardon - the
for which he was disbarred; disbarment case will be dismissed.
3. His conduct subsequent to the 2. Conditional pardon - the disbarment case
disbarment, and the time that has elapsed will not be dismissed on the basis thereof.
between the disbarment and the
application for reinstatement; (Prudential Q: X filed proceedings for disbarment against his
Bank v. Benjamin Grecia, A.C. No. 2756, lawyer, Atty. C, following the latter’s conviction for
Dec. 18, 1990) estafa for misappropriating funds belonging to his
4. His efficient government service; (In re: client (X). While the proceedings for disbarment
Adriatico, G.R. No. L-2532, Nov. 17, 1910) was pending, the President granted absolute
5. Applicant’s appreciation of the pardon in favor of Atty. C. Atty. C, then, moved for
significance of his dereliction and his the dismissal of the disbarment case. Should the
assurance that he now possesses the motion be granted?
requisite probity and integrity; and
6. Favorable endorsement of the IBP and A: An absolute pardon by the President is one that
pleas of his loved ones. (Yap Tan v. operates to wipe out the conviction as well as the
Sabandal, B.M. No. 144, Feb. 24, 1989) offense itself. The grant thereof to a lawyer is a bar
to a proceeding for disbarment against him, if such
Note: Whether or not the applicant shall be reinstated proceeding is based solely on the fact of such
rests on the discretion of the court. (Prudential Bank v. conviction. (In re: Parcasio, A.C. No. 100, Feb. 18,
Benjamin Grecia, A.C. No. 2756, Dec. 18, 1990) 1976)

The court may require applicant for reinstatement to But where the proceeding to disbar is founded on
enroll in and pass the required fourth year review the professional misconduct involved in the
classes in a recognized law school. (Cui v. Cui, In Re: transaction which culminated in his conviction, the
Resian, A.C. No. 270, Mar. 20, 1974) effect of the pardon is only to relieve him of the
penal consequences of his act and does not operate
Q: What is the effect of reinstatement? as a bar to the disbarment proceeding, inasmuch as
the criminal acts may nevertheless constitute proof
A: that the attorney does not possess good moral
1. Reinstatement to the roll of attorneys character. (In re: Lontok, 43 Phil. 293, Apr. 7, 1922)
wipes out the restrictions and disabilities
resulting from a previous disbarment (Cui Note: In the light of recent court pronouncements that
v. Cui, G.R. No. L-18727, Aug. 31, 1964); a lawyer may be disciplined even for non-professional
2. Recognition of moral rehabilitation and misconduct, one may argue that a lawyer convicted of
mental fitness to practice law; a crime involving moral turpitude, and subsequently
3. Lawyer shall be subject to same law, rules receives absolute pardon, may still be proceeded
and regulations as those applicable to any against under the Code of Professional Responsibility
other lawyer; and even if the acts of which he was found guilty did not
4. Lawyer must comply with the conditions involve professional misconduct (A modification of In
imposed on his readmission. Re Lontok, supra). The ground for the petition for
disciplinary action under the Code must, however, not
Q: Is a disbarred lawyer by reason of conviction of be founded alone on the conviction but must be based
a crime automatically reinstated to the practice of on the acts committed by the lawyer which rendered
law upon being pardoned by the President? him morally unfit to be a member of the bar. (Aguirre,
Legal and Judicial Ethics. A Pre-week Reviewer, 2006
Edition)
A: No. To be reinstated, there is still a need for the
filing of an appropriate petition with the Supreme

118
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Readmission to the Bar

Q: X, a member of the Bar, was charged with and mandatory continuing legal
found guilty of estafa, for which he was sentenced educations;and
to suffer imprisonment and to indemnify the 4. Retaking of the lawyer’s oath
offended party for the amount Involved. Not
having taken an appeal from the judgment of Q: Dacanay practiced law until he migrated to
conviction, upon finality thereof he was taken into Canada to seek medical attention to his ailments.
custody to serve sentence. A month after he was He subsequently applied for Canadian citizenship
incarcerated, he was granted pardon by the Chief to avail of Canada’s free medical aid program. His
Executive on condition that he would not commit application was approved and he became a
another offense during the unserved portion of his Canadian citizen. Dacanay later on reacquired his
prison sentence. Soon after X’s release from Philippine citizenship by virtue of R.A. 9225. Did
custody after being pardoned, the offended party Dacanay lose his membership in the Philippine bar
in the criminal case filed a Complaint for when he gave up his Philippine citizenship? Can he
Disbarment against X in the Supreme Court. X set automatically practice law upon reacquiring
up the defense that having been pardoned by the Filipino citizenship?
Chief Executive for which reason he was released
from imprisonment, he may not be disbarred from A: The Constitution provides that the practice of all
the practice of law anymore. Is X’s contention professions in the Philippines shall be limited to
tenable? Filipino citizens save in cases prescribed by law.
Since Filipino citizenship is a requirement for
A: X’s contention is not tenable. He was granted admission to the bar, loss thereof terminates
only a conditional pardon. Such conditional pardon membership in the Philippine bar and,
merely relieved him of the penal consequences of consequently, the privilege to engage in the
his act but did not operate as a bar to his practice of law. In other words, the loss of Filipino
disbarment. Such pardon does not reach the citizenship ipso jure terminates the privilege to
offense itself. Hence, it does not constitute a bar to practice law in the Philippines. The practice of law is
his disbarment. (In Re Gutierrez, A.C. No. L-363, July a privilege denied to foreigners.
31, 1962; In re Avancena, A.C. No. 407, Aug. 15,
1967). Furthermore, the acts of X leading to his The exception is when Filipino citizenship is lost by
conviction may be used to show that he does not reason of naturalization as a citizen of another
possess the necessary requirement of good moral country but subsequently reacquired pursuant to
character for continued membership in the Bar. (In R.A. 9225. This is because “all Philippine citizens
re Valloces, A.C. No. 439, Sept. 30, 1982) (1999 Bar who become citizens of another country shall be
Question) deemed not to have lost their Philippine citizenship
under the conditions of R.A. 9225.” Therefore, a
3. READMISSION TO THE BAR OF LAWYERS WHO Filipino lawyer who becomes a citizen of another
HAVE BEEN REPATRIATED country is deemed never to have lost his Philippine
citizenship if he reacquires it in accordance with
Q: What are the effects of loss and reacquisition of R.A. 9225. Although he is also deemed never to
Philippine citizenship? have terminated his membership in the Philippine
A: The loss of Philippine citizenship ipso jure bar, no automatic right to resume law practice
terminates the privilege to practice law in the accrues.
Philippines.
Before a lawyer who reacquires Filipino citizenship
However, pursuant to R.A. No. 9225 of the pursuant to R.A. 9225 can resume his law practice,
Citizenship Retention and Reacquisition Act of 2003, he must first secure from the SC the authority to do
“Filipino lawyer who becomes a citizen of another so, conditioned on:
country is deemed never to have lost his Philippine 1. The updating and payment in full of the
citizenship IF HE REACQUIRES IT IN ACCORDANCE annual membership dues in the IBP;
WITH R.A. NO. 9225. Nevertheless, his right to 2. The payment of professional tax;
practice law DOES NOT AUTOMATICALLY ACCRUE. 3. The completion of at least 36 credit hours
He must first secure authority from the Supreme of mandatory continuing legal education,
Court upon compliance with the following this is specially significant to refresh the
conditions: applicant/petitioner’s knowledge of
1. The updating and payment in full of Philippine laws and update him of legal
annual membership dues in the IBP; developments; and
2. Payment of professional tax; 4. The retaking of the lawyer’s oath which
3. Completion of at least 36 credit hours of will not only remind him of his duties and

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
119
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

responsibilities as a lawyer and as an


officer of the Court, but also renew his
pledge to maintain allegiance to the
Republic of the Philippines. (Petition for
Leave to Resume Practice of Law of
Benjamin Dacanay, B.M. No. 1678, Dec.
17, 2007)

120
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Mandatory Continuing Legal Education (MCLE)

E. Mandatory Continuing Legal Education Q: When does the initial MCLE compliance period
(MCLE) of a newly admitted member of the bar begin?
A: On the first day of the month of his admission.
1. PURPOSE (2011 Bar Question)

Q: What is the purpose of Bar Matter 850 MCLE? Q: What are the classes of credits?

A: MCLE is required of members of the IBP to A:


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

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
121
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

4. EXEMPTIONS A: Yes, if there is a good cause for exemption from


or modification of requirement. A member may file
Q: Who are the persons exempted from the MCLE? a verified request setting forth good cause for
exemption (such as physical disability, illness, post-
A: graduate study abroad, proven expertise in law,
1. The President, Vice-President and the etc.) from compliance with or modification of any of
Secretaries and Undersecretaries of the requirements, including an extension of time for
Executive Departments; compliance, in accordance with procedure to be
2. Senators and Members of the House of established by the Committee on MCLE.
Representatives;
3. The Chief Justice and Associate Justices of Note: Applications for exemption from or modification
the Supreme Court, incumbent and retired of the MCLE requirement shall be under oath and
members of the judiciary, incumbent supported by documents.
members of Judicial Bar Council,
incumbent members of the MCLE Q: Provincial Governors and Municipal Mayors
Committee, incumbent court lawyers who who are lawyers are MCLE exempt because
have availed of the Philippine Judicial A. they handle cases of their constituents for free.
Academy programs of continuing judicial B. the Local Government Code prohibits them from
education (Amendment to Bar Matter practicing their profession.
850, Resolution of the Court En Banc, July C. they are rendering public service.
13, 2004); D. As experts in local governance, it may be
4. The Chief State Counsel, Chief State assumed that they are updated on legal
Prosecutor and Assistant Secretaries of developments.
the Dept. of Justice;
5. The Solicitor General and the Assistant A: B (2011 Bar Question)
Solicitor General;
6. The Government Corporate Counsel, Q: Atty. Mike started teaching Agrarian Reform
Deputy and Assistant Government and Taxation in June 2001 at the Arts and Sciences
Corporate Counsel; Department of the Far Eastern University. In 2005,
7. The Chairman and Members of the he moved to San Sebastian Institute of Law where
Constitutional Commissions; he taught Political Law. Is Atty. Mike exempt from
complying with the MCLE for the 4th compliance
8. The Ombudsman, the Overall Deputy
period in April 2013?
Ombudsman, the Deputy Ombudsmen
and the Special Prosecutor of the Office of
the Ombudsman; A: No, since he has yet to complete the required
teaching experience to be exempt. (2011 Bar
9. Heads of government agencies exercising
Question)
quasi-judicial functions;
10. Incumbent deans, bar reviewers and
5. SANCTIONS
professors of law who have teaching
experience for at least 10 years in
Q: What are the consequences of non-compliance?
accredited law schools;
A: A member who fails to comply with the
11. The Chancellor, Vice-Chancellor and
requirements after the 60-day period shall be listed
members of the Corps of Professional and
as delinquent member by the IBP Board of
Professorial Lecturers of the Philippine
Governors upon recommendation of the
Judicial Academy; and
Committee on MCLE.
12. Governors and Mayors (2006 Bar
Question) Note: The listing as a delinquent member is
administrative in nature but shall be made with notice
Other parties exempted: and hearing by the Committee on MCLE. B.M. No.
1. Those who are not in law practice, private 1922, which took effect on January 1, 2009, requires
or public; practicing members of the bar to indicate in all
2. Those who have retired from law practice pleadings filed before the courts or quasi-judicial
with the approval of the IBP Board of bodies, the number and date of issue of their MCLE
Governors. Certificate of Compliance or Certificate of Exemption,
as may be applicable, for the immediately preceding
Q: May a member of the bar not included in the compliance period. Failure to disclose the required
enumeration ask for exemption? information would cause the dismissal of the case and
the expunction of the pleadings from the records.

122
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Notarial Practice

F. NOTARIAL PRACTICE of this form of conveyance would be undermined.


(1996, 2005, 2007 Bar Questions) (Vda. De Rosales v. Ramos, A.C. No. 5645, July 2, 2002)

Q: What is the purpose of notarial law (A.M. No. Q: What are the 2 kinds of duties imposed by law
02-8-13-SC)? to a notary public?

A: A:
1. To promote, serve, and protect public 1. Execution of formalities required by law;
interest; and
2. To simplify, clarify, and modernize the rules 2. Verification of the capacity and identity of
governing notaries public; and the parties as well as the legality of the act
3. To foster ethical conduct among notaries executed
public (Sec. 2, Rule I, A.M. No. 02-8-13-SC)
Q: What are the duties of a notary public?
1. QUALIFICATIONS OF NOTARY PUBLIC
A:
Q: Who is a notary public? 1. To keep a notarial register;
2. To make the proper entry or entries in his
A: A person appointed by the court whose duty is to notarial register touching his notarial acts in
attest to the genuineness of any deed or writing in the manner required by the law;
order to render them available as evidence of facts 3. To send the copy of the entries to the
stated therein and who is authorized by the statute proper clerk of court within the first 10 days
to administer various oaths. of the month next following;
4. To affix to acknowledgments the date of
Note: “Notary Public" and "Notary" refer to any person expiration of his commission, as required by
commissioned to perform official acts under the rules law;
on Notarial Practice. (Sec. 9, Rule II, A.M. No. 02-8-13- 5. To forward his notarial register, when filled,
SC) to the proper clerk of court;
6. To make report, within reasonable time to
Q: What must one possess to qualify as a notary the proper judge concerning the
public? performance of his duties, as may be
required by such judge;
A: To be eligible for commissioning as notary public, 7. To make the proper notation regarding
the petitioner must be:
residence certificates. (Sec. 240, Rev. Adm.
1. A citizen of the Philippines; Code) (1995 Bar Question)
2. Over 21 years of age;
3. A resident in the Philippines for at least 1
Q: Must a notary public always be a lawyer?
year and maintains a regular place of work
or business in the city or province where the
A.
commission is to be issued;
GR: Yes. Only those admitted to the practice of
4. A member of the Philippine Bar in good
law are qualified to be notaries public.
standing with clearances from the Office of XPN: When there are no persons with the
the Bar Confidant of the Supreme Court and necessary qualifications or where there are
the Integrated Bar of the Philippines; and qualified persons but they refuse appointment.
5. Has not been convicted in the first instance
of any crime involving moral turpitude. In which case, the following persons may be
(second par., Sec. 1, Rule III, 2004 Rules on appointed as notaries:
Notarial Practice, A.M. No. 02-8-13-SC) 1. Those who passed the studies of law in a
reputable university; or
Q: Is a lawyer always a notary public?
2. A clerk or deputy clerk of court for a
period of not less than two years.
A: No. Not every member of the Bar is a notary
public because a lawyer requires a commission of
Q: Can an RTC judge notarize a document?
appointment to be designated as a notary public.
A: No. Section 35, Rule 138, of the Revised Rules of
Note: Notarization is not an empty, meaningless, Court as well as Canon 5, Rule 5.07 of the Code of
routinary act. It is invested with substantive public Judicial Conduct provides that no judge or other
interest, such that only those who are qualified or official or employee of the superior courts shall
authorized may act as notaries public. For this reason engage in private practice as a member of the bar
notaries public must observe with utmost care the or give professional advice to clients. Notarization
basic requirements in the performance of their duties. of documents is considered a practice of law.
Otherwise, the confidence of the public in the integrity

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
123
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

It is based on sound reasons of public policy, for exception because at the time of his notarization of
there is no question that the rights, duties, the Deed of Sale, there was a notary public in Dulag,
privileges and functions of the office of an attorney- Leyte. (Vicente Batic v. Judge Victorio Galapon Jr.,
at-law are so inherently incompatible with the high A.M. No. MTJ-99-1239, July 29, 2005)
official functions, duties, powers, discretions and
privileges of a judge of the Regional Trial Court. This
rule makes it obligatory upon the judicial officers Q: Is the authority of MTC judges to notarize
concerned to give their full time and attention to limited to their sala?
their judicial duties, prevent them from extending
special favors for their own private interests and A: Yes. Their authority to notarize is limited to their
assure the public of impartiality in the performance sala.
of their functions.
Q: Can a judge of another town notarize the
Q: Are MTC judges prohibited from acting as complaint to be filed in another town?
notary public?
A: No. It is considered as a practice of law.
A: No. MTC and MCTC judges may act as notaries
public ex-officio in the notarization of documents Q: Can a clerk of court notarize a document?
connected only with the exercise of their official
functions and duties. They may not, as notaries A: Yes. A clerk of court can notarize a document
public ex-officio, undertake the preparation and provided he is commissioned and has been
acknowledgment of private documents, contracts permitted by his superior. Such consent is necessary
and other acts of conveyances which bear no direct because the act of notarizing a document is a
relation to the performance of their functions as practice of law.
judges.
Q: What are the rules with regard to fees that a
However, MTC and MCTC judges assigned to notary public may charge?
municipalities or circuits with no lawyers or notaries
public may, in the capacity as notaries public ex- A:
officio, perform any act within the competence of a 1. For performing a notarial act, a notary
regular notary public, provided that: public may charge the maximum fee as
1. All notarial fees charged be for the prescribed by the Supreme Court unless
account of the Government and turned he waives the fee in whole or in part
over to the municipal treasurer (Sec. 1, Rule V, A. M. 02-8-13-SC);
2. Certification be made in the notarized 2. A notary public may charge travel fees
documents attesting to the lack of any and expenses separate and apart from
lawyer or notary public in such the notarial fees when traveling to
municipality or circuit. perform a notarial act if the notary
public and the person requesting the
Q: Vicente Batic charged Judge Victorio Galapon Jr. notarial act agree prior to the travel
with engaging in unauthorized notarial practice for (Sec. 2, Rule V, A. M. 02-813-SC);
having notarized a Deed of Absolute Sale between 3. No fee or compensation of any kind,
Antonio Caamic and Lualhati Ellert. Under the except those expressly prescribed and
deed of sale, Lualhati Ellert, was described as allowed herein, shall be collected or
single. At the time of Galapon’s notarization of the received for any notarial service (Sec. 3,
Deed of Sale, there was a notary public in Dulag, Rule V, A. M. 02-813-SC);
Leyte. Judge Galapon claims that he did not 4. A notary public shall not require
prepare the document and that his participation payment of any fees specified herein
was limited to its acknowledgment, for which the prior to the performance of a notarial
corresponding fee was collected by and paid to the act unless otherwise agreed upon (first
clerk of court. Are MTC judges like Judge Galapon par., Sec. 4, Rule V, A. M. 02-813-SC);
absolutely prohibited from acting as notaries 5. Any travel fees and expenses paid to a
public? notary public prior to the performance
of a notarial act are not subject to
A: No. While Judge Galapon explains that he refund if the notary public had already
sincerely believed that when no notary public is traveled but failed to complete in whole
available, the MTC may act as ex-officio notary or in part the notarial act for reasons
public, provided the fees shall be for the beyond his control and without
government, such is not enough to exonerate him
from liability. His acts do not fall under the

124
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Notarial Practice

negligence on his part. (second par., Sec. Q: Who issues a notarial commission?
4, Rule V, A. M. 02-813-SC). A: A notarial commission may be issued by an
Executive Judge to any qualified person who
Note: A notary public who charges fee for notarial submits a petition in accordance with the Rules on
services shall issue a receipt registered with the Bureau Notarial Practice. (first par., Sec. 1, Rule III, A.M. No.
of Internal revenue and keep a journal of notarial fees. 02-8-13-SC)
He shall enter in the journal all fees charges for
services rendered. Q: What is the form of the petition and supporting
documents for a notarial commission?
A notary public shall post in a conspicuous place in his
office a complete schedule of chargeable notarial fees.
A: Every petition for a notarial commission shall be
(Sec. 5, Rule V, A. M. 02-813-SC)
in writing, verified, and shall include the following:
1. A statement containing the petitioner's
2. TERM OF OFFICE OF A NOTARY PUBLIC
personal qualifications, including the
petitioner's date of birth, residence,
Q: What is the term of office of a notary public?
telephone number, professional tax
receipt, roll of attorney's number and
A: A notary public may perform notarial acts for a
IBP membership number;
period of 2 years commencing the 1st day of
2. Certification of good moral character of
January of the year in which the commissioning is
the petitioner by at least 2 executive
made, unless earlier revoked or the notary public
officers of the local chapter of the
has resigned under the Rules on Notarial Practice
Integrated Bar of the Philippines where
and the Rules of Court. (Section 11, Rule III,A.M. No.
he is applying for commission;
02-8-13-SC) (1995 Bar Question)
3. Proof of payment for the filing of the
petition as required by the Rules on
Q: Juan dela Cruz was commissioned as a notary
Notarial Practice; and
public in 2001. His friend asked him to notarize a
4. Three passport-size color photographs
deed of absolute sale sometime in 2004, to which
with light background taken within 30
he agreed free of charge. A complaint for
days of the application. The photograph
malpractice was filed against him. Is Juan dela Cruz
should not be retouched. The petitioner
guilty of malpractice?
shall sign his name at the bottom part of
the photographs. (Sec. 2,Rule III, A.M.
A: Yes. Absent any showing that his notarial
No. 02-8-13-SC)
commission has been renewed, his act constitutes
malpractice because at the time he notarized the
Note: Every petitioner for a notarial commission shall
document, his notarial commission has already pay the application fee as prescribed in the Rules of
expired. It is not a defense that no payment has Court. (Sec. 3, Rule III, A.M. No. 02-8-13-SC)
been received. The requirement for the issuance of
the commission as notary public must not be Q: Before the Executive Judge shall conduct a
treated as a mere casual formality. In fact, Juan’s summary hearing on the petition, what
act also constitutes falsification of public document. requirements must be met?

Q: What is a commission? A:
1. The petition is sufficient in form and
A: It refers to the grant of authority to perform substance;
notarial acts and to the written evidence of the 2. The petitioner proves the allegations
authority. (Sec. 3, Rule II, A.M. 02-8-13-SC) contained in the petition; and
3. The petitioner establishes to the
Q: When will Atty. Antonio’s notarial commission satisfaction of the Executive Judge that
expire if he applied for and was given such he has read and fully understood the
commission on 12 November 2010? Rules on Notarial Practice.
A. 31 December 2012
B. 31 December 2011 Note: The Executive Judge shall forthwith
C. 11 November 2011 issue a commission and a Certificate of
D. 11 November 2012 Authorization to Purchase a Notarial Seal in
favor of the petitioner. (Sec. 4, Rule III, A.M.
A: B (2011 Bar Question) No. 02-8-13-SC)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
125
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UST GOLDEN NOTES 2012

Q: What must a notary public do when his A: Acknowledgment refers to an act in which an
commission expires? individual on a single occasion:
1. Appears in person before the notary public
A: A notary public may file a written application and presents an integrally complete
with the Executive Judge for the renewal of his instrument or document;
commission within 45 days before the expiration
thereof. A mark, image or impression of the seal of Note: A notary public cannot perform a
the notary public shall be attached in the notarial act over a document that has missing
application. (first par., Sec. 13, Rule III, A.M. No. 02- pages, or that contains blanks that should be
8-13-SC) filled-in prior to the notarial act.

Note: If a person is applying for a commission for the 2. Is attested to be personally known to the
first time, what he files is a petition and not an notary public or identified by the notary
application. public through competent evidence of
identity as defined by the Rules on Notarial
Q: What is the effect of failure of the notary public Practice; and
to file an application for the renewal of his
commission? 3. Represents to the notary public that the
signature on the instrument or document
A: Failure to file said application will result in the was voluntarily affixed by him for the
deletion of the name of the notary public in the purposes stated in the instrument or
register of notaries public and may only be document, declares that he has executed
reinstated therein after he is issued a new the instrument or document as his free and
commission. (second and third pars., Sec. 13, Rule voluntary act and deed, and, if he acts in a
III, A.M. No. 02-8-13-SC) particular representative capacity, that he
has the authority to sign in that capacity.
Note: The Executive Judge shall, upon payment of the (Sec. 1, Rule II, A.M. 02-8-13-SC)
application fee, act on an application for renewal of a
commission within thirty (30) days from receipt Q: Cabanilla filed a complaint against Atty. Cristal-
thereof. If the application is denied, the Executive Tenorio with the IBP, alleging that he never
Judge shall state the reasons therefor. (Sec. 14, Rule III, appeared before her when she notarized the deed
A.M. No. 02-8-13-SC) of sale of his house, and that the signatures
appearing opposite their respective names were
3. POWERS AND LIMITATIONS OF A NOTARY forgeries. Did Atty. Cristal-Tenorio fail to comply
PUBLIC with the mandates of the law when she notarized
the deed of sale without the complainant and his
Note: “Notarial Act” and “Notarization” refer to any children? Does such failure warrant the revocation
act that a notary public is empowered to perform of her notarial commission?
under these Rules. (Sec. 7, Rule II, A.M. 02-8-13-SC)
A: Yes. Under Section 1(a) of Act 2103, a notary
Q: What are the powers of a notary public?
public taking the acknowledgment in a document or
instrument is mandated to certify that the person
A: A notary public is empowered to perform the
acknowledging the instrument or document is
following notarial acts:
known to him and that he is the same person who
JAO-CAS
executed it and acknowledged that the same is his
1. Acknowledgements;
free act and deed. To "acknowledge before" means
2. Oaths and affirmations;
to avow; to own as genuine, to assert, to admit; and
3. Jurats;
"before" means in front or preceding in space or
4. Signature witnessings;
ahead of. A party acknowledging must appear
5. Copy certifications; and
before the notary public. A notary public should not
6. Any other act authorized by these rules
notarize a document unless the persons who signed
(Section 1(a), Rule IV, A.M. No. 02-8-13-
the same are the very same persons who executed
SC)
and personally appeared before the said notary
public to attest to the contents and truth of what
Acknowledgements
are stated therein. The presence of the parties to
the deed making the acknowledgment will enable
Q: What is an acknowledgement?
the notary public to verify the genuineness of the
signature of the affiant. A notary public is enjoined
from notarizing a fictitious or spurious document.

126
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Notarial Practice

The function of a notary public is, among others, to A: The following officers have general authority to
guard against any illegal deed. (Cabanilla v. Cristal- administer oaths:
Tenorio, A.C. No. 6139, Nov. 11, 2003) 1. President;
2. Vice-President;
th
Q: “Before me personally appeared this 30 of 3. Members and Secretaries of both Houses of
August 2010 Milagros A. Ramirez, who proved her the Congress;
identity to me through witnesses: 1. Rosauro S. 4. Members of the Judiciary;
Balana, Passport UU123456; 1-5-2010/Baguio City; 5. Secretaries of Departments;
and 2. Elvira N. Buela, Passport VV200345; 1-17- 6. Provincial governors and lieutenant-
2009/Manila. “Both witnesses, of legal ages, under governors;
oath declare that: Milagros A. Ramirez is 7. City mayors;
personally known to them; she is the same seller 8. Municipal mayors;
in the foregoing deed of sale; she does not have 9. Bureau directors;
any current identification document nor can she 10. Regional directors;
ontain one within a reasonable time; and they are 11. Clerk of courts;
not privy to or are interested in the deed he 12. Registrars of deeds;
signed.” What is the status of such a notarial 13. Other civilian officers in the public service of
acknowledgement? the government of the Philippines whose
appointments are vested in the President
A: Valid since it is a manner of establishing the and are subject to confirmation by the
identity of the person executing the document. Commission on Appointments;
(2011 Bar Question) 14. All other constitutional officers;
15. PAO lawyers in connection with the
Oaths and Affirmations performance of duty; and
16. Notaries public (Sec. 41)
Q: What is affirmation or oath?
Q: What is the rule regarding the duty to
A: It refers to an act in which an individual on a administer oaths?
single occasion:
1. Appears in person before the notary A: Officers authorized to administer oaths, with the
public; exception of notaries public, municipal judges and
2. Is personally known to the notary public clerks of court, are not obliged to administer oaths
or identified by the notary public through or execute certificates save in matters of official
competent evidence of identity as defined business or in relation to their functions as such;
by the Rules on Notarial Practice; and and with the exception of notaries public, the
3. Avows under penalty of law to the whole officer performing the service in those matters shall
truth of the contents of the instrument or charge no fee, unless specifically authorized by law.
document. (Sec. 2,Rule II, A.M. No. 02-8- (Section 42)
13-SC)
Note: P.A.O. Lawyers now have the authority to
Republic Act No. 9406 administer oaths, provided it is in connection with the
March 23, 2007 performance of their duties.

AN ACT REORGANIZING AND STRENGTHENING THE The fiscal or the state prosecutor has the authority to
PUBLIC ATTORNEY'S OFFICE (PAO), AMENDING administer oaths. (R.A. No. 5180, as amended by P.D.
FOR THE PURPOSE PERTINENT PROVISIONS OF 911)
EXECUTIVE ORDER NO. 292, OTHERWISE KNOWN
AS THE "ADMINISTRATIVE CODE OF 1987", AS Jurats
AMENDED, GRANTING SPECIAL ALLOWANCE TO
PAO OFFICIALS AND LAWYERS, AND PROVIDING Q: What is a jurat?
FUNDS THEREFOR A: It refers to an act in which an individual on a
single occasion:
Section 8. Sections 41 and 42, Chapter 10, Book I of 1. Appears in person before the notary
the same Code, as amended, is hereby further public and presents an instrument or
amended to read as follows: document;
2. Is personally known to the notary public
Q: Who are the officers authorized to administer or identified by the notary public through
oaths? competent evidence of identity as defined
by the Rules on Notarial Practice;

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
127
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

3. Signs the instrument or document in the E.g. E.g.


presence of the notary; and The acknowledgement in An affidavit subscribed
4. Takes an oath or affirmation before the a deed of lease of land. before a notary public or
notary public as to such instrument or public official authorized
document. (Sec. 6, Rule II, A.M. 02-8-13- for the purpose.
SC)
Signature Witnessing
Note: A jurat is not a part of a pleading but merely
evidences the fact that the affidavit was properly Q: What is signature witnessing?
made. The claim or belief of Atty. Dela Rea that the
presence of petitioner Gamido was not necessary for A: It refers to a notarial act in which an individual
the jurat because it is not an acknowledgment is on a single occasion:
patently baseless. If this had been his belief since he 1. Appears in person before the notary
was first commissioned as a notary public, then he has public and presents an instrument or
been making a mockery of the legal solemnity of an document;
oath in a jurat. Notaries public and others authorized 2. Is personally known to the notary public
by law to administer oaths or to take
or identified by the notary public through
acknowledgments should not take for granted the
competent evidence of identity as defined
solemn duties appertaining to their offices. Such duties
by the Rules on Notarial Practice; and
are dictated by public policy and are impressed with
public interest. (Gamido v. Bilibid Prisons Officials, G.R. 3. Signs the instrument or document in the
No. 114829, Mar. 1, 1995) presence of the notary public. (Sec. 14,
Rule II, A. M. No. 02-8-13-SC)
Q: Distinguish acknowledgement from jurat.
Q: Is a notary public authorized to certify the
A: affixing of a signature by thumb or other mark on
ACKNOWLEDGMENT JURAT an instrument or document presented for
Act of one who has That part of an affidavit in notarization?
executed a deed, in going which the notary public or
to some competent officer certifies that the A: Yes. It is also within the powers of a notary
officer or court and instrument was sworn to public, provided:
declaring It to be his act before him. 1. The thumb or other mark is affixed in the
or deed presence of the notary public and of two
The notary public or It is not part of a pleading (2) disinterested and unaffected witnesses
officer taking the but merely evidences the to the instrument or document;
acknowledgement shall fact that the affidavit was 2. Both witnesses sign their own names in
certify that the person properly made. addition to the thumb or other mark;
acknowledging the 3. The notary public writes below the thumb
instrument or document or other mark: “thumb or other mark
is known to him and he is affixed by (name of signatory by mark) in
the same person who the presence of (names and addresses of
executed it and witnesses) and undersigned notary
acknowledged that the
public”; and
same is his free act and
4. The notary public notarizes the signature
deed.
by thumb or other mark through an
Two-fold purpose: To Purpose: Gives the
authorize the deed to be document a legal acknowledgment, jurat or signature
given in evidence without character. witnessing. (Sec. 1(b), Rule IV, A.M. No.
further proof of its 02-8-13-SC) (1995 Bar Question)
execution, and, to entitle
it to be recorded. Q: Is a notary public authorized to sign on behalf of
Where used: Where used: a person who is physically unable to sign or make a
1. To authenticate an 1. Affidavits; mark on an instrument or document?
agreement between
two or more persons; 2. Certifications; A: Yes. It likewise falls within the powers of a notary
or 3. Whenever the or public, provided:
2. Where the document person executing makes a 1. The notary public is directed by the
contains a disposition statement of facts or person unable to sign or make a mark to
of property. attests to the truth sign on his behalf;
of an event, under oath. 2. The signature of the notary public is
affixed in the presence of 2 disinterested

128
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Notarial Practice

and unaffected witnesses to the d. He inquired into the


instrument or document; voluntariness of the execution
3. Both witnesses sign their own names; of the instrument;
4. The notary public writes below his e. They acknowledge personally
signature: “Signature affixed by notary in before him that they voluntarily
the presence of (names and addresses of and freely executed the same.
person and 2 witnesses)”; and 2. Converts a private document into a public
5. The notary public notarizes his signature one and renders it admissible in court
by acknowledgment or jurat. (Sec. 1(c), without further proof of its authenticity.
Rule IV, A.M. 02-8-13-SC) (1995 Bar 3. Documents enjoy a presumption of
Question) regularity. It constitutes prima facie
evidence of the facts which give rise to
Copy Certifications their execution and of the date of said
execution, but not of the truthfulness of
Q: What is copy certification? the statement.

A: It refers to a notarial act in which a notary public: Note: A notarial document is by law entitled to full
1. Is presented with an instrument or faith and credit upon its face and, for this reason,
document that is neither a vital record, a notaries public must observe with utmost care the
public record, nor publicly recordable; basic requirements in the performance of their duties,
2. Copies or supervises the copying of the lest, the confidence of the public in the integrity of the
instrument or document; document will be undermined.
3. Compares the instrument or document
with the copy; and Q: What is a notarial certificate?
4. Determines that the copy is accurate and
A: It refers to the part of, or attachment to a
complete. (Sec. 4, Rule II, A.M. 02-8-13-
notarized instrument or document that is
SC)
completed by the notary public which bears the
notary's signature and seal, and states the facts
Note: The document copied must be an original
attested to by the notary public in a particular
document. It cannot be a copy itself.
notarization as provided for by the Rules on
Notarial Practice. (Sec. 8, Rule II, A. M. No. 02-8-13)
Q: How should a notary public notarize a paper
instrument or document?
Note: “Loose notarial certificate” refers to a notarial
certificate that is attached to a notarized instrument or
A: In notarizing a paper instrument or document, a document.
notary public shall:
1. Sign by hand on the notarial certificate
"Official seal" or "seal" refers to a device for affixing a
only the name indicated and as appearing mark, image or impression on all papers officially
on the notary's commission; signed by the notary public conforming the requisites
2. Not sign using a facsimile stamp or prescribed by the Rules on Notarial Practice. (Sec. 13,
printing device; and Rule II, A.M. No. 02-8-13-SC)
3. Affix his official signature only at the time
the notarial act is performed. (Sec. 1, Rule Q: What must the notarial certificate contain?
VII, A.M. 02-8-13-SC) A
1. The name of the notary public as exactly
Q: What are the effects of notarization? indicated in the commission;
2. The serial number of the commission of
A: the notary public;
3. The words "Notary Public" and the
1. The notary, in effect, proclaims to the
province or city where the notary public is
world that: commissioned, the expiration date of the
a. All the parties therein commission, the office address of the
personally appeared before notary public; and
him; 4. The roll of attorney's number, the
b. They are personally known to professional tax receipt number and the
him; place and date of issuance thereof, and
c. They are the same persons who the IBP membership number. (Sec. 2, Rule
executed the instrument; VIII, A.M. 02-8-13-SC)

Note: A notary public shall not:

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
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UST GOLDEN NOTES 2012

a. execute a certificate containing information document for notarization be signed in his


known or believed by the notary to be false; presence. (Traya Jr. v. Villamor, A.C. No. 4595, Feb.
or 6, 2004)
b. affix an official signature or seal on a
notarial certificate that is incomplete.
Q: During their lifetime, the Spouses Villanueva
acquired several parcels of land. They were
Q: What are the limitations to the performance of survived by their 5 children: Simeona, Susana,
a notarial act of a notary public? Maria, Alfonso, and Florencia. Alfonso executed an
Affidavit of Adjudication stating that as “the only
A: A person shall not perform a notarial act if: surviving son and sole heir” of the spouses, he was
1. The person involved as signatory to the adjudicating himself a parcel of land. Thereafter,
instrument or document is:
he executed a Deed of Absolute Sale, conveying
a. Not in the notary's presence
the property to Adriano Villanueva. Atty. Salud
personally at the time of the
Beradio appeared as notary public on both the
notarization; and (Sec. 2(b)(1), Rule IV,
affidavit of adjudication and the deed of sale. Atty.
A.M. No. 02-8-13-SC)
Beradio knew of the falsity of Alfonso’s statement.
b. Not personally known to the notary
Florencia and descendants of the other children of
public or otherwise identified by the
the spouses were still alive at the time of
notary public through competent
execution of both documents. Was there a failure
evidence of identity as defined by the
to discharge properly the duties of a notary public?
Rules on Notarial Practice. (Sec.
2(b)(2), Rule IV, A.M. No. 02-8-13-SC)
A: Yes. Atty. Beradio’s conduct breached the Code
c. The document is blank or incomplete;
of Professional Responsibility, which requires
(Sec.6 (a) Rule IV, A.M. 02-8-13-SC)
d. An instrument or document is without lawyers to obey the laws of the land and promote
appropriate notarial certification. (Sec. respect for the law and legal processes as well as
6, Rule IV, A.M. 02-8-13-SC) Rule 1.01 of the Code which proscribes lawyers
from engaging in unlawful, dishonest, immoral, or
deceitful conduct. She herself admitted that she
Q: Engineer Cynthia de la Cruz Catalya filed an knew of the falsity of Alfonso’s statement that he
application for building permit in connection with was the “sole heir” of the spouses. She therefore
the renovation of a building situated on a lot notarized a document while fully aware that it
owned by her brother Rolando de la Cruz. One of contained a material falsehood. The affidavit of
the documents required in the processing of the adjudication is premised on this very assertion. By
application was an affidavit to be executed by the this instrument, Alfonso claimed a portion of his
lot owner. Since Rolando de la Cruz was a resident parents’ estate all to himself, to the exclusion of his
abroad, an affidavit was prepared wherein it was co-heirs. Shortly afterwards, Atty. Beradio notarized
made to appear that he was a resident of Leyte; the deed of sale, knowing that the deed took basis
that he was the owner of the lot whereon the from the unlawful affidavit of adjudication. (Heirs of
building subject of the application for the issuance the Late Spouses Lucas v. Atty. Beradio, A.C. No.
of a building permit was situated. Atty. Francisco 6270, Jan. 22, 2007)
Villamor notarized the purported affidavit.
According to him, a Chinese mestizo appeared in Note: Where admittedly the notary public has personal
his law office one time, requesting that his knowledge of a false statement or information
affidavit be notarized. Said person declared that contained in the instrument to be notarized, yet
he was Rolando de la Cruz. Atty. Villamor then proceeds to affix his or her notarial seal on it, the court
asked for the production of his residence must not hesitate to discipline the notary public
certificate, but he said, he did not bother to bring accordingly as the circumstances of the case may
the same along with him anymore as, he has dictate. Otherwise, the integrity and sanctity of the
already indicated his serial number, in the jurat notarization process may be undermined and public
portion together with the date of issue and place confidence on notarial documents diminished. (Ibid)
of issue. Did Atty. Francisco Villamor commit a
violation of notarial law? Q: When is a notary public disqualified from
performing a notarial act?
A: Yes. It is the duty of the notarial officer to
demand that the document presented to him for A: When the notary public:
notarization should be signed in his presence. By his 1. Is a party to the instrument or document
admission, the affidavit was already signed by the that is to be notarized;
purported affiant at the time it was presented to 2. Will receive, as a direct or indirect result,
him for notarization. Atty. Villamor thus failed to any commission, fee, advantage, right,
heed his duty as a notary public to demand that the title, interest, cash, property, or other

130
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Notarial Practice

consideration, except as provided by the complainant to her brother by virtue of a deed of


Rules on Notarial Practice and by law; or sale consummated between them. What is being
3. Is a spouse, common-law partner, penalized is respondent’s act of notarizing a
ancestor, descendant, or relative by document despite the absence of one of the
affinity or consanguinity of the principal parties. A notarized document is by law entitled to
within the fourth civil degree. (Sec. 3, Rule full credit upon its face and it is for this reason that
IV, A.M. No. 02-8-13-SC) (1995 Bar notaries public must observe the basic
Question) requirements in notarizing documents. Otherwise,
the confidence of the public in notarized documents
Note: The function of a notary public is, among others, will be undermined. (Nesa Isenhardt vs. Atty.
to guard against any illegal or immoral arrangements. Leonardo M. Real, A.C. No. 8254, Feb. 15, 2012)
That function would be defeated if the notary public is
one of the signatories to the instrument. For then, he 4. NOTARIAL REGISTER
would be interested in sustaining the validity thereof
as it directly involves himself and the validity of his
own act. It would place him in an inconsistent position, Q: What is a Notarial Register?
and the very purpose of the acknowledgment, which is
to minimize fraud, would be thwarted. (Villarin v. A: It refers to a permanently bound book with
Sabate, A.C. No. 3224, Feb. 9, 2000) numbered pages containing a chronological record
of notarial acts performed by a notary public. (Sec.
5, Rule II, A.M. No. 02-8-13-SC)
Q: When may a notary public refuse to notarize
even if the appropriate fee is tendered?
Q: What is the form of notarial register?
A: A: A notary public shall keep, maintain, protect and
1. The notary knows or has good reason to provide for lawful inspection as provided in these
believe that the notarial act or transaction is Rules, a chronological official notarial register of
unlawful or immoral; notarial acts consisting of a permanently bound
2. The signatory shows a demeanor which book with numbered pages.
engenders in the mind of the notary public
reasonable doubt as to the former's
knowledge of the consequences of the The register shall be kept in books to be furnished
transaction requiring a notarial act; by the Solicitor General to any notary public upon
3. In the notary's judgment, the signatory is request and upon payment of the cost thereof. The
not acting of his or her own free will; (Sec. 4, register shall be duly paged, and on the first page,
Rule V, A.M. No. 02-8-13-SC) or the Solicitor General shall certify the number of
4. If the document or instrument to be pages of which the book consists.
notarized is considered as an improper
document by the Rules on Notarial Practice. For purposes of this provision, a Memorandum of
Agreement or Understanding may be entered into
Note: Improper instrument/document is a blank or by the Office of the Solicitor General and the Office
incomplete instrument or an instrument or of the Court Administrator. (Sec. 1(a), Rule VI, A.M.
document without appropriate notarial No. 02-8-13-SC)
certification. (Sec. 6, Rule V, A.M. No. 02-8-13-SC)
Q: How many notarial register may a notary public
A notary public should not notarize a document keep?
unless the person who signs it is the same person A: A notary public shall keep only one active
who executed it, personally appearing before him notarial register at any given time. (Sec. 1(b), Rule
to attest to the contents and the truth of what are VI, A.M. No. 02-8-13-SC)
stated therein. This is to enable the notary public to
verify the genuineness of the signature of the Q: What information should be entered in the
acknowledging party and to ascertain that the notarial register?
document is the party’s free act. The duties of a
notary public is dictated by public policy and A:
impressed with public interest. It is not a a. For every notarial act, the notary shall
meaningless ministerial act of acknowledging record in the notarial register at the time of
documents executed by parties who are willing to notarization the following:
pay the fees for notarization. It is of no moment 1. the entry number and page number;
that the subject SPA was not utilized by the grantee 2. the date and time of day of the
for the purpose it was intended because the notarial act;
3. the type of notarial act;
property was allegedly transferred from
4. the title or description of the

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
131
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

instrument, document or proceeding; protested before him; or if none, this


5. the name and address of each certificate shall show this fact. (Sec. 2(g), Rule
principal; VI, A.M. No. 02-8-13-SC)
6. the competent evidence of identity as
defined by these Rules if the signatory Note: A certified copy of each month's entries and a
is not personally known to the notary; duplicate original copy of any instrument
7. the name and address of each acknowledged before the notary public shall, within
credible witness swearing to or the first ten (10) days of the month following, be
affirming the person's identity; forwarded to the Clerk of Court and shall be under the
8. the fee charged for the notarial act; responsibility of such officer. If there is no entry to
9. the address where the notarization certify for the month, the notary shall forward a
was performed if not in the notary's statement to this effect in lieu of certified copies
regular place of work or business; and herein required. (Sec. 2(h), Rule VI, A.M. No. 02-8-13-
10. any other circumstance the notary SC)
public may deem of significance or
relevance. (Sec. 2(a), Rule VI, A.M. No. The notary public shall give to each instrument or
02-8-13-SC) document executed, sworn to, or acknowledged
b. In case of failure to complete a notarial act, before him a number corresponding to the one in his
record in the notarial register the reasons register, and shall also state on the instrument or
and circumstances for not completing a document the page/s of his register on which the same
notarial act (Sec. 2(b), Rule VI, A.M. No. 02- is recorded. No blank line shall be left between entries.
8-13-SC) (Sec. 2(e), Rule VI, A.M. No. 02-8-13-SC)
c. the circumstances of any request to inspect
or copy an entry in the notarial register, Q: Raul sought Ely’s disbarment for notarizing a
including the requester's name, address, deed of sale knowing that four of the sellers were
signature, thumbmark or other recognized dead. Ely admitted that he notarized the deed of
identifier, and evidence of identity sale but only after his client assured him that the
(Sec.2(c),Rule VI, A.M. No. 02-8-13-SC) signatures of the others were authentic. Later,
Raul moved to have the complaint against him
Note: The reasons for refusal to allow dismissed on the ground that it was filed because
inspection or copying of a journal entry shall of a misunderstanding which had already been
also be recorded. (Ibid.) clarified. This prompted the IBP to recommend the
dismissal of the complaint. Can the dismissal be
d. When the instrument or document is a allowed?
contract, keep an original copy thereof as
part of his records and enter in said records A: No. given Ely’s admission that he notarized the
a brief description of the substance thereof document when some signatories were absent.
and shall give to each entry a consecutive (2011 Bar Question)
number, beginning with number one in each
calendar year. (Sec.2(d),Rule VI, A.M. No. Q: Who shall sign or affix a thumbmark in the
02-8-13-SC) notarial register?

Note: He shall also retain a duplicate original A: At the time of notarization, the notary's notarial
copy for the Clerk of Court. (Ibid.) register shall be signed or a thumb or other mark
affixed by each:
e. In case of a protest of any draft, bill of a. principal;
exchange or promissory note, make a full b. credible witness swearing or affirming to
and true record of all proceedings in relation the identity of a principal; and
thereto and shall note therein whether the c. witness to a signature by thumb or other
demand for the sum of money was made, by mark, or to a signing by the notary public
whom, when, and where; whether he on behalf of a person physically unable
presented such draft, bill or note; whether to sign. Sec. 3,Rule VI, A.M. No. 02-8-13-
notices were given, to whom and in what SC)
manner; where the same was made, when
and to whom and where directed; and of Q: Can any person inspect an entry in the notarial
every other fact touching the same. (Sec. register?
2(f), Rule VI, A.M. No. 02-8-13-SC)
f. At the end of each week, the notary public A: Yes, provided:
shall certify in his notarial register the 1. The inspection is made in the notary’s
number of instruments or documents presence;
executed, sworn to, acknowledged, or 2. During regular business hours;
3. The person's identity is personally known to

132
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Notarial Practice

the notary public or proven through 5. JURISDICTION OF NOTARY PUBLIC AND PLACE
competent evidence of identity as defined in OF NOTARIZATION
these Rules;
4. The person affixes a signature and thumb or Q: What is the jurisdiction of a notary public?
other mark or other recognized identifier, in
the notarial register in a separate, dated A: A notary public may perform notarial acts in any
entry; place within the territorial jurisdiction of the
5. The person specifies the month, year, type commissioning court.
of instrument or document, and name of the
principal in the notarial act or acts sought; Q: What is the phrase “regular place of work or
and business” of a notary public mean?
6. The person is shown only the entry or
entries specified by him. (Sec.4 (a), Rule VI, A: The regular place of work or business refers to a
A.M. No. 02-8-13-SC) stationary office in the city or province wherein the
notary public renders legal and notarial services.
Q: May a law enforcement officer examine the (Sec. 11, Rule II, 2004 Rules on Notarial Practice)
notarial register?
Note: Under the Notarial Law, the jurisdiction of a
A: Yes, the notarial register may be examined by a notary public is co-extensive with the province for
law enforcement officer in the course of an official which he was commissioned; and for the notary public
investigation or by virtue of a court order. (Sec. in the city of Manila, the jurisdiction is co-extensive
4(b), Rule VI, A. M. No. 02-8-13-SC) with said city. Circular 8 of 1985, however, clarified
further that the notary public may be commissioned
Note: The notary public shall supply a certified true for the same term only by one court within the Metro
copy of the notarial record, or any part thereof, to any Manila region.
person applying for such copy upon payment of the
legal fees. (Sec. 6, Rule VI, A. M. No. 02-8-13-SC) Q: Can a notary public perform a notarial act
outside his jurisdiction and his regular place of
Q: May a notary public refuse the request of work or business?
inspection for register of deeds?
A:
A: Yes. If the notary public has a reasonable ground GR: A notary public shall not perform a notarial
to believe that a person has a criminal intent or act outside his jurisdiction and his regular place
wrongful motive in requesting information from the of work or business.
notarial register, the notary shall deny access to any
entry or entries therein. (Sec. 4(c), Rule VI, A. M. No.
XPN: A notarial act may be performed at the
02-8-13-SC)
request of the parties in the following sites, other
than his regular place of work or business,
Q: State the rule in case of loss, destruction or located within his territorial jurisdiction:
damage of notarial register. 1. Public offices, convention halls, and other
appropriate public places for the purpose
A: of administering oaths of office; (Sec. 2,
1. In case the notarial register is stolen, lost, Rule IV, A. M. No. 02-8-13-SC)
destroyed, damaged, or otherwise rendered 2. At the request of the parties, public
unusable or illegible as a record of notarial function areas in hotels and other
acts, the notary public shall, within ten (10) appropriate places for the signing of the
days after informing the appropriate law contracts, deeds, and other documents
enforcement agency in the case of theft or requiring notarization; (Ibid.)
vandalism, notify the Executive Judge by any 3. Residence of any party of a contract,
means providing a proper receipt or deed, or other document requiring
acknowledgment, including registered mail notarization; (Ibid.)
and also provide a copy or number of any 4. Hospitals and other medical institutions
pertinent police report. where a party to a contract is confined for
2. Upon revocation or expiration of a notarial treatment; (Ibid.)
commission, or death of the notary public, 5. Any place where for legal reason a party
the notarial register and notarial records to a contract, deed, or other document
shall immediately be delivered to the office requiring notarization may be confined;
of the Executive Judge. (Sec. 5, Rule VI, A. M. (Ibid.) and
No. 02-8-13-SC) 6. Such other places as may be dictated
because of emergency. (1996 Bar
Question)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
133
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Note: It is improper for a notary public to notarize


documents in sidewalk since it is now required that a Note: These are in addition to the presentation of the
notary public should maintain a regular place of work signatories’ Community Tax Certificate (CTC) as
or business within the city or province where he is required by Notarial Law (Act 2711).
commissioned. The SC evidently wants to eradicate the
practice of “fly by night” notaries public who notarized Notaries public are required by the Notarial Law to
documents in “improvised” offices. certify that the party to the instrument has
acknowledged and presented before the notaries
6. COMPETENT EVIDENCE OF IDENTITY public the proper residence certificate (or exemption
from the residence certificate) and to enter its
number, place, and date of issue as part of
Note: Competent evidence of identity is not required certification. Sec. 12, Rule II of the 2004 Rules on
in cases where the affiant is personally known to the Notarial Practice now requires a party to the
Notary Public. (Amora, Jr. v. Comelec, G.R. No. 192280, instrument to present competent evidence of identity.
Jan. 25, 2011) (Legaspi v. Atty. Dimaano, Jr., A.C. No. 7781, Sept. 12,
2008)
Q: What is competent evidence of identity?
Q: Is a community tax certificate still a competent
A: It refers to the identification of an individual evidence of identity?
based on:
1. At least one current identification document A: No. A notary public can no longer accept a cedula
issued by an official agency bearing the or a community tax certificate (CTC), the successor
photograph and signature of the individual document to the residence certificate originally
such as but not limited to: required by the Notarial Law as proof of identity.
a. Passport, Such does not even contain a photograph of the
b. Driver’s license, person to whom it is issued. Further, CTC may be
c. Professional Regulation Commission ID, easily obtained by anyone, without any supporting
d. National Bureau of Investigation papers, thereby debasing its value as an identity
clearance, document.
e. Police clearance,
f. Postal ID,
Note: In the list of grounds for disqualification of
g. Voter’s ID,
persons running for any local elective position under
h. Barangay Certification, Section 40 of the LGC, nowhere therein does it specify
i. Government Service Insurance System that a defective notarization is a ground for the
e-card, disqualification of a candidate. Thus, presentation of
j. Social Security System card, CTC before the notary public, in compliance with the
k. Philhealth card, requirement of presentation of competent evidence of
l. Senior Citized card, identity, though improper, does not in itself warrant
m. Overseas Workers Welfare the disqualification of a candidate to run for any
Administration (OWWA) ID, elective position. (Amora, Jr. v. Comelec, G.R. No.
n. OFW ID, 192280, Jan. 25, 2011)
o. sea man’s book,
p. alien certificate of registration, Q: Is the presentation of Community Tax
q. government office ID, Certificate no longer necessary in view of the
r. certification from the National Council amendment?
for the Welfare of Disabled Persons
(NCWDP), A: No. Its presentation is still mandatory pursuant
s. Department of Social Welfare to Local Government Code of the Philippines in
Development (DSWD) certification; or order to show payment of taxes. Said law provides:

2. The oath or affirmation of one credible “When an individual subject to the community tax
witness not privy to the instrument, acknowledges any document before a notary
document or transaction who is personally public, takes the oath of office upon election or
known to the notary public and who appointment to any position in the government
personally knows the individual, or of two service; receives any license, certificate, or permit
credible witnesses neither of whom is privy from any public authority; pays any tax or fee;
to the instrument, document or transaction receives any money from any public fund; transacts
who each personally knows the individual other official business; or receives any salary or
and shows to the notary public documentary wage from any person or corporation, it shall be the
identification. (Amendment to Sec. 12 (a), duty of any person, officer, or corporation with
Rule II of the 2004 Rules on Notarial whom such transaction is made or business done or
Practice, Feb. 19, 2008). from whom any salary or wage is received to

134
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL ETHICS – Notarial Practice

require such individual to exhibit the community tax 2. Fails to make the proper entry or entries in
certificate.” (Sec. 163, LGC) his notarial register concerning his notarial
acts;
3. Fails to send the copy of the entries to the
Q: Atty. Regino Tamabago notarized a last will and Executive Judge within the first ten (10) days
testament under which, the decedent supposedly of the month following;
bequeathed his entire estate to his wife, save for a 4. Fails to affix to acknowledgments the date
parcel of land which he devised to Vicente Lee, Jr. of expiration of his commission;
and Elena Lee, half siblings of Manuel Lee, the 5. Fails to submit his notarial register, when
complainant. The will was purportedly executed filled, to the Executive Judge;
and acknowledged before respondent on June 30, 6. Fails to make his report, within a reasonable
1965. However, the residence certificate of the time, to the Executive Judge concerning the
testator noted in the acknowledgment of the will performance of his duties, as may be
was dated January 5, 1962. There is also absence required by the judge;
of notation of the residence certificates of the 7. Fails to require the presence of a principal at
purported witnesses. Did Atty. Regino Tamabago the time of the notarial act;
violate any of the duties of a notary public? Note: "Principal" refers to a person
appearing before the notary public whose
A: Atty. Tamabago, as notary public, evidently failed act is the subject of notarization.
in the performance of the elementary duties of his 8. Fails to identify a principal on the basis of
office. There is absence of a notation of the personal knowledge or competent evidence;
residence certificates of the notarial witnesses in 9. Executes a false or incomplete certificate
the will in the acknowledgment. Further, the under Section 5, Rule IV;
10. Knowingly performs or fails to perform any
notation of the testator’s old residence certificate in
other act prohibited or mandated by these
the same acknowledgment was a clear breach of
Rules; and
the law. The Notarial Law then in force required the
11. Commits any other dereliction or act which
exhibition of the residence certificate upon
in the judgment of the Executive Judge
notarization of a document or instrument. By
constitutes good cause for revocation of
having allowed decedent to exhibit an expired
commission or imposition of administrative
residence certificate, Atty. Tamabago failed to
sanction.(Sec. 1, Rule XI, Rule on Notarial
comply with the requirements of the old Notarial
Law. As much could be said of his failure to demand Practice)
the exhibition of the residence certificates of
notarial witnesses. Defects in the observance of the Q: What are punishable acts under the 2004 Rules
solemnities prescribed by law render the entire will on Notarial Practice?
invalid. (Manuel Lee v. Atty. Regino Tamabago, A.C.
No. 5281, Feb. 12, 2008) A: The Executive Judge shall cause the prosecution
of any person who knowingly:
1. Acts or otherwise impersonates a notary
7. REVOCATION OF COMMISSION AND public;
DISCIPLINARY SANCTIONS 2. Obtains, conceals, defaces, or destroys
the seal, notarial register, or official
Q: Who can revoke a notarial commission? records of a notary public; and
3. Solicits, coerces, or in any way influences
A: The notarial commission may be revoked by a notary public to commit official
1. The Executive Judge of the RTC who issued misconduct. (Sec. 1, Rule XII, Rule on
the commission on any ground on which an Notarial Practice
application for commission may be denied
(Sec. 1, Rule XI, A.M. No. 02-8-13-SC,); or Q: Which of the following will subject Atty.
2. By the Supreme Court itself in the exercise of Lyndon, a Manila notary public, to sanctions under
the notarial rules?
its general supervisory powers over lawyer.
A. Notarizing a verification and certification
against forum shopping in Manila Hotel at the
Q: What are the grounds for revocation of notarial request of his Senator-client.
commission? B. Refusing to notarize an extra-judicial settlement
deed after noting that Ambo, a friend, was
A: The executive Judge shall revoke a notarial delisted as heir when he was in fact, one.
commission for any ground on which an application C. Performing signature witnessing involving his
for a commission may be denied. In addition, the brother-in-law and recording it in his register.
Executive Judge may revoke the commission of, or D. Notarizing a deed of sale for someone he knew
impose appropriate administrative sanctions upon, without requiring any proof of identity.
any notary public who:
1. Fails to keep a notarial register; Answer: C (2011 Bar Question)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
135
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

II. JUDICIAL ETHICS 1. New Code of Judicial Conduct for the


Philippine Judiciary (Bangalore Draft);
2. Code of Judicial Conduct
PRELIMINARY
Q: What is the difference between the New Code
Q: What is judicial ethics?
of Judicial Conduct for the Philippine Judiciary and
Code of Judicial Conduct?
A: It is the branch of moral science which treats of
the right and proper conduct to be observed by all
A: They differ in two ways:
judges in trying and deciding controversies brought
before them for adjudication which conduct must
New Code of Judicial Code of Judicial Conduct
be demonstrative of impartiality, integrity,
Conduct for the Philippine
competence, independence and freedom from
Judiciary
improprieties. This freedom from improprieties
Focuses on the Concerned primarily with
must be observed in both the public and private life
institutional and personal the institutional
of a judge – being the visible representation of the
independence of judicial independence of the
law.
officers judiciary.
Contains eight norms of Contained three
Q: Who is a judge?
conduct that judges “ shall guidelines explaining what
follow” judges “should do”
A: Any person exercising judicial power however
* Canon 1 of the 1989
designated. (New Code of Judicial Conduct)
Code created a weaker
A judge is a public officer who, by virtue of his mandate.
office, is clothed with judicial authority; A public 1. THE NEW CODE OF JUDICIAL CONDUCT FOR THE
officer lawfully appointed to decide litigated PHILIPPINE JUDICIARY (BANGALORE DRAFT)
questions in accordance with law. (People v. (A.M. NO. 03-05-01)
Manantan, G.R. No. L-14129, Aug. 30, 1962)
Note: The New Code of Judicial Conduct (NCJC) for the
Philippine Judiciary which took effect on June 1, 2004
Note: This refers to persons only. There may be a supersedes the Canons of Judicial Ethics and the Code
judge without a court. of Judicial Conduct. Provided, however, that in case of
deficiency or absence of specific provisions in this New
Q: Who is a de jure judge? Code, the Canons of Judicial Ethics and Code of Judicial
Conduct shall be applicable in a suppletory character.
(2007, 2009 Bar Questions)
A: One who exercises the office of a judge as a
matter of right, fully vested with all the powers and
This was adopted from the universal declaration of
functions conceded to him under the law. (Luna v.
standards for ethical conduct embodied in the
Rodriguez, G.R. No. L-13744, Nov. 29, 1918)
Bangalore Draft as revised at the Round Table
Conference of Chief Justices at the Hague.
Q: Who is a de facto judge?
Note: The New Code contains 6 Canons and 44 Rules.
A: An officer who is not fully vested with all the
powers and duties conceded to judges but, one Q: One of the foundations of the Bangalore Draft
who exercises the office of judge under some color of the Code of Judicial Conduct is the importance
of right. He has the reputation of the officer he in a modern democratic society of _____
assumes to be, yet he has some defect in his right A: Public confidence in its judicial system and in the
moral authority and integrity of its judiciary. (2011
to exercise judicial functions at the particular time. Bar Question)
(Luna v. Rodriguez, G.R. No. L-13744, Nov. 29, 1918)
Q: What are the six (6) canons under the New
Note: There cannot be a de facto judge when there is a Code of Judicial Conduct for the Philippine
de jure judge in the actual performance of the duties of Judiciary?
the office. Moreover, one cannot be actually acting
under any color of right when he has ceased to be a A:
judge and has actually vacated the office by the 1. Independence
acceptance of another office and by actually entering 2. Integrity
upon the duties of the other office. (Luna v. Rodriguez 3. Impartiality
and De Los Angeles, G.R. No. L-13744, Nov. 29, 1918) 4. Propriety
5. Equality
A. SOURCES 6. Competence and Diligence

Q: What are the two sources of judicial ethics? Note: The purpose of the New Code of Judicial
A: Conduct for the Philippine Judiciary is to update
and correlate the code of judicial conduct and

136
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - SOURCES

canons of judicial ethics adopted for the people’s faith in the judiciary.
Philippines, and also to stress the Philippines’
solidarity with the universal clamor for a universal Indeed, justice delayed is justice denied. (Angelia v.
code of judicial ethics.
Grageda, A.M. No. RTJ-10-2220, Feb. 7, 2011)
2. CODE OF JUDICIAL CONDUCT (1989)
Rule 1.02, Canon 1, CJC
Q: What is the applicability of this Code? A judge should administer justice impartially
and without delay.
A: This code applies suppletorily.
Rule 1.03, Canon 1, CJC
CANON 1, CJC A judge should be vigilant against any
A JUDGE SHOULD UPHOLD THE INTEGRITY AND attempt to subvert the independence of the
INDEPENDENCE OF THE JUDICIARY. judiciary and should forthwith resist any
pressure from whatever source from whatever
Rule 1.01, Canon 1, CJC source intended to influence the performance
A judge should be the embodiment of of official functions.
competence, integrity and independence.
CANON 2, CJC
A JUDGE SHOULD AVOID IMPROPRIETY AND THE
Q: A complaint was filed against respondent Judge APPEARANCE OF IMPROPRIETY IN ALL ACTIVITES.
Grageda for the delay in the resolution of motions
relative to Civil Case No. 54-2001, entitled Pio Rule 2.01, Canon 2, CJC
Angelia v. Arnold Oghayan. Plaintiff Angelia A judge should so behave at all times as to
averred that the case was filed way back on promote public confidence in the integrity and
August 8, 2001. After numerous postponements, impartiality of the judiciary.
pre-trial was finally set on December 6, 2007. On
December 20, 2007, counsel for complainant
Q: Judge Canoy was charged with several counts of
received an order dated December 6, 2007
gross ignorance of the law and/or procedures,
dismissing the case for failure to prosecute. On
grave abuse of authority, and appearance of
December 28, 2007, Angelia filed a motion for
impropriety (Canon 2, Code of Judicial Conduct) for
reconsideration reasoning out that the failure to
granting bail to Melgazo, the accused in a criminal
prosecute could not be attributed to him. On July
case, without any application or petition for the
28, 2008, he filed his Urgent Motion for the Early
grant of bail filed before his court or any court. He
Resolution of said December 2007 Motion for
verbally ordered the branch clerk of court to
Reconsideration. He claimed that despite the lapse
accept the cash deposit as bail, to earmark an
of a considerably long period of time, no action
official receipt for the cash deposit, and to date it
was taken by Judge Grageda. Is respondent Judge
the following day. He did not require Melgazo to
Gragela GUILTY of undue delay in resolving a
sign a written undertaking containing the
motion in violation of Rule 1.02, Canon 1 and Rule
conditions of the bail under Sec. 2, Rule 114 to be
3.05, Canon 3 of the Code of Judicial Conduct?
complied with by Melgazo. Thus, Judge Canoy
ordered the police escorts to release Melgazo
A: Yes. Failure to decide cases and other matters
without any written order of release. Should
within the reglementary period constitutes gross
respondent Judge Canoy be held administratively
inefficiency and warrants the imposition of
liable for violating of Supreme Court rules,
administrative sanction against the erring
directives and circulars under Sec. 9, Rule 140, RRC
magistrate. Such delay is clearly violative of the
(as amended by A.M. No. 01-8-10-SC)?
above-cited rules. Delay in resolving motions and
incidents pending before a judge within the
A: Yes. Granting of bail without any application or
reglementary period of ninety (90) days fixed by the petition to grant bail is a clear deviation from the
Constitution and the law is not excusable and procedure laid down in Sec. 17 of Rule 114.
constitutes gross inefficiency. As a trial judge, Judge
Grageda was a frontline official of the judiciary and As regards the insistence of Judge Canoy that such
should have at all times acted with efficiency and may be considered as “constructive bail,” there is
with probity. no such species of bail under the Rules. Despite the
noblest of reasons, the Rules of Court may not be
Judges must decide cases and resolve matters with ignored at will and at random to the prejudice of
dispatch because any delay in the administration of the rights of another. Rules of procedure are
justice deprives litigants of their right to a speedy intended to ensure the orderly administration of
disposition of their case and undermines the justice and the protection of substantive rights in
judicial and extrajudicial proceedings. In this case,
THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS
CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
137
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

the reason of Judge Canoy is hardly persuasive pending before another court or administrative
enough to disregard the Rules. (Pantilo III v. Canoy, agency.
A.M. No. RTJ-11-2262, Feb. 9, 2011)
CANON 3, CJC
Rule 2.02, Canon 2, CJC A JUDGE SHOULD PERFOM OFFICIAL DUTIES
A judge should not seek Publicity for personal HONESTLY, AND WITH IMPARTIALITY AND
vainglory. DILIGENCE

Rule 2.03, Canon 2, CJC ADJUDICATIVE RESPONSIBILITIES


A judge shall not allow family, social, or other
relationships to influence judicial conduct or Rule 3.01, Canon 3, CJC
judgment. A judge shall be faithful to the law and maintain
The prestige of judicial office shall not be used or professional competence.
lent to advance the private interests of others,
nor convey the impression that they are in a
Q: Plaintiff Conquilla was charged for direct assault
special position to influence the judge.
after respondent Judge B conducted a preliminary
investigation and found probable cause to hold the
Q: Judge Belen was charged with grave abuse of complainant for trial for the said crime.
authority and conduct unbecoming a judge. He Complainant then filed an administrative
filed a complaint for Estafa against complainant’s complaint, alleging that under A.M. No. 05-08-
father. However such was dismissed by the city [2]6-SC, first level court judges no longer have the
prosecutor for lack of probable cause. After the authority to conduct preliminary investigations. Is
dismissal of the complaint, Judge Belen started the respondent judge guilty of gross ignorance of
harassing and threatening the complainant with the law?
filing of several cases against the latter. He also
wrote using his personal stationary, several letters A: Yes. When a law or a rule is basic, judges owe it
addressed to certain local government authorities to their office to simply apply the law. Anything less
and employees, requesting information on is gross ignorance of the law. Judges should exhibit
complainant’s piggery and poultry business and more than just a cursory acquaintance with the
advising them of the alleged violations by the statutes and procedural rules, and should be
diligent in keeping abreast with developments in
complainant of the National Building Code and
law and jurisprudence.
certain environmental laws. An administrative
complaint was filed against the judge for violation
of the New Code of Judicial Conduct on the ground It was therefore incumbent upon respondent judge
to forward the records of the case to the Office of
that by using the letter head indicating his position
the Provincial Prosecutor for preliminary
as the Presiding Judge he was trying to use the
investigation, instead of conducting the preliminary
prestige of his judicial office for his own personal investigation himself upon amendment of the law
interest. Is the judge liable? stripping the power of first level court judges to
conduct preliminary investigation. (Conquilla v.
A: Yes. While the use of the title is an official Bernando, A.M. No. MTJ-09-1737, Feb. 9, 2011)
designation as well as an honor that an incumbent
has earned, a line still has to be drawn based on the Rule 3.02, Canon 3, CJC
circumstances of the use of the appellation. While In every case, a judge shall endeavor diligently
the title can be used for social and other to ascertain the facts and the applicable law
identification purposes, it cannot be used with the unswayed by partisan interests, public opinion or
intent to use the prestige of his judicial office to fear of criticism.
gainfully advance his personal, family or other
pecuniary interests. Nor can the prestige of a
A judge is expected to decide cases only on the
judicial office be used or lent to advance the private
basis of the applicable law on the matter, not on
interests of others, or to convey or permit others to
any other extraneous factors, such as public
convey the impression that they are in a special
opinion, personal convictions and partisan interests.
position to influence the judge. (Canon 2, Rule 2.03
(Lapena, 2009)
of the Code of Judicial Conduct) To do any of these
is to cross into the prohibited field of impropriety.
(Belen v. Belen, A.M. No. RTJ-08-2139, Aug. 9, 2010) Rule 3.03, Canon 3, CJC
A judge shall maintain order and proper
decorum in the court.
Rule 2.04, Canon 2, CJC
A judge should refrain from influencing in any
manner the outcome of litigation or dispute

138
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - SOURCES

Rule 3.04, Canon 3, CJC


A judge should be patient, attentive, and Rule 3.07, Canon 3, CJC
courteous to lawyers, especially the A judge should abstain from making public
inexperienced, to litigants, witnesses, and others comments on any pending or impending case
appearing before the court. and should require similar restraint on the part
A judge should avoid unconsciously falling into of court personnel.
the attitude of mind that the litigants are made
for the courts, instead of the courts for the ADMINISTRATIVE RESPONSIBILITIES
litigants.
Rule 3.08, Canon 3, CJC
Q: How would you characterize the relationship A judge should diligently discharge
between the judge and a lawyer? Explain administrative responsibilities, maintain
professional competence in court management,
A: The Code of Professional Responsibility requires and facilitate the performance of the
lawyers to observe and maintain respect for judicial administrative functions or other judges and
officers (Canon 11,CPR). On the other hand, the court personnel.
Code of Judicial Conduct requires judges to be
patient, attentive and courteous to lawyers (Rule Rule 3.09, Canon 3, CJC
3.03, CJC). In a word, lawyers and judges owe each A judge should organize and supervise the
other mutual respect and courtesy. (1996 Bar court personnel to ensure the prompt and
Question) efficient dispatch of business, and require at all
times the observance of high standards of
Rule 3.05, Canon 3, CJC public service and fidelity.
A judge shall dispose of the court’s business
promptly and decide cases within the required
periods. Rule 3.10, Canon 3, CJC
A judge should take or initiate appropriate
disciplinary measures against lawyers or court
Article VIII, Section 15(1) of the 1987 Constitution personnel for unprofessional conduct of which
mandates lower court judges to decide a case the judge may have become aware.
within the reglementary period of 90 days. The
Code of Judicial Conduct under Rule 3.05 of Canon 3 DISQUALIFICATION
likewise enunciates that judges should administer
justice without delay and directs every judge to Rule 3.12, Canon 3, CJC
dispose of the court’s business promptly within the A judge should take no part in a proceeding
period prescribed by law. Rules prescribing the time where the judge’s impartiality might
within which certain acts must be done are reasonably be questioned.
indispensable to prevent needless delays in the
orderly and speedy disposition of cases. Thus, the These cases include among others, proceedings
90-day period is mandatory. (Re: Cases Submitted where:
for Decision Before Hon. Teresito A. Andoy, A.M. No. a. The judge has personal knowledge of
09-9-163-MTC, May 6, 2010) disputed evidentiary facts concerning the
proceeding;
Note: The Court has repeatedly emphasized the need b. The judge served as executor, administrator,
for judges to resolve their cases with dispatch. Delay guardian, trustee or lawyer in the case or
does not only constitute a serious violation of the matter in controversy, or a former associate of
parties’ constitutional right to speedy disposition of the judge served as counsel during their
cases, it also erodes the faith and confidence of the
association, or the judge or lawyer was a
people in the judiciary, lowers its standards, and brings
material witness therein;
it into disrepute. (Office of the Court Administrator v.
Quilatan, A.M. No. MTJ-09-1745, Sept. 27, 2010)
c. The judge’s ruling in a lower court is the
subject of review;
d. The judge is related by consanguinity or
Rule 3.06, Canon 3, CJC
affinity to a party litigant within the sixth
While a judge may, to promote justice, prevent
degree or to counsel within the fourth degree;
waste of time or clear up some obscurity,
e. The judge knows the judge’s spouse or child
properly intervene in the presentation of
has a financial interest, as heir, legatee,
evidence during the trial, it should always be
creditor, fiduciary, or otherwise, in the subject
borne in mind that undue interference may
matter in;
prevent the proper presentation of the cause or
f. Controversy or in a party to the proceeding,
the ascertainment of truth.
or any other interest that could be substantially

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
139
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

affected by the outcome of the proceeding. concerning the law, the legal system or the
administration of justice and otherwise consult
In every instance, the judge shall indicate the with them on matters concerning the
legal reason for inhibition. administration of justice;
c. Serve on any organization devoted to the
improvement of the law, the legal system or
Q: In a hearing before the Court of Tax Appeals, the administration of justice.
Atty. G was invited to appear as amicus curiae.
One of the Judges hearing the tax case is the father CANON 5, CJC
of Atty. G. The counsel for the respondent moved A JUDGE SHOULD REGULATE EXTRAJUDICIAL
for the inhibition of the judge in view of the ACTIVITIES TO MINIMIZE THE RISK OF CONFLICT
father-son relationship. Is there merit to the WITH JUDICIAL DUTIES.
motion? Decide. (1995, 1997, 1999, 2000, 2002 Bar Questions)

A: There is no merit to the motion. Rule 3.12 of the A judge should regulate his extra-judicial activities
CJC provides that “a judge should take no part so as to minimize the risk of conflict with judicial
where the judge’s impartiality might reasonably be duties.
questioned. Among the instances for the
disqualification of a judge is that he is related to a ADVOCATIONAL, CIVIL AND CHARITABLE
party litigant within the sixth degree or to counsel ACTIVITES
within the fourth degree of consanguinity or
affinity. But this refers to counsel of the parties. As
amicus, he represents no party to the case. There is, Rule 5.01, Canon 5, CJC
therefore, no ground to fear the loss of the judge’s A judge may engage in the following activities
impartiality in this case if his son is appointed provided that they do not interfere with the
amicus curiae. (1996 Bar Question) performance of judicial duties or detract from
dignity of the court:
REMITTAL OF DISQUALIFICATION 1. Write, teach and speak on non-legal subjects;
2. Engage in the arts, sports, and other special
Rule 3.13, Canon 3, CJC recreational activities;
A judge disqualified by the terms of Rule 3.12 3. Participate in civic and charitable activities;
may, instead of withdrawing from the 4. Serve as an officer, director, trustee, or non-
proceeding, disclose on the record the basis of legal advisor of non-profit or non-political,
disqualification. educational, religious, charitable, fraternal, or civic
If, based on such disclosure the parties and organization.
lawyers independently of the judge’s
participation, all agree in writing that the
reason for the inhibition is immaterial or FINANCIAL ACTIVITIES
insubstantial, the judge may then participate
in the proceeding. Rule 5.02, Canon 5, CJC
The agreement signed by the parties, shall be A judge shall refrain from financial and
incorporated in the record of the proceeding. business dealing that tend to reflect adversely
on the court’s impartiality, interfere with the
CANON 4, CJC proper performance of judicial activities or
A JUDGE MAY, WITH DUE REGARD TO increase involvement with lawyers or persons
OFFICIAL DUTIES, ENGAGE IN ACTIVITIES TO likely to come before the court.
IMPROVE THE LAW, THE LEGAL SYSTEM AND A judge should so manage investments and
THE ADMINISTRATION OF JUSTICE. other financial interests as to minimize the
number of cases giving grounds for
disqualifications.
Rule 4.01, Canon 4, CJC
A judge may, to the extent that the following
activities do not impair the performance of Q: What is the rule regarding financial activities?
judicial duties or cast doubt on the judge’s
impartiality: A: A judge shall refrain from financial and business
a. Speak, write, lecture, teach of participate in dealings that tend to:
activities concerning the law, the legal system 1. Reflect adversely on the court’s impartiality;
and the administration of justice; 2. Interfere with the proper performance of
b. Appear at a public hearing before a judicial activities; or
legislative or executive body on matters 3. Increase involvement with lawyers or persons

140
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - SOURCES

likely to come before the court.

A judge should so manage investments and other


financial interests as to minimize the number of
cases giving grounds for disqualification. (Rule 5.02)

Rule 5.03, Canon 5, CJC


Subject to the provisions of the proceeding
rule, a judge may hold and manage
investments but should not serve as officer,
director, manager or advisor, or employee of
any business except as director of a family
business of the judge.

Q: May a judge hold and manage an investment?


A: Subject to the provisions of the preceding rule,
GR: A judge may hold and manage investments
but should not serve as:
1. An officer
2. Director
3. Manager
4. Advisor
5. Employee of any business

XPN: As director of a family business of the judge.


(Rule 5.03)

Rule 5.04, Canon 5, CJC


A judge or any immediate member of the
family shall not accept a gift, bequest, factor
or loan from any one except as may be
allowed by law.

Rule 5.05, Canon 5, CJC


No information acquired in judicial capacity
shall be sued of disclosed by a judge in any
financial dealing or for any other purpose not
related to judicial activities.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
141
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

B. QUALITIES independence from, but not limited to the following:


(New Code of Judicial Conduct) 1. Independence from public officials – the
public laid their confidence on the fact that
1. INDEPENDENCE the official is mentally and morally fit to pass
upon the merits of their varied intentions.
CANON 1, NCJC 2. Independence from government as a whole –
INDEPENDENCE avoid inappropriate connections, as well as
any situation that would give rise to the
JUDICIAL INDEPENDENCE IS A PRE-REQUISITE TO THE
RULE OF LAW AND A FUNDAMENTAL GUARANTEE OF impression of the existence of such
A FAIR TRIAL. inappropriate connections.
A JUDGE SHALL, THEREFORE, UPHOLD AND 3. Independence from family, social, or other
EXEMPLIFY JUDICIAL INDEPENDENCE IN BOTH ITS relationships – Do not sit in litigation where
INDIVIDUAL AND INSTITUTIONAL ASPECTS. a near relative is a part of or counsel; be
independent from judicial colleagues (Sec. 2)
and avoid such actions as may reasonably
Q: What is an independent Judiciary? tend to wake the suspicion that his social or
business relations constitute an element in
A: It is one free from inappropriate outside influence. determining his judicial course.
4. Independence from public opinion – only
Q: What is the importance of judicial independence? guide is the mandate of law.
A: Judicial independence is a pre-requisite to the rule
of law and a fundamental guarantee of a fair trial. A Q: In a civil case submitted for a decision, Judge
judge shall, therefore, uphold and exemplify judicial Corpuz-Macandog acted on it based on a telephone
independence in both its individual and institutional call from a government official telling her to decide
aspects. (Canon 1, NCJC) the case in favor of the defendant, otherwise she will
be removed. The judge explained that she did so
Note: Individual Judicial Independence focuses on under pressure considering that the country was
each particular case and seeks to insure his or her under a revolutionary government at that time. Did
ability to decide cases with autonomy within the the judge commit an act of misconduct?
constraints of the law. It is a “pre-requisite to the rule
of law” and a “fundamental guarantee of fair trial” A: Yes. A judge must decide a case based on its merits.
For this reason, a judge is expected to be fearless in
While Institutional Judicial Independence focuses on the pursuit to render justice, to be unafraid to
the independence of the judiciary as a branch of displease any person, interest or power, and to be
government and protects judges as a class. (In the equipped with a moral fiber strong enough to resist
Matter of the Allegations Contained in the Columns of temptation lurking in her office. Here, it is improper
Mr. Amado P. Macasaet Published in Malaya dated for a judge to have decided a case based only on a
Sept. 18, 19, 20 and 21, 2007) directive from a government official and not on the
judge’s own ascertainment of facts and applicable law.
Note: The treatment of independence as a single (Ramirez v. Corpuz-Macandog, A.M. No. R-351-RTJ,
Canon is the primary difference between the new Sept. 26, 1986)
Canon 1 and the Canon 1 of the 1989 Code.
Q: Mayor C was shot by B, the bodyguard of Mayor
Section 1, Canon 1, NCJC D, inside the court room of Judge Dabalos.
Judges shall exercise the judicial function Consequently, an information with no bail
independently on the basis of their assessment of recommendation was filed against B and D. The
the facts and in accordance with a conscientious murder case was then scheduled for raffle but before
understanding of the law, free of any extraneous the scheduled date, the son of Mayor C together with
influence, inducement, pressure, threat or their counsel, Atty. Libarios, and other sympathizers
interference, direct or indirect, from any quarter staged a rally demanding immediate arrest of the
or for any reason. accused. Judge Dabalos then issued an order without
prior hearing directing the issuance of a warrant of
arrest against the accused. Did the judge commit an
Note: Judges should inspire public confidence in the act of misconduct?
judiciary which can be attained only if judges are
perceived by the public to be fair, honest, competent, A: Yes. The judge should not issue warrant of arrest
principled, dignified and honorable. Accordingly, the without personally evaluating the resolution of the
first duty of judges is to conduct themselves at all prosecutor and its supporting evidence to establish
times in a manner that is beyond reproach. judicial probable cause (Sec.6, Rule 112, Rules of
Crim.Pro). A judge in every case should endeavor
Judges must reject pressure by maintaining diligently to ascertain the facts and the applicable law

142
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

unswayed by partisan or personal interests, public influence the decision-making process of another
opinion or fear of criticism. Here, the judge should not judge, especially one who is of lower rank and over
have allowed himself to be swayed into issuing a whom a judge exercises supervisory authority
warrant of arrest. (Libarios v. Dabalos A.M. No. RTJ-89- constitutes serious misconduct.
286, July 11, 1991)
Note: If the consultation is purely on an academic or
Note: In the performance of their judicial duties, hypothetical basis, and the judge does not surrender
judges must not bow down to public opinion, and his or her independent decision making, there can be
disregard editorials, columns or TV or radio no breach of Sections 2 and 3 of Canon 1 of the New
commentaries on cases pending before them. Code.

The highest degree of independence is required of Sec. 4, Canon 1, NCJC


judges. Once a judge gives in to pressures from Judges shall not allow family, social, or other
whatever source, that judge is deemed to have lost his relationships to influence judicial conduct or
independence and is considered unworthy of the judgment.
position. More than just a breach of the rudiments laid The prestige of judicial office shall not be used or lent
down in the Code of Judicial Conduct, judges who to advance the private interests of others, nor convey
succumb to pressure and, as a result, knowingly ignore or permit others to convey the impression that they
proven facts or misapply the law in rendering a are in a special position to influence the judge.
decision commit corruption and face both
administrative and criminal prosecution under R.A. Q: What is the purpose of Sec. 4, Canon 1 of NCJC?
3019 (Anti-Graft and Corrupt Practices Act) and Art. A: It is intended to ensure that judges are spared from
204, RPC. potential influence of family members by disqualifying
them even before any opportunity for impropriety
presents itself.
Sec. 2, Canon 1, NCJC
In performing judicial duties, Judges shall be Q: What does the term “judge’s family” include?
independent from judicial colleagues in respect of
decisions which the judge is obliged to make A:
independently. 1. Judge’s spouse
2. Son
Q: May a judge consult with staff and court officials? 3. Daughter
4. Son-in-law
A: No. The highest degree of independence is required 5. Daughter-in-law
6. Other relative by consanguinity or affinity
of judges. He must be independent in decision-
within the sixth civil degree, or
making. However, he can ask colleagues purely 7. Person who is a companion or employee of
academic or hypothetical questions but not to the the judge and who lives in the judge’s
extent of asking them to decide a case. Note: It is household (NCJC of the Philippine Judiciary-
every judge’s duty to respect the individual Annotated, February 2007)
independence of fellow judges.
Q: When is a judge’s disqualification to sit in a case
Sec. 3, Canon 1, NCJC mandatory?
Judges shall refrain from influencing in any manner
the outcome of litigation or dispute pending before A: When the judge is related to one of the parties
another court or administrative agency. (Principle of within the sixth degree of consanguinity or affinity.
Sub-judice)
Note: Judges should ensure that their family
members, friends and associates refrain from creating
Note: A judge is prohibited from making public the impression that they are in a position to influence
statements in the media regarding a pending case so the judge. Judges should, therefore, at all times
as not to arouse public opinion for or against a party. remind themselves that they are not in the judiciary to
(2007 Bar Question) give out favors but to dispense justice. They should
also make it clear to the members of their family,
This section affirms that a judge’s restraint from friends and associates that they will neither be
exerting influence over other judicial or quasi-judicial influenced by anyone, nor would they allow anyone to
interfere in their work.
bodies is required for more than just propriety.
Sec. 5, Canon 1, NCJC
Q: Is the influence exerted by a judge required to be Judges shall not only be free from inappropriate
successful in order to constitute misconduct? connections with, and influence by, the executive and
legislative branches of government, but must also
A: No. Any attempt, whether successful or not, to appear to be free therefrom to a reasonable

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
143
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

observer.
Q: Are judges allowed to join religious and
This section affirms the independence of the judiciary professional organizations?
from the two other branches of government.
A: Yes. Section 6, Canon 1 of the NCJC does not
Note: Judicial independence is the reason for leaving require a judge to live a hermit’s life. Judges should
exclusively to the Court the authority to deal with internal
personnel issues, even if the court employees in question socialize and be sensitive to social concerns and
are funded by the local government (Bagatsing v. developments. They may join religious or professional
Herrera, G.R. No. L-34952, July 25, 1975) organizations but their membership in these
organizations should not interfere with their judicial
Q: Is it enough that a judge is free from inappropriate tasks.
connections with executive and legislative branches
of the government? Sec. 7, Canon 1, NCJC
Judges shall encourage and uphold safeguards for
A: No. Judges must also appear to be free from such
to a reasonable observer. the discharge of judicial duties in order to maintain
and enhance the institutional and operational
Q: Several employees of the city government of independence of the judiciary.
Quezon City were appointed and assigned at the
office of the Clerk of Court-MeTC QC to assist the Sec. 8, Canon 1, NCJC
organic staff of the Judiciary. However, the executive Judges shall exhibit and promote high standards of
judge of MeTC QC, in view of a reorganization plan, judicial conduct in order to reinforce public
returned those employees to different offices of QC
confidence in the judiciary, which is fundamental to
government saying that the court is already
overstaffed. The judge also requested the QC Mayor the maintenance of judicial independence.
to re-employ the laid off employees. Did the judge
commit any improper conduct? Note: Sections 7 and 8 of Canon 1 are intended to serve
as catch-all provisions for all other acts that would
A: Yes. An executive judge has no authority to cause guarantee the independence of the judiciary.
the transfer of court employees as the jurisdiction to
do so is lodge solely upon the SC through the Office of There can be no sure guarantee of judicial independence
the Court Administrator. This is so because of the than the character of those appointed to the Bench.
need to maintain judicial independence. Moreover, a
judge shall be free from inappropriate connections Q: Who are good judges?
with and influence from the executive and legislative
branch. Here, the judge did not act independently of A: Good judges are described as those who:
the LGU when she asked the Mayor of QC to re- 1. Have the mastery of the principles of law;
employ the displaced employees instead of informing 2. Discharge their duties in accordance with
the SC through the OCA of the need to streamline her law;
court of its personal needs. (Alfonso v. Alonzo-Legasto, 3. Are permitted to perform the duties of the
A.M. No. MTJ 94-995, Sept. 5, 2002) office undeterred by outside influence; and
4. Are independent and self-respecting human
Sec. 6, Canon 1, NCJC units in a judicial system equal and
Judges shall be independent in relation to society in coordinate with the other two departments
of the government (Borromeo v. Mariano,
general and in relation to the particular parties to a
G.R. No. 16808, Jan. 3, 1921)
dispute which he or she has to adjudicate.
Judges must remain conscious of their character and
Note: It is desirable that the judge should, as far as reputation as judges and should avoid anything which
reasonably possible, refrain from all relations which will indignify their public positions and demean the
would normally tend to arouse suspicion that such institution to which they belong, in whatever
relations warp or bias his judgment, and prevent an atmosphere or environment they may happen to be.
impartial attitude of minds in the administration of
judicial duties. Judges should not fraternize with litigants 2. INTEGRITY
and their counsel; they should make a conscious effort to
avoid them in order to avoid the perception that their CANON 2, NCJC
independence has been compromised. A judge’s act of INTEGRITY
sending his staff to talk with the complainant and show
copies of his draft decisions, and his act of meeting with INTEGRITY IS ESSENTIAL NOT ONLY TO THE PROPER
litigants outside the office premises beyond office hours DISCHARGE OF THE JUDICIAL OFFICE, BUT ALSO TO
violate the standard of judicial conduct required to be THE PERSONAL DEMEANOR OF JUDGES.
observed by members of the bench. (Tan v. Rosete, A.M.
No. MTJ-04-1563, Sept. 8, 2004) A judge should act with integrity and behave with

144
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

integrity at all times so as to promote public Marcos’ conduct of flaunting his mistress is a conduct
confidence in the integrity of the judiciary. unbecoming of a judge. By living with a woman other
than his legal wife, Judge Marcos has demonstrated
Q: Is integrity required only in the discharge of himself to be wanting in integrity, thus, unfit to
judicial duties? remain in office and continue discharging the
functions of a judge. (Re: Complaint of Mrs. Rotilla A.
A: No. Integrity is essential not only to the proper Marcos and Her Children against Judge Ferdinand J.
discharge of the judicial office but also to the personal Marcos, RTC, Br. 20, Cebu City, A.M. No. 97-2-53 RTC,
demeanor of judges. (Canon 2, NCJC) July 6, 2001)
The integrity of the judiciary rests not only upon the
fact that it is able to administer justice but also upon Q: May a judge be admonished for not wearing the
the perception and confidence of the community that judicial robe in the performance of judicial functions?
people who run the system have done justice. Justice A: Yes. A judge must take care not only to remain true
must not be merely done but must also be seen to be to the high ideals of competence and integrity his robe
done. (Panaligan v. Judge Ibay, A.M. No. TJ-06-1972, represents, but also that he wears one in the first
June 21, 2006) place. (Chan v. Majaducan A.M. No. RTJ-02-1697, Oct.
15, 2003)
In the Judiciary, moral integrity is more than a cardinal
virtue, it is a necessity (Pascual v Bonifacio, AM No. Sec. 2, Canon 2,NCJC
RTJ-01-1625, Mar. 10, 2003). Judges must be models The behavior and conduct of judges must reaffirm
of uprightness, fairness and honesty. (Rural Bank of the people’s faith in the integrity of the Judiciary.
Barotac Nuevo, Inc v. Cartagena, A.M. No. 707-MJ, Justice must not merely be done, but must also be
July 21, 1978) seen to be done.

Note: Under the 1989 Code, the values of INTEGRITY and A judge has the duty to not only render a just and
INDEPENDENCE were grouped together, but the New impartial decision, but also render it in such a manner
Code of Judicial Conduct separated them to emphasize as to be free from any suspicion as to its fairness and
the need to maintain a life of PERSONAL and
impartiality, and also as to the judge’s integrity. While
PROFESSIONAL INTEGRITY in order to properly carry out
judges should possess proficiency in law in order that
their judicial functions.
they can completely construe and enforce the law, it
is more important that they should act and behave in
Q: What is the presumption as regards judges?
A: Judges are presumed honest and, are men of such a manner that the parties before them should
integrity, unless proven otherwise. have confidence in their impartiality. (Sibayan-Joaquin
v. Javellana, A.M. No. RTJ-00-1601, Nov. 13, 2001)
Section 1, Canon 2, NCJC
Judges shall ensure that not only is their conduct Q: Justice Mariano Del Castillo was charged with
above reproach, but that it is perceived to be so plagiarism, twisting of cited materials, and gross
in the view of a reasonable observer. neglect in connection with the decision he wrote for
the court in G.R. No. 162230, entitled Vinuya v.
Q: Is the maintenance of the court’s integrity the Romulo. Petitioners, members of the Malaya Lolas
sole duty of the judge? Organization, seek reconsideration of the decision of
A: No, it is also the duty of court personnel to see to it the Court dated October 12, 2010 that dismissed the
that its integrity is unblemished. said complaint. Petitioners claim that the Court has
by its decision legalized or approved of the
Note: A judge’s personal behavior, both in the commission of plagiarism in the Philippines. Should
performance of his duties and in his daily life, must be the respondent justice be held guilty for plagiarism?
free from any appearance of impropriety as to be beyond
reproach. A: No. A judge writing to resolve a dispute, whether
trial or appellate, is exempted from a charge of
Q: Judge Ferdinand Marcos of RTC Cebu is married to plagiarism even if ideas, words or phrases from a law
Rotilla with whom he begot 2 children. However, review article, novel thoughts published in a legal
during a Fun Run sponsored by Philippine Judges periodical or language from a party’s brief are used
Association (PJA), Judge Marcos appeared with a without giving attribution. Thus judges are free to use
woman other than his wife whom he even whatever sources they deem appropriate to resolve
introduced to Justice Davide as his living partner. the matter before them, without fear of reprisal. This
Should the judge be disciplined?’ exemption applies to judicial writings intended to
decide cases for two reasons: the judge is not writing
A: Yes. The Code of Judicial Conduct requires a judge a literary work and, more importantly, the purpose of
to be the embodiment of integrity, and to avoid the writing is to resolve a dispute. As a result, judges
appearance of impropriety in all activities. Here, Judge adjudicating cases are not subject to a claim of legal

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
145
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UST GOLDEN NOTES 2012

plagiarism. also as part of the judiciary. In performing their duties


and responsibilities, court personnel serve as sentinels
Although as a rule, practicing lawyers receive of justice, that any act of impropriety they commit
compensation for every pleading or paper they file in immeasurably affects the honor and dignity of the
court or for every opinion they render to clients, judiciary and the people's confidence in the judiciary.
lawyers also need to strive for technical accuracy in They are, therefore, expected to act and behave in a
their writings. They should not be exposed to charges manner that should uphold the honor and dignity of
of plagiarism in what they write so long as they do not the judiciary, if only to maintain the people’s
depart, as officers of the court, from the objective of confidence in the judiciary. (Guerrero v. Ong, A.M. No.
assisting the Court in the administration of justice. (In P-09-2676, Dec. 16, 2009)
matter of the Charges of Plagiarism etc.. Against
Associate Justice Mariano C. Del Castillo, A.M. No. 10- Q: Can a judge dismiss court personnel?
7-17-SC, February 8, 2011)
A: No. The power to dismiss a court employee is
Sec. 3, Canon 2, NCJC vested in the Supreme Court. (Dailay-Papa v. Almora,
Judges should take or initiate appropriate A.M. Nos. 543-MC and 1525-MJ, Dec. 19, 1981)
disciplinary measures against lawyers or court
personnel for unprofessional conduct of which the Q: While Judge Tuparin was in his chambers dictating
judge may have become aware. 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
Q: Can a judge punish lawyers and court personnel argument. Tuparin came out of his chambers and
for their misbehavior? after identifying the lawyers involved in the
commotion promptly declared them in contempt of
A: Yes. A judge may summarily punish any person court. Was the action of Judge Tuparin proper?
including lawyers and court personnel, for direct A: No. The act committed by the two lawyers was
contempt for misbehavior committed in the presence indirect contempt violative of the rule punishing “any
of or so near a court or a judge as to obstruct or improper conduct tending directly or indirectly, to
interrupt the proceedings before the same. (Rule 71, impede, obstruct, or degrade the administration of
Revised Rules of Court) justice”, since the judge was then engaged in dictating
an order before the morning session was called. The
He may also punish any person for indirect contempt act of the two lawyers constituted obstruction of the
after appropriate charge and hearing, for acts administration of justice, which was indirect
enumerated under Section 3, Rule 71 of the Rules of contempt. Accordingly, they could only be punished
Court. after notice and hearing.

3. IMPARTIALITY
Q: What is the judge’s duty with respect to court
employees?
CANON 3, NCJC
A: A judge should constantly keep a watchful eye on IMPARTIALITY
the conduct of his employees. His constant scrutiny of
the behavior of his employees would deter any abuse IMPARTIALITY IS ESSENTIAL TO THE PROPER
on the part of the latter in the exercise of their duties. DISCHARGE OF THE JUDICIAL OFFICE.
The slightest breach of duty by and the slightest IT APPLIES NOT ONLY TO THE DECISION ITSELF BUT
irregularity in the conduct of court officers and ALSO TO THE PROCESS BY WHICH THE DECISION IS
employees detract from the dignity of the courts and MADE.
erode the faith of the people in the judiciary.
(Buenaventura v. Benedicto, A.C. No. 137-5, Mar. 27, Q: Is impartiality applicable only to the decision
rendered by the judge?
1971)
A: No. Impartiality is essential to the proper discharge
Note: Judges should not be lenient in the administrative
of the judicial office. It applies not only to the decision
supervision of employees. As an administrator, the judge
must ensure that all court personnel perform efficiently
itself but also to the process by which the decision is
and promptly in the administration of justice. (Ramirez v. made. (Canon 3, NCJC)
Corpuz-Macandog, A.M. No. R-351-RTJ, Sept. 26, 1986)
Q: What is the principle of cold neutrality of an
impartial judge?
All court personnel, from the lowliest employees to
the clerks of court, are involved in the dispensation of A: A judge should not only render just, correct, and
justice like judges and justices, and parties seeking impartial decision but should do so in a manner free
redress from the courts for grievances look upon them from suspicion as to his fairness, impartiality and

146
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

integrity. This is an indispensable requisite of due jurisdiction when he issued the TRO for such should
process. (Rallos v. Gako, A.M. No. RTJ-98-1484, Mar. only be enforceable within his territorial jurisdiction,
17, 2000) such error may not necessarily warrant inhibition at
most it is correctible by certiorari. (Dimo Realty &
Note: A judge has both: the duty of rendering a just Development, Inc. v. Dimaculangan, G.R. No. 130991,
decision; and, doing it in a manner completely free from Mar. 11, 2004).
suspicion as to his fairness and as to his integrity.
Q: What should the complainant show in order to
Sec. 1, Canon 3,NCJC sustain the charge of bias on the part of the judge?
Judges shall perform their judicial duties without
favor, bias or prejudice. A: The complainant must show that the resulting
opinion of the judge is based on extra-judicial source.
It is the duty of all judges not only to be impartial but
also to appear impartial. Q: What is the extra-judicial source rule?

A: It means that the decision is based on some


influence other than the facts and law presented in
the courtroom.
Q: Who has the burden of proof to show bias or
prejudice? Q: A motion to inhibit Judge Dicdican was filed on the
ground of partiality and bias on his part for allegedly
A: The burden of proof lies with the complainant to
denying a motion to hear affirmative defenses
show that there is bias sufficient to be a ground for
thereby denying the movant the opportunity to be
inhibition.
heard. Should the judge be inhibited?
Note: There is Bias or Prejudice when the resulting
A: No. Judge Dicdican cannot be charged with bias and
opinion is based upon an extrajudicial source: that is,
some influence other than the facts and law presented in
partiality, merely on the basis of his decision not to
the courtroom. grant a motion for a preliminary hearing. Allegations
and perceptions of bias from the mere tenor and
language of a judge are insufficient to show pre-
Q: What is the degree of proof required to prove bias
and prejudice on the part of the judge? judgment. Moreover, as long as opinions formed in
the course of judicial proceedings are based on the
A: The complainant must prove the same by clear and evidence presented and the conduct observed by the
convincing evidence since allegations of bias are quite judge, such opinion – even if later found to be
serious. Mere allegations are not sufficient to erroneous on appeal or made with grave abuse of
constitute a violation of the rule. discretion on certiorari – will not necessarily prove
personal bias or prejudice on the part of the judge. To
Q: A filed an action for specific performance with the allow inhibition for such reason would open
RTC of Quezon City, presided by Judge Santiago, floodgates to abuse. Here, the denial of the motion to
against X Corporation asking for the delivery of the hear affirmative defenses is based on the Rules of
title of 1 subdivision lot in Batangas which lot was Court which provides that preliminary hearing of
given to him in payment for his services as geodetic defenses is discretionary, hence the judge cannot be
surveyor. Meanwhile X Corporation filed with MTC of charged with partiality on the basis of such decision.
Batangas an action for an unlawful detainer against (Gochan v. Gochan, G.R. No. 143089, Feb. 27, 2003)
certain lot buyers on motion of A. Judge Santiago
issued TRO against X Corporation and Judge of MTC Sec. 2, Canon 3, NCJC
and enjoining the latter from proceeding with the Judges shall ensure that his or her conduct, both in
case. X Corporation now filed a motion to inhibit the and out of court, maintains and enhances the
judge on the ground that he arbitrarily issued such confidence of the public, the legal profession and
TRO, but without presenting evidence showing litigants in the impartiality of the judge and of the
partiality on the part of the judge. Should the judge Judiciary.
be inhibited?
No judge should handle a case in which he might be
A. No. For a judge to be inhibited, allegations of
perceived, rightly or wrongly, to be susceptible to bias
partiality and pre-judgment must be proven by clear
and impartiality. His judgment must not be tainted by
and convincing evidence. Here, mere allegation that
even the slightest suspicion of improbity or
the judge arbitrarily issued the TRO without
preconceived interest. The rule is aimed at preserving
presenting evidence showing bias on his part is not
at all times the faith and confidence in courts of justice
sufficient. While Judge Santiago acted in excess of his
by any party to the litigation. (Urbanes, Jr. v. C.A., G.R.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
147
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

No. 117964, Mar. 28, 2001) waste of time. Judges, however, should be extremely
careful so as not to be misunderstood, and they must
Q: When is there undue interference by the judge? refrain from making comments, remarks or
suggestions that could lead to even the slightest
A: There is undue interference where the judge’s suspicion that he is thereby unduly assisting a party or
participation in the conduct of the trial tends to build counsel. (Paco v. Quilala, A.M. No. RTJ-02-1699, Oct.
or to bolster a case of one of the parties. (Ty v. Banco 15, 2003)
Filipino Savings and Mortgage Bank, CA and Hon. Tac-
an G.R. Nos. 149797-98, Feb. 13, 2004) Note: In disposing of a criminal case, a judge should avoid
appearing like an advocate for either party. It is also
Q: Banco Filipino filed a complaint for reconveyance improper for the judge to push actively for amicable
of property against Ty and Tala Realty Services Corp., settlement against the wishes of the complainant. A
which complaint was dismissed on the ground of lack judge’s unwelcome persistence makes the judge
of jurisdiction. However, on motion for vulnerable to suspicions of favoritism. (Montemayor v.
reconsideration filed by Banco Filipino, the case was Bermejo, Jr.,A.M. No. MTJ-04-1535, Mar. 12, 2004)
reinstated and the judge even relieved Banco Filipino
from its obligation to prove service of its motion for Sec. 3, Canon 3,NCJC
reconsideration and presumed actual receipt of the Judges shall, so far as is reasonable, so conduct
same by the other party. Thereafter, the judge themselves as to minimize the occasions on which
directed the respondents to present certain it will be necessary for them to be disqualified from
documents within a certain period of time despite hearing or deciding cases.
failure of Banco Filipino to tender the costs for such
production and inspection. Tala then filed a motion Q: What is meant by “duty to sit?”
for inhibition but the same was denied by the judge.
Did the judge commit any improper conduct? A: It means that a judge must ensure that he will not
be unnecessarily disqualified from a case.
A: Yes. The rule is that a judge may not be legally
prohibited from sitting in litigation, but when Q: May a judge inhibit himself as he pleases?
circumstances appear that will induce doubt to his
honest actuations and probity in favor of either party, A: No. A decision to inhibit must be based on good,
or incite such state of mind; he should conduct a sound or ethical grounds, or for just and valid reasons.
careful self-examination. He should exercise his It is not enough that a party cast some tenuous
discretion in a way that the people's faith in the courts allegations of partiality at the judge.
of justice is not impaired. The better course for the
judge under such circumstances is to disqualify Q: What is the Rule of Necessity?
himself. That way, he avoids being misunderstood; his
reputation for probity and objectivity is preserved. A: It states that a judge is not disqualified to sit in a
What is more important, the ideal of impartial case where there is no other judge available to hear
administration of justice is lived up to. Here, the judge, and decide the case. Furthermore, when all judges will
by assuming actual receipt by the respondents of be disqualified as a result, it will not be permitted to
proof of service of the motion for reconsideration, destroy the only tribunal with the power in the
absolving Banco Filipino from paying the expenses of premises. The doctrine operates on the principle that
production of documents, and suggesting to Banco a basic judge is better than no judge at all. It is the
Filipino what evidence to present to prove its case, duty of the disqualified judge to hear and decide the
transgressed the boundaries of impartiality. Thus, the case regardless of objections or disagreements.
judge should inhibit himself. (Ty v. Banco Filipino (Parayno v. Meneses, G.R. No. 112684, Apr. 26, 1994)
Savings and Mortgage Bank, et. al., G.R. Nos. 149797-
98, Feb. 13, 2004) Sec. 4, Canon 3, NCJC
Judges shall not knowingly, while a proceeding is
Q: Can a trial judge ask questions from witnesses? before or could come before them, make any
comment that might reasonably be expected to
A: It is within the sound discretion of the trial judge to affect the outcome of such proceeding or impair
ask questions from witnesses, if only to clarify what the manifest fairness of the process.
may appear to him to be vague points in the narration. Nor shall judges make any comment in public or
Questions designed to avoid obscurity in the otherwise that might affect the fair trial of any
testimony or to elicit additional relevant evidence are person or issue.
not improper. The judge may aptly need to intervene
in the presentation of evidence in order to expedite A judge’s language, both written and spoken, must be
the resolution of a case and prevent unnecessary guarded and measured, lest the best of intentions be
misconstrued. (Fecundo v. Berjamen, G.R. No. 88105,

148
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
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ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

Dec. 18, 1989) written legal articles on the law involved in the
case. (Chavez v. PEA, G.R. No. 133250, May 6,
Q: What is the reason for the rule? 2003)

A: This Section warns judges against making any Q: Are judges absolutely prohibited from making
comment that might reasonably be expected to affect comments?
the outcome of the proceedings before them; or those A: No. Not all comments are impermissible. Judges
that the judge may later decide but not yet before may express their open-mindedness regarding a
him; or "impair the manifest fairness of the process.” pending issue in cases where the judges’ comments do
not necessarily favor one side over the other.
Q: A murder case was filed against Martinez, Duclan
and Bayongan. As the first two were not Note: However, judges should avoid side remarks,
apprehended, trial proceeded with respect to hasty conclusions, loose statements or gratuitous
Bayongan. Thereafter, Judge Girronellam rendered a utterances that suggest they are prejudging a case.
decision acquitting Bayongan saying that he had no Judges should be aware that the media might consider
participation in the commission of the crime as the them a good and credible source of opinion or ideas,
crime was committed by Martinez. Subsequent to and therefore should refrain from making any
the acquittal, Martinez surrendered and was comment on a pending case. Not only is there danger
arraigned before the same court presided by Judge of being misquoted, but also of compromising the
Girronella. A Motion for inhibition was then filed on rights of the litigants in the case.
the ground of partiality saying that the judge has
already formed an opinion as to who committed the Sec. 5, Canon 3, NCJC
crime. Should the judge be inhibited? Judges shall disqualify themselves from
participating in any proceeding in which they are
A: Yes. The judge’s statement in the decision unable to decide the matter impartially or in which
acquitting Bayongan to the effect that the crime was it may appear to a reasonable observer that they
committed by Martinez renders it impossible for the are unable to decide the matter impartially.
judge to be free from suspicion that in deciding the
case he will be biased. (Martinez v. Gironella, G.R. No.
Q: What does the phrase “any proceedings” include?
L-37635, July 22, 1975)
A: Such proceedings include, but are not limited to
Q: Justice Antonio Carpio penned a decision instances where:
regarding the invalidity of the amended joint venture The judge has actual bias or prejudice
agreement between Public Estates Authority (PEA) concerning a party or personal knowledge of
and Amari Coastal Bay Development Corporation disputed evidentiary facts concerning the
saying that the agreement is unconstitutional as PEA proceedings (Sec. 5(a), Canon 3, NCJC);
cannot transfer ownership of a reclaimed land to a
private corporation. Amari now filed a motion to Note: The rule also requires disqualification if a
inhibit Justice Carpio on the ground of bias and pre- judge has outside knowledge of disputed facts. To
judgment allegedly because he had previously wrote be a ground for disqualification, the knowledge
in his column in Manila Times a statement to the must be obtained extra-judicially like out-of-court
effect that the law requires public bidding of observations.
reclaimed projects and that the PEA-Amari contract is
flawed for it was not bid by the PEA. Decide on the This prohibition also disallows extra-judicial
motion. research on the internet.

A: The motion to inhibit must be denied for three Litigants are entitled to a judge who will
reasons: decide on the merits of the facts presented.
1. The motion to inhibit must be denied if filed
after a member of the court had already The judge previously served as a lawyer or was
rendered his opinion on the merits of the case. a material witness in the matter in controversy
Here,the motion was filed after Justice Carpio (Sec. 5(b), Canon 3, CJC);
had already rendered a decision;
2. The ratio decidendi of the decision was not Note: A judge may be disqualified if he was
based on his statements on the column. Here, formerly associated with one of the parties or
their counsel.
the decision was based on constitutional
grounds and not in the absence of public
A judge who previously notarized the
bidding; and
affidavit of a person to be presented as a
3. Judges and justices are not disqualified from
witness in a case before him shall be
participating in a case just because they have

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
149
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

disqualified from proceeding with the case. independent. (Garcia v. De La Pena. A.M.
No.MTJ-92-637, Feb. 9, 1994)
The judge, or a member of his or her family,
has an economic interest in the outcome of the The judge knows that his or her spouse or child
matter in controversy (Sec. 5(c), Canon 3, has a financial interest as heir, legatee,
NCJC); creditor, fiduciary or otherwise, in the subject
matter in controversy or in a party to the
A municipal judge who filed complaints in his proceeding, or any other interest that could be
own court for robbery and malicious substantially affected by the outcome of the
mischief against a party for the purpose of proceedings. (Sec. (g), Canon 3, NCJC)
protecting the property interests of the
judge’s co-heirs, and then issued warrants of Note: This rule is intended to ensure judges’
arrest against the party, was found guilty of impartiality by preventing situations in which a
serious misconduct and ordered dismissed judge must consider familial interests in the
conflicts before him or her. If the public is aware
from the bench before he was able to rescue
of a family member’s financial interest, the public
himself (Oktubre v. Velasco A.M. No. MTJ-
may question the judge’s impartiality
02-02-1444, July 20, 2004)
Q: When Atty. Rojas was appointed as a judge, he
The judge served as executor, administrator, inherited a criminal case in which he acted as
guardian, trustee or lawyer in the case or prosecutor. He explained that his delay in inhibiting
matter in controversy, or a former associate of himself from presiding on that case was because it
the judge served as counsel during their was only after the belated transcription of the
association, or the judge or lawyer was a stenographic notes that he remembered that he
material witness therein (Sec. 5(d), Canon 3, handled that case. He also says that the counsels did
NCJC); not object and he never held “full-blown” hearings
anyway. Should Judge Rojas be reprimanded?
Note: The restriction extends to judges who
served as lawyers in closely related cases. A: Yes. The Rules of Court prevent judges from trying
cases where they acted as counsel “without” the
The judge’s ruling in a lower court is the subject of consent of the parties. This prevents not only a
review (Sec. 5(e), Canon 3, NCJC); conflict of interest but also the appearance of
impropriety on the part of the judge. Here, the judge
An associate justice of the Court of Appeals should not have taken part in the proceeding as his
refused to inhibit himself from reviewing the impartiality will naturally be questioned considering
decision in a case which he had partially that he previously handled the case as prosecutor. He
should administer justice impartially & without delay.
heard as a trial judge prior to his promotion,
The prohibition does not only cover hearings but all
on the ground that the decision was not judicial acts (e.g. orders, resolutions) some of which,
written by him. The Supreme Court upheld Judge Rojas did make. (Re: Inhibition of Judge Eddie R.
his refusal, but nevertheless commented Rojas, A.M. No. 98-6-185-RTC, Oct. 30, 1998)
that he "should have been more prudent
and circumspect and declined to take on the
Q: Judge Mijares was charged with grave misconduct
case owing to his earlier involvement in the
for taking cognizance and deciding a special
case”. The Court has held that a judge
proceeding for correction of entry in the record of
should not handle a case in which he might her grandson, notwithstanding such relationship. It
be perceived, rightly or wrongly, to be was also alleged that the judge dispensed with the
susceptible to bias and prejudice. (Sandoval publication requirement in said proceeding. In her
v. CA, G.R. No. 106657, Aug. 1, 1996) answer, Judge Mijares contended that the
prohibition provided for under the Code does not
The judge is related by consanguinity
th
or affinity apply to special proceeding which is not controversial
to a party litigant within the 6 civil degree or
th
to counsel within the 4 civil degree (Sec. 5(f), in nature and since she does not have any pecuniary
Canon 3, NCJC); or interest in the case. Is the contention correct?
th
Note: A preliminary injunction issued by a judge A: No. A judge who is related to a party within the 6
in favor of his sister before inhibiting himself was degree of consanguinity is mandated to inhibit himself
found reprehensible. (Hurtado v. Judajena, G.R. from hearing the case “notwithstanding lack of
No. L-40603, July 13, 1978) pecuniary interest in the case”. This is so because lack
of such interest does not mean that she can already be
No judge should preside in a case which he is free from bias and partiality in resolving the case by
not wholly free, disinterested, impartial and reason of her close blood relationship as evident from

150
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

the fact that here, she waived the publication 2. Special consideration – He must reflect on the
requirement in order to save the petitioner from the probability that the losing party will nurture at
payment of publication fee. Thus, the judge’s taking the back of his mind that he tilted the scale of
cognizance of the petition is improper. (Villaluz v. justice
Mijares, A.M. No. RTJ -98-1402 288, Apr. 3, 1998)
Q: What are the distinctions between
Q: What degree of compliance is required by the rule
disqualification and inhibition?
under Canon 3, Section 5 of NCJC?
A:
A: Strict compliance of the rule is required so as to
DISQUALIFICATION INHIBITION
protect the rights of the parties and assure an
There are specific grounds The rule only provides
impartial administration of justice, as well as to
enumerated under the rules broad basis for
prevent erosion of the people's confidence in the
of court for disqualification. inhibition.
judiciary. (Marfil v. Cuachon, A.M. No. 2360-MJ, Aug.
The judge has no discretion; The rule leaves the
31, 1981)
mandatory matter to the judge’s
sound discretion
Q: Are the grounds for disqualification of a judge
enumerated under Sec. 5 of Canon 3 exclusive? Note: The second paragraph of Section 1, Rule 137 does
not give the judge the unfettered discretion to decide
A: No. The provision provides that it is not limited to
whether or not he will desist from hearing a case. The
the grounds therein provided.
inhibition must be for just and valid causes. The mere
imputation of bias or partiality is not enough ground for a
Sec. 6, Canon 3, NCJC judge to inhibit, especially when the same is without any
A judge disqualified as stated above may, instead basis. (People v. Kho G.R. No. 139381, Apr. 20, 2001)
of withdrawing from the proceeding, disclose on
the records the basis of disqualification. Q: What are the grounds for mandatory
If, based on such disclosure, the parties and disqualification?
lawyers, independently of the judge’s participation,
all agree in writing that the reason for inhibition is A:
immaterial or unsubstantial, the judge may then 1. When he, or his wife, or child is pecuniarily
participate in the proceeding. interested as heir, legatee, creditor, or
The agreement, signed by all parties and lawyers, otherwise;
shall be incorporated in the record of the 2. When he is related to either party within the
th
proceedings. 6 degree of consanguinity or affinity or to
th
counsel within the 4 civil degree;
3. When he has been an executor, guardian,
Q: What are the types of disqualification? administrator, trustee, or counsel; or
4. When he has presided in an inferior court
A: where his ruling or decision is subject to
1. Mandatory or compulsory disqualification review, without the written consent of the
2. Voluntary disqualification or inhibition parties. (Rule 137, RRC)

Q: In a verified complaint, Kathy said that Judge


Q: What is inhibition? Florante decided a petition for correction of entry
involving the birth record of her grandson, Joshua,
A: An act when a judge personally prevents himself
who happened to be the child of Judge Florante’s
from taking cognizance of the case. This is made
through a written petition to inhibit which shall state daughter, Pilita. Judge Florante insisted that he
the grounds for the same. The explanation of the committed no wrong since the proceeding was non-
judge whether or not to take cognizance of the case adversarial and since it merely sought to correct an
must also be in writing. erroneous entry in the child’s birth certificate. Is
Judge Florante liable?
If the judge inhibits himself from taking cognizance of
the case, the same cannot be appealed. However, the A: Yes, because Judge Florante breached the rule on
judge should not immediately inhibit himself. He mandatory disqualification. (2011 Bar Question)
should make a careful examination by first taking into
consideration the following: Q: When may a judge voluntarily inhibit himself?
1. General consideration – whether or not
people’s faith in the judicial system will be A: The judge may in his discretion inhibit himself, for
impaired just and valid reasons other than the grounds for

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
151
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

mandatory disqualification. The rule on voluntary presiding judge appears before him as counsel for one
disqualification or inhibition is discretionary upon the of the parties to a case. ‘Utang na loob’, per se, should
judge on the basis of his conscience. not be a hindrance to the administration of justice.
Nor should recognition of such value in Philippine
This leaves the discretion to the judge to decide for society prevent the performance of one’s duties as
himself questions as to whether he will desist from judge.” However, in order to avoid any suspicion of
sitting in a case for other just and valid reasons with partiality, it is better for the judge to voluntarily inhibit
only his conscience to guide him, unless he cannot himself. (Query of Executive Judge Estrella T. Estrada,
discern for himself his inability to meet the test of cold Regional Trial Court of Malolos, Bulacan, on the
neutrality required of him, in which event the Conflicting Views of Regional Trial Court – Judges
appellate court will see to it that he disqualifies Masadao and Elizaga Re: Criminal Case No. 4954-M,
himself. A.M. No. 87-9-3918-RTC, Oct. 26, 1987)

A decision to disqualify himself is not conclusive and


his competency may be determined on application for Q: Does a judge’s active participation during the
mandamus to compel him to act. Judge’s decision to hearing of the writ of preliminary injunction amount
continue hearing a case in which he is not legally to an evident display of his bias and partiality in favor
prohibited from trying notwithstanding challenge to of the private respondents and should he therefore
his objectivity may not constitute reversible error. disqualify himself from further hearing the civil case?

Q: Does the filing of an administrative case against a A: No. Mere intervention of the respondent judge
judge disqualify him from sitting in a case? during the hearing of preliminary injunction by simply
asking the materiality of a question directed upon the
A: No, it does not automatically disqualify him. It must witness and ruling against the petitioners are within
be shown that there are other acts or conducts by the the prerogatives and powers of the judge. The fact
judge which constitute a ground for his that the judge asked questions in the course of the
disqualification. trial does not make him a biased judge. (Hizon v.
DelaFuente, G.R. No. 152328, Mar. 23, 2004).
Q: May mandamus lie to compel a judge to inhibit
himself? Q: What is remittal of disqualification?

A: Yes, a judge may by mandamus be compelled to act A: A judge disqualified may, instead of withdrawing
on questions regarding his disqualification from sitting from the proceeding, disclose in the records the basis
in a case. of disqualification. If, based on such disclosure, the
parties and lawyers, independently of the judge’s
Q: When should the petition to disqualify be filed? participation, all agree in writing that the reason for
the inhibition is immaterial or insubstantial; the judge
A: The petition to disqualify a judge must be filed may then participate in the proceeding. The
before rendition of the judgment, and cannot be agreement, signed by all parties and lawyers, shall be
raised on appeal. Otherwise, the parties are deemed incorporated in the record of the proceedings. (Sec. 6,
to have waived any objection regarding the Canon 3, NCJC)
impartiality of the judge.
Q: What are the requirements for a judge to
Q: A judge rendered a decision in a criminal case continue hearing a case despite the existence of
finding the accused guilty of estafa. Counsel for the reasons for disqualifications?
accused filed a motion for reconsideration which was
submitted without arguments. Later, another lawyer A:
entered his appearance for the accused. The judge 1. The bona fide disclosure to the parties in
issued an order inhibiting himself from further sitting litigation; and
in the case because the latter lawyer had been 2. The express acceptance by all the parties
among those who recommended him to the bench. of the cited reason as not material or
Can the judge’s voluntary inhibition be sustained? substantial.

A: The judge may not voluntarily inhibit himself by the 4. PROPRIETY


mere fact that a lawyer recommended him to the
CANON 4, NCJC
bench. In fact, the appearance of said lawyer is a test
as to whether the judge can act independently and PROPRIETY
courageously in deciding the case according to his
conscience. “Inhibition is not allowed at every instance PROPRIETY AND THE APPEARANCE OF PROPRIETY
that a friend, classmate, associate or patron of a ARE ESSENTIAL TO THE PERFORMANCE OF ALL THE

152
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

ACTIVITIES OF A JUDGE. strongly warns against. (Liwanag v. Lustre, A.M.


No. MTJ-98-1168, Apr. 21 1999)
Note: The judge’s own perception of motives is not 3. Joking remark made by a judge to a litigant
relevant when considering appearance of impropriety. suggesting that the litigant prove he harbored
no ill feelings towards the judge. (Co v. Plata,
Sec. 1, Canon 4, NCJC A.M. No. MTJ-03-1501, Mar. 14, 2005)
Judges shall avoid impropriety and the appearance
of impropriety in all of their activities.
Q: During the hearing of an election protest filed by
the brother of Judge Dojillo, the latter sat beside the
Note: The public holds judges to higher standards of
counsel of his brother allegedly to give moral
integrity and ethical conduct than lawyers and other
persons not invested with public trust. support. Did the judge commit any improper
conduct?
Q: What does the Code prohibit?
A: Yes. The judge violated the rule on impropriety
A: It prohibits not only actual impropriety but even the under the Sec 1, Canon 4, NCJC for even if he did not
mere appearance of impropriety. intend to use his position as a judge to influence the
outcome of his brother’s election protest, it cannot be
Q: When can one say that there is an appearance of denied that his presence in the courtroom during the
impropriety? hearing of his brother’s case would immediately give
cause for the community to suspect that his being a
A: When the conduct of a judge would create in colleague in the judiciary would influence the judge
reasonable minds a perception that the judge’s ability trying the case to favor his brother. (Vidal v. Judge
to carry out judicial responsibilities with integrity, Dojillo Jr., A.M. No. MTJ-05-1591, July 14, 2005)
impartiality and competence is impaired.
Note: The Judge’s act in riding in defendant’s car
Note: Acts done by a judge which are not illegal may still deserves the stern probation of the Court. By such act, he
constitute a violation of this rule. openly exposed himself and the office he holds to
suspicion, thus impairing the trust and faith of the people
in the administration of justice. A judge’s official conduct
Q: After the prosecution cross-examined Sheila, a
should be free from the appearance of impropriety and
witness for the accused, Judge Pedro asked her ten his personal conduct and behavior should be beyond
additional questions that were so intense, they made reproach. (Spouses Cabreana v. Avelino A.M. No. 1733
her cry. One question forced Sheila to admit that her CFI, Sept. 30, 1981)
mother was living with another man, a fact that
weighed against the accused, This prompted the Q: Judge Duque of the RTC was charged with
latter’s counsel to move to move to expunge the Impropriety, Corruption and Gross Misconduct.
judge’s questions for building on the prosecution’s Reyes alleged that she was a party-in-intervention in
case. Judge Pedro denied the motion, insisting that Land Registration filed by the Philippine Savings Bank
bolstering a party’s case is incidental to the court’s against the spouses Choi. In a Decision, Judge Duque
desire to be clarified. Did Judge Pedro commit an granted the motion for the issuance of a writ of
impropriety? possession in favor of the bank. Complainant Reyes
filed an “Urgent Petition for Lifting and Setting Aside
A: Yes, because he effectively deprived the defense of of Writ of Possession and Quashal of Notice to
its right to due process when he acted both as Vacate” claiming that she bought the subject
prosecutor and judge. (2011 Bar Question) property from the spouses Choi and that she was in
actual possession of the property with full knowledge
Q: Cite examples of acts of a judge which are not of the bank. At the hearing, Atty. Ubana, the lawyer
illegal but will constitute a violation of this rule. of Reyes, introduced her to Judge Duque who
allegedly gave Reyes 30 days to settle matters with
A: the bank. She was unable to re-negotiate with the
bank. Reyes then allegedly received a phone call
1. The act of a judge of hearing cases on a day
from Judge Duque and he instructed Reyes to go “to
when he is supposed to be on official leave. (Re:
his house and bring some money in order that he can
Anonymous complaint Against Judge
EdmundoAcuña, A.M. No. RTJ-04-1891, July 28, deny the pending motion to break open.” When she
2005) already had the money, she went to his house. The
2. Photograph showing the judge and a son of Judge Duque opened the gate. At his house,
subordinate coming out of a hotel together even Judge Duque demanded money from her.
if there was no clear evidence of sexual congress
between them is enough to give rise to the Another incident happened, whereby Reyes went to
appearance of impropriety that the code the house of Judge Duque for the payment of a sum

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
153
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

of money. Judge Duque allegedly scolded her for not behavior outside his sala and as a private individual.
bringing the whole amount. Judge Duque then locked His conduct must be able to withstand the most
the main door of his house and asked Reyes to step searching public scrutiny, for the ethical principles and
into his office. Judge Duque held the waist of Reyes, sense of propriety of a judge are essential to the
embraced and kissed her. Reyes tried to struggle and preservation of the people’s faith in the judicial
free herself. Judge Duque raised her skirt, opened her system lest public confidence in the judiciary would be
blouse and sucked her breasts. He touched her eroded by the incompetent, irresponsible and
private parts and attempted to have sexual negligent conduct of judges. (Bayaca v. Judge Ramos,
intercourse with Reyes. Reyes shouted for help but A.M. No. MTJ-07-1676, Jan. 29, 2009)
the TV was too loud. As a desperate move, Reyes
appealed to Judge Duque saying: “kung gusto mo, Q: What is dignified conduct?
huwag dito. Sa hotel, sasama ako sayo.” Judge
Duque suddenly stopped his sexual advances and A: Dignified conduct is best described as conduct
ordered Reyes to fix her hair. Is the respondent judge befitting men and women possessed of temperance
guilty of impropriety and gross misconduct? and respect for the law and for others.

A: Yes. Judges should avoid impropriety and the Q: Judge Gonzales together with his two male friends
appearance of impropriety in all of their activities. went to the house of A and asked the two girls who
Judges should conduct themselves in a way that is were then boarding in A’s house to accompany his
consistent with the dignity of the judicial office. two male friends and take a stroll in the beach. When
Judges, like any other citizen, are entitled to freedom the girls refused, the judge admonished them.
of expression, belief, association and assembly, but in Consequently, the judge was charged with conduct
exercising such rights, they should always conduct unbecoming of a judge. Will the action prosper?
themselves in such a manner as to preserve the
dignity of the judicial office and the impartiality and A: Yes. A judge should so comport himself as not to
independence of the judiciary. degrade or bring embarrassment to his office. Here,
Judge Gonzales’ act of imposing his will on the
The conduct of Judge Duque fell short of the exacting complainants constitutes conducts unbecoming of a
standards for members of the judiciary. He failed to judge who should be civil, humble and considerate of
behave in a manner that would promote confidence in the rights of others. (Mariano v. Gonzales, A.M. No.
the judiciary. Considering that a judge is a visible 2180-MJ 114, May 31, 1982)
representation of the law and of justice, he is naturally
expected to be the epitome of integrity and should be Note: In every litigation, the manner and attitude of a
beyond reproach. Judge Duque’s conduct indubitably judge are crucial to everyone concerned. It is not for him
bore the marks of impropriety and immorality. He to indulge or even to give the appearance of catering to
failed to live up to the high moral standards of the the at-times human failing of yielding to first impressions.
judiciary and even transgressed the ordinary norms of He is to refrain from reaching hasty conclusions or
decency of society. Had Judge Duque not retired, his prejudging matters. It would be deplorable if he lays
misconduct would have merited his dismissal from the himself open to the suspicion of reacting to feelings
service. (Reyes v. Duque, A.M. No. RTJ-08-2136 , Sept. rather than to facts, of being imprisoned in the net of his
own sympathies and predilections. His language, both
21, 2010)
written and spoken, must be guarded and measured, lest
the best intentions be misconstrued. He should avoid
Sec. 2, Canon 4, NCJC such action as would subject him to suspicion of interest
As a subject of constant public scrutiny, judges in a case in his court. It is of utmost importance that a
must accept personal restrictions that might be judge must preserve the trust and confidence reposed in
viewed as burdensome by the ordinary citizen and him by the parties as an impartial, unbiased and
should do so freely and willingly. dispassionate dispenser of justice. When he conducts
In particular, judges shall conduct themselves in a himself in a manner that gives rise, fairly or unfairly, to
way that is consistent with the dignity of the perceptions of bias, such faith and confidence are eroded.
judicial office. His decisions, whether right or wrong, will always be
under suspicion of irregularity. (Abesa v. Judge Nacional,
A.M. No. MTJ-05-1605, June 8, 2006)
Membership in the judiciary circumscribes one’s
personal conduct and imposes upon him certain
Sec. 3, Canon 4, NCJC
restrictions, the faithful observance of which, is the
Judges shall, in their personal relations with
price one has to pay for holding such a distinguished individual members of the legal profession who
position. Accordingly, a magistrate of the law must practice regularly in their court, avoid situations
comport himself in a manner that his conduct must be which might reasonably give rise to the suspicion or
free of a whiff of impropriety, not only with respect to appearance of favoritism or partiality.
the performance of his official duties, but also to his

154
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

of Judicial Conduct for the Philippine Judiciary,


Q: What is the reason for this rule? demands that judges avoid situations that may
reasonably give rise to the suspicion or appearance of
A: This section is directed at bolstering the principle of favoritism or partiality in their personal relations with
cold neutrality of an impartial judge as it requires individual members of the legal profession who
judges to scrupulously guard against any act that may practice regularly in their courts. Judges should be
be construed as an expression of bias in favor of a dignified in demeanor, and refined in speech. In
litigant. performing their judicial duties, they should not
manifest bias or prejudice by word or conduct towards
Note: Constant company with a lawyer tends to breed any person or group on irrelevant grounds. It is very
intimacy and camaraderie to the point that favors in the essential that they should live up to the high standards
future may be asked from the judge which he may find it their noble position on the Bench demands. Their
hard to resist. If a judge is seen eating and drinking in language must be guarded and measured, lest the
public places with a lawyer who has cases pending in his best of intentions be misconstrued. In this regard,
or her sala, public suspicion may be aroused, thus tending Section 3, Canon 5 of the New Code of Judicial
to erode the trust of litigants in the impartiality of the
Conduct for the Philippine Judiciary, mandates judges
judge. (Padilla v. Zantua, G.R. No. 110990, Oct. 23, 1994)
to carry out judicial duties with appropriate
Q: Complainant Prosecutor filed an administrative consideration for all persons, such as the parties,
complaint against respondent Sandiganbayan witnesses, lawyers, court staff, and judicial colleagues,
Justices for grave misconduct, conduct unbecoming a without differentiation on any irrelevant ground,
Justice, and conduct grossly prejudicial to the interest immaterial to the proper performance of such duties.
of the service. Allegedly, during a hearing, Justice (Jamsani-Rodriguez v. Ong, A.M. No. 08-19-SB-J, Aug.
Ong uttered words like “We are playing Gods here, 24, 2010)
we will do what we want to do, your contempt is
already out, we fined you eighteen thousand pesos, Q: A Court Administrator’s auditing team found that
even if you will appeal, by that time I will be there, Judge Ruby used business cards which stated, in
Justice of the Supreme Court.” Also, he often asked addition to her official title as presiding judge of her
lawyers from which law schools they had graduated, court, that she is a bar topnotcher, her law school’s
and frequently inquired whether the law school in “class valedictorian,” and “one of the most sought
which Justice Hernandez had studied and from which after private law practitioners’ before she joined the
he had graduated was better than his (Justice Ong’s) judiciary, all of which are true. Asked to explain this
own alma mater. The complainant opined that the seeming impropriety, Judge Ruby pointed out that
query was manifestly intended to emphasize that the business cards can include the person’s “title” which
San Beda College of Law, the alma mater of Justice is broad enough to include, in her case, her standing
Ong, and the UP College of Law, that of Justice in the bar and all the honors she earned. Did Judge
Hernandez, were the best law schools. On another Ruby commit an impropriety?
occasion in that hearing in Cebu City, Justice
Hernandez discourteously shouted at Prosecutor A: Yes, because she showed a hunger for publicity and
HazelinaTujan-Militante, who was then observing recognition that debases her judicial post. (2011 Bar
trial from the gallery and said “You are better than Question)
Director Somido? Are you better than Director Chua?
Are you here to supervise Somido? Your office is Sec. 4, Canon 4, NCJC
wasting funds for one prosecutor who is doing Judges shall not participate in the determination of
nothing”. Finally, Justice Hernandez berated Atty. a case in which any member of their family
Pangalangan, the father of former UP Law Dean Raul represents a litigant or is associated in any manner
Pangalangan, and uttered words such as “Just with the case.
because your son is always nominated by the JBC to
Malacañang, you are acting like that! Do not forget This rule rests on the principle that no judge should
that the brain of the child follows that of their (sic) preside in a case in which the judge is not wholly free,
mother.” Should the respondent justices be held disinterested, impartial and independent.
liable for conduct unbecoming?

A: Yes. Publicizing professional qualifications or


boasting of having studied in and graduated from Sec. 5, Canon 4, NCJC
certain law schools, no matter how prestigious, might Judges shall not allow the use of their residence by a
have even revealed, on the part of Justice Ong and member of the legal profession to receive clients of
Justice Hernandez, shows their bias for or against the latter or of other members of the legal
some lawyers. Their conduct was impermissible, profession.
consequently, for Section 3, Canon 4 of the New Code

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
155
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

It was inappropriate for a judge to have entertained a judge was admonished for the appearance of engaging in
litigant in his house particularly when the case is still partisan politics when he participated in a political rally
pending before his sala. (J. King and Sons. v. sponsored by one party, even though he only explained
Hontanosas, Adm. Matter No. RTJ-03-1802, Sept. 21, the mechanics of block voting to the audience. (Macias v.
2004) Arula, A.M. No. 1895-CFI, July 20, 1982)

Q: What is the reason for this rule? Sec. 7, Canon 4, NCJC


Judges shall inform themselves about their
A: The reason is that judges are required to always personal fiduciary and financial interests and shall
exhibit cold neutrality of an impartial judge. make reasonable efforts to be informed about the
financial interests of members of their family.
Sec. 6, Canon 4, NCJC
Judges, like any other citizen, are entitled to Note: This section should be read in conjunction with Sec.
freedom of expression, belief, association and 7 of the R.A. 6713 (Code of Conduct and Ethical standards
assembly, but in exercising such rights, they shall for Public Officials and Employee), which prohibits certain
always conduct themselves in such a manner as to personal fiduciary and financial conflicts. A judge shall
preserve the dignity of the judicial office and the refrain from financial and business dealings that tend to
reflect adversely on the court's impartiality, interfere with
impartiality and independence of the judiciary.
the proper performance of judicial activities, or increase
involvement with lawyers or persons likely to come
before the court.
While judges are not expected to live a hermit-like
existence or cease functioning as citizens of the
Republic, they should remember that they do not Sec. 8, Canon 4, NCJC
disrobe themselves of their judicial office upon leaving Judges shall not use or lend the prestige of the
their salas. In the exercise of their civil liberties, they judicial office to advance their private interests, or
should be circumspect and ever mindful that their those of a member of their family or of anyone else,
continuing commitment to upholding the judiciary and nor shall they convey or permit others to convey
its values places upon them certain implied restraints the impression that anyone is in a special position
improperly to influence them in the performance of
to their freedom.
judicial duties.
Q: In an anonymous letter sent to the OCA, Judge
Acuña was charged with improper conduct for Q: What are the acts prohibited by the rule?
allegedly making humiliating statements such as A:
“putris,” and “putang-ina”. In his comment, Judge 1. Judge’s act of using judicial office to
Acuña explained that those words are only his
advance private interests
favorite expressions and they are not directed to any
particular person. He also explained that his behavior
is justified by the fact that he is still mourning the An RTC judge took advantage of his
sudden demise of his eldest son. Is the Judge guilty of position, by filing in the Makati court a
improper conduct? collection case in which he and his wife
were the complainants. The Court ruled
A: Yes. Judges are demanded to be always temperate, that although a stipulation in the contract
patient and courteous both in the conduct and gave the judge, as creditor, choice of
language. Indeed, judges should so behave at all times venue, the judge had nonetheless fallen
because having accepted the esteemed position of a short of what is expected of him as a
judge he ought to have known that more is expected judicial officer. This act of the judge would
of him than ordinary citizen. Here, the judge’s use of lead the public, and in particular the
humiliating and insensitive expressions like “putris” judge’s adversary, to suspect that the
and ”putang-ina” is improper as such intemperate judge would use the choice of venue as a
language detracts from how he should conduct means to exert influence in favor of
himself. Moreover, it does not matter whether such himself. (Javier v. De Guzman, A.M. No.
expressions were directed to a particular person or RTJ-89-380, Dec. 19, 1990)
not, as they give the impression of a person’s ill
manners. (Re: Anonymous complaint Against Judge 2. Judge’s act of giving impression that he can
Acuña, A.M. No. RTJ-04-1891, July 28, 2005) be influenced to use the judicial office to
advance the private interests of others.
Note: Judges in the exercise of their civil liberties, should
be circumspect and ever mindful of their continuing Note: Another common violation of this rule is
commitment to uphold the judiciary and its values places using judicial power to exact personal
upon them certain implied restraints to their freedom. A vengeance.

156
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

specifically in charge of the custody of said records,


Q: Judge Escano was charged with allegedly using the judge’s act of allowing her to have access thereto
court facilities (bulletin board) in advertising for is improper as such would convey the impression that
attractive waitresses and cooks for possible she isthe one who can influence the judge’s official
employment in their restaurant business. In addition, function. (Gordon v. Lilagam, A.M. No. RTJ-00-1564,
the judge also allowed the use of the court address July 26, 2001)
to receive applications as well as his office in
screening the applicants. In his comment, the judge Q: At the pre-trial of a civil case for collection, one of
explained that he merely wanted to give assistance the parties mentioned that he expected to settle his
to his wife, and the posting of advertisements as well obligation as he was investing in some stocks of a
as the conduct of screening in his office is the most realty corporation that were sure to soar in the
convenient way for him considering the difficulty of market because of some confidential information he
locating the residence. Did the judge commit any obtained from his brother-in-law, a top rank officer
unethical act? of the corporation. Upon hearing the information the
judge lost no time in buying the stocks in the realty
A: Yes. Judges shall not use or lend the prestige of the corporation and as predicted made a lot of money. Is
judicial office to advance their private interests for the judge guilty of unethical conduct?
those of a member of a family. This is so to avoid
possible interference which may be created by such A: Yes. Sec. 9, Canon 4 of NJCJprovides that “no
business involvements in the exercise of their duties information acquired in a judicial capacity shall be
which may tend to corrode the respect and dignity of used or disclosed by a judge in any financial dealing or
the court as bastion of justice. Here, the act of the for any other purpose not related to judicial
judge in using the court facilities to promote family activities.” The judge in this case has violated the
business is improper. (Dionisio v. Escano, A.M. No. RTJ- foregoing rule, and acted unethically. (1995 Bar
98-1400, Feb. 1, 1999) Question)

Q: What is ticket fixing? Q: May a violation of this rule constitute criminal


offense?
A: Ticket fixing is misconduct in which judges
impermissibly take advantage of their public position A: Yes. The act may constitute the following criminal
to avoid punishment for traffic violations. offenses: Under Sec. ([k) of R.A. 3019, and under Art.
229 and 230 of the RPC, to wit:
Sec. 9, Canon 4, NCJC 1. Divulging valuable information of a confidential
Confidential information acquired by judges in character, acquired by his office or by him on
their judicial capacity shall not be used or disclosed account of his official position to unauthorized
for any other purpose not related to their judicial persons, or releasing such information in
duties. advance of its authorized release date. (3[k] of
R.A. 3019)
2. Revelation of secrets by an officer – Any public
Q: What is the reason for this rule? officer who shall reveal any secret known to
him by reason of his official capacity, or shall
A: The prohibition will discourage, if not stop judges wrongfully deliver papers or copies of papers
from making business speculations in some business of which he may have charge and which should
ventures, the secrets of which they learned by reason not be published, shall suffer imprisonment.
of their position as judges. (Art. 229, RPC)
3. Public officer revealing secrets of private
Q: Judge Lilagam was charged with improper conduct individual – Any public officer to whom the
for allowing his wife to have access to court records. secrets of any private individual shall become
In his answer, the judge admitted that he requested known by reason of his office who shall reveal
his wife who was previously a legal researcher, to go such secrets, shall suffer the penalties of
over the records and pinpoint problem areas and to arresto mayor and a fine. (Art. 230, RPC)
suggest measures to rectify the same and to improve
the system of case monitoring. Is the judge guilty of Sec. 10, Canon 4, NCJC
improper conduct? Subject to the proper performance of judicial duties,
A: Yes. Records of cases are necessarily confidential, judges may:
and to preserve their integrity and confidentiality, 1. Write, lecture, teach and participate in activities
access thereto ought to be limited only to the judge, concerning the law, the legal system, the
the parties or their counsel and the appropriate court administration of justice or related matter;
personnel in charged of the custody of said records. 2. Appear at a public hearing before an official body
Here, since Mrs. Lilagam is not a court employee concerned with matters relating to the law, the legal

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
157
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

system, the administration of justice or related engage in private business without the written
matters; permission of the Supreme Court. (Borre v. Moya, A.M.
3. Engage in other activities if such activities do not No. 1765-CFI, Oct. 17, 1980)
detract from the dignity of the judicial office or
otherwise interfere with the performance of judicial
duties. Sec. 11, Canon 4, NCJC
Judges shall not practice law whilst the holder of
This section allows the judge to participate in legal judicial office.
academia and public discourse on legal matters with
the proviso that there shall be no interference in the Q: What is the basis of the prohibition?
performance of the judge’s primary functions with A: This prohibition is based on the inherent
respect to his or her jurisdiction. In dealing with the incompatibility of the rights, duties and functions of
media however, the Philippine Judicial Academy the office of an attorney with the powers, duties and
suggests that a judge or court should avoid functions of a judge.
acrimonious debate with reporters and the public, for
a knee jerk reaction from the court or judge may only Note: Sec. 35 of Rule 138 of the Rules of Court prohibits
provoke negative follow-up reports and articles. judges from engaging in the practice of law or giving
professional advice to clients. Philippine courts not only
prohibit judges from overtly representing clients as
This section’s tolerance of judicially-related activities is counsel of record, but also from acting more subtly in a
limited by Sec. 12, Article VIII of the Constitution, way more befitting an advocate than a judge.
which prohibits judges from being “designated to any
agency performing quasi-judicial or administrative The rule disqualifying a municipal judge from engaging in
functions”. the practice of law seeks to avoid the evil of possible use
of the power and influence of his office to affect the
Q: Judge Cristina has many law-related activities. She outcome of the litigation where he is retained as counsel.
teaches law and delivers lectures on law. Some in the Compelling reasons of public policy lie behind this
government consult her on their legal problems. She prohibition, and judges are expected to conduct
also serves as director of a stock corporation devoted themselves in such a manner as to preclude any suspicion
to penal reform, where she participates in both fund that they are representing the interests of party litigant
raising and fund management. Which of the (Dia-Anonuevo v. Bercacio, A.M. No. 177-MTJ, Nov. 27,
following statements applies to her case? 1975)
A. She should not engage in fund raising activities.
B. Her activities are acceptable except the part where Q: Respondent Judge Lelina was administratively
she is involved in fund management. charged for violation of Section 35, Rule 138 of the
C. She can teach law and deliver lectures on law but Rules of Court and Rule 5.07, Canon 5 of the Code of
not do the other things. Judicial Conduct. He was then preventively
D. All of her activities are legal. suspended by the Court on account of an earlier
administrative complaint filed charging him with
A: C (2011 Bar Question) harassment in connection with the criminal
complaint for Rape and the complaint for Abduction
Q: May a judge be a member of the Provincial with Rape and Slight Illegal Detention. He then filed
Committee on Justice? a Motion for Early Resolution of the criminal case
praying for a resolution in his favor. Subsequently he
A: No. Such membership would violate the appealed to the Court to grant him the permission to
constitutional provision on the discharge by members practice law during the remainder of his preventive
of the judiciary of administrative functions in quasi- suspension or, if such cannot be granted, to consider
judicial or administrative agencies. This does not him resigned from the judiciary. It turned out that
mean, however, that judges should adopt an attitude before he filed the above-said Manifestation, Appeal
of monastic insensibility or unbecoming indifference and Omnibus Motion, Judge Lelina engaged in the
to the Provincial/City Committee on Justice. As private practice of law. Did the judge commit any
incumbent judges, they form part of the structure of
unethical act?
government. Even as non-members, Judges should
render assistance to said Committees to help promote
the laudable purposes for which they exist, but only A: Yes. Since Section 35, Rule 138 of the Rules of Court
when such assistance may be reasonably incidental to and Section 11, Canon 4 of the New Code of Judicial
the fulfillment of their judicial duties. (In Re: Conduct for the Philippine Judiciary does not make
Designation of Judge Rodolfo U. Manzano, A.M. No. any distinction in prohibiting judges from engaging in
88-7-1861-RTC, Oct. 5, 1988) the private practice of law while holding judicial
office, no distinction should be made in its application.
In the present case, Judge Lelina having been merely
Note: Under Sec. 10(c), Section 10, Canon 4, a judge may

158
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

suspended and not dismissed from the service, he was Note: Section 13 should be read in conjunction with
still bound under the prohibition. (Binalay v. Lelina Jr, Section 7(d) of R.A. 6713 (Code of Conduct and Ethical
A.M. No. RTJ-08-2132, July 31, 2009) Standards for Public officials and Employee) which
provides that, public officials and employees shall not
solicit or accept, directly or indirectly, any gift, gratuity,
Q: In an extrajudicial settlement of the estate of the
favor, entertainment, loan or anything of money value
late Juan Mayaman, the heirs requested Judge from any person in the course of their official duties or in
Maawain, a family friend, to go over the document connection with any operation being regulated by, or any
prepared by a new lawyer before they signed it. transaction which may be affected by the functions of
Judge Maawain agreed and even acted as an their office.
instrumental witness. Did Judge Maawain engage in
the unauthorized practice of law? Why? Respondent Judge Ganay clearly fell short of the exacting
A: No. In the case of de Castro v. Capulong, 118 SCRA 5 standards set by the New Code of Judicial Conduct for the
(1982), the Supreme Court held that a judge who Philippine Judiciary. His acts of receiving lawbooks worth
merely acted as a witness to a document and who fifty thousand pesos, cellular phones and monthly cellular
explained to the party waiving his rights of redemption phone prepaid cards from the property guardians of the
over mortgaged properties the consequences thereof, late Rev. Fr. Aspiras, who was then the ward of the court,
does not engage himself in the practice of law. This constitute impropriety which the Court cannot allow.
appears to be more applicable to the case of Judge Respondent Judge Ganay’s act of issuing Orders directing
Maawain. He did not give professional advice in the manager of the PNB, La Union Branch to draw checks
anticipation of litigation. He was just asked to review a amounting to thousands of pesos from the account of the
deed of extrajudicial settlement of estate. He signed late Rev. Fr. Aspiras creates the impression of impropriety
and subjects the court to suspicion of irregularities in the
merely as an instrumental witness and not as a legal
conduct of the proceedings. (Heirs of the late Rev. Fr. Jose
counsel. Besides, his act was an isolated act. (2002 Bar
Aspiras v. Judge Ganay, A.M. No. RTJ-07-2055, Dec. 17,
Question) 2009)

Sec. 12, Canon 4, NCJC


Note: Section 14 should be read in relation to Section 7(d)
Judges may form or join associations of judges of RA No. 6713 which prohibits public officials from
or participate in other organizations soliciting or accepting gifts from any person in the course
representing the interests of judges. of their official duties.

Q: What is the reason for this rule?


Note: This rule recognizes the difference between
membership in associations of judges and membership in A: This section is intended to assure that what the
associations of other legal professionals. While judge cannot do directly (soliciting gifts), may not be
attendance at lavish events hosted by lawyers might
done indirectly through the use of employees or staff
create an appearance of impropriety, participation in
members.
judges-only organizations does not.

Q: X was charged with grave threat before the sala of


Q: What is the general rule with regard to
Judge Elias Lelina. During the pendency of the case, X
prohibition against accepting gifts, bequests, or
offered a business partnership to the daughter of
loans?
Judge Lelina who then accepted the same. Should the
A: The general rule is that found in Sections 13 and 14. judge be disciplined?

A: Yes. Judges should not allow members of their


Sec. 13, Canon 4, NCJC
family to accept gifts nor favor in relation to anything
Judges and members of their families shall neither
done, to be done, or omitted to be done by the judge
ask for nor accept, any gift, bequest, loan or favor
in connection with the performance of his official
in relation to anything done or to be done or
duties. Here, the judge’s act of allowing his daughter
omitted to be done by him or her in connection
to accept the business offer of X despite knowledge of
with the performance of judicial duties.
the possible intention of the latter who has pending
case in his sala is improper. (Dulay v. Lelina Jr., A.M.
Sec. 14, Canon 4, NCJC No. RTJ-99-1516, July 14, 2005)
Judges shall not knowingly permit court staff or
others subject to their influence, direction or
Q: What is the exception to Sections 13 and 14 of
authority, to ask for, or accept, any gift, bequest, Canon 4 of the NCJC?
loan or favor in relation to anything done, to be A: Canon 4, Section 15 of NCJC.
done or omitted to be done in connection with
their duties or functions.
Sec. 15, Canon 4, NCJC
Subject to law and to any legal requirements of

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
159
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

public disclosure, judges may receive a token usage (Section 14, RA 3019)
gift, award or benefit as appropriate to the
occasion on which it is made, provided that such Note: Under Section 16 Article XI of the 1987 Constitution
gift, award or benefit might not reasonably be “No loan, guarantee or other form of financial controlled
perceived as intended to influence the judge in bank or financial institution to members of the Supreme
the performance of official duties or otherwise Court xxx during their tenure.
give rise to an appearance of partiality.
It is a serious misconduct for a judge to receive money
from a litigant in the form of loans which he never
Judges are allowed to accept token gifts, awards, or
intended to pay back. Even if the judge intends to pay, it
benefits when given as a consequence of a special
is an act of impropriety to take a loan from a party
occasion.
litigant. The judge could not be wholly free from bias in
deciding a case where his lender is a party. A judge should
Q: What gifts and grants from foreign countries are always strive to be free from suspicion and all forms of
allowed? improprieties. (Ompoc v. Judge Torres, A.M. No. MTJ-86-
A: 11, Sept. 27, 1989)
1. The acceptance and retention by a public
official or employee of a gift of nominal value Note: To ensure equality of treatment to all before the
tendered and received as a souvenir or mark of courts is essential to the due performance of the judicial
courtesy; office. As the guardians of justice, courts must adhere to
2. The acceptance by a public official or employee the principle of equality. People expect the courts to be
of a gift in the nature of a scholarship or unaffected by differences in social status, degree of
fellowship grant or medical treatment; or education and even physical abilities.
3. The acceptance by a public official or employee
of travel grants or expenses for travel taking 5. EQUALITY
place entirely outside the Philippines (such as
allowances, transportation, food and lodging) CANON 5, NCJC
of more than nominal value if such acceptance EQUALITY
is appropriate or consistent with the interest of
the Philippines, and permitted by the head ENSURING EQUALITY OF TREATMENT TO ALL BEFORE
office, branch or agency to which the judge THE COURTS IS ESSENTIAL TO THE DUE
belongs. (Sec. 7[d], R.A. 6713) PERFORMANCE OF THE JUDICIAL OFFICE.

Q: When is a judge considered guilty of indirect A judge must be able to render substantial justice and
bribery? Of direct bribery? maintain public confidence in the judicial system, by
being aware of the diversity in society. With that
A: Acceptance of gifts given by reason of the office of awareness, a judge should not yield to first
the judge is indirect bribery (Art. 211, Revised Penal impression, reach hasty conclusions or prejudge
Code) and when he agrees to perform an act matters. (Castillo v. Judge Juan, 62 SCRA 124)
constituting a crime in connection with the
performance of his official duties in consideration of Sec. 1, Canon 5, NCJC
any offer, promise, gift or present receive by such Judges shall be aware of and understand
officer, he is guilty of direct bribery (Art. 210, Revised diversity in society and differences arising from
Penal Code). various sources, including, but not limited to,
race, color, sex, religion, national origin, caste,
Q: Under the Anti-Graft and Corrupt Practices Act (RA disability, age, marital status, sexual orientation,
3019), is a judge criminally liable for receiving gifts, social and economic status, and other like causes.
presents or other pecuniary or material benefit for
himself or for another under the conditions provided
in Section 2? Q: What is the reason for this rule?

A: A: To render substantial justice and maintain public


GR: Yes, the judge is liable criminally for directly or confidence in the judicial system, judges are expected
indirectly receiving gifts, presents or other to be aware of the diversity in society that results from
pecuniary or material benefit for himself or for an increased worldwide exchange of people and ideas.
another under conditions provided in Section 2,
pars. b and c of the law. Note: Judges should be mindful of the various
international instruments and treaties ratified by the
XPN: Unsolicited gifts or presents of small value Philippines, which affirm the equality of all human beings
offered or given as a mere ordinary token of and establish a norm of non-discrimination without
gratitude or friendship according to local custom or distinction as to race, sex, language, or religion. Judges

160
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

should not yield to first impression, reach hasty should so behave to avoid poor public impression on
conclusions or prejudge matters. They have a duty to the judiciary. Here, the judges act of fighting each
ensure that the minority status of a party plays no part in other by uttering derogatory remarks against each
their decisions. other is a conduct unbecoming of a judge for which
they should be disciplined as their fight has impaired
Sec. 2, Canon 5, NCJC the image of the judiciary. (Navarro v. Tormis, A.M.
Judges shall not, in the performance of judicial No. MTJ-00-1337, Apr. 27, 2004)
duties, by words or conduct, manifest bias or
prejudice towards any person or group on Q: Atty. Quinto was the defense counsel in a criminal
irrelevant grounds. case. In his verified complaint, he alleged that during
the hearing, he manifested that he was waiving the
Magistrates of law must comport themselves at all presentation of evidence for the accused. Judge Vios
times in such a manner that their conduct, can then allegedly got angry, shouted and scolded him,
withstand the highest level of public scrutiny. stating that the defense had no right to waive the
presentation of evidence. He did not even listen to
Judges should avoid private remarks, hasty Atty. Quinto’s explanation and, thereafter,
conclusions, or distasteful jokes that may give even compelled the latter to withdraw his appearance as
erroneous impressions of prejudice and lead the counsel of the accused, under pain of contempt. In
public to believe that cases before them are being the presence of the complainant, Judge Vios
prejudged. appointed a counsel de officio. May Judge Vios be
held administratively liable for compelling the lawyer
Sec. 3, Canon 5, NCJC to withdraw as counsel for the accused under pain of
Judges shall carry out judicial duties with contempt?
appropriate consideration for all persons, such as A: Yes. A judge should avoid unconsciously falling into
the parties, witnesses, lawyers, court staff and the attitude of mind that the litigants are made for the
judicial colleagues, without differentiation on courts, instead of the courts for the litigants. Here, the
any irrelevant ground, immaterial to the proper judge should be held liable for misconduct when he
performance of such duties. threatened to punish complainant for contempt of
court if he would refuse to withdraw his appearance,
As arbiters of the law, judges should be conscientious, as counsel for the accused, when the latter insisted on
studious, courteous, patient and punctual in the waiving the presentation of the evidence for the
discharge of their judicial duties, recognizing that time defense. (Atty. Quinto v. Judge Vios, A.M. No. MTJ-04-
of litigants, witnesses and counsel is of value. Judges 1551, May 21, 2004)
should act with decorum toward jurors, parties, court
staff, spectators, and alike. Note: Unequal and disparate treatment in the
courthouse, whether intentional or perceived, is
Q: What unhealthy attitude of mind should a judge unacceptable and can negatively impact the
avoid falling into? professional lives of attorneys and employees, the
A. Hearing and adjudicating cases is an important job. assessment of claims of litigants, and the respect and
B. Courts are made for litigants. credibility of the justice system.
C. Litigants are made for the courts.
D. Courts should dispose of their cases on time. Sec. 4, Canon 5, NCJC
Judges shall not knowingly permit court staff or
A: C (2011 Bar Question) others subject to his or her influence, direction or
control to differentiate between persons
concerned, in a matter before the judge, on any
Q: Judge Tormis made a comment in a certain case to
irrelevant ground.
the effect that the same should be dismissed as the
act complained of was already decriminalized by a
special law. Thereafter, Judge Navarro, who Q: What are the duties of judges under this section?
previously handled the case before he was appointed
as a judge, barged into the office of Judge Tormis A:
telling to the staff that their judge does not know her 1. To ensure that court personnel under their
law. Judge Tormis then retaliated by saying that to supervision do not discriminate by
her, the office of Judge Navarro does not exist. Are dispensing special favors or disclosing
the judges guilty of conduct unbecoming of a judge? confidential information to any
unauthorized person, regardless of whether
A: Yes. Judges, being dispensers of justice should not such information came from authorized or
act in a way that would cast suspicion in order to unauthorized sources; and
preserve faith in the administration of justice. They 2. To organize their courts to ensure the

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
161
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

prompt and convenient dispatch of business TO THE DUE PERFORMANCE OF JUDICIAL OFFICE.
and should not tolerate misconduct by
clerks, sheriffs and other assistants who are
Q: What are the pre-requisites to the due
sometimes prone to expect favors or special
performance of judicial office?
treatment due to their professional
relationship with the judge.
A: Competence and diligence. (Canon 6, NCJC)
Note: All personnel involved in the dispensation of justice
should conduct themselves with a high degree of A judge upon assumption to office, becomes the
responsibility. (Mataga v. Rosete, A.M. No. MTJ-03-1488, visible representation of law and of justice, hence, the
Oct. 13, 2004) Constitution (Section 7 (3), Article VIII), prescribes that
he must be a person of proven competence as a
Sec. 5, Canon 5, NCIC requisite of his membership in the judiciary.
Judges shall require lawyers in proceedings before
the court to refrain from manifesting, by words or A judge should be the epitome of competence,
conduct, bias or prejudice based on irrelevant integrity and independence to be able to render
grounds, except such as are legally relevant to an justice and uphold public confidence in the legal
issue in proceedings and may be the subject of system. He must be conversant with basic legal
legitimate advocacy. principles and well-settled doctrines. He should strive
for excellence and seek the truth with passion.(Rino v.
Judge Cawaling, A.M. No. MTJ-02-1391, June 7, 2004)
Judges should conduct proceedings in court with
dignity and in a manner that reflects the importance
Note: As members of the judiciary, judges ought to know
and seriousness of proceedings. They should maintain
the fundamental legal principles; otherwise, they are
order and proper decorum in the court. (Rule 3.03,
susceptible to administrative sanction for gross ignorance
Canon 3, 1989 Code of Judicial Conduct) of the law. (Heirs of Piedad v. Estrella, A.M. No. RTJ-09-
2170, Dec. 16, 2009)
Judges have the duty to prevent lawyers from abusing
witnesses with unfair treatment.
Q: Judge Ramos was charged with gross misconduct,
dishonesty, gross ignorance of the law, arbitrary
As courts are expected to ensure equality, any lawyer detention, incompetence, grave abuse of discretion,
who makes an insensitive or demeaning comment in
and conduct prejudicial to the best interest of the
court should be admonished.
service allegedly for erroneously issuing a warrant of
arrest against Bayaca. It was alleged that Bayaca was
Q: During the hearing of a case for statutory rape convicted by Judge Ramos in a criminal case for arson
filed against X, the lawyer is asking the 6-year-old through reckless imprudence and imposed upon him
victim to relate exactly and step by step the sexual the penalty of imprisonment, with all the accessory
intercourse between her and the accused. The lawyer penalties imposed by law in addition to the payment
is also asking questions whether at the time of the of costs and damages. On appeal, the RTC deleted
alleged rape, the accused’s penis was hard, and the penalty of imprisonment. However, Judge Ramos
whether at the time they were caught, the accused subsequently issued a warrant of arrest and
was still pushing and pulling his penis inside her Commitment on Final Sentence which led to
vagina. Should the judge allow such questions? complainant’s incarceration at the Solano District Jail
from August 8 to 28, 2006. In his comment, the judge
A: No. The judge shall require lawyers to refrain from clarified that his issuance of the warrant of arrest
making abusive and uncalled for queries. Here, the against Bacaya was a mistake done in good faith and
fact that the victim of rape is a child of tender years, that the same was just a simple negligence. Should
there is more reason to require the lawyer to be the judge be disciplined?
tactful. No woman especially child of tender years
would exactly remember step by step the sexual A: Yes. The judge was inexcusably negligent when he
intercourse in the hands of the maniacal beast. Hence, issued a Warrant of Arrest and Commitment to Final
all the questions asked are excessive. (People v. Boras, Sentence despite the deletion by the appellate court
G.R. No. 127495, Dec. 22, 2000) of that portion of the judgment imposing the penalty
of imprisonment. In the performance of his duties,
6. COMPETENCE AND DILIGENCE Judge Ramos failed to observe that diligence,
prudence and circumspection which the law requires
CANON 6, NCJC in the rendition of any public service. If only Judge
COMPETENCE AND DILIGENCE Ramos had exercised the requisite thoroughness and
caution, he would have noted not only the
COMPETENCE AND DILIGENCE ARE PRE-REQUISITES modification of the monetary awards by the appellate

162
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

court, but also the deletion of the penalty of and Section 5 of Canon 6?
imprisonment upon which the Warrant of Arrest and
Commitment to Final Sentence that he signed was A: Yes. A judge is the visible representation of the law,
based. (Bayaca v. Judge Ramos, A.M. No. MTJ-07- and more importantly of justice; he or she must,
1676, Jan. 29, 2009) therefore, be the first to follow the law and weave an
example for the others to follow. For a judge to exhibit
Sec.1, Canon 6, NCJC indifference to a resolution requiring him to comment
The judicial duties of a judge take precedence over on the accusations in the complaint thoroughly and
all activities. substantially is gross misconduct, and may even be
considered as outright disrespect for the Court. The
Q: What are the duties of a judge under this section? office of the judge requires him to obey all the lawful
orders of his superiors. After all, a resolution of the
A: Supreme Court is not a mere request and should be
1. A judge must perform his judicial duties with complied with promptly and completely. Such failure
regard to a case where he is not disqualified to to comply accordingly betrays not only a recalcitrant
do so and, may not divest himself of such case streak in character, but has likewise been considered
if he is not so disqualified; and as an utter lack of interest to remain with, if not
2. A judge shall not inhibit himself simply to avoid contempt of the judicial system. A resolution of the
sitting on difficult or controversial cases. Supreme Court requiring comment on an
administrative complaint against officials and
Q: An administrative case against Judge Calderon was employees of the judiciary should not be construed as
filed for incurring leaves of absence for almost a a mere request from the Court. Nor should it be
straight period of 3 years. In his comment, he complied with partially, inadequately or selectively.
claimed that he was suffering from a lingering illness Respondents in administrative complaints should
of malignant hypertension which claim was comment on all accusations or allegations against
supported by medical certificates prepared by his them in the administrative complaints because it is
personal doctor. However, when the court physician their duty to preserve the integrity of the judiciary.
conducted some tests, the same contradicted the
Moreover, the Court should not and will not tolerate
diagnosis given by the judge’s personal doctor. Is
future indifference of respondents to administrative
Judge Calderon guilty of gross misconduct?
complaints and to resolutions requiring comment on
such administrative complaints. Under the
A: Yes. A judge shall be cautious of his court duties.
circumstances, the conduct exhibited by Judge
Here, the judge should have been aware that, in
Limsiaco constitutes no less than clear acts of defiance
frequently leaving his station, he has caused great
against the Court’s authority. His conduct also reveals
disservice to many litigants and has denied them
his deliberate disrespect and indifference to the
speedy justice. (Re: Leaves of Absence Without
authority of the Court, shown by his failure to heed
Approval of Judge Eric Calderon, Municipal Trial Court
our warnings and directives. Judge Limsiaco’s actions
Judge of Calumpit, Bulacan, A.M. No. 98-8-105-MTC,
further disclose his inability to accept our instructions.
Jan. 26, 1999)
Moreover, his conduct failed to provide a good
example for other court personnel, and the public as
Q: Judge Limsiaco was charged with gross ignorance well, in placing significance to the Court’s directives
of the law and procedure and violations of the Code and the importance of complying with them.
of Judicial Conduct when it was established by the (Inoturan, v. Limsiaco, Jr., A.M. No. MTJ-01-1362, Feb.
records and by his own admission that he decided an 22, 2011)
ejectment case before his sala more than two (2)
years after it was declared submitted for resolution.
Sec. 2, Canon 6, NCJC
Due to his delay of rendering the decision, he was Judges shall devote their professional activity to
held guilty of the said charge. He moved for an judicial duties, which include not only the
extension of time to file a motion for performance of judicial functions and
reconsideration. Despite the extension of time given responsibilities in court and the making of
however, Judge Limsiaco failed to file his motion for decisions, but also other tasks relevant to the
reconsideration and the required explanation thrice. judicial office or the court’s operations.
In another complaint against him for Delay in the
Disposition of a Case, the OCA issued an order for
him to file a comment for the administrative Violations of this section often involve a failure to
complaint. Is the respondent judge administratively keep records or handle funds in compliance with court
liable for unethical conduct and gross inefficiency rules.
under the provisions of the New Code of Judicial
Conduct, specifically, Sections 7 and 8 of Canon 1, Q: Judge Daguman was charged with neglect of duty

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
163
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

in failing to retain a copy and to register with the his retirement. (Office of the Court Administrator v.
Local Civil Registrar a marriage contract. In his Retired Judge Carteciano,A.M. No. MTJ-07-1664, Feb.
comment, the judge explained that his failure to do 18, 2008)
so was occasioned by circumstances beyond his
control. He averred that after the wedding ceremony, Sec. 3, Canon 6, NCJC
the copies of the marriage contract were left on top Judges shall take reasonable steps to maintain
of his desk in his private office where the ceremony and enhance their knowledge, skills and personal
was held but after few days, when he gathered all qualities necessary for the proper performance of
the documents relating to the marriage, the copies judicial duties, taking advantage for this purpose
were already missing. He also explained that he was the training and other facilities which should be
not able to inform the parties about the fact of loss made available, under judicial control, to judges.
as they were already out of the country. Should the
judge be disciplined?
Service in the judiciary means a continuous study and
A: Yes. A judge is charged with extra care in ensuring research on the law from beginning to end. Judges are
that records of the cases and official documents in his regarded as persons learned in the law. “Ignorance of
custody are intact. Moreover, judges must adopt a the law excuses no one” has special application to
system of record management, and organize their judges.
dockets in order to bolster the prompt and efficient
dispatch of business. Here, the circumstances show Though good faith and absence of malice or
that the loss of the documents was occasioned by the corruption are sufficient defenses, such does not apply
carelessness on the part of the judge. The judge where the issues are so simple and the applicable legal
should not have left such important documents in his principles evident and basic as to be beyond possible
table to be gathered only after few days, instead, he margin of error. (Corpus v. Ochotoresa, A.M. No. RTJ
should have devised a filing system in his court so as 04-1861, July 30, 2004)
to avoid such incident. (Beso v. Daguman, A.M. No. One who accepts the exalted position of a judge owes
MTJ-99-1211, Jan. 28, 2000) the public and the Court the duty to maintain
professional competence at all times. When a judge
displays an utter lack of familiarity with the rules, he
Q: X charged Judge Garillo with dishonesty and
erodes the confidence of the public in the courts. A
corrupt practices for allegedly requiring the former to
judge owes the public and the Court the duty to be
deposit with the latter a sum of money in connection
proficient in the law and is expected to keep abreast
with a pending case in the latter’s sala but failed to
of laws and prevailing jurisprudence. Ignorance of the
give the deposited sums of money to the adverse
law by a judge can easily be the mainspring of
party. It was also alleged that when X demanded the
injustice. (Villanueva v. Judge Buaya, A.M. No. RTJ-08-
return of money, the judge failed to return the same
2131, Nov. 22, 2010).
despite his promise. Is the judge guilty of serious
misconduct?
Q: Judge Delos Santos averred that Judge Mangino of
A: Yes. A judge should always be a symbol of rectitude the MTC Tarlac approved the bail bond for
and propriety, and should always comport himself in a provisional liberty of the accused Santos who was
manner that will raise no doubt whatsoever about his arrested and whose criminal cases were pending in
honesty. Here, the judge’s act of misappropriating the Angeles City. It was also made to appear from the
money entrusted to him by litigants in connection contents of the said bond that the accused appeared
with a case pending in his court constitutes gross before notary public Ancanan in Makati City.
misconduct. Moreover, the judge violated Circular No. According to the accused, she never went to Tarlac
50-95 which provides that, fiduciary collections should and appeared before said Judge Mangino. She also
be deposited with the Land Bank of the Philippines. alleged that she never went to Makati City and
Because of his actuations, the image of the judiciary appeared before Notary Public Ancanan. Is Judge
was impaired. (De Pacete v. Judge Garillo, A.M. No. Mangino guilty of grave misconduct?
MTJ-03-1473, Aug. 20, 2003)
A: Yes. Judges should be diligently acquainted with the
law and jurisprudence. As an advocate of justice and a
Q: Should the judge return court records upon
visible representation of the law, a judge is expected
retirement?
to keep abreast with and be proficient in the
application and interpretation of the law. Here, by
A: Yes. Since the proper and efficient management of
the court is the responsibility of the judge, he is the mere glancing at the bail bond application, the judge
one directly responsible for the proper discharge of ought to know that he had absolutely no authority or
official functions. Thus, a judge is obliged to return to jurisdiction to approve the bail bond of the accused as
the court the records of the cases filed in his sala upon the case was pending with another court. By
approving the bail bond application, the judge failed

164
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

to exert such conscientiousness, studiousness, and A.M. No. RTJ-00-1525, Jan. 25, 2000)
thoroughness expected and demanded of a judge.
(Judge de los Santos v. Judge Mangino, A.M. No. MTJ- Q: Why should delay be avoided in the
03-1496, July 10, 2003) administration of justice?

Q: Judge Gacott Jr. dismissed an election case on the A: Delay results in undermining the people's faith in
ground of non-payment of docket fees, although the the judiciary and from whom the prompt hearing of
case had been previously admitted and was deemed their supplications is anticipated and expected, and
properly filed by the original Judge (who inhibited reinforces in the mind of the litigants the impression
himself due to relationship to one of the parties). that the wheels of justice grind ever so slowly.
Judge Gacott issued the dismissal order relying on a Certainly, undue delay cannot be countenanced at a
case (Manchester v. CA) which states that - a case is time when the clogging of the court dockets is still the
deemed commenced only upon the payment of the bane of the judiciary. Judges are expected to observe
proper docket fees. To his opinion, the required fees utmost diligence and dedication in the performance of
in this case were not yet paid by the protestant. their judicial functions and the discharge of their
Enojas charged him with gross ignorance of the law. duties. (Imbang v. Judge del Rosario, A.M. No. MTJ-03-
Is Judge Gacott Jr. guilty of gross ignorance of the 1515, Feb. 3, 2004)
law?
Q: Judge Diaz was charged with inefficiency allegedly
A: Yes. A judge is duty bound to adhere to, and apply for his failure to render a decision on time. It was
the recent jurisprudence, and he cannot feign alleged that in an unlawful detainer case filed by De
ignorance thereof, because he is required to be an Joya against spouses Hornillos which was already
embodiment of, among other things, judicial submitted for decision upon the approval of a motion
competence. Here, the ruling relied upon by the judge for summary judgment filed by De Joya, Judge Diaz
does not apply to election cases as in the latter case failed to render a decision despite the lapse of
the filing fee is fixed and the claim for damages, to several months from the submission of the case for
which the docket fess shall be made to apply, is resolution. In his comment, the judge explained that
merely ancillary to the main cause of action and is not his delay was the result of an oversight due to the
even determinative of the court’s jurisdiction. It must volume of work that he and his staff had to handle.
also be noted that in this case, the original judge Should the judge be disciplined?
already made an order that from the deposit given by
the protestant for the expenses of reopening the A: Yes. Decision-making is a primordial and by far the
questioned ballots, an amount shall be allocated for most important duty of a member of the bench. The
the payment of the required fees. Thus, the election Code of Judicial Conduct mandates that a judge must
protest was already properly filed. (Enojas v. Judge dispose of the court's business promptly and to act on
Gacott, Jr., A.M. No. RTJ-99-1513, Jan. 19, 2000) cases pending before him within the prescribed
periods therefore. A judge's failure to observe time
Sec. 4, Canon 6, NCJC prescriptions for the rendition of judgments in
Judges shall keep themselves informed about derogation of an otherwise speedy administration of
relevant developments of international law, justice constitutes a ground for administrative
including international conventions and other sanction. A judge can not be excused from complying
instruments establishing human rights norms. with the periods on the ground that he has heavy case
loads, for in such cases, all he has to do is to request
Norms of international law has become the concern of for additional time to decide cases. Here, the judge’s
judges because they form part of legal standards by failure to decide the unlawful detainer case within 30
which their competence and diligence required by the days from the submission for decision renders him
New Code of Judicial Conduct are to be measured. liable for inefficiency for which he should be
disciplined unless he was granted, upon his request,
Sec. 5, Canon 6, NCJC additional time to decide the case. (De Joya v. Judge
Judges shall perform all judicial duties, including Diaz, A.M. No. MTJ-02-1450, Sept. 23, 2003)
the delivery of reserved decisions, efficiently,
fairly and with reasonable promptness. Q: A judge was due for compulsory retirement. The
Office of the Court Administrator found that he had
many pending cases, some of which were undecided
A judge may be subject to an administrative fine for beyond the 90-day period. Should the judge be
inefficiency, neglect, and unreasonable delay in disciplined under the circumstance despite his
elevating the records of a civil case to the Court of impending compulsory retirement?
Appeals. A delay of three years in the transmission of
court records to the appellate court, where a period of A: Yes. All judges are enjoined to attend promptly to
30 days is required, is inexcusable. (Pataleon v. Guidez,

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
165
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

the business of the court and decide cases within the Calbayog City, Western Samar, A.M. No. MTJ-11-
time fixed by law. A judge is mandated to render 1793, Oct. 19, 2011)
judgment not more than 90 days from the time the
case is submitted for decision. Failure to render the Q: Amion was charged with murder. During the trial,
decision within the said period of 90 days from Judge Chiongson ordered that he be represented by
submission of a case for decision constitutes serious counsel de oficio because Amion’s attorney is always
misconduct and gross inefficiency. (Re: Report on the postponing the trial for various reasons like illness
Judicial Audit Conducted in the RTC, Branch 68 of and unavailability for trial. Amion then charged said
Camilang, Tarlac, A.M. No. 97-6-182-RTC, Mar. 19, judge with ignorance of the law and oppression
1999) because the fact that the counsel de officio did not
know the particulars of the case meant that Amion
would be denied due process. Should Judge
Note: The Constitution provides that all lower courts
Chiongson be disciplined?
must decide all cases filed within three months. Further,
the Code of Judicial Conduct states that a judge shall
dispose of the court’s business promptly and decide the A: No. A judge should always be imbued with a high
cases within the required periods. Delay in the disposition sense of duty and responsibility in the discharge of his
of cases erodes the faith and confidence of the people in obligation to promptly administer justice. Here, Judge
the judiciary, lowers its standards, and brings it to Chiongson appointed a FLAG lawyer because of
disrepute. Judges should not abuse the grant of an various dilatory means used by the complainant. Thus,
extension to decide a case, and strive to decide the case the judge should be commended for his effort to
within the extended period granted by the Court. Under expedite the case. (Amion v. Judge Chiongson, A.M.
Sec. 9, Rule 140 of the Rules of Court, undue delay in No. RTJ-97-1371, Jan. 22, 1999)
rendering a decision or order is classified as a less serious
charge punishable with suspension from office without Note: A Flag lawyer refers to a lawyer of non-
salary and other benefits for not less than one (1) nor governmental organizations (NGOs) and people’s
more than three (3) months; or a fine of more than organizations (POs) who by the nature of his work already
P10,000.00, but not exceeding P20,000.00. (Request of render free legal aid to indigent and pauper litigants.
Judge Nino Batingana, A.M. No. 05-8-463-RTC, Feb. 17, (Section 4a(iii), BAR MATTER No. 2012, Feb. 10, 2009)
2010)
Sec. 6, Canon 6, NCJC
Q: The records disclose that on February 21, 1994, Judges shall maintain order and decorum in all
Cabasares filed a Complaint for Malicious Mischief proceedings before the court and be patient,
against a certain Rodolfo Hebaya. The case was dignified and courteous in relation to litigants,
docketed as Criminal Case No. 8864 and witnesses, lawyers and others with whom the
subsequently assigned to the branch of respondent judge deals in an official capacity.
Judge. As early as February 27, 2002, the case had Judges shall require similar conduct of legal
been submitted for decision, but respondent judge representatives, court staff and others subject to
did not. He was charged with violation of Section 15 their influence, direction or control.
(1), Article VIII of the Constitution and Canon 3, Rule
3.05 of the Code of Judicial Conduct. Judge contend Besides possessing the requisite learning in the law, a
that it have escaped his mind. magistrate must exhibit that hallmark judicial
temperament of utmost sobriety and self-restraint
A: Judges should meticulously observe the periods which are indispensable qualities of every judge.
prescribed by the Constitution for deciding cases (Rodriguez v. Bonifacio, A.M. No. RTJ-99-1510, Nov. 6,
because failure to comply with the said period 2000)
transgresses the parties’ constitutional right to speedy
disposition of their cases. Thus, failure to decide cases Q: Judge Belen was charged with conduct
within the ninety (90)-day reglementary period may unbecoming of a judge allegedly for humiliating,
warrant imposition of administrative sanctions on the demeaning and berating a young lawyer who
erring judge. However, the Court is not unmindful of appeared in his sala. It was alleged that when the
circumstances that justify the delay in the disposition judge learned that the lawyer was an alumnus of
of the cases assigned to judges. When a judge sees MCQU and not of UP, the judge made the following
such circumstances before the reglementary period statement “you’re not from UP”. Then you cannot
ends, all that is needed is to simply ask the Court, with equate yourself to me because there is a saying and I
the appropriate justification, for an extension of time know this, not all law students are created equal, not
within which to decide the case. Evidently, all law schools are created equal, not all lawyers are
respondent Judge failed to do any of these options. created equal despite what the Supreme Being stated
Sinc ethe judge retired from service he was only fined. that we all are created equal in His form and
(Antonio Y. Cabasares v. Judge Filemon A. Tandinco, Jr. substance.” Should the judge be disciplined?
Municipal Trial Court in Cities, 8th Judicial Region,

166
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS - QUALITIES

A: Yes. The judge’s sarcastic, humiliating, threatening QUALIFICATIONS OF JUSTICES AND JUDGES
and boastful remarks to a young lawyer are improper.
A judge must be aware that an alumnus of a particular Q: What are the qualifications of justices of the
law school has no monopoly of knowledge of the law. Supreme Court or Court of Appeals?
By hurdling the Bar Examinations, taking of the
A: One must be:
Lawyer’s oath, and signing of the Roll of Attorneys, a
1. A natural-born citizen of the Philippines;
lawyer is presumed to be competent to discharge his
2. At least 40 years of age;
functions and duties as, inter alia, an officer of the
3. A person who has been, for 15 years or more, a
court, irrespective of where he obtained his law
judge of a lower court or engaged in the practice of
degree. For a judge to determine the fitness or
law; and
competence of a lawyer primarily on the basis of his
4. A person of proven competence, integrity,
alma mater is clearly an engagement in an
argumentumad hominem. As a judge, he must address probity and independence. (Sec. 7(2), Art. VIII, 1987
the merits of the case and not on the person of the Constitution)
counsel. Judges must be that even on the face of
Q: What are the qualifications to be a RTC judge?
boorish behavior from those they deal with, they
ought to conduct themselves in a manner befitting
A: One must be:
gentlemen and high officers of the court. (Atty. Mane
1. A natural-born citizen of the Philippines;
v. Judge Belen, A.M. No. RTJ-08-2119, June 30, 2008)
2. At least 35 years of age; and
3. For at least 10 years engaged in the practice of
Q: Judge Ante Jr. was charged with conduct law in the Philippines or held a public office in the
unbecoming of a judge. It was alleged that when the Philippines requiring admission to the practice of
court employee placed the docket book on top of the law as an indispensable requisite. (1997 Bar
filing cabinet, the same fell on the floor causing loud Question)
sound. Unexpectedly, the judge shouted saying “why
did you throw the docket book? You get out of here, Q: What are the qualifications to be an MTC judge?
punyeta, we don’t need you!” The judge also threw a
monobloc chair at the court employee. Should the A: One must be:
judge be disciplined? 1. A natural-born citizen of the Philippines;
2. At least 30 years of age; and
A: Yes. The judge, for shouting invectives and hitting 3. For at least 5 years, engaged in the practice of
complainant with a chair displayed a predisposition to law in the Philippines or held a public office in the
use physical violence and intemperate language which Philippines requiring admission to the practice of
reveals a marked lack of judicial temperament and law as an indispensable requisite.
self-restraint - traits which, aside from the basic
equipment of learning in the law - are indispensable
qualities of every judge. (Briones v. Judge Ante Jr., Q: What is the proper judicial deportment?
A.M. No. MTJ-02-1411, Apr. 11, 2002)
A:
Sec. 7, Canon 6, NCJC 1. Attitude toward counsel – He must be courteous
Judges shall not engage in conduct incompatible especially to the young and inexperienced, should
with the diligent discharge of judicial duties. not interrupt in their arguments except to clarify his
minds as to their positions, must not be tempted to
an unnecessary display of learning or premature
Q: What is the duty under this Section?
judgment, may criticize and
2. Correct unprofessional conduct of a lawyer
A: A judge shall not accept duties that will interfere
but not in an insulting manner.
with his devotion to the expeditious and proper
3. Attitude toward litigants and witnesses – He
administration of his official functions must be considerate, courteous and civil,
must not utter intemperate language during the
Note: When a judge, along with two other people, hearing of a case.
acted as real estate agents for the sale of a parcel of
land for which he agreed to give a commission of Q: What is the proper judicial conduct?
P100,000 to each of his companions, and after the
transaction was completed only gave the A: Judges and justices must conduct themselves as
complainants P25,000 each, the high Court held that to be beyond reproach and suspicion and be free
the judge violated the section of the prior Code of from appearance of impropriety in their personal
Judicial Conduct. (Catbagan v. Barte, A.M. No. MTJ-02- behavior not only in the discharge of official duties
1452, Apr. 6, 2005) but also in their everyday lives.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
167
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

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

a. IMPEACHMENT Q: What is the form of the complaint and what


should it state?
Q: What is the nature of impeachment proceedings
against SC justices?  not sure A: The complaint shall be in writing and shall state
clearly and concisely the acts and omissions
A: Penal in nature governed by rules on criminal case. constituting violations of standards of conduct
prescribed for judges by law, the Rules of Court, or the
Q: What is the degree of proof required? Code of Judicial Conduct.

A: Requires proof beyond reasonable doubt. Q: Administrative penalties imposed on judges are
A. Curative
Q: Who are subject to impeachment? B. Punitive
C. Corrective
A: Only SC Justices are subject to impeachment. D. Both punitive and corrective

Note: While it is the duty of the court to investigate and A: D (2011 Bar Question)
determine the truth behind every matter in complaints
against judges and other court personnel, it is also their Q: On appeal, RTC Judge Rudy affirmed the MTC’s
duty to see to it that they are protected and exonerated conviction of Lorna for violation of the bouncing
from baseless administrative charges. The Court will not checks law and awarded Agnes, the complainant,
shirk from its responsibility of imposing discipline upon its Php1.6 million in damages. Two years later, upon
magistrates, but neither will it hesitate to shield them Lorna’s motion and after ascertaining that her
from unfounded suits that serve to disrupt rather than counsel never received the court’s decision, Judge
promote the orderly administration of justice. (Ocenar v. Rudy recalled the entry of judgment in the case,
Judge Mabutin, A.M. No. MTJ 05- 1582, Feb. 28, 2005)
reversed himself, and absolved Lorna of guilt.
Claiming an unjust judgment, Agnes filed an
2. DISCIPLINE OF LOWER COURT JUDGES AND
administrative complaint against Judge Rudy, saying
JUSTICES
that it is plain from the circumstances that he
connived with Lorna, her counsel, and the handling
The acts of a judge in his judicial capacity are not
prosecutor. But she offered no further evidence.
subject to disciplinary action. In the absence of fraud,

168
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS – DISCIPLINE OF MEMBERS OF THE JUDICIARY

Judge Rudy denied the charges and asserted that any preliminary injunction as he issued them without
error in his judgment is correctible only by an appeal, prior notice to the defendant and without a hearing.
not by an administrative suit. Should Judge Rudy be Is he liable for gross ignorance of the law?
disciplined?
A: No, because Agnes’ complaint is merely based on A: Yes. Though not every judicial error bespeaks
suspicions and speculations. (2011 Bar Question) ignorance of the law or of the rules, and that, when
committed in good faith, does not warrant
3. GROUNDS administrative sanction, the rule applies only in cases
within the parameters of tolerable misjudgment.
Q. What are the grounds for discipline of judges? When the law or the rule is so elementary, not to be
aware of it or to act as if one does not know it
A: constitutes gross ignorance of the law. A judge is
1. Serious Misconduct – implies malice or wrongful expected to keep abreast of the developments and
intent, not mere error of judgment. amendments thereto, as well as of prevailing
jurisprudence. Ignorance of the law by a judge can
Judicial acts complained of: easily be the mainspring of injustice. In the absence of
a. Must be corrupt or inspired by an fraud, dishonesty or corruption, the acts of a judge in
intention to violate the law; or his judicial capacity are not subject to disciplinary
b. Were in persistent disregard for well- action. However, the assailed judicial acts must not be
known legal rules. in gross violation of clearly established law or
procedure, which every judge must be familiar with.
Note: There is misconduct when there is reliable evidence (Sps. Lago v. Judge Abul, Jr., A.M. No. RTJ-10-2255,
showing that judicial actions are corrupt or inspired by Jan. 17, 2011)
intent to violate the law or in persistent disregard of legal
rules. Q: Santiago and Sanchez were complainants in two
different criminal cases before the MTC of Bulacan
2. Inefficiency – implies negligence, incompetence, and the RTC of Pampanga respectively. The suspects
ignorance and carelessness. A judge would be in each of the criminal cases were caught and
inexcusably negligent if he failed to observe in the detained by authorities. However, both suspects
performance of his duties that diligence, prudence and were released by order of Judge Jovellanos of MCTC
circumspection which the law requires in the rendition Pangasinan. The complainants questioned both
of any public service. Orders for Release, alleging that the requirements for
the bail bond had not been fulfilled and that the said
Q: Should a judge be held administratively liable for judge had no jurisdiction to order the release. Is
ignorance of the law for granting bail to an accused in Judge Jovellanos guilty of gross incompetence and
a criminal case without the requisite bail hearing, gross ignorance of the law?
and despite the fact that there was an eyewitness to
the murder who made a positive identification of the A: Yes. A judge should be acquainted with legal norms
accused? and precepts as well as with statutes and procedural
rules. Unfamiliarity with the Rules of Court is a sign of
A: Yes. It is already settled that when a judge grants incompetence. He must have the basic rules at the
bail to a person charged with a capital offense, or an palm of his hands as he is expected to maintain
offense punishable by reclusion perpetua or life professional competence at all times. Here, there are
imprisonment without conducting the required bail two defects in the Orders for Release signed by Judge
hearing, he is considered guilty of ignorance or Jovellanos. First, in both cases, the detainees had not
incompetence the gravity of which cannot be excused registered the bailbond in accordance with the Rules
by a claim of good faith or excusable negligence. of Criminal Procedure. One may not be given
When a judge displays an utter unfamiliarity with the provisional liberty if the bailbond is not registered with
law and the rules, he erodes the confidence of the the proper office. Secondly, Judge Jovellanos did not
public in the courts. A judge owes the public and the have jurisdiction to order the release of the detainees
court the duty to be proficient in the law and is as the cases were not pending in his court and the
expected to keep abreast of laws and the prevailing suspects were not arrested within his jurisdiction.
jurisprudence. Ignorance of the law by a judge can (Santiago v. Judge Jovellanos, A.M. No. MTJ-00-1289,
easily be the mainspring of injustice.(Grageda v. Judge Aug. 1, 2000)
Tresvalles, A.M. MTJ No. 04-1526, Feb. 2, 2004)
Note: Judges are not expected to be infallible; not every
Q: Respondent judge failed to cause the raffle of an error or irregularity committed by judges in the
injunction case and failed to follow the procedural performance of official duties is subject to administrative
requirements in issuing a TRO and a writ of sanction. In the absence of bad faith, fraud, dishonesty,

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
169
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

or deliberate intent to do injustice, incorrect rulings do


not constitute misconduct and may give rise to a charge An administrative case against the judge would not lie,
of gross ignorance of the law. (Cruz v. Iturralde, A.M. No. even if the actions were perceived to have gone
MTJ-03-1775, Apr. 30, 2003) beyond the norms of propriety, where a sufficient
judicial remedy exists. With much less reason could an
Q: Cruz was the defendant in an ejectment case filed administrative case against the judge be a vehicle to
by the Province of Bulacan involving a parcel of land correct possible mistakes of one’s counsel. (Dadizon v.
owned by the said province. A decision was rendered Judge Asis, A.M. No. RTJ-03-1760, Jan. 15, 2004)
against Cruz. He then filed an appeal and several
motions for reconsideration but Justice Alino- Q: Is a disciplinary and criminal action against a judge
Hormachuelos before whom the motions were filed a substitute for judicial remedies?
subsequently denied all. Consequently, Cruz charged
all the judges and justices with grave misconduct, A: Disciplinary and criminal actions against a judge, are
gross inexcusable negligence, and rendering a void not complementary or suppletory of, nor a substitute
judgment. Should the judges be held liable for grave for, judicial remedies, whether ordinary or
misconduct and gross ignorance of the law? extraordinary. Resort to and exhaustion of judicial
remedies are prerequisites for the taking of other
A: No. The Court has consistently held that judges will measures against the persons of the judges
not be held administratively liable for mere errors of concerned, whether of civil, administrative, or criminal
judgment in their rulings or decisions absent a nature. It is only after the available judicial remedies
showing of malice or gross ignorance on their part. have been exhausted and the appellate tribunals have
Bad faith or malice cannot be inferred simply because spoken with finality that the door to an inquiry into his
the judgment is adverse to a party. To hold a judge criminal, civil, or administrative liability may be said to
administratively accountable for every erroneous have opened, or closed. (Maquiran v. Grageda, A.M.
ruling or decision he renders, assuming that he has No. RTJ-04-1888, Feb. 11, 2005)
erred, would be nothing short of harassment and
would make his position unbearable. Here, the fact Q: Santiago’s Petition for Reconstitution of
that the judge or justices rendered a decision not Lost/Destroyed Original Certificate of Title was
favorable to Cruz is not enough to make them liable granted by the Quezon City RTC. The Republic of the
for grave misconduct. (Cruz v. Justice Alino- Philippines through the Office of the Solicitor General
Hormachuelos et. al., A.M. No. CA-04-38, Mar. 31, appealed the decision to the Court of Appeals the
2004) case of which was raffled to the Division where
Justice Enriquez was Chairperson. The special division
Q: Judge Caguioa cited attorney X in direct contempt reversed and set aside the Decision of the Quezon
for allegedly using disrespectful language in his City RTC. Motion for Reconsideration having been
pleadings, and directed the latter’s denied, complainant filed the present complaint
arrest. Thereafter, the judge denied Atty. X’s request before the SC. Pending the decision of the SC, an
to allow him to post a bond for his provisional administrative charge of Gross Ignorance of the
liberty. Atty. X now charged Judge Caguioa of gross law/Gross Incompetence was filed against
ignorance of law for denying his request. Is the judge respondent Associate Enriquez. Is the filing of the
guilty of gross ignorance of law? administrative complaint against him proper?

A: Yes. When the law violated is so elementary, as in A: No. The remedy of the aggrieved party is not to file
this case, where there is a rule which provides for the an administrative complaint against the judge, but to
procedure to be followed in case of contempt, for a elevate the assailed decision or order to the higher
judge not to know or to act as if he does not know it court for review and correction. An administrative
constitutes gross ignorance. The judge’s act therefore complaint is not an appropriate remedy where judicial
of denying the request to post a bond despite the recourse is still available, such as a motion for
presence of a rule allowing such constitutes gross reconsideration, an appeal, or a petition for certiorari,
ignorance of the law. (Dantes v. Caguioa, A.M. No. unless the assailed order or decision is tainted with
RTJ-05-1919, June 27, 2005) fraud, malice, or dishonesty.

Note: Resort to administrative sanction is an The failure to interpret the law or to properly
exceptional remedy. The normal course of action is to appreciate the evidence presented does not
correct the errors or irregularities in the application of necessarily render a judge administratively liable.
law by the judge by way of motion for reconsideration,
or where appropriate under the rules of procedure, A judicial officer cannot be called to account in a civil
motion for new trial or special civil action of certiorari, action for acts done by him in the exercise of his
prohibition or mandamus.

170
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS – DISCIPLINE OF MEMBERS OF THE JUDICIARY

judicial function, however erroneous. In the words of compensation unless specifically authorized
Alzua and Arnalot v. Johnson, “it is a general principle by law
of the highest importance to the proper 6. Untruthful statements in the certificate of
administration of justice that a judicial officer, in service
exercising the authority vested in him, shall be free to 7. Simple misconduct
act upon his own convictions, without apprehension of
personal consequences to himself." This concept of Q: What are considered as light charges?
judicial immunity rests upon consideration of public A:
policy, its purpose being to preserve the integrity and 1. Vulgar and unbecoming conduct
independence of the judiciary. This principle is of 2. Gambling in public
universal application and applies to all grades of 3. Fraternizing with lawyers and litigants with
judicial officers from the highest judge of the nation pending case/cases in his court
and to the lowest officer who sits as a court. (Santiago 4. Undue delay in the submission of monthly
III v. Justice Enriquez, Jr. A.M. No. CA-09-47-J, Feb. 13, reports
2009)
Q: Are the proceedings against them confidential?
Q: What are the classifications of charges?
A: Proceedings against judges of regular and special
A: courts and justices of the Court of Appeals and the
Administrative charges are classified as: Sandiganbayan shall be private and confidential, but a
1. Serious copy of the decision or resolution of the Court shall be
2. Less serious attached to the record of the respondent in the Office
3. Light of the Court Administrator. (Sec 12, Rule 140,RRC)

Q: What are considered as serious charges? Q: Administrative proceedings against Judges of all
courts and Justices of the Court of Appeals and the
A: Sandiganbayan shall be
1. Bribery, direct or indirect A. private and confidential.
2. Dishonesty and violations of the Anti-Graft B. public but subdued.
and Corrupt Practices Law (R.A. 3019) C. private but transparent.
3. Gross misconduct constituting violations of D. public.
the Code of Judicial Conduct
4. Knowingly rendering an unjust judgment or A: A (Sec. 12, Rule 140, RRC) (2011 Bar Question)
order as determined by a competent court
in an appropriate proceeding Q: What is the effect of resignation or retirement of a
5. Conviction of a crime involving moral judge when there is a pending administrative case
turpitude against him?
6. Willful failure to pay a just debt
7. Borrowing money or property from lawyers A: The retirement of a judge or any judicial officer
and litigants in a case pending before the from service does not preclude the finding of any
court administrative liability to which he should still be
8. Immorality answerable. Also, the withdrawal or recantation of the
9. Gross ignorance of the law or procedure complaint does not necessarily result in the dismissal
10. Partisan political activities of the case. (Atty. Molina v. Judge Paz, A.M. No. RTJ -
11. Alcoholism and/or vicious habits 01-1638, Dec. 8, 2003)

Q: What are considered as less serious charges? Note: The acceptance by the President of the resignation
does not necessarily render the case moot or deprive the
A: SC of the authority to investigate the charges. The court
1. Undue delay in rendering a decision or retains its jurisdiction either to pronounce the
order, or in transmitting the records of a respondent officially innocent of the charges or declare
case him guilty thereof. A contrary rule will be fraught with
2. Frequently and unjustified absences without injustice and pregnant with dreadful and dangerous
implications (Pesole v. Rodriguez A.M. No. 755-MTJ, Jan.
leave or habitual tardiness
31, 1978)
3. Unauthorized practice of law
4. Violation of Supreme Court rules, directives,
Q: May the heirs of a judge who was found guilty of
and circulars
gross neglect of duty and dismissed from the service
5. Receiving additional or double
with disqualification from holding public office for an

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
171
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

offense committed before he was appointed judge, dispenses with the procedure laid down in Rule 140, RRC
be entitled to gratuity benefits? (Rule 140: Discipline of Judges of Regular and Special
Courts and Justices of the Court of Appeals and the
A: Yes. Upon demise, the administrative complaint of Sandiganbayan). (Aguirre, 2006)
the OCA had to be considered closed and terminated.
Therefore, there is no valid reason why the heirs of Q: In Administrative Circular No. 1 addressed to all
the deceased should not be entitled to gratuity lower courts dated January 28, 1988, the Supreme
benefits for the period he rendered service as MTCC Court stressed:
judge up to the finality of the CSC Resolution which All judges are reminded that the Supreme Court has
imposed the penalty of "dismissal from service with all applied the Res Ipsa Loquitor rule in the removal of
the accessory penalties including disqualification from judges even without any formal investigation
holding public office and forfeiture of benefits”. whenever a decision, on its face, indicates gross
incompetence or gross ignorance of the law or gross
The penalty of disqualification from holding public misconduct (Cathay Pacific Airways v. Romillo, G.R.
office and forfeiture of benefits may not be applied No. 64276, 12 August 1986). The application of the
retroactively, however, the judge should be res ipsa loquitor rule in the removal of judges is
considered terminated from service in the judiciary as assailed in various quarters as inconsistent with due
his appointment as MTCC judge is deemed conditional process and fair play. Is there any basis for such a
upon his exoneration of the CSC administrative reaction? Explain.
charges against him. (Re: Application for
retirement/gratuity benefits under R.A. 910 as A:
amended by R.A. 5095 and P.D. 1438 filed by Mrs. 1. First view - there is a basis for the reaction against
Butacan, surviving spouse of the late Hon. Jimmy the res ipsa loquitor rule on removing judges.
Butacan, former judge of MTC, Tuguegarao City, who According to the position taken by the Philippine Bar
died on July 28, 2005,A.M. No. 12535-Ret, Apr. 22, Association, the res ipsa loquitor rule might violate the
2008) principle of due process that is the right to be heard
before one is condemned.
Q: What is the quantum of evidence required for the
removal of a judicial officer? Moreover, Rule 140 of the Rules of Court provides for
the procedure for the removal of judges. Upon service
A: The ground for removal of a judicial officer should of the complaint against him, he is entitled to file an
be established beyond reasonable doubt. Such is the answer. If the answer merits a hearing, it is referred to
rule where the charge on which the removal is sought a justice of the Court of Appeals for investigation, the
is misconduct in office, willful neglect, corruption or report of the investigation is submitted to the
incompetence. The general rules in regard to Supreme Court for proper disposition.
admissibility of evidence in criminal trials apply.
The danger in applying the res ipsa loquitor rule is that
Q: May a judge be disciplined by the Supreme Court the judge may have committed only an error of
based solely on a complaint filed by the complainant judgment. His outright dismissal does violence to the
and the answer of respondent judge? If so, in what jurisprudence set in. (In Re Horilleno, 43 Phil. 212,
circumstances? What is the rationale behind this March 20, 1922)
power of the Supreme Court?
2. Second view- According to the Supreme Court the
A: A judge may be disciplined by the Supreme Court lawyer or a judge can be suspended or dismissed
based solely on the basis of the complaint filed by the based in his activities or decision, as long as he has
complainant and the answer of the respondent judge, been given an opportunity to explain his side. No
under the principle of res ipsa loquitor. The Supreme investigation is necessary.
Court has held that when the facts alleged in the
complaint are admitted or are already shown on the Q: Does suspension pendente lite apply to judges?
record, and no credible explanation that would negate
the strong inference of evil intent is forthcoming, no A: No. While it is true that preventive suspension
further hearing to establish such facts to support a pendente lite does not violate the right of the accused
judgment as to culpability of the respondent is to be presumed innocent as the same is not a penalty,
necessary (In Re: Petition for dismissal of Judge Dizon). the rules on preventive suspension of judges, not
(1996 Bar Question) having been expressly included in the Rules of Court,
are amorphous at best.
Note: The doctrine of res ipsa loquitur does not and
cannot dispense with the twin requirements of due Moreover, it is established that any administrative
process, notice and the opportunity to be heard. It merely complaint leveled against a judge must always be

172
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS – DISCIPLINE OF MEMBERS OF THE JUDICIARY

examined with a discriminating eye, for its cause by a public servant to perform his official
consequential effects are, by their nature, highly duty
penal, such that the respondent judge stands to face 2. Article 32 – directly or indirectly obstructing,
the sanction of dismissal or disbarment. As defeating, violating or in any manner impeding
aforementioned, the filing of criminal cases against or impairing civil liberties guaranteed by the
judges may be used as tools to harass them and may Constitution
in the long run create adverse consequences. (Re:
Conviction of Judge Adoracion G. Angeles, A.M. No. This responsibility for damages is not, however,
06-9-545-RTC, Jan. 31, 2008) demandable of judges except when his act or omission
constitutes a violation of the Penal Code or other
Q: May justices and judges be investigated under the penal statute.
grievance procedure in the RRC?
Q: What are the disabilities/restrictions under the
A: No. Complaints against justices and judges are filed Civil Code?
with the Supreme Court which has exclusive
administrative supervision over all courts and the A:
personnel thereof pursuant to Section 6 Art. VIII, 1. Article 1491 (5) – Justices, judges, prosecuting
Constitution. The Court en banc has the power to attorneys, clerks of court of superior and inferior
discipline all judges of lower courts including justices courts and other officers and employees connected
of the Court of Appeals. (Section 11, Art. VIII, 1987 with the administration of justice cannot acquire by
Constitution) purchase, even at a public or judicial action, either in
person or through the mediation of another the
As a matter of practice, the Supreme Court has property and rights in litigation or levied upon an
assigned complaints against Municipal or execution before the court within whose jurisdiction
Metropolitan Trial Judges to an Executive Judge of a or territory they exercise their respective functions.
Regional Trial Court and complaints against judges of
Regional Trial Courts to a justice of the Court of This prohibition includes the act of acquiring by
Appeals, while a complaint against a member of the assignment and shall apply to lawyers, with respect to
Court of Appeals would probably be assigned to a the property and rights that may be the object of any
member of the Supreme Court for investigation, litigation in which they may take part by virtue of their
report and recommendation. Retired SC Justices are profession. (1996 Bar Question)
now tasked for this purpose.
2. Article 739 – Donations made to a judge, his wife,
Q: What is the rule on the liability of judges? descendants and ascendants by reason of his office are
void.
A:
GR: A judge is not liable administratively, civilly, or Q: What are the Criminal Liabilities under the RPC
criminally, when he acts within his legal powers and the Anti-Graft and Corrupt Practices Act?
and jurisdiction, even though such acts are A:
erroneous so long as he acts in good faith. In such 1. Misfeasance
a case, the remedy of aggrieved party is not to file a. Article 204 – Knowingly rendering
an administrative complaint against the judge but unjust judgment.
to elevate the error to a higher court for review b. Manifestly Unjust Judgment – one
and correction. which is so patently against the law,
public order, public policy and good
Reason: To free the judge from apprehension of morals that a person of ordinary
personal consequences to himself and to preserve discernment can easily sense its
the integrity and independence of the judiciary. invalidity and injustice.

XPN: Where an error is gross or patent, deliberate Note: It must be shown beyond doubt that the judgment
and malicious, or is incurred with evident bad is unjust as it is contrary to law or is not supported by
faith; or when there is fraud, dishonesty, or evidence and the same was made with conscious and
corruption. deliberate intent to do an injustice. (In Re: Climaco, A.C.
No. 134-J, January 21, 1974)
Q: What are the civil liabilities under the Civil Code?
If the decision rendered by the judge is still on appeal,
A: the judge cannot be disqualified on the ground of
1. Article 27 – refusal or neglect without just knowingly rendering an unjust judgment. (Abad v.
Bleza, A.M. No. R-227-RTJ, October 13, 1986)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
173
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

2. Article 205 – Judgment rendered through A:


negligence – committed by reason of inexcusable 1. Suspension from office without salary and
negligence or ignorance. other benefits for not less than one (1) nor
more than three (3) months; or
Note: Negligence and ignorance are inexcusable if they 2. A fine of more than P10,000.00 but not
imply a manifest injustice, which cannot be explained by exceeding P20,000.00.
reasonable interpretation. (In Re: Climaco, A.C. No. 134-J,
January 21, 1974) Q: What are the sanctions if the respondent is found
guilty of a light charge?
3. Article 206 – Knowingly rendering an unjust
interlocutory order; and A:
Any of the following sanctions shall be imposed:
4. Maliciously delaying the administration of justice. 1. A fine of not less than P1,000.00 but not
exceeding P10,000.00 and/or
Note: The act must be committed maliciously with 2. Censure
deliberate intent to prejudice a party in a case. 3. Reprimand
4. Admonition with warning
5. SANCTIONS IMPOSED BY THE SUPREME COURT ON
ERRING MEMBERS OF THE JUDICIARY 6. REINSTATEMENT OF A JUDGE PREVIOUSLY
DISCIPLINED
Q: What are the sanctions if the judge is found guilty
of a serious charge? Q: When is reinstatement proper?

A: Any of the following sanctions may be imposed: A: Reinstatement is proper when there is no indication
1. Dismissal from the service, forfeiture of all or that the judge is inspired by corrupt motives or
part of the benefits as the Court may reprehensive purpose in the performance of his
determine, and disqualification from functions.
reinstatement or appointment to any public
office, including government-owned or Q: What are the factors to be considered in
controlled corporations. Provided, however, reinstatement?
that the forfeiture of benefits shall in no
case include accrued leave credits A:
1. Unsullied name and service of record prior to
2. Suspension from office without salary and dismissal
other benefits for more than three (3) but 2. Commitment to avoid situation that spur
not exceeding six (6) months suspicion of arbitrary conditions
3. Complainant mellowed down in pushing from
3. A fine of more than P20,000.00 but not his removal
exceeding P40,000.00 4. Length of time separated from service

Q: What are the sanctions if the respondent is found


guilty of a less serious charge?

174
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS – DISCIPLINE OF MEMBERS OF THE JUDICIARY

PROCEDURE FOR DISCIPLINE OF JUDGES OF REGULAR AND SPECIAL COURTS AND JUSTICES OF THE COURT OF
APPEALS AND THE SANDIGANBAYAN
(A.M. NO. 01-8-10-SC)
(2005 Bar Question)

If the complaint is sufficient in form and


If the complaint is not sufficient
substance, a copy thereof shall be
in form and substance, the same
served upon the respondent and he
shall be dismissed.
shall be required to comment within 10
days from date of service.

Upon the filing of the respondent’s


comment or upon the expiration of the
time for filing the same and unless other The investigating justice or judge shall
pleadings or documents are required, the set a day of the HEARING and send
Supreme Court shall refer the matter to: notice thereof to both parties. At such
hearing the parties may present oral
and documentary evidence.
Office of the Court Administrator for
evaluation, report, and If, after due notice, the respondent
recommendation fails to appear, the investigation shall
proceed ex parte.
Or assign the case for investigation,
report, and recommendation to a The investigating justice or judge shall
retired member of the Supreme Court, terminate the investigation within
if the respondent is a justice of the CA ninety (90) days from the date of its
and the Sandiganbayan commencement or within such
extension as the Supreme Court may
Or to a justice of the CA, if the grant.
respondent is a judge of a Regional Trial
Court or of a special court of equivalent
rank
Or to a judge of the Regional Trial Court
if the respondent is a judge of an
inferior court.

The Court shall take such Within thirty (30) days from the termination of the investigation, the
ACTION on the report as the investigating Justice or Judge shall submit to the Supreme Court a
facts and the law may warrant. REPORT containing findings of fact and recommendation. The report shall
be accompanied by the record containing the evidence and the pleadings
filed by the parties. The report shall be confidential and shall be for the
exclusive use of the Court.

Note: Before the Court approved this resolution, administrative and disbarment cases against members of the bar who were
likewise members of the court were treated separately. However, pursuant to the new rule, an administrative case against a
judge of a regular court based on grounds which are also grounds for the disciplinary action against members of the Bar shall
be automatically considered as disciplinary proceedings against such judge as a member of the Bar.

Since membership in the bar is an integral qualification for membership in the bench, the moral fitness of a judge also reflects
his moral fitness as a lawyer. A judge who disobeys the basic rules of judicial conduct also violates his oath as a lawyer.
(Samson v. Judge Caballero, A.M. No. RTJ-08-2138, Aug. 5, 2009)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
175
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

III. LEGAL FORMS person other than the one who executed it. (Suarez,
2007)
Form is important when the law requires a
Q: What are examples of instruments that must be
document or other special form, such as those
acknowledged?
mentioned in Article 1358 of the New Civil Code,
donation of an immovable property under Art. 749,
A:
NCC, pledge under Art. 2096, NCC. (Suarez, 2007)
a. Deeds
b. Conveyances
Q: What does the study of Legal Forms include?
d. Mortgages
a. Leases
A: It includes the following:
e. Releases and discharges affecting lands
1. Business Forms – Forms used in
whether registered under Act 496 or
conveyance, or of the forms of deeds,
unregistered
instruments or documents creating,
transferring, modifying or limiting rights
Note: If not acknowledged, such documents will not be
to real as well as personal properties, and accepted by the Register of Deeds for registration.
other forms related to business contracts (Suarez, 2007)
or transactions. (Legal Forms, Suarez
2007) Q: When is an acknowledgment made?
2. Judicial Forms – Forms which pertain to
different kinds of pleadings, applications, A: An acknowledgment is made in documents
petitions, affidavits, motions and the like. where there is transfer or conveyance of title to
(Ibid) property, transmission of rights or manifestation of
agreement of parties (fulfillment of a prestation to
Q: What is a document? give, to do or not to do).

A: It is a writing or instrument by which a fact may Note: It should be used only in contracts, never in
be proven or affirmed. A document may either be affidavits or sworn statements. (Albano, Albano, Jr.
private or public. and Albano, 2004)

1. Private Document – a deed or instrument Q: What is the meaning of Scilicet or “S.S.”?


executed by a private person, without the
intervention of a notary public or of other A: “S.S.” literally means more particularly (Suarez,
person legally authorized, by which a 2007), to wit, or namely (Guevara, 2010). It is used
document, some disposition or to particularize a general statement. (Ibid)
agreement is proved, evidenced or set
forth. In notarized documents, it indicates that the legal
document was executed in the designated place
2. Public Document within that particular jurisdiction for such an act.
a. An instrument authenticated by a
notary public or a competent public Note: The omission of “S.S.” in a legal document is not
official, with the formalities material so as to invalidate it. (McCord, et al. v. Glenn,
required by law 6 Utah 139, 21 Pac. 500; Guevara, 2010)
b. An instrument executed in due form
before a notary certified by him Q: What are the contents of an acknowledgment?
c. That which is made by a notary
public in the presence of the parties A:
who executed it, with the assistance [1] Title of the notarial act
of two witnesses. (Suarez, 2007) [2] Place of execution
[3] Date
A. COMMON FORMS [4] Name of person acknowledging the
document (as well as name/s of the
1. ACKNOWLEDGMENT entity/ies being represented, if
such is the case)
Note: Acknowledgment is a statutory act such that [5] Competent evidence of identity
only those instruments that are required by law to be presented
acknowledged shall be acknowledged; it is also a [6] Date and place of issue of the
personal act such that it cannot be acknowledged by a competent evidence of identity presented

176
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS – DISCIPLINE OF MEMBERS OF THE JUDICIARY

[7] Acknowledgment made to the notary [9] Notarial certificate


public that it is the person’s voluntary act [10] Identity of notary public
and deed [11] Details of the notarial register
[8] Type of document executed and number [12] If executed in a representative
of pages capacity, a statement to that effect

Form 1: General Form of Acknowledgment

[1] ACKNOWLEDGMENT
[2] REPUBLIC OF THE PHILIPPINES)
PROVINCE OF _______________)
CITY/MUNICIPALITY OF _______) S.S.

[3] BEFORE ME, a NOTARY PUBLIC for and in the above jurisdiction, this ___ day of _____, 2012,
personally appeared the following persons

[4] NAME [5] IDENTIFICATION [6] DATE AND PLACE OF ISSUANCE


____________________ ___________________ _______________________
____________________ ___________________ _______________________

[7] Known to me to be the same persons who executed the foregoing instrument and they
acknowledged to me that the same is their own free and voluntary act and deed [12] and of the corporations
herein represented.

[8] This instrument refers to a (title of document) and consists of ___ pages including the page on which
this acknowledgment is written and signed by the parties and their instrumental witnesses on each and every
page thereof.

[9] WITNESS MY HAND AND SEAL on the date and at the place above written.

[10] JUAN DELA CRUZ


NOTARY PUBLIC- Makati City
Appointment No. ____
Until December 31, 2012
Roll no. ____
PTR no. ____, date of issue, place
of issue
IBP no. _____, date of issue, place
of issue
Office Address:
Email:
Contact Number:

[11] Doc. No._____;


Page No. ____;
Book No.____;
Series of 2012

2. JURAT Note: Jurat is important as it gives the document a


legal character.(Ibid)
Q: What is a Jurat?
Q: Who executes a Jurat?
A: It is that part of an affidavit in which the officer
certifies that the instrument was sworn to before A: The notary public. He certifies that the same was
him. It is not part of the affidavit. (Suarez, 2007) sworn before him.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
177
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Q: When should jurats be executed? attests to the truthfulness of an event,


under oath.
A: It is used in any notarized document that is
declaratory in nature, such as: Note: A jurat should be used only in affidavits, sworn
a. Affidavits statements, certifications, verifications and the like.
b. Certifications Never use it in contracts. (Albano, Albano, Jr. and
c. Whenever the person executing the Albano, 2004)
document makes a statement of facts or

Form 2: Jurat

REPUBLIC OF THE PHILIPPINES)


PROVINCE OF _______________)
CITY/MUNICIPALITY OF ______) S.S.

[1] SUBSCRIBED AND SWORN to before me, in the Municipality/City of_____, this ____ day of ____, 2012, the
affiant exhibiting to me his (any competent evidence of identity) issued by (issuing agency) on (date of issue) at
(place of issue).

[2] JUAN DELA CRUZ


NOTARY PUBLIC- Makati City
Appointment No. ____
Until December 31, 2012
Roll no. ____
PTR no. ____, date of issue, place
of issue
IBP no. _____, date of issue, place
of issue
Office Address:
Email:
Contact Number:
[3] Doc. No._____;
Page No. ____;
Book NO.____;
Series of 2012

Q: What are the contents of a Jurat? [3] The details of the Notarial Register:
a. Document Number
A: Three (3) sections of Jurat: b. Page Number
c. Book Number
[1] The Notary’s declaration regarding when and d. Series Number (year)
where the person took an oath or affirmation as to
the document or instrument and his competent 3. PLEADING
evidence of identity, bearing his picture and
signature was presented. Q: What are pleadings?

[2] The identity of the notary public with the A: Pleadings are the written statements of the
following: respective claims and defenses submitted to the
a. Complete Name of the Notary Public court for appropriate judgment. (Sec. 1, Rule 6,
b. Place of Commission RRC)
c. Appointment Number
d. Expiration Date of the Notarial Q: What is the purpose of a pleading?
Commission
e. Roll Number A: Its purpose is to define the issues and form the
f. PTR Number foundation of the proof to be submitted at the trial.
g. IBP Number Office Address It narrows the case down to a specific issue or

178
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
JUDICIAL ETHICS – DISCIPLINE OF MEMBERS OF THE JUDICIARY

issues which will be submitted to the court for trial [4] Relief
and judgment. (Suarez, 2007) [5] Attorney
[6] PLUS
Q: What are the parts of a pleading? a. Verification, if required
b. Certificate of non-forum shopping,
A: Cap-Ti-BRA PLUS when appropriate
[1] Caption c. Notice of hearing, when required
[2] Title d. Proof of service
[3] Body e. Explanation

Form 3: General Format of a Pleading

REPUBLIC OF THE PHILIPPINES


REGIONAL TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
BRANCH ________, MAKATI CITY

[1] ________________________,
Plaintiff,
-versus- Civil Case No.____
________________________, For: ____________
Defendant.

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

[2] (TITLE)

(Plaintiff/ Defendant), through Counsel, unto this Court, respectfully states:

[3] (BODY)

-allegations-

[4](PRAYER)

Makati City, Philippines, ________ (date) __________.

_________________
[5] Attorney

[6] VERIFICATION, if required


CERTIFICATE OF NON-FORUM SHOPPING, when appropriate
NOTICE OF HEARING, when required
PROOF OF SERVICE
EXPLANATION

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
179
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

4. PRAYER
Note: The relief or reliefs prayed for may be proper or
Q: What is a Prayer? not, but as long as the plaintiff deserves a relief, the
court will grant him the relief to which he is entitled
A: This is a part of the pleading which states the under the facts as proven. (Guidotte v Yeung, CA-CR
relief or reliefs prayed for by the parties. No. 6268, July 10, 1951)

Form 4: Prayer

PRAYER

WHEREFORE, it is respectfully prayed, after notice and hearing, that the defendant be ordered to pay
the plaintiff the amount of One Million Pesos (Php1,000,000.00) for actual and compensatory damages, Fifty
Thousand Pesos (Php50,000.00) for moral damages, Fifty Thousand Pesos (Php50,000.00) for exemplary
damages and Fifty Thousand Pesos (Php50,000.00) for attorney’s fees.

Other reliefs just and equitable under the circumstances are also prayed for.

5. PROOF OF SERVICE

Form 5: Proof of Service

Copy furnished through personal service:


Atty. __________ Received By: ______
Counsel for _______________ Date: ____________
(Firm Name)
(Office Address)

Form 6: Proof of Service Through Registered Mail with Explanation

Copy furnished through registered mail:


Atty.____________ Registry Receipt
No.___________
Counsel for ______ Date: _______________
(Firm Name) Post Office:
____________
(Office Address)

EXPLANATION

Pursuant to the Rules of Court, service of the above (designation of pleading or document) was effected
through registered mail because of the impracticability of personal service. The office of the undersigned counsel
is located at (Makati City for example) while that of the adverse counsel is located at (Baguio City for example),
and there are no messengerial personnel in the employ of the undersigned counsel who could effect personal
service.

Name and signature

6. CERTIFICATION OF NON-FORUM SHOPPING and simultaneously filed therewith, where the


party:
Q: What is a certificate of non-forum shopping?
a. Certifies that he has not theretofore
A: It is a certification under oath in the complaint or commenced any action or filed any claim
other initiatory pleading asserting a claim for relief, involving the same issues in any court,
or in a sworn certification annexed to such pleading tribunal or quasi-judicial agency and, to

180
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

the best of his knowledge, no such other requirements shall not be curable by mere
action or claim is pending. amendment of the complaint or other initiatory
b. If there is such other pending action or pleading. (Suarez, 2007)
claim, gives a complete statement of the
present status thereof Note: Submission of a false certification or non-
c. Undertakes that if he should thereafter compliance with any of the undertakings shall
learn that the same or similar action or constitute indirect contempt of court, without
claim has been filed or is pending, he shall prejudice to the corresponding administrative and
report that fact within five (5) days criminal actions.
therefrom to the court wherein his
aforesaid complaint or initiatory pleading Q: Who executes the certification against forum
has been filed. shopping?

Q: What is the consequence on failure to execute A: The plaintiff or principal party


such certification when necessary?
Q: When should the certification be executed?
A: Failure to comply shall be cause for dismissal of
the case without prejudice, unless otherwise A: It is executed simultaneously with a complaint or
provided, upon motion and hearing. The foregoing any other initiatory pleading.

Form 7: Certification of Non-forum Shopping

Republic of the Philippines)


City of _______________) S.S.

(Person verifying) after having been duly sworn deposes and says:

That he is the (usually the one executing is the plaintiff but it may be the defendant in the case of a
permissive counterclaim) in the above-entitled case and he certifies that he has not heretofore commenced any
action or filed any claim involving the same issues before any other court, tribunal or quasi-judicial agency, that to
the best of his knowledge, there is no other pending action or claim, and that if he should thereafter learn that
the same or similar action or claim has been filed or is pending, he shall report such fact within five (5) days
therefrom to this Honorable Court.

Party executing

JURAT

7. VERIFICATION 2. Answer, if there are actionable


documents
What is verification? 3. Petition for review under Rule
42, RRC
A: It is a statement, under oath that the pleading is 4. Appeal from CTA and quasi-
true. It includes both the actual swearing to the judicial agencies to the CA (Rule
truth of the statements by the subscriber and also 43, RRC)
the certification thereto by the notary or other 5. Appeal by certiorari under Rule
officer authorized by law to administer oaths. 45, RRC
(Pamaran, 2004) 6. Certiorari, prohibition and
mandamus (Rule 65, RRC)
Q: When is verification necessary?
Q: What are the contents of verification?
A: Verification is necessary only when the law or
rule specifically requires it. Example, under the A: It contains a statement that an affiant has read
Rules of Court, verification is necessary in the the pleading, that he has caused the preparation of
following pleadings: said pleading and that the allegations therein are
1. Complaint and other initiatory true and correct based on authentic records and of
pleadings his personal knowledge.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
181
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 8: Verification

Republic of the Philippines)


City of _______________ ) S.S.

(Person verifying) after having been duly sworn deposes and says that he is the (designation) in the
above-entitled (name of pleading); that he has caused its preparation; that he has read it and the allegations
therein are true and correct based on his personal knowledge and based on authentic records.

Party verifying

JURAT

Form 9: Verification and Certification of Non-forum Shopping

Republic of the Philippines)


City of ________________) S.S.

(Person verifying) after having been duly sworn deposes and says:

1. That he is the (designation) in the above- entitled (name of pleading); that he has caused its preparation; that
he has read it and the allegations therein are true of his own personal knowledge and based on authentic records;

2. That he certifies that he has not heretofore commenced any action or filed any claim involving the same issues
before any other court, tribunal or quasi-judicial agency, that to the best of his knowledge, there is no other
pending action or claim, and that if he should thereafter learn that the same or similar action or claim has been
filed or is pending, he shall report such fact within five (5) days therefrom to this Honorable Court.

Party executing

JURAT

B. BUSINESS FORMS others, or reciprocally, to the fulfillment of a


prestation to give, to do or not to do.
Note: Conveyance is a deed whereby the ownership of
a real property is transferred from one person to Q: What are the parts of a contract of lease of
another. (Suarez, 2007) personal property?

1. CONTRACTS A: TAP-WAC-SA
[1] Title
A contract is a meeting of minds between two [2] Announcement
persons whereby one binds himself, with respect to [3] Parties
the other, to give something or to render some [4] Conditions or terms
service. (Art. 1305, NCC) [5] Signatures
[6] Acknowledgement
Contract is a juridical convention manifested in
legal form, by virtue of which one or more persons
or parties bind themselves in favor of another or

182
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 10: Contract of Lease of Personal Property

[1] Contract of Lease

[2] Know All Men by These Presents:

That [3] __________, of legal age, (citizenship), (single/married) an resident of ______, Philippines,
hereby leases his/her car (make/model), with Plate No. ____, Motor No. ____ and Engine No. ____ to [3] _____,
of legal age, (citizenship), single/married, and resident of _____, who hereby accepts to lease the said motor
vehicle, subject to the following terms and conditions:

[4] (State terms and conditions)

IN WITNESS WHEREOF, the parties have hereunto set their hands this ____day of ___,2012, in ______,
Philippines.

[5]FELIPE DE GUZMAN ARTHUR MIRANDA


Lessor Lessee

[6] (ACKNOWLEDGMENT)

Q: What are the parts of a contract of lease of real


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

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
183
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 11: Contract of Lease of Real Property

[1] Contract of Lease

[2] Know All Men by These Presents:

This Contract of Lease is made and executed by and between:

[3] FELIPE DE GUZMAN, of legal age, Filipino, married to Linda Conanan, with address at # 28 Aurora Blvd.,
Quezon City, hereinafter called the LESSOR;

- and -

ARTHUR MIRANDA, of legal age, Filipino, married to Agnes Sison, with address at # 30 Aurora Blvd.,
Quezon City, hereinafter called the LESSEE;

Witnesseth that:

[4] WHEREAS, the LESSOR is the true and absolute owner of a residential house and lot located at #30 Aurora
Boulevard, Quezon City, herein after referred to as “Property”; and

WHEREAS, the LESSOR leases unto the lessee, and the latter hereby accepts the lease from the former.

[5] NOW THEREFORE, for and in consideration of the above premises and covenants provided below, the LESSOR
hereby leases the PROPERTY to the LESSEE who accepts it [6] under the following terms and conditions:

1. The lease shall be for one year from execution of this agreement;
2. The monthly rental on the PROPERTY leased shall be P5,000.00, payable in advance within the first five (5)
days of each month;
3. All ordinary repairs concerning the PROPERTY shall be for the sole account and expense of the LESSEE,
without right to reimbursement;
4. The LESSEE shall use the PROPERTY exclusively for family dwelling, and shall have no right to use the same
for business and other purposes;

The Lessee hereby acknowledges that he has received the Property in good, habitable condition and
undertakes to maintain that such condition throughout the duration of the lease.

[7] FELIPE DE GUZMAN ARTHUR MIRANDA


Lessor Lessee

With my marital consent:


Zenaida de Guzman

Signed in the Presence of:


_____________________ ________________

[8] (ACKNOWLEDGMENT)

Q: What are the parts of a real estate mortgage? [4] Mortgagee


[5] Conveyance of real property with technical
A: VeT-MAm-CODAck description
[1] Venue and Title [6] Ownership of real property
[2] Mortgagor [7] Discharge of mortgage
[3] Amount of loan [8] Acknowledgment

184
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 12: Contract of Real Estate Mortgage

[1] Real Estate Mortgage

Know All Men By These Presents:

[2] I, ______________, of legal age, Filipino, single/married to __________ and with residence at
________, Philippines, for and in consideration of [3]________________ Pesos (Php__________), Philippines
currency, to me and in hand paid by [4] _____________ of legal age, Filipino, single/married to __________ and
with residence at ________, Philippines, do hereby convey, by way of MORTGAGE unto said _________(full name
of the mortgagee), his/her heirs and assigns, that certain parcel of land, together with all the buildings and
improvements thereon, situated in _______, particularly described as follows:

[5] (description of property)

“Containing an area of ___ square meters, more or less.


xxx xxx xxx

Bounded on the S. along 1-2 by Lot 1234; on the W. along lines 2-3-4-5-6 by Lot 4567; on the N. along lines 7-8-9
by Lot 2345 and on the E. along line 9-1 by Lot 3456, all Cad-7890, Manila Cadastre.”
xxx xxx xxx

[6] Of which real property I am the registered owner as evidenced by Original/Transfer Certificate of
Title No. ____ of the Registry of Deeds of ____: [7] PROVIDED, HOWEVER, that if said __________(Full name of
mortgagor) shall pay or cause to be paid to the said (Full name of mortgagee), his heirs or assigns, the said sum of
___________ pesos (Php________), Philippine Currency, within the period of ___________ (__) years from and
after the execution of this MORTGAGE together with the interest thereon at the rate of _______ per centum
(__%) per annum, this MORTGAGE shall be discharged and be of no effect; OTHERWISE, it shall remain in full force
and effect and shall be enforceable in the manner provided for by law.

IN WITNESS WHEREOF, these presents are signed at the City of ____, Philippines, on this ____ day of
____, 2012.

________________ _______________
Mortgagor Mortgagee

With my marital consent (if married):


__________________
(Wife of mortgagor)

Signed in the Presence of:


_______________ ________________

[8] (ACKNOWLEDGMENT)

Q: What are the parts of a Chattel Mortgage? [4] Fact that the property was given as a Security
A: Vet-PeCon-SDAGJ for a loan or a copy of the PN
[1] Venue and Title [5] Discharge of the mortgage
[2] Personal Circumstances of the Parties [6] Acknowledgment
[3] Conveyance of mortgage and technical [7] Affidavit of Good Faith
description of personal property [8] Jurat

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
185
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 13: Chattel Mortgage

Know All Men By These Presents:

[2] JUAN DE LA CRUZ, of legal age, Filipino, single with residence at _______________________,
hereinafter referred to as the “MORTGAGOR”

and

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

WITNESSETH: That:

[3] The Mortgagor does hereby convey by way of chattel mortgage unto the Mortgagee, the following
described personal property, ordinarily situated and presently in the possession of the said Mortgagor, to wit:

(Specify and describe the article/s mortgaged)


Make and type:
Serial/Chassis No.:
Motor No.:
Plate No.:

[4] That this Chattel Mortgage is given as security for the payment to the Mortgagee, of a certain
promissory note, dated ______ for the sum of ___________ Pesos (Php_______), Philippine Currency, with
interest thereon at the rate of _____ per centum (___%)per annum, according to the terms and in the words and
figures following: (option 2: attach the promissory note and make reference to such attachment)

(Copy of the promissory note)

Date______
P_____________

_____ days after date, I, ______, promise to pay to the order of ______, the sum of _____ pesos
(Php______).

Maker_____

[5] That the condition of this Chattel Mortgage is such that if the said Mortgagor, his heirs, executors, or
administrators shall well and truly perform the full obligation above-stated according to the terms thereof, this
Chattel Mortgage shall be discharged and be of no effect, otherwise, it shall remain in full force and effect and
shall be enforceable in the manner provided by law.

IN WITNESS WHEREOF, the parties have hereunto set their hands this ___ day of ____ 2012 in _____,
Philippines.

________________ _______________
Mortgagor Mortgagee

Signed in the Presence of:

______________ ________________

[6] (ACKNOWLEDGMENT)
[7] (AFFIDAVIT OF GOOD FAITH)
[8] (JURAT)

186
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 14: Pledge Agreement

This AGREEMENT, made and entered into this ___ day of ____ 2012 by and between __________, of
legal age, Filipino, single and residing at _____, Philippines, now and hereinafter called the Pledgor, and
_____________, likewise of legal age, married and residing at ________, Philippines, now and hereinafter called
the Pledgee.

Witnesseth that:

WHEREAS the Pledgor has executed a promissory note dated ____, 2011 in favor of the Pledgee and
made payable within ___ (___) days after date at _______. Philippines, for the amount of _____ (Php______),
Philippine currency;

WHEREAS, the Pledgor has agreed with the Pledgee to secure the payment of said note;

NOW, THEREFORE, for and in consideration of the premises and mutual covenants herein contained,
the Pledgor has, as collateral security for the payment of the aforementioned note and by way of pledge,
deposited with the said Pledgee the following personal property of his own exclusive ownership, and of which he
has the free disposal, to wit:

(Description of the property)

And the said parties to this instrument agree that the Pledgee who acknowledges the receipt of the
aforementioned personal property of the Pledgor shall take good care of the said property until redeemed by the
said Pledgor;

That should the said note or any part thereof, or interest to grow thereon, remain due and unpaid, after
the note shall have been due, according to the terms thereof, the said Pledgor, irrevocably empowers and
authorizes the said Pledgee, his heirs, executors, administrators and assigns, to sell or dispose of the above-
mentioned property or any part thereof at public auction as provided for in Article 2112, of the Civil Code, from
the proceeds of such sale to pay the principal and interests due therefore, otherwise, this Agreement shall
become null and void and of no further effect and the above-named securities are to be returned to the Pledgor.

IN WITNESS WHEREOF, we have set our hands this ____ day of ____, 2012 at ______, Philippines.

____________________ __________________
Pledgor Pledgee

In the Presence of:


__________________ __________________

2. DEED A: A deed, once executed and delivered is


irrevocable in the absence of reservation of the
Q: What is a deed? right to revoke. On the other hand, a will operates
only upon and by reason of the death of the maker.
A: A deed is a written instrument under seal During his lifetime, it is ambulatory and revocable.
containing a contract or agreement which has been
delivered by the parties to be bound and accepted Q: What are the typical parts of a deed?
by the obligee or covenantee. (Suarez, 2007)
A: TAP-CAP-SA
Note: In a deed, a person disposes of his property or [1] Title
right in favor of another. [2] Announcement
[3] Party one
Q: What is the difference between a deed and a [4] Consideration
will? [5] Act or Conveyance

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
187
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

[6] Party two convert it into a deed of assignment, a deed of


[7] Signatures easement of right of way, a deed of real estate
[8] Acknowledgment mortgage, a deed of chattel mortgage, and others.

Note: You can use this pattern for all kinds of deeds.
You need only vary the “act or conveyance” portion to

Form 15: Deed of Sale of Personal Proper

[1] DEED OF SALE OF MOTOR VEHICLE

[2] KNOW ALL MEN BY THESE PRESENTS:

[3] I, ANGEL CRUZ, of legal age, Filipino, married, with address at No. 12 Apo St., Quezon City (SELLER), [4] for and
in consideration of the sum of One Hundred Thousand Pesos (P100,000.00), [5] hereby sell, convey, and transfer
my motor vehicle, more particularly described as follows:
Make ________, Type ________, Motor No. ________,
Serial/Chassis No. ___________, File No.___________,
Reg. Cert. No. ______________, Plate No.__________,

[6] to RICARDO LIM, of legal age, married, with postal address at No. 2 Bangkal St., Manila (BUYER).

[7] ANGEL CRUZ


Seller

With my consent:
Helen Cruz
Wife

[8] ACKNOWLEDGMENT

Form 16: Deed of Sale of Unregistered Land

DEED OF ABSOLUTE SALE

Know All Men By These Presents:

I, ____________, of legal age, Filipino, single, and resident of _______________ (VENDOR), for and in
consideration of the amount of ______________, paid to me today by _______________, of legal age, Filipino,
single and resident of _______________(VENDEE), do hereby SELL, TRANSFER, and CONVEY absolutely and
unconditionally unto said ____________ that certain parcel(s) of land, together with the buildings and
improvements thereon situated in the City of Makati, and more particularly described as follows:

(description: state the nature of each piece of land and its improvements, situations and boundaries,
area in square meters, whether or not the boundaries are visible on the land by means of monuments or
otherwise; and if they are, what they consist of, the permanent improvements, if any, the page number of the
assessment of each property for current year(s) when registration is made, the assessed value of the property for
the year)

It is hereby declared that the boundaries of the foregoing land are visible by means of
_______________; that permanent improvements existing thereon consist of ________ (if none, state so); that
the land is assessed for the current year at Php___________ as per Tax Declaration No.________, and the
buildings and/or improvements, at Php___________ as per Tax declaration No._______________, of the City
Assessor of Makati.

188
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

The above described real estate, not having been registered under Act No. 496 nor under the Spanish
Mortgage Law, the parties hereto have agreed to register this instrument under the provisions of Sec. 194 of the
Revised Administrative Code, as amended.

IN WITNESS WHEREOF, I have signed this deed this ____ day of ______, 2012 at _________.

________________

(Vendor)

With my consent:
___________________
(Vendor’s wife)

Signed in the Presence of:


_______________ _______________

Acknowledgment

Form 17: Deed of Sale with Pacto de Retro

DEED OF SALE WITH PACTO DE RETRO

Know All Men By These Presents:

This Deed of Sale with Pacto de Retro made and executed by and between:

____________________, of legal age, Filipino, married to ______, with residence at ______________


(Vendor);

-and-

__________________, Filipino, of legal age, married to _________, with residence at


________________ (Vendee);

WITNESSETH: That

The VENDOR is the absolute owner of a certain parcel of land with all the buildings and improvements
thereon, situated in the City of Makati, covered by Transfer (or Original) Certificate of Title (TCT/OCT)
No.__________ issued by the Registry of Deeds of Makati City and more particularly described as follows:

(Copy technical description in TCT/OCT)

The VENDOR, for and in consideration of the amount of _________ Pesos (Php________), to him paid
by VENDEE and receipt of which is acknowledged, does hereby SELL, TRANSFER and CONVEY under pacto de retro
unto the said VENDEE, his heirs and assigns, the said property with all the buildings and improvements thereon,
free from all liens and encumbrances whatsoever;

The VENDOR, in executing this conveyance, hereby reserves the right to REPURCHASE, and the VENDEE,
in accepting the same, hereby obligates himself to RESELL the property herein conveyed within a period of _____
years from date of this Deed for the same price of ______ (Php_______); provided, however, that if the VENDOR
shall fail to exercise his right to repurchase as herein granted within the period provided, then this conveyance
shall become absolute and irrevocable, without need of a new Deed of Absolute Sale, subject to the requirements
of law regarding consolidation of ownership of real property.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
189
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

IN WITNESS WHEREOF, the parties have signed this Deed this ____ day of ____, 2012 at _________.

________________ ________________
(Vendor) (Vendee)

With my consent:
___________________
(Vendor’s wife)

Signed in the Presence of:


_________________ _________________

Acknowledgment

Form 18: Deed of Repurchase of Land Sold Under Pacto de Retro

DEED OF RESALE

Know All Men By These Presents:

I, ______________, of legal age, Filipino, married to ______, with residence at ______________


(VENDOR), for and in consideration of __________________ Pesos (Php___________), to me paid by
_______________, of legal age, Filipino married and resident of ____________________ (VENDEE), do hereby
RESELL, RETRANSFER and RECONVEY unto said ___________that certain parcel of land, with all the buildings and
improvements thereon, situated at Makati City, covered by Transfer (or Original) Certificate of Title No. _____ of
the Registry of Deeds of Makati City, and more particularly described as follows:

(Copy technical description of title)

and which property was previously sold under pacto de retro by the said ____________, executed
before Notary Public ______ and bearing Notarial Registration No. ____, Page No. ____, Book No. ____ and Series
of 2012 of his Notarial Register, a copy of which is attached as ANNEX A.

IN WITNESS WHEREOF, the parties have signed this Deed this ____ day of ____, 2012 at Makati City.

________________ ________________
(Vendor) (Vendee)

With my consent: With my consent:


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

Signed in the Presence of:


_________________ _________________

Acknowledgment

190
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 19: Deed of Assignment

DEED OF ASSIGNMENT

Know All Men By These Presents:

That I, _____, of legal age, Filipino, single/married to __________ and residing at _____________,
Philippines (ASSIGNOR), for and in consideration of the sum of ___________ Pesos (Php______________) to me
and in hand paid by ______________, of legal age, Filipino, single/married to _______________, and residing at
____________, Philippines (ASSIGNEE), the receipt of which is hereby acknowledged, do hereby sell, assign,
transfer and set over unto said _____________, his heirs, executors, administrators and assigns, a certain debt
now due and owing to me by _________________, of legal age, Filipino, single/married to _______, and residing
at ______________, Philippines, amounting to ________________ Pesos (Php___________), plus interest due
and accruing thereon, for money loaned by me to the said ______________.

And I do hereby grant said __________, his heirs, executors, administrators and assigns, the full power
and authority, for his/their own use and benefit, but at his/their own cost and expense, to demand, collect,
receive, compound, compromise and give acquaintance for the same or any part thereof, and in my name and
stead or otherwise to prosecute and withdraw any suit or proceeding thereof.

And I do hereby agree and stipulate to and with said ____________, his heirs, assigns, executors,
administrators and assigns that the said debt is justly owing and due to me from said _________ and that I have
not done and will not cause anything to be done that will diminish or discharge said debt, or to delay or prevent
said ________, his heirs, assigns, executors or administrators, from collecting the same.

And I further agree and stipulate as aforesaid that I, my heirs, executors, administrators, assigns, shall
and will at all times hereafter at the request of said __________, his heirs, executors, administrators and assigns
at his cost and expense, execute and do all such further acts and deeds as shall be reasonably necessary for
proving said debt and to more effectually enable him to recover same in accordance with the true intent and
meaning of these presents.

IN WITNESS WHEREOF, we have hereunto set our hands on this __ day of ______, 2008 at the city of
_____________.

___________________________
(Assignor)
___________________________
(Assignee)

In the presence of:


______________________
______________________

Acknowledgment

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
191
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 20: Deed of Donation Inter Vivos

Know All Men By These Presents:

This DEED OF DONATION made and executed in ____________, Philippines, by _______________, of


legal age, single/married to ______________, Filipino citizen and with residence and postal address at
________________, hereinafter called the DONOR

-In favor of-

_____________, of legal age, single/married to ____________, Filipino citizen and with residence and
postal address at ________________, hereinafter called the DONEE

WITNESSETH:

WHEREAS, the Donor is the absolute owner of that certain real property situated at ____________--
and more particularly described as follows:

(Description of Property)

“Containing an area of ___ square meters, more or less.


xxx xxx xxx
Bounded on the S. along line 1-2 by Lot 1234; on the W. along lines 2-3-4-5-6 by Lot 4567; on the N. along lines 7-
8-9 by Lot 2345 and on the E., along line 9-1 by Lot 3456, all Cad-7890, Manila Cadastre.
xxx xxx xxx

NOW, THEREFORE, for and in consideration of the love and affection of the Donor for the Donee (and
for the faithful services the latter has rendered in the past to the former), the said DONOR by these presents,
hereby cedes, transfers and conveys, by way of donation, unto said Donee the real property above described,
together with all the buildings and improvements existing thereon, free and clear of all liens and encumbrances.

That the Donor hereby states that, for the purpose of giving effect to the donation, he has reserved for
himself in full ownership sufficient property to support him in a manner appropriate to his needs.

ACCEPTANCE

That the Donee hereby accepts the foregoing donation of the above-described property for which
he/she expresses his/her sincerest appreciation and gratitude for the kindness and liberality shown by the Donor.

IN WITNESS WHEREOF, we have hereunto signed this deed of sale, this _____ day of ______, 2012 at
_____________, Philippines.

__________________

Donor

Accepted:
__________________
Donee

Signed in the presence of:


__________________ _______________

JOINT ACKNOWLEDGMENT

192
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 21: Deed of Donation Mortis Causa

Know All Men By These Presents:

This DEED OF DONATION made and executed in ____________, Philippines by _______________, of legal age,
single/married to ______________, Filipino citizen and with residence and postal address at ________________,
hereinafter called the DONOR, in favor of _____________, of legal age, single/married to ____________, Filipino citizen
and with residence and postal address at ________________, hereinafter called the DONEE

WITNESSETH:

That the Donor is the absolute owner of that certain real property situated at ____________ and more
particularly described in Original/Transfer Certificate of Title No. _____ of the Land Registry of ______, as follows:

(Description of Property)

“Containing an area of ___ square meters, more or less.


xxx xxx xxx
Bounded on the S. along 1-2 by Lot 1234; on the W. along lines 2-3-4-5-6 by Lot 4567; on the N. along lines 7-8-9 by Lot
2345 and on the E., along line 9-1 by Lot 3456, all Cad-7890, Manila Cadastre.
xxx xxx xxx

That for and in consideration of the love and affection which the Donor has for the Donee, said Donor by
these presents do hereby cedes, transfers and conveys unto said Donee the real property above described, together
with all the buildings and improvements existing thereon, to become effective upon the death of the Donor, but in the
event that the Donee should die before the Donor, the present donation shall be deemed rescinded and of no further
force and effect.

That the Donee does hereby accepts this donation of the above-described real property and do hereby
expresses gratitude for the kindness and liberality of the Donor.

That the Donor hereby retains the right to rescind the right to control and dispose at will the above-described
property before his death, without need of the consent or intervention of the Donee.

IN WITNESS WHEREOF, we have hereunto signed this deed of sale, this _____ day of ______, 2012 at
_____________, Philippines.

___________________ ___________________
(Donor) (Donee)

ATTESTATION CLAUSE

We, the undersigned attesting witnesses, whose residences are stated opposite our respective names, do
hereby certify: That the donor, ________, has made known unto us the foregoing donation mortis causa consisting of
____ pages numbered correlatively in letters on the upper part of each page, as her donation mortis causa and has
signed the same and every page therein in the left margin, in our joint presence and we, in turn, at his request have
witnesses and signed the same and every page thereof, on the left margin, in the presence of the donor and in the
presence of each and all of us.
__________________________ ___________________________________________
(name and signature of witness) (residence)
__________________________ ___________________________________________
(name and signature of witness) (residence)
__________________________ ___________________________________________
(name and signature of witness) (residence)

JOINT ACKNOWLEDGMENT

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
193
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

3. POWER OF ATTORNEY
Q: What are the parts of a general power of
Q: How is a General Power of Attorney different attorney?
from Special Power of Attorney?
A: VeT-PAP-GA
A: A special power of attorney is a very limited [1] Venue and Title
power of attorney as it allows the Attorney-in-Fact [2] Personal Circumstance
to do only those things specified by the principal. [3] Appointment operative words
The authority granted is usually very limited and [4] Power
clearly defined in the power of attorney form. A [5] Granting authority operatives
general power of attorney allows the Attorney-in- [6] Acknowledgment
Fact to do anything the principal would legally be
able to do in his name.

Form 22: General Power of Attorney

KNOW ALL MEN BY THESE PRESENTS:

[2] I, ____________, of legal age, Filipino, single/married to ____________, resident of ___________,


do hereby [3] name, constitute and appoint ____________, of legal age, Filipino, single/married, resident of
___________, to be my true and lawful attorney-in-fact, and in my name, place and stead, to do and perform the
following acts, to wit:

[4] (specify general acts that Attorney-in-Fact may do)

[5] GIVING AND GRANTING unto the said Attorney-in-Fact full power and authority necessary to carry out the acts
stated above as fully to all intents and purposes as I might or could lawfully do if personally present, with full
power of substitution, and hereby ratifying and confirming all that my said attorney-in-fact or his substitute shall
lawfully do or cause to be done under and by virtue of these presents.

IN WITNESS WHEREOF, we have set our hands this __day of __________, 2012, in ___________, Philippines.

_________________
(Principal)

Conforme:
___________________
(Attorney-in-Fact)

Signed in the presence of:


________________ _________________

[6] JOINT ACKNOWLEDGMENT

194
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Q: What are the parts of a special power of [3] Appointment operative words
attorney? [4] Power
A: VeT-PAP-GA [5] Granting authority operatives
[1] Venue and Title [6] Acknowledgment
[2] Personal Circumstance

Form 23: Special Power of Attorney

KNOW ALL MEN BY THESE PRESENTS:

[2] I, ____________, of legal age, Filipino, single/married to ____________, resident of ___________,


do hereby [3] name, constitute and appoint ____________, of legal age, Filipino, single/married, resident of
___________, to be my true and lawful attorney-in-fact, for me and in my name, place and stead within the
period of ____ months (or years), [4] to SELL, TRANSFER and CONVEY, for the price not less than ___________
Pesos (Php_____), Philippine Currency, to whosoever may purchase or buy the parcel of land, with (or without)
improvements, located in __________, and more particularly described, to wit:

(copy technical description of property from the TCT)

of which I am the registered owner in fee simple, my title thereto being evidenced by Transfer/Original Certificate
of Title No. _______________, issued by the Registry of Deeds of _________, free from all liens and
encumbrances; and,

[5] HEREBY GIVING AND GRANTING unto the said attorney-in-fact full powers and authority to do and
perform all and every act requisite or necessary to carry into effect the foregoing authority to sell, as fully to all
intents and purposes as I might or could lawfully do if personally present, with full power of substitution, and
hereby ratifying and confirming all that the said attorney or his substitute shall lawfully do or cause to be done by
virtue hereof.

IN WITNESS WHEREOF, we have set our hands this __day of __________, 2012, in ___________,
Philippines.

_________________
(Principal
)

Conforme:
___________________
(Attorney-in-Fact)

Signed in the presence of:


____________________ ______________________

[6] JOINT ACKNOWLEDGMENT

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
195
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 24: Revocation of Power of Attorney

KNOW ALL MEN BY THESE PRESENTS:

WHEREAS, I, _________________, of legal age, Filipino, single/married to ___________, resident of


_______________, by certain public instrument made and executed in _______________ on ________________
before ____________, Notary Public for and in the City of ____________, and bearing Notarial Register No. ___,
Page No. ___, Book No. ___, Series of 20__ of his notarial register, did name, constitute, and appoint
______________, resident of _______________ as my true and lawful ATTORNEY-IN-FACT, for the purpose and
with powers mentioned in the said public instrument.

WHEREAS, the said public instrument or Power of Attorney, was duly registered in the Office of the
Register of Deeds of _______ on ___________, 20__, as per Entry No. ___, Vol.___, Book___ of said Office.

NOW, THEREFORE, I _______________, by virtue of these presents, hereby REVOKE, ANNUL, and make
VOID the said power of attorney and all powers and authority therein or thereby given and granted, or intended
to be given or granted to said _______________.

IN WITNESS WHEREOF, I have hereunto set my hand this ______ day of ______________, 20__, in
______________, Philippines.

_________________

(signature)

Signed in the presence of:


_____________________ ______________________

ACKNOWLEDGMENT

4. CORPORATION

Form 25: Articles of Incorporation

ARTICLES OF INCORPORATION
OF ___________(Name of Corporation)

KNOW ALL MEN BY THESE PRESENTS:

The undersigned incorporators, all of legal age and a majority of whom are residents of the Philippines, have this
day voluntarily agreed to form a stock (non-stock) corporation under the laws of the Republic of the Philippines;

AND WE HEREBY CERTIFY:

FIRST: That the name of said corporation shall be “.............................................., INC. (NB: Must end with Inc.,
Incorporated, Corp. or Corporated)

SECOND: That the purpose or purposes for which such corporation is incorporated are: (If there is more than one
purpose, indicate primary and secondary purposes);

THIRD: That the principal office of the corporation is located in the City/Municipality of
............................................., Province of .................................................., Philippines;

FOURTH: That the term for which said corporation is to exist is fifty years from and after the date of issuance of
the certificate of incorporation;

196
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

FIFTH: That the names, nationalities and residences of the incorporators of the corporation are as follows:

NAME NATIONALITY RESIDENCE


..................................... ..................................... .....................................
..................................... ..................................... .....................................
..................................... ..................................... .....................................
..................................... ..................................... .....................................
..................................... ..................................... .....................................

SIXTH: That the number of directors of the corporation shall be .............; and the names, nationalities and
residences of the first directors or trustees of the corporation who are to serve until their successors are elected
and qualified as provided by the by-laws are as follows:

NAME NATIONALITY RESIDENCE


..................................... ..................................... .....................................
..................................... ..................................... .....................................
..................................... ..................................... .....................................
..................................... ..................................... .....................................
..................................... ..................................... .....................................

SEVENTH: That the authorized capital stock of the corporation is ................................. (P......................) Pesos
in lawful money of the Philippines, divided into ............... shares with the par value of ...................................
(P.......................) Pesos per share.

(In case all the share are without par value):


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

EIGHTH: That the amount of said capital stock which has been actually subscribed is __________________ Pesos
(P________________) and the following persons have subscribed for the number of shares and amount of capital
stock set out after their respective names which constitutes at least twenty five (25%) per cent of the authorized
capital:

Name of Subscriber Residence Nationality No. of Shares Amount Subscribed


.................................. .................... ........................ ....................... .......................
.................................. .................... ........................ ....................... .......................
.................................. .................... ........................ ....................... .......................
.................................. .................... ........................ ....................... .......................
.................................. .................... ........................ ....................... .......................

NINTH: That the above-named subscribers have paid at least twenty-five (25%) percent of the total subscription
as follows:

Name of Subscriber Amount Subscribed Total Paid-In


................................... ...................................... ...............................
................................... ...................................... ...............................
................................... ...................................... ...............................
................................... ...................................... ...............................
................................... ...................................... ...............................

(Modify Nos. 8 and 9 if shares are with no par value. In case the corporation is non-stock, Nos. 7, 8 and 9 of the
above articles may be modified accordingly, and it is sufficient if the articles state the amount of capital or money
contributed or donated by specified persons, stating the names, nationalities and residences of the contributors
or donors and the respective amount given by each.)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
197
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

TENTH: That ....................................... has been elected by the subscribers as Treasurer of the
Corporation to act as such until his successor is duly elected and qualified in accordance with the by-laws, and
that as such Treasurer, he has been authorized to receive for and in the name and for the benefit of the
corporation, all subscription (or fees) or contributions or donations paid or given by the subscribers or members.

ELEVENTH: That no transfer of stock or interest which shall reduce the ownership of Filipino citizens to less than
the required percentage of the capital stock as provided by existing laws shall be allowed or permitted to
recorded in the proper books of the corporation and this restriction shall be indicated in all stock certificates
issued by the corporation.

TWELFTH: That the incorporators undertake to change the name of the corporation immediately upon receipt of
notice or directive from the Securities and Exchange Commission that another corporation, partnership or person
has acquired a prior right to the use of that name or that the name has been declared as misleading, deceptive,
confusingly similar to a registered name, or contrary to public morals, good customs or public policy.
IN WITNESS WHEREOF, we have hereunto signed these Articles of Incorporation, this ........ day of
..........................., 2012 in the City/Municipality of ........................................, Province of
................................., Republic of the Philippines.

............................................ ............................................
............................................ .............................................
................................................

(Names and signatures of the incorporators WITH Taxpayer Identification Number)

SIGNED IN THE PRESENCE OF:

....................................... .............................................

(Acknowledgment)

Form 26: Waiver of Pre-emptive Rights

WAIVER OF PRE-EMPTIVE RIGHTS

We, the stockholders of XXX REALTY DEVELOPMENT, INC. (the “Corporation”), hereby waive our right
to subscribe to the increase in the authorized capital stock (or additional issuance from the unissued capital stock,
as the case may be) of the Corporation from ONE BILLION PESOS (P1,000,000,000.00) to TWO BILLION PESOS
(P2,000,000,000.00), as approved by at least majority of the board of directors and stockholders owning or
representing at least two-thirds (2/3) of the outstanding capital stock of the Corporation in meetings both held on
___________________.

Signed this ___ day of ____________, 2012.

_________________________ _________________________
(Signature of Stockholder) (Signature of Stockholder)

________________________
(Signature of Stockholder)

198
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

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

Form 27: Secretary’s Certificate

Republic of the Philippines)


_____________________ ) S.S.

SECRETARY’S CERTIFICATE

[1] I, _______________, of legal age, Filipino, single/married with residence at ____________ after having been
sworn in accordance with law hereby depose and state that:

1. I am the corporate secretary of X corporation, a corporation duly organized and existing under the laws
of the Philippines with principal office at ______________;

2. As such officer of the Corporation, I have custody and access to all the corporate records of X
corporation;

3. [2]On _______________, the board of directors of X corporation, in a meeting duly called for the
purpose, wherein quorum was present and acted throughout, passed the following resolution;

Resolution No. ______________

RESOLVED as it is hereby RESOLVED, that the President, Mr. Jose Cruz, __________ be, as he is hereby
authorized to enter into a Service Agreement with Y Corporation

RESOLVED FURTHER that Mr. Cruz be authorized to negotiate and determine the terms and conditions of
said Agreement as may be beneficial to the Corporation, to sign, execute and deliver any and all
documents
necessary and desirable and to do such acts and deeds as may be proper and necessary to implement the
foregoing authority.

[3]The above-quoted resolution is still in force and has not yet been revoked by the board as of this date.

IN WITNESS WHEREOF, I have hereunto affixed my signature and the seal of the corporation, this ___
day of ____, 2012.

______________________________
(Name & Signature of
Secretary)
[4] JURAT

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
199
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Q: What does a treasurer’s affidavit contain? [3] Certification as to amount of subscription


received (25%-25% rule)
A: [4] Authority to examine account
[1] Name of treasurer [5] Jurat
[2] Election as treasurer

Form 28: Treasurer’s Affidavit

REPUBLIC OF THE PHILIPPINES


PROVINCE OF ______________ S.S.
CITY/MUNICIPALITY OF_______

TREASURER’S AFFIDAVIT

[1] I, _________________, of legal age, Filipino, single, after having been sworn in accordance with law,
hereby depose and state that:

1. [2] I have been elected by the subscribers as the Corporate Treasurer of


____________________________, to act until my successor has been duly elected and qualified in
accordance with the By-laws of the Corporation.

2. [3] As such Treasurer, I hereby certify under oath that at least 25% of the authorized capital stock of the
Corporation has been subscribed and that at least 25% of the total subscriptions has been paid, and
received by me in cash, in the amount not less that P5,000.00, in accordance with the Corporation Code.

3. [4] The Securities and Exchange Commission and Bangko Sentral ng Pilipinas are hereby authorized to
examine and verify the deposit in the ___________ , _________________ Branch, in my name as
treasurer
in trust for __________________________ in the amount of ___________________________ Pesos
(P________________) representing the paid-up capital of the said corporation which is in the process of
incorporation. This authority is valid and inspection of said deposit may be made even after the issuance
of
the Certificate of Incorporation to the corporation. Should the deposit be transferred to another bank
prior
to or after incorporation, this will also serve as authority to verify and examine the same. The
representative of the Securities and Exchange Commission is also authorized to examine the pertinent
books and records of accounts of the corporation as well as all supporting papers to determine the
utilization and disbursement of said paid-up capital.

In case the paid-up capital is not deposited or withdrawn prior to the approval of the Articles of
Incorporation, I, on behalf of the above named corporation, waive our right to a notice and hearing in the
revocation of our Certificate of Incorporation.

___________________________
(Treasurer’s name &
signature)

[5] JURAT

5. PARTNERSHIP [3] Purposes of partnership


[4] Principal Office address
Q: What are the contents of an Articles of [5] Managing partner and duties
Partnership? [6] Term of existence
[7] Capital contribution of each partner
A: PeN-POM-TeCa-DiSa-Dis-Jack [8] Division of profits
[1] Personal circumstances of the partners [9] Salary of managing partner
[2] Name of partnership [10] Dissolution of partnership

200
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

[11] Joint Acknowledgment

Form 29: Articles of General Partnership

ARTICLES OF PARTNERSHIP OF
______________________________________

KNOW ALL MEN BY THESE PRESENTS

[1] These Articles of Partnership made and executed by and among;


__________, (citizenship), residing at _______________________;
__________, (citizenship), residing at _______________________; and
__________, (citizenship), residing at _______________________; all of legal age,

WITNESSETH:

[2] They have formed a partnership among themselves under the name and style of _________________.

[3] The purposes for which said partnership is formed are: (here state purposes of the firm)

[4] The principal office for which said partnership shall be located is at _________________;

[5] It is hereby stipulated that ________________ shall be the partner upon whom the management of the
firm and the use of its signature shall be entrusted; that he shall exercise such powers necessary to attain the purpose of
this partnership, including the power to draw drafts, bills of exchange and other negotiable instruments and accept the
same the same for in the name of the firm; to appoint and dismiss employees and to fix their tenure and compensation;
to deposit money in banks and with the counter-signature of the Treasurer, withdraw the same for purposes of the
partnership; and (others).

[6] The term of existence of this partnership shall be ___ years commence from and after the execution of
these articles;

[7]The capital of the partnership as contributed by the partners is as follows, to wit:


__________________ Php______;
__________________ Php______;

Thereby making a TOTAL CAPITAL of Php______;

[8] The profits and losses shall be divided share and share alike among the partners of the partnership (or in
proportion to their respective capital);
The treasurer shall be ___________________;

[9] The managing partner is hereby given a salary of _____________Pesos (Php________) per month;

[10] If during the term of the partnership, any of the partners shall die, the partnership shall continue among
the surviving partners, unless one of the latter expressly requests for dissolution.

IN WITNESS WHEREOF, the parties have hereunto set their hands, this ___day of _______, 2012, in ____________,
Philippines.

_______________________
_______________________
_______________________
(Name and Signature of partners)

Signed in the Presence of:


___________________ ___________________

[11] JOINT ACKNOWLEDGMENT

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
201
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Q: What are the parts of the articles of limited [4] Principal place of business
partnership? [5] Term of existence
A: PNP-PrinTeC-DDJ [6] Capital contribution
[1] Personal circumstances of partners [7] Designation and salary of general partner
[2] Name of limited partnership should always be [8] Division of profits
accompanied by LTD after the name [9] Joint Acknowledgment
[3] Purposes of limited partnership

Form 30: Articles of Limited Partnership

ARTICLES OF PARTNERSHIP OF
______________________________ LTD

KNOW ALL MEN BY THESE PRESENTS:

[1] These Articles of Partnership made and executed by and among:


__________, general partner, (citizenship), residing at __________;
__________, general partner, (citizenship), residing at __________ ; (and)
__________, general partner, (citizenship), residing at __________; all of legal age,

WITNESSETH:

[2] That above-named partners have formed a limited partnership among themselves under the name
and style of _________________Ltd;

[3] That the purposes for which said partnership is formed are; (state the object or character of the
business);

[4] That the principal place of business of the partnership shall be at__________;

[5] That the term for which the partnership is to exist shall be ___ years from and after the execution of
this agreement;

[6] That the capital of this partnership shall be ____Pesos (Php__________), Philippine currency,
contributed by the partners, as follows, to wit:
_____________ (general partner)..... Php_______________;
_____________ (limited partner)...... Php_______________; and
_____________ (limited partner)...... Php_______________;

[7] That ___________, general partner, is hereby designated the manager of the partnership, with a
monthly salary of Php_______________;

[8] That the profits and losses shall be apportioned among the partners of the partnership___________
(state in what proportion they shall share in the profits and in the losses).

IN WITNESS WHEREOF, the parties hereto have hereunto set their hands this ____ day of ___________,
2012, in ___________________, Philippines.

_______________________
_______________________
(Name and Signature of partners)

Signed in the presence of:


__________________ _________________

[9] JOINT ACKNOWLEDGEMENT

202
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

6. NEGOTIABLE INSTRUMENTS

Form 31: Promissory Note

(Date)

P _________ _______________, Philippines

_____________ month (or days) after date, I promise to pay, for value received, to _______________ or
order the sum of ________________ Pesos, with interest at ____ per centum per annum until fully paid. The
makers and endorsers severally waive presentment for payment, protest and notice of non-payment of this note.

________________
(Maker
)

Form 32: Bill of Exchange


Manila, August ____, 2012

For value received, pay to ______ (name of payee) or order the sum of ______ (Php________) pesos, Philippine
Currency, and charge the same to the account of _______ (name of drawer).

_________________________
(Name & Signature of Drawer)

To: (Name of Drawee)


(Address)

7. WILL 2. Need not be acknowledged or subscribed


before a notary public
Note: A holographic will: 3. For purposes of its PROBATE, it is better that
1. Should be entirely written, dated and signed the signature of the testator of a holographic
by the hand of the testator (Art. 810, NCC) will be witnessed by at least three (3)
witnesses. (Art. 811, NCC)

Form 33: Holographic Will

(Date)

I, _____________________, of ________________, being of sound and disposing mind, do hereby


declare this to be my last will and testament which I have written in my own handwriting in English, a language
known to me, and I hereby declare that all my properties shall upon my death be distributed to my wife
______________ and to my only child ____________ share and share alike.

______________________
(Name &
Signature)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
203
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Note: A notarial will must be- [5] Testator and witnesses must sign in each and every
[1] In writing page thereof, except the last page, on the left margin
[2] In a language or dialect known to the testator [6] Pages should be numbered correlatively in letters
[3] Subscribed at the end by the testator or by on the upper part of each page
testator’s name written by a person in his presence [7] Attestation clause
[4] Attested and subscribed by at least three [8] Acknowledged before a notary public
instrumental witnesses (Art.797,798,802,819,NCC)

Form 34: Notarial Will

Last Will and Testament


of
____________________

Know All Men By These Presents:

I, ____________, of legal age, Filipino, single/ married to ____________, a native of _______________, now
actually residing at _____________, being of sound and disposing mind and memory, and not acting under
influence, violence, fraud or intimidation of whatever kind, by these presents declare this to be my Last Will and
Testament which I have caused to be written in English, the language which is known to me and I hereby declare
that:

The following are my children and their addresses:

(names and addresses)

I give and bequeath to my children ___________, _____________, and ______________, in equal shares, the
following properties, real and personal, whatsoever and wheresoever located:

(Description)

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

IN WITNESS WHEREOF, I have hereunto set my hand this ____ day of ________, 2012, in ____________,
Philippines.

__________________
(Signature of testator)

ATTESTATION CLAUSE

We, the undersigned attesting witnesses, whose residences are stated opposite our respective names, do hereby
certify: That the donor, ________, has made known unto us the foregoing donation mortis causa consisting of
____ pages numbered correlatively in letters on the upper part of each page, as her donation mortis causa and
has signed the same and every page therein in the left margin, in our joint presence and we, in turn, at his request
have witnessed and signed the same and every page thereof, on the left margin, in the presence of the donor and
in the presence of each and all of us.

__________________________ ___________________________________________
(name and signature of witness) (residence)
__________________________ ___________________________________________
(name and signature of witness) (residence)
__________________________ ___________________________________________
(name and signature of witness) (residence)

JOINT ACKNOWLEDGMENT

204
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Republic of the Philippines)


City of ___________ ) S.S.

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

Com. Tax Cert. Date and Sr. Citizen Place of


No. Place of Issue I.D. No. Issue

WITNESS MY HAND AND SEAL at the place and date first above stated.

NOTARY PUBLIC
For the City of ________
Commission Serial No. __
Until December 31, 201__
Office address _________
Roll No._______________
PTR OR No. ___________
issued at ______________
on ________________
IBP Membership No. ____
Doc. No.___
Page No.___
Book No. ___
Series of 201__

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

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
205
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

[5] Statement [7] Jurat


[6] Signature

Form 35: Affidavit

[1] REPUBLIC OF THE PHILIPPINES)


CITY OF MANILA ........................) S.S.

[2] AFFIDAVIT

[3] I, HENRY ROBLES, of legal age, married, residing at 5 V.G. Cruz, Sampaloc, Manila, [4] state under oath that:

1. [5] I am a licensed physician.

2. I examined accused Raul Ramos at 5 p.m. today and found him suffering from intestinal flu for which I
prescribed medicine and bed rest for three days.

[6] HENRY ROBLES


Affiant

[7] SUBSCRIBED AND SWORN to before me in the City of Manila, Philippines, this 10th day of July, 2012.
I have identified affiant through his LTO Driver's License No. N10-68-034785 dated May 22, 2012.

Name _______________________
Notary Public for (City/ Province)
Office Address of Notary Public
Appointment No. _______ until (date)
Roll of Attorney No. ___
PTR No.__, __ (date and place of issue)
IBP No. __, __ (date of issue) (chapter)
Serial No. of Commission_____
Doc. No._____;
Page No. ____;
Book No.____;
Series of 2012.

Q: What is an Affidavit of Merit?


Note: In executing an affidavit, the affiant’s primary
A: It is an affidavit which states that the defendant qualification is that he has knowledge of the facts
has a meritorious defense of a substantial and not which he states, and the truth of which he affirms.
merely technical nature and stating the facts (Suarez, 2007)
constituting the same.

Form 36: Affidavit of Merit

REPUBLIC OF THE PHILIPPINES)


CITY OF MAKATI) S.S.

AFFIDAVIT OF MERIT

I, ___________, of legal age, Filipino and resident of _______________, after being duly sworn to in accordance
with law, hereby depose and state that:

1. I am the Petitioner in the case entitled ___________docketed as Civil/Criminal Case No._______ and
pending before the Regional Trial Court;

2. I have caused the preparation of the “Motion for Reconsideration” to which this affidavit is attached;

206
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

3. I have read the allegations contained therein and I hereby state that the same is true and correct of my
personal knowledge and based on authentic records;

4. I have received a copy of the resolution of the Regional Trial Court dismissing my petition for failure to
prosecute for an unreasonable length of time;

5. The reason for my failure to proceed with the steps necessary for my case was due to the fact that my
counsel, Atty. _____ was admitted in the National Kidney Institute for an emergency operation;

6. The partners of my lawyer were not able to handle my case because of their individual work load and
hectic schedule;

7. The foregoing circumstance that led to the dismissal of my petition constitute mistake and/or excusable
negligence which ordinary prudence could not have guarded against and by reason of which I have been
impaired of my rights, especially because a judgment was rendered by the court without affording me
the
chance to present my evidence;

8. I voluntarily execute this Affidavit of Merit to attest to the truth of the foregoing facts and in order to
support the grounds in my “Motion for Reconsideration” as it really shows that the same is meritorious
and in order that the Order or Judgment rendered against me be reconsidered and set aside and a new
one be issued reinstating the instant case.

Affiant adds nothing more at this time.

August 1, 2012, Makati City


___________________
(Affiant)

(JURAT)

Q: What is an Affidavit of Good Faith? secure the specified obligation, and that the said
obligation is a valid, just and subsisting obligation
A: A certificate included in the chattel mortgage and not one entered into for the purpose of fraud.
contract executed by both the mortgagor and (Sec. 5, Chattel Mortgage Law)
mortgagee that the mortgage is constituted to

Form 37: Affidavit of Good Faith

We, the undersigned MORTGAGOR and MORTGAGEE, severally swear that the foregoing chattel
mortgage is made and executed for the purpose of securing the obligation specified therein, and for no other
purpose and that the same is a just and valid obligation and one not entered into for purposes of fraud.

August 1, 2012, Makati City.

______________ _____________
(Mortgagor) (Mortgagee)

(JURAT)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
207
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

2. MOTIONS done by registered mail, another plus is the need to


give an explanation why personal filing or service could
Q: What is a motion? not be done.

A: A motion is an application for relief other than by Q: What are the parts of a motion:
a pleading. (Sec. 1, Rule 15) [1] Caption
[2] Title of the case
A motion shall state the relief sought to be [3] Body of the motion
obtained and the grounds upon which it is based,
and if required by the Rules or necessary to prove Note: The body of a motion usually has two parts:
facts alleged therein, shall be accompanied by a. The ground for the motion
supporting affidavits and other papers. (Sec. 3, Rule b. The argument in support of the motion
15, RRC)
[4] Prayer
Note: The plus for a motion is the notice of hearing [5] Place, date and signature
(mandatory if the motion is a litigated motion). If filing [6] Notice of Hearing
of a pleading or service of its copy on adverse party is [7] Proof of Service

Form 38: Motion for Judgment on the Pleadings

[1] Republic of the Philippines


REGIONAL TRIAL COURT
National Capital Judicial Region
Branch ___
Manila

[2] A,
Plaintiff,
- versus- Civil Case No. ___
B,
Defendant,
x- - - - - - - - - - - - - - - -x

Plaintiff, by counsel, respectfully states that:

1. [3] In the answer of the defendant filed on _________--- he admitted having signed the promissory note and merely
interposed the defense that he was asking for time within which to pay the obligation;
2. Said answer does not tender any issue and in fact it can be read therefrom that defendant admitted his obligation.

[4] WHEREFORE, it is respectfully prayed that this Honorable Court render judgment on the pleadings.

[5]________ City, Philippines, this _____ day of _______2012..

Name
____________________________
Office Address
____________________
Roll of Attorney No.
________________
PTR No.___, ___ (date and place of
issue)
IBP No. ____, ___ (date of issue)
(chapter)
MCLE Compliance No. ___

[6] NOTICE OF HEARING


[7] PROOF OF SERVICE (affidavit of service by mail)
EXPLANATION

208
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Following the above format, the body and prayer for other types of motions should be as follows:

Form 39: Motion to Declare Defendant in Default

1. Plaintiff filed this Complaint against defendant on _________; summons were served on defendant on
_________ as indicated by the Sheriff’s return of even date, a copy of which is attached as Annex A;

2. Defendant’s reglementary period to file Answer ended on ________; no motion for extension of such
period was filed nor was any granted motu propio by this Honorable Court. Despite the lapse of time, defendant
has failed to answer the Complaint against her; plaintiff is entitled to a declaration of default and the right to
present evidence ex parte against defendant.

WHEREFORE, plaintiff respectfully prays that defendant be declared in default and that plaintiff be
allowed to present evidence ex parte before the Clerk of Court acting as Commissioner.

Form 40: Motion to Lift Order of Default

1. That ten (10) days after the summons of the complaint was received by this defendant, she filed a
motion to dismiss;
2. That plaintiff had not filed any opposition to said motion and no hearing was held on said motion to
dismiss;
3. That while the said motion to dismiss was still pending, this Honorable Court declared defendant in
default; and

That said order declaring defendant in default is premature and without legal basis since there is still a pending
motion to dismiss.

Note: A motion to lift an order of default based on FAME (fraud, accident, mistake, excusable negligence), should be
accompanied by an affidavit of merits. However if it is grounded on the very root of the proceedings, i.e. invalid service
of summons, affidavit of merits is not necessary.

Form 41: Motion for Postponement of Hearing

1. That the above-entitled case is set for hearing on __________;


2. That counsel for defendant is afflicted with chicken pox and is now under the medical care of Dr.
________. A copy of the physician’s certificate under is hereto attached;

WHEREFORE, it is respectfully prayed that the hearing set for ___________ be reset to another day
preferably on the first week of June 2012 or at the convenience of this Honorable Court.

Note: For a motion to postpone trial on the ground of illness by a party or counsel, the following must appear in an
affidavit or sworn certification:

1. The appearance of counsel or party is indispensable


2. The illness is such as to render his non-attendance excusable (Sec. 4, RRC)

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
209
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 42: Motion to Dismiss

Defendant, by counsel, respectfully moves that the complaint be dismissed on the following grounds:

(Here mention one or more grounds provided for in Rule 16, Rules of Court: Lack of Jurisdiction, Payment;
Novation; Prescription; Lack of Capacity)

ARGUMENTS

(Here set forth the reasons in support of the grounds mentioned)

PRAYER

WHEREFORE, it is respectfully prayed that the complaint be dismissed.

Form 43: Motion to Intervene

NAME, by counsel, respectfully prays that he be permitted to intervene in this case as a party
plaintiff/party-defendant on the ground that he has legal interest in the matter under litigation and that he may
be adversely affected in these proceedings as shown in the attached Complaint-in-Intervention/Answer-in-
Intervention.

WHEREFORE, it is respectfully prayed that ______________ be allowed to intervene as party


plaintiff/party defendant and the attached complaint or answer in intervention be admitted and that herein
intervenor be allowed to serve copy of the same to the plaintiff/defendant.

Form 44: Motion for New Trial

Defendant/Plaintiff, by counsel, respectfully moves that the decision of this Honorable Court dated _________
and received on _________ be set aside and new trial be granted on the following grounds:

(Here give the grounds provided for in Rule 37, Rules of Court; such as fraud, accident, mistake, or newly
discovered evidence or excessive damages awarded)

ARGUMENTS

(Here set forth the reasons in support of the ground/s mentioned)

WHEREFORE, it is respectfully prayed that the decision of this Honorable Court be set aside and new
trial be granted.

Note: Grounds for filing a Motion for New Trial include:


1. Fraud
2. Accident
3. Mistake
4. Excusable negligence
5. Newly discovered evidence which with reasonable diligence have discovered and produced at the trial, which
if presented will alter the results.

210
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 45: Motion for Extension

1. That on _____ he received a copy of a summons in the above-entitled case, with a copy of a summons
in the above-entitled case, with a copy of the complaint attached thereto, giving him a period of fifteen (15) days
within which to file his answer, or until _______;
2. That considering the numerous causes of actions raised in the complaint, and the other equally
important cases which require the almost daily attendance in court by the under-signed, he may not be able to
file the defendant’s answer by ____ and would require an additional fifteen (15) days from that day or until
______ within which to file the requisite answer;
3. That this motion is filed solely for the above reason and is not interposed for delay.

PRAYER
WHEREFORE, it is respectfully prayed that the defendant be given an extension of time of fifteen (15) days from
______ or until _______ within which to file defendant’s answer to the complaint. Other just and equitable
reliefs are also prayed.

Form 46: Motion for Bail

1. That the defendant is presently in custody of the law for the alleged commission of a capital offense
and is being detained at ____________;

2. That no bail has been recommended for his temporary release on the assumption that the evidence of
guilt is strong;

3. That the burden of showing that evidence of guilt is strong is on the prosecution and unless this fact is
satisfactorily shown, the defendant may be granted bail at the court’s discretion.

WHEREFORE, upon prior notice and hearing, it is respectfully prayed that the defendant be admitted to bail
in such amount as this Honorable Court may fix.

Form 47: Motion to Quash

Accused, by counsel, respectfully moves to quash the information filed against him on the ground that:

Lack of Jurisdiction
Prescription
Facts alleged do not constitute an offense, etc.

ARGUMENTS
(Here set forth the reasons in support of the motion to quash)

WHEREFORE, it is respectfully prayed that the information filed against the accused be dismissed.

Form 48: Demurrer to Evidence

Accused, __________________, through counsel, and pursuant to leave granted by this Honorable Court, in its order
dated _____________ respectfully submits this motion to dismiss by way of demurrer to evidence and alleges that:

THE INDICTMENT
THE EVIDENCE FOR THE PROSECUTION
ARGUMENTS
(why the case should be dismissed; insufficiency of evidence should be among those enumerated showing why the same
is insufficient)

WHEREFORE, it is respectfully prayed that the case against the accused be dismissed.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
211
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

3. COMPLAINT

Form 49: Complaint

COMPLAINT

Plaintiff, by counsel, respectfully alleges:

1. That the plaintiff is of legal age, single and a resident of ______, while the defendant is of legal age,
single and a resident of _______ where he may be served with summons;

2. That on _______ (date), defendant obtained a loan from the plaintiff in the amount of ________
Pesos (Php__________) for which he executed and delivered to plaintiff a promissory note, a copy of which is
hereto attached as “Annex A”, and made part of this complaint, to wit:

(copy promissory note)

Date_____________

P___________

__________ after date, I ______, promise to pay to the order of _______, the sum of ________ pesos
(Php_____________).

____________
M
aker

3. That despite the lapse of the period for the payment of the amount stated in said note, defendant has
not paid the same, or any part thereof or interest thereon;

WHEREFORE, it is respectfully prayed that judgment be rendered in favor of plaintiff and against defendant
for the sum of _____________ (total sum of the promissory notes) Pesos (Php________) with interest at the rate
of twelve per centum (12%) per annum on each of the aforesaid notes, until paid; interest at the legal rate on the
interest due from the time of the filing of the complaint and attorney’s fees plus costs.

Such other reliefs as may be just and equitable under the premises are likewise prayed for. ________

City, Philippines, this _____ day of _______2012.

Name ____________________________
Office Address ____________________
Roll of Attorney No. ________________
PTR No.___, ___ (date and place of issue)
IBP No. ____, ___ (date of issue) (chapter)

VERIFICATION with CERTIFICATION OF NON-FORUM SHOPPING

212
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Following the above format, the body and prayer for other types of Complaints should be as follows:

1. That the plaintiff and the defendant are both of age and residents of _____________;
2. That the said parties are co-owners, by virtue of intestate inheritance from their deceased parents, of
certain real properties located in ______________, more particularly described as follows, to wit:

(description of the estate which partition is demanded)

3. That the plaintiff desired that the above real estate be partitioned between the plaintiff and the
defendant;

4. That the plaintiff has requested of the defendant that the above-described real estate be amicably
partitioned between them by mutual agreement, but said defendant refused and continued to refuse to do so.

WHEREFORE, it is respectfully prayed:

1. That after due hearing, the partition of the above-described real estate be ordered between the plaintiff
and the defendant, share and share alike;
2. That the costs and expenses of these proceedings be taxed solely against the defendant.
3. Other reliefs just and equitable under the premises are likewise prayed for.

Form 50: Complaint for Unlawful Detainer

1. That Plaintiff is married, Filipino citizen and residing at _________-- where he may be served with court
processes, motions and decisions while defendant is a Filipino citizen, married and residing at _______ where he
may be served with summons and other court processes;

2. That plaintiff is the owner of a land over which an apartment had been constructed, located at ______;

3. That by virtue of a contract of lease, plaintiff leased unto the defendant the aforesaid apartment for a
consideration so _______________ (Php__________) a month as rental to be paid within the first ten (10) days of
each month starting ______ (date);

4. That defendant failed to pay the agreed rental for several months starting from ______ up to present;

5. That on ______, plaintiff sent a letter of demand to vacate the apartment which was received by the
defendant as shown in the registry return receipt hereto attached;

6. That despite said letter of demand which was repeated by oral demands defendant failed and still
refused to pay the agreed rentals and to vacate the apartment;

7. That by reason of the failure of the defendant to vacate the premises and to pay the unpaid rentals,
plaintiff was compelled to file this complaint engaging the services of counsel in the amount of ______;

WHEREFORE, it is respectfully prayed that judgment be rendered ordering the defendant to vacate the
premises to pay the unpaid monthly rentals in the amount of ______ and further rentals until the said defendant
fully vacates the premises and to pay the costs of the suit.

Plaintiff prays for such other reliefs, as the Honorable Court may deem just and equitable under the
premises.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
213
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 51: Complaint for Replevin


1. That both the plaintiff and the defendant are of age and residents of ______________;
2. That said plaintiff is the lawful owner of a personal property, namely, _____________, valued at
_____________ and more particularly described as follows:

(description of property)

3. That on or about the ____ day of _____, herein defendant borrowed said property from Plaintiff
promising to return the same the next day;
4. That on _____, and for ten (10) days thereafter, the herein Plaintiff demanded for the return of the said
property but despite repeated demands, said Defendant refused and still refuses the said property claiming that
the same belongs to him;
5. That plaintiff, in accordance with the Rules of Court, hereby applies for an order for the delivery of said
________________- and hereby files the necessary affidavit and bond hereto attached, as “Annex
A” and “Annex B”, respectively, and made integral parts of this application and complaint;
6. That the herein plaintiff is ready and willing to file a bond, executed to the defendant in double the
value of the property stated above, for the return of the property to the Defendant if the return thereof be
adjudged and for the payment to the Defendant of such sum as he may recover from the Plaintiff in the action.

WHEREFORE, it is respectfully prayed:

1. That the property in question be ordered delivered to the plaintiff or if material delivery be not possible,
that defendant be ordered to pay the plaintiff its actual value, namely the sum of _________.

2. That the defendant be made to pay the costs of this suit, and plaintiff be granted such other equitable
relief consistent with law and equity.

Form 52: Complaint for Interpleader

CAPTION AND TITLE


COMPLAINT

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


2. That on December 18, 2000, XYZ took a life insurance policy for P2 million from the plaintiff and that the
primary beneficiary designated was simply “wife”;
3. That said XYZ died intestate on June 30, 2008;
4. That both defendants, claiming to be the wife of XYZ, filed their respective claims with the plaintiff;
5. That the plaintiff is ready, willing and able to pay the proceeds of such insurance policy, however, it has
no means of knowing definitely to whom as to the two defendants payment should be made;
6. That defendants should interplead and litigate their conflicting claims to the insurance proceeds.

PRAYER

WHEREFORE it is respectfully prayed that judgment issue:

1. Ordering defendants to interplead and litigate their conflicting claims between them;
2. Ordering the deposit with this Honorable Court the insurance proceeds and that the plaintiff be
discharged from whatever claims that may be had against it relative to the life insurance policy of XYZ.

Other just and equitable reliefs are also prayed.

PLACE AND DATE

COUNSEL’S NAME,
ADDRE
SS, etc.

VERIFICATION AND CERTIFICATION AGAINST FORUM SHOPPING

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ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

4. ANSWER 1. Admissions and denials


2. Special and affirmative defenses
Q: What is an answer? 3. Counterclaim

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

Form 53: Answer with Special and Affirmative Defenses and Counterclaim

ANSWER

Defendant, by counsel, respectfully alleges:

1. Defendant admits the averment in paragraph 1, 2 and 3 of the complaint;


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

By way of special and affirmative defenses, defendant avers:


4. (state defenses, e.g. that the obligation has already been paid)

By way of counterclaim, defendant alleges:


5. (state counterclaim, e.g. attorney’s fees at Php50,000.00)

WHEREFORE, it is respectfully prayed that the complaint be dismissed and defendant be awarded the
amount of _________________ Pesos (Php____________). Other reliefs just and equitable under the premises
are likewise prayed for.

________ City, Philippines, this _____ day of _______2012.

Name
____________________________
Office
Address_____________________
Roll of Attorney No.
________________
PTR No.___, ___ (date and place of
issue)
IBP No. ____, ___ (date of issue)
(chapter)
MCLE Compliance No.
_______________
Copy furnished:
_________________________________
Name and Address of adverse counsel

PROOF OF SERVICE (affidavit of service by mail)


EXPLANATION

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
215
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Following the above format, the body and prayer for other types of Answer should be as follows:

Form 54: Answer with Third Party Complaint

1. He admits the allegations contained in paragraph 1 of the complaint;


2. He admits paragraphs 3 and 4 of the complaint;
3. He admits partially the allegations of paragraph 3 of the complaint in the sense that he signed a
promissory note for five thousand (Php5,000.00) Pesos, but he qualifies his admission in the sense that not a
single centavo of the loan was used by him, he being only an accommodation maker;
4. He admits that the loan is now long overdue but he specifically denies that he has failed and refused to
pay the same, because he did not get anything out of the loan, as it was Jose Maximo who pocketed the whole
amount of said loan;
5. He admits that he has not paid any interest on said loan, because he had no obligation of paying said
interest, the whole amount having accrued to the benefit of Jose Maximo;
6. He specifically denied the allegations of paragraph 7 of the complaint, because his failure to pay the
loan is not justified nor was there any refusal on his part;
7. He has no knowledge or information to form a belief as to the truth of paragraph 8 of the complaint
and therefore, he specifically denies the same.

BY WAY OF THIRD-PARTY COMPLAINT, he alleges:

1. Third-party plaintiff is of legal age, married and with residence and postal address at
________________;
2. Defendant Jose Maximo is likewise of legal age, and he may be served with summons at
_____________;
3. (here state the circumstances how Jose Maximo got involved)

BY WAY OF SPECIAL AND AFFIRMATIVE DEFENSES TO THE COMPLAINT, defendant alleges:

1. The complaint states no cause of action, because the obligation has been satisfied, for, on
___________, the plaintiff proceeded before the notary public _______________ for the sale of the 100 shares of
stock put up as collateral of the loan mentioned in “Annex A” of plaintiff’s complaint;
2. Defendant was only an accommodation maker, as may be seen from the promissory note itself that
the amount of Php5,000.00 was credited to Jose Maximo which reads as follows: “Please credit
Php5,000.00 to Jose Maximo”;

WHEREFORE, it is most respectfully prayed that judgment be rendered as follows:

1. Dismissing plaintiff’s complaint for failure to state a cause of action, the obligation having been fully
satisfied;
2. Ordering the plaintiff to pay the costs, and granting unto defendant such other remedy which this
honourable Court may deem proper.

ON THE THIRD-PARTY COMPLAINT

1. That summons be issued against third-party defendant, Jose Maximo;


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

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ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 55: Answer with Specific Denial of Document Under Oath

THAT defendant, by counsel, specifically denies under oath the genuineness and due execution of the
instrument a copy of which is attached to Plaintiff’s complaint as Annex “A”, the truth being that his signature
thereon is forged and that he did not in fact sign the said instrument.

5. PETITIONS

Form 56: Petition for Adoption

CAPTION/TITLE

PETITION

PETITIONERS, by counsel, respectfully state that:

1. Petitioners are husband and wife, both of legal age, and residents of _________;
2. They have no legitimate children of their own and desire to jointly adopt a minor named
_______________, ______ years old, the legitimate child of _______;
3. The parents of the minor are not insane, intemperate and are in full possession of civil capacity; they
have not abandoned the minor child. With full knowledge of petitioner’s intention they have expressly
given their written consent to the adoption, as shown by their statement, a copy of which is attached as ANNEX A;
4. Petitioners are qualified to adopt the minor and are financially capable of supporting the minor; they
are also morally qualified to bring up and educate the said minor;

WHEREFORE, it is respectfully prayed that judgment be rendered in petitioner’s favor adjudging


the minor child _______ freed from all legal obligations of obedience and maintenance with respect to his/her
natural parents and that he/she be declared to all legal intents and purposes, the child of herein petitioners and
that his/her surname be changed to that of the petitioners.

________ City, Philippines, this _____ day of _______2012

Name _______________________________
Appointment No. _____________________
Roll of Attorney No. ___________________
PTR No.____, ____ (date and place of issue)
IBP No. ____, ____ (date of issue) (chapter)
Office Address________________________
Email Address ________________________
Contact No. __________________________
MCLE Compliance (or Exemption) No._____

VERIFICATION AND CERTIFICATION AGAINST FORUM-SHOPPING

Q: What shall the petition contain? 6. Personal circumstances of the relatives of


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

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
217
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Following the above format, the body and prayer for other types of Petitions should be as follows:

Form 57: Petition for Guardianship

1. That he is the father of the minor _____;


2. That minor _____ is presently a resident of the City of _____;
3. That minor ______ is the owner of a parcel of land located in the City of Manila valued at ________
Pesos (Php_______) and as such minor can make no transactions regarding the same;
4. That the nearest of kin of minor _____ are the following:

(here mention the nearest kin and their addresses)

5. That due to the minority of the said ______, it is necessary and convenient that a guardian over his
person and property be appointed;
6. That, as above states, _______ is the person having the said minor in his care, and that he possesses all
qualifications of a person to whom letters of guardianship should issue.

(furnish a bond of not less than 10% of the value of the property or annual income if it exceeds P50,000.00)

WHEREFORE, it is respectfully prayed that, after due notice and hearing, petitioner be appointed
guardian over the estate of ______.

Q: What is habeas corpus?


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

Form 58: Petition for Habeas Corpus

1. That he is the father of Y, who is presently in the custody of Z, maternal grandmother of Y, who (Z)
forcibly abducted him (Y) and up to now actually restrains him (Y) of his liberty;
2. That despite demands, Z refuses to turn over the custody to petitioner;

WHEREFORE, it is respectfully prayed that an order be issued to Z to bring the minor to this Honorable Court
at the hour and date to be set by this Honorable Court, and thereafter that the custody of the minor Y be turned
over to the petitioner.

Q: What is Writ of Amparo? 1. Any member of the immediate family,


namely, the spouse, children and parents
A: It is a remedy available to any person whose of the aggrieved party
right to life, liberty and security is violated or 2. Any ascendant, descendant or collateral
threatened with violation by an unlawful act or relative of the aggrieved party within the
omission of a public official or employee, or of a fourth civil degree of consanguinity or
private individual or entity. The writ shall cover affinity, in default of those mentioned in
extralegal killings and enforced disappearances or the preceding paragraph
threats thereof. (Sec 1, Rule on the Writ of Amparo) 3. Any concerned citizen, organization,
association or institution, if there is no
Q: Who may file? known member of the immediate family
or relative of the aggrieved party. The
A: It may be filed by the aggrieved party or by any filing of a petition by the aggrieved party
qualified person or entity in the following order: suspends the right of all other authorized
parties to file similar petitions. Likewise,

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LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

the filing of the petition by an authorized A: The petition may be filed on any day and at any
party on behalf of the aggrieved party time with the RTC of the place where the threat, act
suspends the right of all others, observing or omission was committed or any of its elements
the order established herein. (Sec. 2, Writ occurred, or with the Sandiganbayan, the Court of
of Amparo) Appeals, the Supreme Court, or any justice of such
courts. The writ shall be enforceable anywhere in
Q: Where is the petition filed? the Philippines.
(Sec. 3, Writ of Amparo)

Form 59: Petition for Writ of Amparo

1. That petitioner is a Filipino citizen, of legal age, with address at ________ and the respondent is a
Filipino citizen, of legal age, with address at _________;
2. That the petitioner, ______, in whose behalf this application is being made, is actually restrained of
his liberty by the respondent, _____ at the latter’s residence at _________;
3. (State facts pertaining to the right to life, liberty and security of the aggrieved party violated or
threatened with violation by the unlawful act or omission of the respondent, and how such threat or violation is
committed with the attendant circumstance detained in supporting affidavits);
4. (The investigation conducted, if any, specifying the names, personal circumstances and addresses of the
investigating authority or individuals, as well as the manner and conduct of the investigation together with any
report);
5. (The actions and recourses taken by the petitioner to determine the fate and whereabouts of the
aggrieved party and the identity of the person responsible for the threat, act or omission).

PRAYER

WHEREFORE, petitioner respectfully prays that a WRIT OF AMPARO be issued by this Honorable Court,
ordering respondents ________ to immediately release from their custody the person of _________ to
petitioners if still alive, or if already dead, to show the place where his remains is placed or buried and to pay the
petitioner _____________.

(may also include prayer for:


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

Form 60: Petition for Habeas Data

I
NATURE OF THE PETITION

1. This is a petition for the writ of habeas data filed under A.M. No. 08-1-16-SC, also known as the Rule on
the Writ of Habeas Data to require the respondent/s to produce and, if necessary update and rectify, or, in the
alternative, suppress or destroy information within its control and/or contained in its database, which relates to
petitioner, his/her family, his/her home and his/her correspondence.
2. Petitioner respectfully submits that respondent obtained the information through an unlawful act, has
unjustifiably failed to disclose the information to petitioner, and/or has unjustifiably refused to update, rectify,
suppress or destroy the information.
3. This act or omission of respondent to comply with petitioner's demand is a violation of, or poses a
threat of violation to, petitioner's right to privacy in life, liberty and security.
4. In view of the foregoing, petitioner brings this petition before this Honorable Court praying that the
respondent be required to cause the immediate production of the information requested so that the same may
be revealed to petitioner for proper updating, rectification or, in the alternative, for its suppression or
destruction, whatever may be necessary to protect petitioner's privacy.
5. Finally, petitioner respectfully submits that he/she is an indigent person and prays that this Honorable
Court exempt him/her from docket and other legal fees in this case, subject to the submission of proof of his/her
indigency within fifteen days from the filing of this petition.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
219
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

II
PARTIES

6. Petitioner is a Filipino, of legal age, and residing at [state address]. He/She may be served with notices
from this Honorable Court through his/her undersigned counsel.
7. Respondent is being impleaded in his capacity as a public officer or employee, in charge of the
information or database of [state office], which office is engaged in the gathering, collecting, and storing of data.
He/She may be served summons and other processes of this Honorable Court at the [state office address].
Respondent is of legal age, residing at [state address] and is engaged in the gathering, collecting, and storing of
data. He/She may be served summons and other processes of this Honorable Court at the [state office address].
8. Respondent is a corporation organized and existing by virtue of the laws of the Republic of the
Philippines. It is engaged in the gathering, collecting, and storing of data. It may be served summons and other
processes of this Honorable Court at [state office address].

III
MATERIAL ALLEGATIONS

9. Petitioner is a citizen of the Republic of the Philippines whose right to privacy is protected by the Bill of
Rights found in Article III of the 1987 Philippine Constitution, which provides:

Section 3. (1) The privacy of communication and correspondence shall be inviolable except upon lawful
order of the court, or when public safety or order requires otherwise as prescribed by law.

Any evidence obtained in violation of this or the preceding section shall be inadmissible for any purpose in
any proceeding.

Section 7. The right of the people to information of matters of public concern shall be recognized.

Access to official records and documents, and papers pertaining to official acts, transactions, or decisions
as
well as to government research data used as basis for policy development, shall be afforded the citizen,
subject to such limitations as may be provided by law.

10. Also, in Lourdes T. Marquez vs. Hon. Aniano A. Desierto, et al., this Honorable Court had occasion to
rule:
Zones of privacy are recognized and protected in our laws. The Civil Code provides that "[e]very person
shall
respect the dignity, personality, privacy, and peace of mind of his neighbors and other persons" and
punishes
as actionable torts several acts for meddling and prying into the privacy of another. It also holds a public
officer or employee or any private individual liable for damages for any violation of the rights and liberties
of
another person, and recognizes the privacy of letters and other private communications. The Revised Penal
Code makes a crime of the violation of secrets by an officer, the revelation of trade and industrial secrets,
and trespass to dwelling. Invasion of privacy is an offense in special laws like the Anti-Wiretapping Law,
the
Secrecy of Bank Deposits Act, and the Intellectual Property Code. (G.R. No. 135882, June 27, 2001.)

11. Finally, Republic Act 6713, known as the Code of Conduct and Ethical Standards for Public Officials and
Employees, makes it a duty of every public officer and employee to allow the inspection of all public documents,
and to respond to requests within fifteen days. Viz:

Section 5. Duties of Public Officials and Employees. — In the performance of their duties, all public
officials
and employees are under obligation to:

(a) Act promptly on letters and requests. — All public officials and employees shall, within fifteen (15)

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LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

working days from receipt thereof, respond to letters, telegrams or other means of communications sent
by
the public. The reply must contain the action taken on the request.
xxx xxx xxx

(e) Make documents accessible to the public. — All public documents must be made accessible to, and
readily available for inspection by, the public within reasonable working hours.

12. On [date], petitioner requested access to all information held about him/her by the respondent,
within fifteen days from respondent's receipt. A copy of the written request is attached as Annex "A".
13. The period given to respondent to allow petitioner access to its database has already lapsed.
14. As a result of respondent's failure or unjustifiable refusal to allow access to its database, petitioner’s
right to privacy is being violated.
15. The use and possible dissemination of the information held by respondent is an unlawful intrusion into
petitioner's privacy, which intrusion threatens to ultimately violate petitioner's right to life, liberty and security.
16. The information which remains hidden from petitioner is in the database of respondent located in the
following offices: [state the offices or known location of the information].

PRAYER

WHEREFORE, petitioner prays that this Honorable Court give due course to this petition and issue the
writ of habeas data and rule, as follows:
1. Upon the filing of the petition, ENJOIN respondent from disseminating the information;
2. Upon notice and hearing, ORDER respondent to:
a. Produce the information in its possession regarding petitioner's person, his/her family, home
and
correspondence;
b. Correct, suppress or destroy the information in its database, whatever may be applicable as
determined by this Honorable Court; and
c. Rectify the damage caused to petitioner's reputation by making a public apology to petitioner,
which shall be circulated in the manner and to such persons as the petitioner may deem
appropriate.

Other reliefs just and equitable under the premises are likewise prayed for.

Q: What is the writ of habeas data? when the action concerns public data files of
government offices.
A: It is a remedy available to any person whose
right to privacy in life, liberty or security is violated Q: Who may file a petition for the writ of habeas
or threatened by an unlawful act or omission of a data?
public official or employee, or of a private individual
or entity engaged in the gathering, collecting or A: Any aggrieved party may file a petition for the
storing of data or information regarding the person, writ of habeas data. However, in cases of extralegal
family, home and correspondence of the aggrieved killings and enforced disappearances, the petition
party. may be filed by:
1. Any member of the immediate family of
Note: The petition may be filed with the RTC where the aggrieved party, namely: the spouse,
the petitioner or respondent resides, or that which has children and parents
jurisdiction over the place where the data or 2. Any ascendant, descendant or collateral
information is gathered, collected or stored, at the relative of the aggrieved party within the
option of the petitioner. fourth civil degree of consanguinity or
affinity, in default of those mentioned in
The petition may also be filed with the Supreme the preceding paragraph
Court or the Court of Appeals or the Sandiganbayan

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
221
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 61: Petition for Change of Name

1. That the petitioner is of age, single/married, and a resident of ___________;


2. That he has been a bona fide resident of the province of _______ since year ______ or for at least three
(3) yeas prior to the date of the filing of this petition;
3. That his present name is______________;
4. That the petitioner is also knows as (a.k.a.) __________________;
5. That (here state the reason for which the change of petitioner’s name is sought);
6. That petitioner requests that his present name be change to ______;

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

Q: Who shall file the petition for change of name?


Q: What are the grounds for change of name?
A: A person desiring to change his name shall file
his petition to the RTC of the province in which he A:
resides or in the City of Manila, to the Juvenile and 1. Name is ridiculous, dishonorable and
Domestic Court or RTC. extremely difficult to pronounce
2. Change of name is a legal consequence as
Q: What shall the petition contain? in legitimation
3. When the change will avoid confusion
A: It shall be signed and verified by the person 4. Having continuously used and been
desiring to change his name or some other persons known since childhood by a Filipino name,
in his behalf. The petition shall set forth: unaware of her alien parentage
1. That the petitioner has been bona fide 5. A sincere desire to adopt a Filipino name
resident of the province where the to erase signs of former alienage, all in
petition is filed for at least three (3) years good faith and without prejudicing
prior to the date of such filing anybody
2. The cause for which the change of the 6. When the surname causes
petitioner’s name is sought embarrassment, and no fraudulent
3. The name asked for purpose is intended for such change

Form 62: Petition for Certiorari

1. That the petitioner is of legal age, (state the capacity and residence of the petitioner, and of the public
and private respondents);
2. That (state the facts and circumstances under which the respondent tribunal, board or officer,
exercising judicial functions) has acted without, or in excess of its jurisdiction, or with grave abuse of discretion in
the exercise of his judicial functions (including your arguments);
3. That (state that there is no appeal from such decision or any plain, speedy and adequate remedy in the
ordinary course of law);
4. That a certified true copy of the decision (or order) herein sought to be annulled is hereto attached as
“Annex A”, together with copies of all pleadings and documents relevant and pertinent thereto.
5. That (state the material dates showing when notice of judgment or final order or resolution subject
thereof was received, when a motion for new consideration, if any, was filed and when notice of the denial
thereof was received).

WHEREFORE, it is respectfully prayed, that a writ of certiorari be issued annulling the judgment or order herein
complained of (with prayer for a preliminary injunction as the case may be, for the protection of the rights of
petitioner pending such proceedings), and after due hearing, that judgment be rendered annulling or modifying
the decision or order subject of this petition and the proceedings of (the defendant tribunal, board or officer),
with costs against private respondent.

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LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 63: Complaint Declaratory Relief

(Caption and Title)

COMPLAINT

PLAINTIFF, thru counsel, respectfully avers that:

1. (State the capacity, civil status, and residence of the plaintiff and defendant/s, who have or claim any
interest which would be affected by the declaration.)
2. (State the deed, will, contract, or statute or ordinance under which a declaratory relief is sought.)
3. (State or quote in full the particular parts of the instrument or statue or ordinance which affect the
rights of the plaintiff, or in which he is particularly interested.)
4. (If the plaintiff or petitioner attacks the validity of the statute, state why such law is invalid or
unconstitutional.)
5. (State or show why the plaintiff is interested under such instrument, or how his rights are affected by
such statute or ordinance.)
6. (Make an allegation that the declaration by the court on this question is necessary and proper at the
time all the circumstances, and that the declaration would terminate the uncertainty or controversy which gave
rise to the action.)

WHEREFORE, it is respectfully prayed of this Honorable Court to determine the validity of the statue in
question (or the construction of the instrument in question) and to declare plaintiff’s rights and duties
thereunder.

(Venue, date, signature)

(VERIFICATION/CERTIFICATION OF NON-FORUM SHOPPING)

Q: What is declaratory relief? statute, executive order or regulation, or ordinance


before breach or violation thereof in order to
A: It is a special civil action instituted by any person determine any question of construction or validity
interested under a deed, will, contract, or other arising under the instrument or statue and for a
written instrument, or whose right are affected by declaration of his right or duties thereunder.

Form 64: Petition for Prohibition

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

WHEREFORE, it is respectfully prayed, that pending the proceedings in the action, a preliminary injunction be
granted ordering the respondent _________ to desist and refrain from further proceedings in the premises, and
that after due notice and hearing, a Writ of Prohibition be issued commanding the said respondent to desist
absolutely and perpetually from further proceedings (in the action or matter in question), with costs.

________ City, Philippines, this _____ day of _______2012.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
223
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Q: What is prohibition? speedy, and adequate remedy in the ordinary


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

Form 65: Mandamus

1. That the petitioner is of legal age, (state the capacity and residence of the petitioner, and of the public
and private respondents);
2. That (state the facts and circumstances under which the respondent-tribunal, board or officer)
unlawfully neglected the performance of an act which the law specifically enjoins as a duty resulting from an
office, trust or station, or unlawfully excluded the petitioner from the enjoyment of a right or office to which the
petitioner is entitled;
3. That the petitioner has no other plain, speedy and adequate remedies in the ordinary course of law
other than this action;
4. That (state the material dates showing when notice of judgment or final order or resolution subject
thereof was received, when a motion for new consideration, if any, was filed and when notice of the denial
thereof was received).
5. That the petitioner by reason of the wrongful act of the respondent has sustained damages in the sum
of __________ Pesos (Php___________);

WHEREFORE, it is respectfully prayed, that after due notice and hearing, a Writ of Mandamus be issued,
commanding the respondent forthwith to: (here state the act required to be done, with damages and costs.)

Q: What is mandamus? and there is no other plain, speedy, and adequate


remedy in the ordinary course of law. All these
A: It is a special civil action directed against any must be alleged by the plaintiff through a verified
tribunal, corporation, board or person claiming that petition filed in a proper court and praying that
said tribunal, corporation, board or person has judgment be rendered commanding the defendant
unlawfully neglected the performance of an act immediately or at some other specified time to do
which the law specifically enjoins as a duty resulting the act required to be done to protect the life of
from an office, trust or station or has excluded the petitioner and to pay the damages sustained by
another from the use and enjoyment or the right or the petitioner by reason of the wrongful acts of the
office to which such person is entitled form the use defendant.

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LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 66: Probate of Will

Petitioner, by counsel, respectfully avers:

1. That the petitioner, of legal age and resident of ______, is the executor named in the last will and
testament of _______, deceased who died in ______, on ______;
2. That the said last will and testament (photostatic copy only) is hereto attached as Annex “A” and made
an integral part of this petition, the original thereof to be presented to this Honorable Court at the time
of the probate;
3. That the subscribing witnesses to said will are _____, _____, _____, all of whom are residents of
________;
4. That the decedent is an inhabitant of the Philippines and a resident of _______ at the time of his death;
5. That the petitioner, named in the will as executor thereof, is legally qualified to act as such and hereby
consents and agrees to accept said trust;
6. That the following persons, all of age, have been named in the said will as devisees of the deceased, to
wit: ___________
7. That the property left by the deceased consists of the real and personal property, the gross value of
which is _______;
8. That the testator, at the time of the execution of the said will, was _____ years old, of sound and
disposing mind, and not acting under duress, fraud, or undue influence and was in every respect capacitated to
dispose of his estate by will.

WHEREFORE, it is respectfully prayed:

1. That, upon proper notice and hearing, the above-mentioned Will be admitted to probate;
2. That letters testamentary (or of administration) be issued to herein petitioner, without bond;
3. That such other relief be granted as may be deemed just and equitable in the premises.

________ City, Philippines, this _____ day of _______2012.

Name
_______________________________
Appointment No.
_____________________
Roll of Attorney No.
___________________
PTR No.____, ____ (date and place
of issue)
IBP No. ____, ____ (date of issue)
(chapter)
Office
Address________________________
Email Address
________________________
Contact No.
__________________________
MCLE Compliance (or Exemption)
No._____

VERIFICATION WITH CERTIFICATION OF NON-FORUM SHOPPING

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
225
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 67: Quo Warranto

1. That the petitioner is of legal age, (state the capacity and residence of the petitioner, and of the public
and private respondents);
2. That (state fully and clearly the facts and circumstances showing that the defendant is in unlawful
possession of a public office and that the plaintiff is entitled to hold the same)
3. That (state that the plaintiff has demanded of defendant to vacate the office in question and to deliver
the same to the plaintiff, but the defendant unlawfully refused);

WHEREFORE, it is respectfully prayed:

1. That a writ of quo warranto be issued ousting and altogether excluding the defendant from the office of
_________;
2. That the plaintiff be declared entitled to said office and that he be placed forthwith in possession
thereof;
3. That the plaintiff recovers his costs.

Form 68: Petition for Extradition

In view of the Extradition Treaty entered into between the Republic of the Philippines and (country where the fugitive is),
effective (date of effectively of the treaty), the Solicitor General of the Republic of the Philippines requests that the (officer-in-
charge) of the (state where the fugitive is found) issue a requisition for the return of a fugitive who is charged with violations of
the (specific offense) and with being a fugitive from justice. I offer the following information to request that the (country) law
enforcement officer(s) cited herein be empowered as authorized agents to receive and return the fugitive to the Republic of the
Philippines.

In support of this application, I certify that:

1. The fugitive who is the subject of this application was in the republic of the Philippines at the time of the commission
of the crime;
2. In my opinion, the end of justice required that this fugitive be brought to the Republic of the Philippines at public
expense for trial;
3. In my opinion, I have sufficient evidence to secure the conviction of the fugitive;
4. The Philippine law enforcement officer(s) who are proposed to receive and return the fugitive are qualified to do so
and have no private interest in the arrest of the fugitive;
5. No other application has been made for a requisition of this fugitive growing out of the same transaction herein
alleged;
6. This fugitive is not known to be under either civil or criminal arrest in my jurisdiction, except as set forth in this
application;
7. This application is not made for the purpose of enforcing the collection of a debt, for removing the fugitive to a
foreign jurisdiction with a view there to serve him with civil process or for any private purpose whatsoever. If this application for
requisition is granted the criminal proceedings shall not be used for any other purpose not set forth in this application;
8. There has been no avoidable delay in making this application;
9. The fugitive has been indicted;

FULL NAME AND GENDER OF THIS FUGITIVE AND ALL KNOWN ALIASES.

JURISDICTION THAT WILL BE RENDERING THIS FUGITIVE:

TITILES, FIRST AND LAST NAMES AND GENDERS OF QUALIFIED PHILIPPINE LAW ENFORCEMENT OFFICERS WHO ARE TO BE
EMPOWERED TO RECEIVE AND RETURN THIS FUGITIVE TO THE PHILIPPINES

NAME IF OTHER JURISDICTION IN WHICH THIS FUGITIVE IS KNOWN TO BE UNDER CIVIL OR CRIMINAL ARREST

A LISTING OF THE NATURE OF EACH CRIME THAT THIS FUGITIVE IS CHARGED WITH COMMITTING INCLUDING THE CITATIONS OF
WHAT SECTION OF THE PHILPPINE LAWS FOR THE CRIME AND THE PUNISHMENT THEREFORE,

DATE OF THIS FUGITIVE’S ARREST BY THE RENDERING JURISDICTION NAME OF THE RENDERING JURISDICTION

This application is submitted this ____ day of ______ 2012.

_________________________
Solicitor General

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LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

6. CRIMINAL ACTIONS

Form 69: Criminal Complaint-Affidavit

REPUBLIC OF THE PHILIPPINES


METROPOLITAN TRIAL COURT
NATIONAL CAPITAL JUDICIAL REGION
BRANCH ____, QUEZON CITY

THE PEOPLE OF THE PHILIPPINES,


Complainant,

-versus- Criminal Case No._____________


xxx For: ________________________

Accused,
x--------------------------------------------x

CRIMINAL COMPLAINT

The undersigned accuses ________________ of the crime of ______________, committed as follows:

(Here set out the time and place, when and where the crime is committed, and the facts constituting the
offense.)

Contrary to law.

________________________
Complainant

VERIFICATION

A preliminary investigation has been conducted in this case under my direction, having examined the
witnesses under oath.

(MTC Judge)

Witnesses:

Note: A complaint affidavit is in the form of an affidavit, narrating the facts and circumstances surrounding the alleged
crime, based on the point of view of the complainant. The narration may also include the elements of the crime as
applied in the set of facts or circumstances.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
227
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Form 70: Counter- Affidavit

CAPTION

COUNTER-AFFIDAVIT

I, _______, of legal age, with assistance of counsel, do hereby state under oath that:

(state the circumstances)

It is utterly inexplicable that _____ would hold me liable for estafa when all that I did was to refer
______ to Mr. _____; to a certain extent, I even exerted my best efforts to see that Ms.____ was paid due simply
to my great embarrassment at the prospect of being accused of referring a person who does not know how to pay
for an obligation.

I performed no act of deceit or fraud against her in ordering the units. I performed NO ACT that even
remotely resembles ANY of the acts punished under Article 315 of the Revised Penal Code. If at all, any cause of
action is PURELY CIVIL in nature and that liability does not pertain to my personal account in the absence of a
showing that I benefited from the Nextel units; any liability should pertain to the office of the mayor, not to me.

Considering the foregoing, I respectfully submit that there is no prima facie basis to conclude that the
crime of estafa or that any crime at all has been committed. The complaint against me should, thus, be dismissed.

To the truth of the foregoing, I have signed this Counter-Affidavit on _____________.

Affiant

Jurat

Form 71: General Form of Information

[1]REPUBLIC OF THE PHILIPPINES


NATIONAL CAPITAL JUDICIAL REGION
REGIONAL TRIAL COURT
BRANCH ________, MAKATI

2]________________________,
Plaintiff,
-versus- Criminal Case No.____
I.S. No.__________
For: ____________

________________________,
Accused,

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

INFORMATION

[3] The undersigned Public Prosecutor accuses (name of accused) of the crime of (name of the crime) punishable
under (Revised Penal Code or state the special law violated) committed as follows:

[4] That on (date when crime was committed), the said accused did then and there willfully, and unlawfully
(include feloniously if it is a violation of the Revised Penal Code) (state how committed and the name of the
private offended party) in the (place where committed) within the City of (place where committed) resulting to
damage to the private offended party in the amount of (state amount).

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LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

[5] Contrary to law.


date and place

Asst. Public Prosecutor


[6]CERTIFICATION OF PRELIMINARY INVESTIGATION

I hereby certify a) that I have conducted a preliminary investigation in the case; b) that I examined the
complainant and his witnesses; c) that based on the evidence presented, there is reasonable ground to believe
that the accused is probably guilty of the offense charged; d) that I gave the accused the opportunity to submit
controverting evidence; and e) that the filing of this information has been approved by the City Prosecutor.

Asst. City Prosecutor

[7]JURAT

[8] 1st Public Prosecutor

[9]List of Witnesses:
[10]Bail Recommended:

Essential parts of information include:


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

Following the above format, you may draft the information for other crimes using the following accusatory
portions:

i. Acts of Lasciviousness

That on or about ____________, in the Municipality of ______________, Province of


_________________, Philippines, within the jurisdiction of this Court, the said accused, actuated by lust, did then
and there, willfully, unlawfully, and feloniously, commit an act of lasciviousness on the person of ___________ by
then and there embracing and kissing her and touching her breasts and sexual organs, against her will, and by
means of force.

ii. Serious Illegal Detention

That about and during the period beginning the _____ day of _____, 2012, in the Municipality of
______________, Province of _________________, Philippines, and within the jurisdiction of this Court, said
accused suspecting that one ____ had knowledge of the elopement of her sister, did then and there willfully,
unlawfully, feloniously and by force, take said _______, a man of 50 years old, while the latter was walking in
_______, to whom said accused detained and kept locked in his room from ____________ to ___________ or a
period of ____ days under restraint and against the will of the said ____, and said accused did, during said period
of detention, maltreat and refuse to release said ____ until the sister of the accused was found.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
229
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

iii. Simple Seduction

That on or about ____________, 2012, in _____________, Province of _____________, Philippines,


within the jurisdiction of this court, the said accused did then and there willfully, unlawfully, and feloniously, and
by means of deceit, have sexual intercourse with _________, an unmarried girl over twelve but under eighteen
years of age.

iv. Attempted Rape

That on or about _____, in __________, the accused did then and there willfully, unlawfully, and
feloniously enter the house of ____________, a married woman, and finding that her husband was away, with
lewd designs and by means of force and intimidation, commenced directly by overt acts to commit the crime of
attempted rape upon her person, to wit: while ______ was cooking lunch, the accused seized her from behind,
threw her to the floor, raised her skirt, pulled down her underwear and attempted to penetrate her with his
sexual organ and would have succeeded in doing so had not her loud protests and vigorous resistance brought
her neighbors to her assistance, causing the accused to flee from the premises without completing all the acts of
execution.

v. Frustrated Murder

That on or about _____, in __________, the accused did then and there take a loaded .45 Caliber
Magnum Pistol, directly aim the same firearm at the person of ___________, an invalid septuagenarian and at
point blank range, with intent to kill, discharge the firearm twice against the person of said ___________,
inflicting on said _______ two (2) wounds on his chest and stomach, which would have been fatal had not timely
medical assistance been rendered to the said _______.

vi. Rape

That on or about _______________, Province of ___________, Philippines, within the jurisdiction of this
court, the said accused entered the house of ________ who was then and there alone, and by means of force and
intimidation, willfully, unlawfully, and feloniously did lie and succeeded in having carnal knowledge of said
___________, without her consent.

vii. Murder

That on or about _______, in the Province of _________, Philippines, within the jurisdiction of this
court, the said accused did, then and there, with malice aforethought and with deliberate intent to take the life of
___________, willfully unlawfully, feloniously, suddenly, unexpectedly, and treacherously, attack the latter with a
knife, first wounding him in the chest, and afterwards, when enfeebled and unable to defend himself, again
stabbed him in the stomach, both wounds being necessarily mortal, thereby causing the direct and immediate
death of said ________.

viii. Bigamy

That on or about _______, in the City of _________, Philippines, within the jurisdiction of this
Honorable Court, the said accused being legally married to ___________ and without such marriage having been
legally dissolved and thus valid and existing, did willfully, unlawfully and felicitously contract a second marriage
with ________ in the City of _______.

230
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

ix. Theft
That on or about _______, in the City of _________, Philippines, within the jurisdiction of this court, the
said accused, then 11 years old and without any known address, willfully unlawfully, feloniously, with intent to
gain, without force upon things or violence upon persons and without the knowledge and consent of ________,
the owner, took a gold necklace studded with diamonds valued at ____________ to the prejudice of said owner.

x. Homicide thru Reckless Imprudence

That on or about the ___ day of _____, ____, in the City of _____, the said accused, being then the
driver and person in charge of service jeepney bearing plate no. _____, did then and there unlawfully and
feloniously drive, manage and operate the said vehicle along _____ Blvd. in the City of _____, in a careless,
reckless and imprudent manner, by then and there making the vehicle run at a speed greater than was reasonable
and proper, without taking the necessary precaution to avoid accident to person or damage to property, causing
by such carelessness, recklessness, imprudence and lack of precaution the said vehicle so driven, managed and
operated by him to hit and bump, as in fact it hit and bumped Y, a pedestrian who was crossing said
_____________ Blvd., thereby inflicting upon said Y mortal physical injuries which were the direct and immediate
cause of his death soon thereafter.

xi. Anti-graft and Corrupt Practices Act (RA 3019) filed by Ombudsman

That on or about ________________ in ____________, Province of __________, Philippines, within the


jurisdiction of this court (or the Sandiganbayan depending on the salary grade of the accused), the said accused
did, then and there, with malice afterthought and with deliberate intent committed a violation of Section 3 (e) of
RA 3019, otherwise known as the Anti-Graft and Corrupt Practices Act (or whatever private complainant is
involved, you may include the amount malversed if it is the case or the specific act complained of).

xii. Information for Highway Robbery

That on (date when crime was committed), the said accused did then and there willfully, and unlawfully
(state how committed and the name of the private offended party) in the (place where committed) within the
City of (place where committed) resulting to damage to the private offended party in the amount of (state
amount).

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
231
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

D. OTHER FORMS

Form 72: Substitution of Counsel

THE UNDERSIGNED respectfully enters his appearance as counsel for defendant ________ in
substitution of former counsel ______, as shown by her express conformity below. Henceforth, kindly address all
pertinent notices to the undersigned at the address given below.

RESPECTFULLY SUBMITTED.

________ City, Philippines, this _____ day of _______2012.

Name
_______________________________
Appointment No.
_____________________
Roll of Attorney No.
___________________
PTR No.____, ____ (date and place of
issue)
IBP No. ____, ____ (date of issue)
(chapter)
Office
Address________________________
Email Address
________________________
Contact No.
__________________________
MCLE Compliance (or Exemption)
No._____

With my conformity:
_________________
Defendant

Form 73: Notice of Appeal

The defendant, (or plaintiff as the case may be) by counsel, hereby gives notice that he is appealing
from the judgment of this Honorable Court in the above-entitled case, dated ___________, a copy of which was
received by him on ________________, to the Court of Appeals.

________ City, Philippines, this _____ day of _______2012.

Name ______________________________
Appointment No. _____________________
Roll of Attorney No. ___________________
PTR No.____, ____ (date and place of issue)
IBP No. ____, ____ (date of issue) (chapter)
Office Address________________________
Email Address ________________________
Contact No. _________________________
MCLE Compliance (or Exemption) No._____

Copy furnished:
_________________________________
Name and Address of adverse counsel

PROOF OF SERVICE (affidavit of service by mail)

232
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 74: Comment/Opposition to Offer

COMMENT ON THE PROSECUTION’S


FORMAL OFFER OF EVIDENCE

THE ACCUSED, by counsel, respectfully opposes the Prosecution’s Offer of Evidence for the following
reasons:

Exhibit A, the sworn statement of “A”, the private complainant, and Exhibit A-1, his signature are
INADMISSIBLE because the private complainant was never presented to authenticate the document or subjected
to cross-examination, thus, the document is hearsay and inadmissible.

Exhibit B, the post-dated check dated ________, issued by the accused in the amount of
__________________; Exhibit B-1, the dorsal side of the check with notation “DAIF”, Exhibit B-2, the signature of
accused on face of the check are INADMISSIBLE for violation of the Best Evidence Rule as the original check was
never presented; and no basis for the presentation of secondary evidence laid.

ACCORDINGLY, the ACCUSED respectfully submits that the prosecution’s Exhibits are
INADMISSIBLE and must, thus, be EXCLUDED.

________ City, Philippines, this _____ day of _______2012.

Name
_______________________________
Appointment No. _____________________
Roll of Attorney No. ___________________
PTR No.____, ____ (date and place of issue)
IBP No. ____, ____ (date of issue) (chapter)
Office Address________________________
Email Address ________________________
Contact No. __________________________
MCLE Compliance (or Exemption) No._____

Copy furnished:
________________
Public Prosecutor
_________________
Private Prosecutor
_________________

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
233
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

1. ELECTION FORMS

Form 75: Certificate of Candidacy

CERTIFICATE OF CANDIDACY
OF
___________________

To: The Commission on Elections


Manila

Sir:
Pursuant to the requirements of the Election Code, the undersigned hereby files his certificate of candidacy for
the general elections on _______________, and states the following:

1. That his full name is ______________, also generally known with the nickname of ________;
2. That he announces his candidacy for the office of ________;
3. That he is eligible for the said office, he being a natural-born citizen of the Philippines, ____years of age,
having been born in _________ on _______, a qualified voter, and a resident of the Province of __________ and
of the city/municipality of ________ for the last ____years;
4. That his residence is ______, and that his post-office address for all election purposes is that his
profession or occupation is _______________, his civil status is _______ and that the full name of his spouse is
________;
5. That the name of the political party to which he belongs is ________;
6. That for the last two years of _____ and _____ his gross incomes, including deductions and exemptions
therefrom, income tax payment, were as follows:

(income)

______________________
Signature of
Candidate

REPUBLIC OF THE PHILIPPINES)


PROVINCE OF ______________ )
CITY/MUNICIPALITY OF ______ ) S.S.

I, _________________, being sworn to in accordance with law, hereby declare that I will support and defend the
Constitution of the Philippines and will maintain true faith and allegiance thereto; that I will obey the laws, legal
orders, and decrees promulgated by its duly constituted authorities; that the obligation imposed by my oath is
assumed voluntarily by me, without mental reservation or purpose of evasion; and that the facts stated in this
certificate of candidacy are true to the best of my knowledge.

______________________
Signature of
Candidate

JURAT

234
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Form 76: Election Protest

PETITION

Petitioner through counsel respectfully alleges:

1. That he is a qualified voter and was one of the registered candidates voted for in the general election
held on _____________ in the Province of _______________, Philippines, within the jurisdiction of the court;
2. That according to the certificate of canvass of the provincial board of canvassers for the province of
________, the total votes for the Office of the Provincial Governor for the said province was ___________ the
respondent appearing to have received ______ votes, the petitioner ____________votes and the other registered
candidate voted for, as follows:_______________
3. That on _______, the said provincial board of canvassers proclaimed the respondent ________ elected
to the office of the provincial Governor of the province of _______;
4. That the petitioner contests the election of the said respondent on the following grounds:
__________________
5. That the petitioner is willing to give a bond, as this Honorable Court may determine to cover all
reasonable expenses and costs and damages, incidental to these proceedings;

WHEREFORE, it is respectfully prayed:

1. That upon service of summons in accordance with law, a day be set for the hearing of the protest;
2. That an order be issued to the municipal treasurers of the Municipalities of ______ to bring and present
before the Honorable Court on or before the day of the hearing of this protest the ballot boxes, copies of the
registry list, the election statements, the voter’s affidavits, and other documents used in the said
election in said municipalities, in order that this Honorable Court may re-examine and revise the same;
3. That after due proceedings, the election of the respondent, and ________________ for the office of
Provincial Governor ____________ be annulled and that the petitioner be declared duly elected instead;
4. That the expenses and costs incurred in these proceedings be assessed against the respondent.

City, Philippines, this _____ day of _______2012.

Name
_______________________________
Appointment No.
_____________________
Roll of Attorney No.
___________________
PTR No.____, ____ (date and place of
issue)
IBP No. ____, ____ (date of issue)
(chapter)
Office
Address________________________
Email Address
________________________
Contact No.
__________________________
MCLE Compliance (or Exemption)
No._____
Copy Furnished:
_________________________________
Name and address of adverse counsel
(Personal Service)

VERIFICATION

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
235
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

E. LEGAL OPINION or event involved to enable the


court or reader to see the issues
HOW TO WRITE A LEGAL OPINION: in the proper context. (Ibid.)
- narrates the transaction or
Points to remember in writing a legal opinion: event that created the legal
dispute and led to the filing of
1. Ascertain the purpose for which your the suit.
client seeks your opinion; (Abad, 2009)
2. Do pre-work.
a. Get all the facts you need for 3. THE POSITION YOU TAKE ON THOSE
forming a competent opinion; ISSUES
b. Make a summary of the
relevant facts of the case and a. State the issue or issues – this is
put them in correct sequence. the query in which the client
c. Identify the issues that have to seeks out your opinion
be resolved and rough out the concerning the facts
arguments that support your surrounding the issue. (Ibid.)
thesis; (Ibid.)
3. After pre-work, do write up.(Ibid.) b. State the position you take on
those issues - This is the part
Note: As a general rule, there is no prescribed form where you answer the query,
for Legal Opinion. However, the substance must answering based on relevant
meet certain minimum requirements of content. laws and jurisprudence. (Ibid.)
(Abad,2009)
How to create an argument?
PARTS OF A LEGAL OPINION: The legal argument is the right rule and
the right fact put together. A legal argument is
1. HEADING AND INTRODUCTION made up of three statements:
- Consist of the letterhead of the law firm, a. The statement of a rule that
date, name and address (inside address) applies to a given fact or set of
of the client, salutation and a short facts (the rule statement);
introduction. (Tabucanon, 2010) b. The statement of the fact of a
particular case that opens up
2. BACKGROUND FACTS THAT ADEQUATELY such case or closes it to the
INTRODUCE THE ISSUES IN THE CASE application of the rule (the case
- Introduce the issues by providing the fact statement); and
background of facts that are needed to c. The conclusion that the rule
understand those issues. (Abad, 2009) applies or does not apply to the
particular case (the conclusion
Note: Only as much background facts as are needed statement).
for an understanding of the issue or issues included.
(Ibid.) Knowing the essential
statements of your legal
- Standard of sufficiency in introducing an argument is important because
issue or issues of the case requires the the effectiveness of your
following: argument depends on how ably
you write up each statement of
a. The Statement of the Case your argument into a convincing
Purpose: To provide a clear and part. Knowing the essentials
concise statement of the nature of the enables you to dismantle your
action. (Ibid.) argument, reinforce or improve
- it describes the nature of the the weak parts, emphasize the
action and the proceedings it had gone strong, and put them together
through. (Ibid.) again to produce a persuasive
argument (Abad, 2009).
b. The Statement of Facts
Purpose: To provide a 4. THE ARGUMENTS THAT MAY BE MADE
background of the transaction AGAINST YOU

236
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

- List all the pertinent laws and jurisprudence - The Recommendation on the other hand
which are not in your favor to show your client answers the question: “What do you
both sides as to not incite overexcitement to a propose the client would do?” It states
winning case nor distress over a possibly losing the proposed solution to the issue. (Ibid.)
case.
The idea behind every closing statement is to
5. ARGUMENTS IN YOUR FAVOR depart on a good note after pacing your
pleading with every sort of argument in
6. CONCLUSION AND RECOMMENDATION support of your stand. The closing statement
(WHAT YOU WHAT YOUR READER TO should not appear to argue even if it may
UNDER THE CIRCUMSTANCES) appeal to the good sense of the judge
- In the Conclusion, reiterate the answer to the exercised in your favor (Abad, 2009).
question raised in the issue/issues. (Tabucanon,
2010)

ILLUSTRATION 1: LEGAL OPINION:

HEADING AND INTRODUCTION

September 14, 2011

Mr. Rogelio G. Chan


Milan Furniture Co., Inc.
245 Juan Luna Street
Binondo, Manila

Dear Mr. Chan:

Here is the opinion that you requested.

The facts, as I gathered from you and your documents, are as follows:

BACKGROUND FACTS THAT ADEQUATELY INTRODUCE THE ISSUES IN THE CASE

On May 12, 2008 you applied with the Century Bank in Binondo, Manila, on behalf of Milan Furniture
Co., Inc., for a letter of credit, Annex “A”, covering its importation of hardwood from Vietnam. On arrival of the
goods, the bank agreed to advance the payment of their price to your supplier. In turn, you executed a
promissory note in the name of Milan Furniture, Annex “B”, undertaking to pay back the bank’s
advance within three months of the date of the note. You also signed a trust receipt, Annex “C”,
covering receipt of the goods.

The trust receipt provided that, in case of the sale of the imported hardwood, Milan Furniture would
turn over the proceeds of that sale to the bank to apply to your loan. Because Milan Furniture had been unable to
pay its promissory note to the bank when it fell due, on October 17,2008 the lawyers of the bank sent you a
demand letter, Annex “D”, requesting full payment of the debt of return of the goods.

I understand that, on receipt of the letter, you tried to negotiate with the manager of the bank, offering
to return the imported hardwood that you were yet unable to sell or use. But the bank manager rejected your
offer, stating that the bank did not accept goods in payment of debts owed it. Since further negotiations also
failed, the bank sent you a final demand for payment on December 4 under a threat of filing a criminal complaint
for estafa involving the trust receipt that you executed in its favor.

The question you pose is whether or not, under the above facts, you may be held liable for estafa under
PD 115, the Trust Receipt Law, in relation to Section 1(b) of Article 315 of the Revised Penal Code.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
237
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

THE POSITION YOU TAKE ON THOSE ISSUES

In my opinion, since the bank opted not to accept the goods even when you offered to return them on
behalf of Milan Furniture, it should be deemed to have withdrawn its earlier demand from you to pay or “return
the goods covered by said Trust Receipt.” Effectively, the bank chose to consider Milan Furniture to have
already bought those goods, altogether removing the transaction from the coverage of Section 13 of the Trust
Receipt Law.

I base my opinion on the following:

The relevant provision of the Trust Receipt Law or PD 115 provides:

SEC.13. Penalty Clause.—The failure of an entrustee to turn over the proceeds of the sale of
goods,
documents or instruments covered by a trust receipt to the extent of the amount owing to the
entruster or as appears in the trust receipt or to return said goods, documents or instruments if
they
were not sold or disposed of in accordance with the terms of the trust receipt shall constitute the
crime of estafa, punishable under the provisions of Article Three Hundred and Fifteen, Paragraph
One (b), of Act Numbered Three Thousand Eight Hundred and Fifteen, as amended, otherwise
known
as the Revised Penal Code.xxx

The related provisions of Section 1(b), Article 315 of the Revised Penal Code, under which the violation
is made to fall, states:

ART. 315. Swindling (estafa).—Any person who shall defraud another by any of the means
mentioned
herein below xxx:

1. With unfaithfulness or abuse of confidence, namely:


xxx xxx xxx

b. By misappropriating or converting, to the prejudice of another, money, goods or any other


personal property received by the offender in trust or on commission, or for administration, or
under
any other obligation involving the duty to make delivery of or to return the same, even though
such
obligation be totally or partially guaranteed by a bond; or by denying having received such money,
goods, or other property.”

From the above, the following are the elements of estafa involving a trust receipt:

1. The entrustee received the goods under a trust receipt from the entruster under an obligation to turn
over the proceeds of the sale of goods or to return said goods;

2. The entrustee misappropriated or converted the goods by failing to turn over the proceeds of their sale
or to return said goods to the entruster;

3. The misappropriation or conversion is to the prejudice of the entruster; and

4. The entruster made a demand on the entrustee.

One of the elements of estafa involving a trust receipt is that the entrustee [in this case, you or Milan
Furniture] received the goods under a trust receipt from the entruster [in this case, Century Bank] under an
obligation to turn over the proceeds of the sale of the goods or to return said goods. The Trust Receipt Law, PD
115, provides in Section 11 that the liability for estafa under paragraph 1(b) of Article 315 of the Penal Code arises
in case of “the failure of an entrustee to turn over the proceeds of the sale of the goods or to return said goods.”

238
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

ARGUMENTS IN YOUR FAVOR

The trust receipt in this case, Annex “A”, echoes the above provisions of the Trust Receipt Law. Under it,
Milan Furniture or you as its signatory, undertook “to turn over to the BANK the proceeds” of the sale
1
of the goods or, “in case on non-sale,” to “return the goods covered by this Trust Receipt to the BANK
2
upon its demand.”

But the terms of the trust receipt does not end there. The trust receipt, Annex “A”, gives Century
Bank an option not “to accept the return of the goods.” In effect, Century Bank could chose to
regard such goods already sold to Milan Furniture even though the latter could and wanted to return them.
The seventh paragraph of the Trust Receipt, Annex “A”, thus reads:

We agree that the BANK is not obliged to accept any return of the goods under this Trust
Receipt by us or to consider any return thereof if accepted or demanded by the BANK, as
satisfaction of our indebtedness to the BANK.

Century Bank in fact availed itself of the above option. It opted not to accept the goods even when you
offered to return them. Consequently, Century Bank should be deemed to have withdrawn its earlier demand
that you or Milan Furniture pay or “return the goods covered by said Trust Receipt immediately.”
Effectively, Century Bank chose by its action to consider the subject goods sold to Milan Furniture, altogether
removing the transaction from the coverage of Section 13 of the Trust Receipt Law.

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

Moreover, Section 13 of the Trust Receipt Law provides that the “failure of an entrustee to turn over the
proceeds of the sale of the goods or to return said goods if they were not sold or disposed of in accordance with
the terms of the trust receipt shall constitute the crime of estafa.” The essence of the penal provision of the law,
therefore, is that the entrusted [here, Century Bank] has entrusted the good to the entrustee [Milan Furniture or
you] for him to sell. Once sold, the entrustee was to turn over the proceeds of the sale to the entruster.

Section 13 does not embrace instances where the goods are turned over by the entrustor to the
entrustee for the latter’s use in his own business. This is clear from the ruling of the Supreme Court in
3
Colinares v. Court of Appeals that reads:

Also, noteworthy is the fact that Petitioners are not importers acquiring the goods for re-
sale,
contrary to the express provision embodied in the trust receipt. They are contractors who
obtained the fungible goods for their construction project. At no time did title over the
construction materials pass to the bank, but directly to the Petitioners from CM Builders
Centre.
This impresses upon the trust receipt in question vagueness and ambiguity, which should not
be
4
the basis for criminal prosecution in the event of violation of its provisions.

In this case, on May 12, 2008 Century Bank agreed with Milan Furniture to open a letter of credit
(LC) on the latter’s behalf to cover a shipment of hardwood from Vietnam for use in its manufacture of furniture.

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

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
239
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

The practice of banks of making borrowers sign trust receipts to facilitate collection of
loans
and place them under the threats of criminal prosecution should they be unable to pay it may
the
unjust and inequitable, if not reprehensible. Such agreements are contracts of adhesion which
borrowers have no option to sign lest their loan be disapproved. The resort to this scheme
leaves
poor and hapless borrowers at the mercy of banks, and is prone to misinterpretation, as had
happened in this case. Eventually, PBC showed its true colors and admitted that it was only
after
5
collection of the money as manifested by its Affidavit of Desistance.

That the transaction was a loan is made clear from paragraph 1 of the agreement for the opening of a
letter of credit between Century Bank and MHTI, Annex “A”. It provides that, in consideration of the
opening of the letter of credit on behalf of Milan Furniture in the amount of US$39,060, the latter undertook
to pay the bank on demand for all drafts drawn against such letter of credit, with 13% per annum. The title to the
goods never really passed to the bank. Century bank did not import them from Vietnam; it merely opened a letter
of credit for the benefit of Milan Furniture. The supplier shipped the hardwood to Milan Furniture under the
cover of that letter of credit. In short, Century Bank merely provided the loan that financed the shipment.

Since the transaction was a loan, Milan Furniture’s liability to Century Bank should only be
regarded as civil. The criminal action against you must fail. It is but fair and the investigating prosecutor or the
court should see the point.

CONCLUSION AND RECOMMENDATION

A word of reservation: I base my opinion on the language of the laws involved as well as on settled
judicial precedents. But, in the event the bank files criminal complaint against you, there is the chance, however
small, that the public prosecutor may just decide to file it in court, subjecting you to the hassle, expense, and risk
that criminal trials entail. But I am confident that, ultimately, you will be absolved.

Please let me know if I can be of further service to you in this matter.

Very truly yours,


ANNA ELIZABETH A. DE DIOS

_____________________
1 Third paragraph, Trust Receipt, Annex “B”.
2 Id., fifth paragraph.
3 339 SCRA 609 (2000)
4 At pp. 623.
5 Supra, at pp. 623-624.

240
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

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

Law is based on wisdom but law is not wisdom.

_________________

Source: Abad, Roberto. The Fundamentals of Legal Writing. 2009.

SAMPLE: LEGAL OPINION

OPINION NO. 51, S.2010

November 11, 2011

Secretary Rogelio L. Singson


Department of Public Works and Highways
Manila

Dear Secretary Singson:

This refers to your request for legal opinion on the amount of just compensation Mesdames Nelly S.
Sarabia and Louce S. Ozoa are entitled to when their property was partially taken by the Department of Public
Works and Highways (DPWH) in 2001 in connection with the Construction of the Metro Manila Flood Control
Project – West of Manggahan.

As a backgrounder, it appears that the DPWH offered the claimants to acquire their property needed as
right-of-way in the construction of the Metro Manila Flood Control Project-West of Manggahan through a
negotiated sale; that the latter accepted the value of P600.00 per square meter as just compensation based on
the Bureau of Internal Revenue (BIR) zonal valuation of the property per certification dated December 15, 2004,
of the Acting Revenue District Officer who classified it as agricultural lot; that however, when the claimants went

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
241
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

to the BIR to pay the capital gains tax on the sale of the said property, it refused to accept the said payment based
on the zonal valuation of land of P600.00 per square meter on the ground that the current zonal valuation of the
property is P2,000.00 per square meter as shown by the certification previously issued by the BIR dated October
4, 2004, stating that the current zonal valuation of the said property is P2,000.00 per square meter and
categorized it as residential in nature; that on account of the refusal of the BIR to accept the payment of the
capital gains tax based on the zonal valuation of land of P600.00 per square meter, the Deed of Sale for the
property cannot be registered in the Office of the Registry of Deeds for Taguig City resulting in the non-
registration of the certificate of title of the property in the name of the Republic of the Philippines and the non-
payment of just compensation to the claimants up to the present.

It also appears that on July 4, 2007, the claimants executed a notarized Revocation and Rescission of the
subject Deed of Sale invoking the Civil Code Provisions on void and inexistent contracts because of the two (2)
conflicting zonal valuations issued by the BIR; that, however, the Office of the Solicitor General opined in its letter
dated November 29, 2007, that the Deed of Sale executed by the parties is a perfected contract, and the fact that
the BIR assessed a capital gains tax based on a higher zonal value does not affect the validity of the sale, and its
mere inadequacy of the purchase price is not a valid ground for rescission.

It further appears that to clarify the true zonal valuation for the subject property, the BIR stated in its
BIR Technical Committee on Real Property Valuation (TCPRV) Resolution No. 17- 2008 dated March 4, 2008, that
pursuant to revenue Memorandum Order (RMO) No. 41-91 dated November 11, 1991, the actual consideration
appearing on the Deed of Absolute Sale shall be an acceptable tax base in the computation of capital gains and
documentary stamp taxes in cases of negotiated purchase and/or sale of land by a government agency or
government-owned corporation; that, however, the Central IROW-Committee passed a resolution recommending
the reformation of the Deed of Sale by adopting the P2,000.00 per square meter as the just compensation for the
property based on equity and Article 1359 of the Civil Code, which provides that when there having been a
meeting of the minds of the parties to a contract, their true intention is not expressed in the instrument
purporting to embody the agreement, by reason of mistake, fraud, inequitable conduct or accident, one of the
parties may ask for reformation of the instrument to the end that such true intention may be expressed.

With regret, this Department has to decline rendition of the requested opinion.

Please be informed that as a matter of policy and established precedents, this Department does not
render opinion on questions of just compensation, which is a justiciable matter and could at best resolved only
tentatively by the administrative authorities because the final decision rests not with them but with the courts of
justice. (Secretary of Justice Opinion No. 95, s. 2002)

Moreover, the specific issue raised in the instant query necessarily affects the substantive rights of
private parties upon whom the opinion of the Secretary of Justice which is merely advisory in nature, has no
binding effect, and who may, in all probability, contest the same in court if the opinion turns out to be adverse to
the interests. Inasmuch as the matter herein might subsequently be the subject of judicial controversy, it is
neither advisable nor proper for this Office to comment thereon. (Secretary of Justice Opinions No. 89, s. 1999
and No. 31, s. 1997)

Further, the resolution of the issue would require us to pass upon the legality/validity of the action of
the BIR relative to the payment of the capital gains tax and the refusal of the Registry of Deeds to register the
Deed of Sale. Both the BIR and the register of Deeds of Taguig City are, however, beyond the revisory authority of
the Department. Pursuant to settled practice and precedents, the Secretary of Justice does not render opinion or
express any comments on questions involving the interpretation and/or application of administrative rules and
regulations of other departments/offices over which he exercises neither supervisory nor revisory authority,
unless requested by the issuing agencies/departments by reason of their familiarity with the intent and purposes
of the issuance and the extent of the application thereof. (Secretary of Justice Opinions No. 88, s. 1998; No. 74, s.
1989)

Nonetheless, for your information and guidance, we invite your attention to Section 7 of the
Implementing Rules and Regulations (IRR) of R.A. No. 8974 which directs the Implementing Agency to offer
“as just compensation the price indicated in the current zonal valuation issued by the Bureau of Internal
Revenue (BIR) for the area where the private property is located,” to wit:

242
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

“Section 7. Negotiated Sale of Purchase. – If the owner of the property needed for a
ROW is
not willing to donate his property to the government, the Implementing Agency shall
negotiate with the owner for the purchase of the property, offering as just compensation
the
price indicated by the Bureau of Internal Revenue (BIR) for the area where the private
property is located....” (Emphasis supplied.)

Just compensation has been described as “the just and complete equivalent of the loss
which the owner of the thing expropriated has to suffer by reason of the expropriation.” (Bernas, Joaquin G.,
The 1987 Philippine Constitution, A Reviewer-Primer, 1997 Ed., pp. 118, citing Province of Tayabas v. Perez, 66
Phil. 467, 469 (1938)) The measure is not the taker’s gain, but the owner’s loss. (NPC v. Manubay Agro-
Industrial, G.R. No. 150936, 18 August 2004) To compensate is to render something which is equal in value to
that taken or received. The word “just” is used to intensify the meaning of the word
“compensation”; to convey the idea that the equivalent to be rendered for the property taken shall
be real substantial, full, and ample. (Jose Y. Feria and Maria Concepcion S. Noche, Civil Procedure Annonated, Vol.
2, 2001 Ed., p. 543; citing Manila Railroad Co. v. Velasquez, 32 Phil. 286, 313-314 (1915) and Province of Tayabas
v. Perez, 66 Phil. 467 (1938) It includes not only the correct determination of the amount to be paid to the owner
of the land but also the payment of the land within a reasonable period of time from its taking. (Ibid., p. 119,
citing Municipality of Makati v. Court of Appeals, 190 SCRA 206, 213 (1990) Expressed differently, the
compensation given to the owner is just if he receives for his property a sum equivalent to its “market
value” (Ibid.) which, according to Section 6 (Section 6. Guidelines for Negotiated Sale. – Should the implementing
agency and the owner of the property agree on a negotiated sale for the acquisition of right-of-way, site or
location for any national government infrastructure project, the standards prescribed under Section 5 hereof shall
be used to determine the fair market value of the property, subject to review and approval by the head of the
agency or department concerned. (Italics supplied.) of R.A. No. 8974, must be determined following the standards
prescribed by Section 5 thereof.

Section 5 of R.A. No. 8974 reads as follows:

“Section 5. Standards for the Assessment of the Value of the Land Subject of

Expropriation Proceedings or Negotiated Sale. – In order to facilitate the determination of


just
compensation, the court may consider, among other well-established factors, the
following
relevant standards:

The classification and use for which the property is suited;


(a) The developmental costs for improving the land;
(b) The value declared by the owners;
(c) The current selling price of similar lands in the vicinity;
(d) The reasonable disturbance compensation for the removal and/or
demolition
of certain improvement on the land and for the value of improvements
thereon;
(e) This size, shape or location, tax declaration and zonal valuation of the
land;
(f) The price of the land as manifested in the ocular findings, oral as well as
documentary evidence presented; and
(g) Such facts and events as to enable the affected property owners to have
sufficient funds to acquire similarly-situated lands of approximate areas as
those
required from them by the government, and thereby rehabilitate
themselves as
early as possible.”

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
243
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Finally, it may not be amiss to state that it is an elementary rule in administrative law that
administrative rules and regulations or policies enacted by administrative bodies to interpret the law which they
are entrusted to enforce, have the force of law, and are entitled to grant weight and respect. (Rizal Empire
Insurance Co. v. National Labor Relations Commission, 150 SCRA 565 (1987), Gonzales v Landbank of the
Philippines, 183 SCRA 520 (1990); Nestle Philippines, Inc. v. Court of Appeals, 203 SCRA 504 (1991)) The best
authority to interpret a rule is the source of the rule itself. (Bacobo v. Commission on Elections, 191 SCRA 576
(1990))

Since it appears that the two (2) conflicting zonal valuation of the land were both issued by the BIR over
a span of only two (2) months, the best authority to interpret the rule on zonal valuation of the land is the source
itself, which is the BIR. Thus, if the BIR state that the zonal valuation of the subject land is P2,000.00 per square
meter, then the said valuation should be controlling.

Very truly yours,

(Sgd.) LEILA M. DE
LIMA
Secretary

Source: The Lawyer's Review, 2010

F. TRIAL MEMORANDA without veering towards any of the


parties’ side. (Ibid.)
HOW TO WRITE A TRIAL MEMORANDUM:
- Determine the legal dispute by
Note: Pre-work is indispensable to a substantial and ascertaining what right of a party the
convincing trial memorandum. It will do well for other has violated. Afterwards, study the
you, therefore, to go over the pleadings, the laws and rules involved in such dispute.
transcript of testimonies of the witnesses, and the (Abad, 2009)
documentary exhibits. Working on these materials,
identify the legal dispute involved and based on it, 4. STATEMENT OF RELEVANT ISSUES THAT
draw up the principal issue in the case. From there, THE PARTIES PRESENT FOR RESOLUTION
proceed to make an outline of the relevant facts - List down all the issues involved and
that the opposing parties claim and pin point the identify the controlling issue or issues
issues that you need to address. (Abad, 2009) that, when resolved, will end the legal
dispute. (Ibid.)
1. HEADING
5. AN ORDERLY PRESENTATIONS OF THE
2. SUMMARY OF THE NATURE OF THE ARGUMENTS THAT SUPPORT YOUR
ACTION CLIENT’S POSITION
- Determine what actions were filed by - Rough out your argument on a paper,
the plaintiff against the defendant and using the balance sheet format (Ibid.).
other proceedings which the parties have You need to be guided by your
undergone prior to the filing of the proposition or where you stand on the
present action. (Ibid.) issue. Draft out arguments against you as
well as those arguments in your favor.
3. A SUMMARY OF THE FACTS OF THE CASE
- This refers to the transaction or event - Lastly, write your closing statement
that brought about the legal dispute and appealing to the good senses of the
the lawsuit as seen from the opposing reader.
points of view of the parties. (Ibid.)
- Write up your memorandum introducing
- Read the materials and make an outline the issue/issues, arguments and closing
of the relevant facts of the case, arranging statement. Edit your work to rid out of
them the order of time and carefully needless words.
narrating each if the parties’ version

244
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Below is the structure of a memorandum, opinion, brief, petition, comment, position paper, decision, or similar
legal writing: (Ibid.)
Statement of the Case
Statement of the Facts
Plaintiff’s version of the facts Defendant’s version of the facts
The issue or issues
Body of Arguments
Relief

ILLUSTRATION 2: TRIAL MEMORANDUM:

HEADING

Republic of the Philippines

REGIONAL TRIAL COURT


National Capital Judicial Region
Mandaluyong City, Branch 156

RAMON C. MARANAN,
Plaintiff,
-versus- SCA No. CV 0341
GONZALO REALTY CORP.,
Defendant
x--------------------------------x

DEFENDANT’S MEMORANDUM

Defendant, by counsel, respectfully submits its memorandum in the case:

SUMMARY OF THE NATURE OF THE ACTION AND THE COURT PROCEEDING

The Case

Plaintiff Ramon C. Maranan filed this action for declaratory relief and damages against the defendant
Gonzalo Realty Corporation, claiming that the Court needed to ascertain the rights of the parties under a contract
of lease between them before its terms were violated. In its answer, Gonzalo Realty claimed that it did not
authorize the contract of lease and that the action was improper for declaratory relief. The parties claimed moral
damages and attorney’s fees against each other.

A SUMMARY OF THE FACTS OF THE CASE

The Facts

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

Maranan went to Gonzalo Realty’s office and asked Edmundo Gonzalo, its new president, to honor the
contract signed by the former president, Ted Gonzalo. But Edmund and her sister, Judith Gonzalo, told him that
the contract was void. Maranan had not since seen Ted Gonzalo. These events prompted him to file the present

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
245
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

action. A second witness, Fred Simon testified that he had been paying Maranan’s rents to Susan, the secretary of
Gonzalo Realty at its office and that, although Edmund knew of such payments, he did not object to them (Exh.
“H”).

Judith Gonzalo, a stockholder, a member of the board of directors, and the corporate secretary of
Gonzalo Realty (TSN January 30, 2009, p.5-6), presented her company’s version. She served as company president
from August 2006 to December 2007, succeeding her brother Ted (id., p.7) who served from 2000 to July 2006.
Later, her other brother Edmund took over as president. Gonzalo Realty had been leasing lots and a building in
San Dionisio, Baclaran and Tambo in Paranaque (id., p.8), including the two small lots subject of this case (id., p.9).

Judith first learned of the lease of the two small lots to Maranan in 2006 when, on becoming Gonzalo Realty’s
president, she asked their secretary to instruct all the tenants to pay their rents directly to Gonzalo Realty and no
longer to Ted. Beginning in August 2006 Maranan paid his rents to Gonzalo Realty, which issued him official
receipts (id., p. 10; Exhs. “B” to “B-19”). The company did not issue the other receipts that Maranan presented
in court (Exhs. “D” to “D-34”), some of which included official receipts issued by his brother Ted’s company, the
TRG Enterprises (id., p.11). TRG stood for Ted R. Gonzalo.

Gonzalo Realty did not authorize Ted to enter into the lease contract, Exh. “A”, with Maranan (id.,
p.12). Judith first saw it only in August or September 2007 while she was making her rounds of their properties.
When Judith asked Maranan if they could already increase his rents, the latter produced a lease contract with Ted
Gonzalo for twenty-five years at P2,000.00 rent per month with no escalation (id., p.13). As soon as she saw the
contract, Judith wrote Maranan informing him of its invalidity and demanded an increase in his rent to P8,000.00
per month, subject to a 10% yearly increase (id., p.14).

According to Gonzalo Realty’s by-laws, its president’s powers were purely managerial or administrative
(id., p.14; see Sections 4 and 5). This allowed him to lease corporate properties for not more than one year; for
lease corporate properties for not more than one year; for leases over one year, the contracts had to pass Judith
and be approved by the board of directors of the company (id., p. 15). In this case, the board learned of
Maranan’s contract with Ted only in August 2007. It neither authorized nor ratified the contract (id., p.17). To
defend itself against the suit, Gonzalo Realty had to hire the services of counsel for P100,000.00 and P3,000.00 for
every hearing he attend (id., pp. 17-18).

STATEMENT OF RELEVANT ISSUES PARTIES PRESENT FOR RESOLUTION

The Issues

The Court defined the issues in this case in its pre-trial order as follows:

1. Whether or not the Contract of Lease executed by and between Ted Gonzalo and Ramon Maranan
binds Gonzalo Realty
2. Whether or not either party is entitled to damages and attorney’s fees

BODY OF ARGUMENTS

The Arguments

I.
TED GONZALO DID NOT HAVE AUTHORITY TO BIND GONZALO REALTY TO THE LONG-TERM LEASE
AGREEMENT THAT HE SIGNED

Maranan claims that Gonzalo Realty is bound by the contract that he entered into with Ted Gonzalo
since, as president of Gonzalo Realty’s president in 1998 did not mean that all his acts were the acts of the
corporation. Consider the following:

246
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

First. Ted did not enter into the subject contract of lease on behalf of Gonzalo Realty, either as its
president or as its agent. The portion of the contract, Exhibit “A”, which identified who the parties were
to that agreement, shows that Maranan contracted only with Ted in the personal capacity. Thus –

This Contract is made and entered into by and between:

TED R. GONZALO, of legal age, Filipino, married, with residence and postal address at 336 J.P.
Rizal St., Mandaluyong City, hereinafter referred to as the LESSOR;

-and-

RAMON C. MARANAN, of legal age, Filipino with residence and postal address at 478 Tangco
St.,
Mandaluyong City, hereinafter referred to as the LESSEE.

Since the above contract specified Ted Gonzalo as the “lessor” of the property, Maranan
cannot pretend that he entered into that contract with Gonzalo Realty itself. The latter’s name does not
appear on the face of the contract at all. As a businessman, Maranan is intelligent and his eyes were open. He
should be held bound by the representations in that contract that he had dealt only with Ted in his personal
capacity.

Second. The contract falsely claimed that Ted owned the subject lots. The “whereases” clause
unmistakably states:

WITNESSETH:

WHEREAS, the LESSOR [Ted Gonzalo] is the registered owner of two (2) parcel of land, covered
and
embraced by Lot 25, containing an area of 102 square meters and Lot 26 with an area of 15 square
meters, both situated at Banaba Subdivision, Poblacion, Mandaluyong City.

WHEREAS, the LESSEE desires to lease the above mentioned two (2) Lots and the Lessor is willing
to
lease the same unto said Lessee, under the following terms and conditions, to wit:”

XXX XXX XXX XXX

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

Third. It does not help Maranan’s case that he admitted in the course of re-cross that before he leased
the property from Ted, he had seen the deed of exchange, Exhibit “G,” which Gonzalo Realty entered into with
Acme Realty Corp. for a swap of the lots between them. Since the document was a sample of how Gonzalo Realty,
a corporation, contracted with third persons, Maranan was familiar with the form used. Indeed, he admitted that
he read the front portion of the deed of exchange and saw that, although the contracting party was Gonzalo
Realty, the document declared that Ted, its president, represented it in the transaction.

Still, when it came to the two lots that Maranan allegedly leased from Gonzalo Realty, he went along
with the idea that Ted would act on his own, in a personal capacity, rather than as Gonzalo Realty’s
representative. Maranan could not, therefore, claim ignorance of what it took to bind a corporation to a contract.
He knew that the lease contact did not bind Gonzalo Realty.

Fourth. Even if Maranan and Ted had wanted the latter to bind Gonzalo Realty into that contract, still
Ted could not do so. Section 23 of the Corporation Code vests in the board of directors the corporate powers of a
corporation, including the power of control over all its properties.

THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS


CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
247
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

Sec. 23. The board of directors or trustees.- Unless otherwise provided in this Code, the
corporate powers of all corporations formed under this Code shall be exercised, all
business
conducted and all property of such corporation controlled and held by the board of
directors
or trustees to be elected from among the holders of stocks, or where there is no stock,
from
among the members of the corporation, who shall hold office for one (1) year and until
their
successors are elected and qualified.

As president, Ted only had powers of general administration under the corporation’s by-laws (TSN,
January 30,2007, p.14). Article 1877 of the Civil Code governs the scope of his authority. Thus:

Art. 1877. An agency couched in general terms comprises only acts of administration, even
if
the principal should state that he withholds no power or that the agent may execute such
acts
as he may consider appropriate, or even though the agency should authorize a general and
unlimited management.

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

Art. 1878. Special powers of attorney are necessary in the following cases:
XXX XXX XXX XXX

8. To lease any real property to another person for more than one year;
XXX XXX XXX XXX

Here, neither the complainant nor the contract of lease states that Ted had been empowered with a
special power of attorney approved by the Board of Directors of Gonzalo Realty to lease its two lots to Maranan
for twenty-five years with no change in rental.

Fifth. Assuming that Ted had the authority to enter into long-term lease contracts on behalf of Gonzalo
Realty even without a special power of attorney from its board of directors (a point that is not conceded), still he
could not have bound Gonzalo Realty to the particular contract subject of this case. Article 1883 of the Civil Code
provides that, if an agent “acts in his own name, the principal has not right of action against the persons with
whom the agent has contracted; neither have such persons against the principal.”

Here, clearly, Ted acted in his own name. Consequently, Maranan had no right of action against Gonzalo
Realty.

II.
GONZALO REALTY HAS NOT RATIFIED THE CONTRACT OF LEASE BETWEEN TED GONZALO AND MARANAN

Maranan next claims that Gonzalo Realty should be considered as having ratified the contract in
question considering how it had received monthly rents from him as evidenced by the receipts that it issued.

But Gonzalo Realty could not ratify a contract that it did not know existed. Judith Gonzalo testified that
they learned of the contract of lease between Ted and Maranan only in August 2006and Gonzalo Realty lost no
time to assail it. Indeed, neither Maranan nor his warehouseman, Fred Simon, testified to having previously
discussed with Judith or Edmund Gonzalo, whom they knew were directors and later presidents of the company,
the matter of the twenty-five year contract of lease.

248
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO
LEGAL FORMS

Nor could Maranan capitalize on the fact that he had faithfully paid monthly rentals of P2,000.00 for the
property from 2003 to August 2007. Consider the following:

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

Consequently, Maranan cannot infer from the fact of Gonzalo Realty’s receipt of rentals from him
beginning in August 2006 that it had knowledge and approved of his 2003 contract of lease. Only when
Maranan invoked his alleged twenty-five year contract with Ted and sent a copy of it to Gonzalo Realty around
August 2007 did the latter learn of its existence. And Gonzalo Realty promptly informed Maranan that the
contract was void.

2. The receipts that Maranan got for the rents he paid are consistent with Gonzalo Realty’s lack of
knowledge of the contract and his occupation of the property in 2003. The paper trail of receipts he offered is
interesting and proves this point. Consider the following:

First. The lease evidently ran for over two years from April 2003 to July 2006 as a secret,
illicit
agreement solely between Maranan and Ted. The receipts corresponding to this period were
mostly
unofficial, written on scratch papers of various sizes (Exhs. “D” to “D-34”). In some cases,
official
receipts had been issued but these were in the name of TRG Enterprises, a business that
belonged
to Ted. TRG stood for Ted R. Gonzalo. For five years, therefore, Maranan and Ted actually cheated
Gonzalo Realty of earnings from its property.

Second. Official receipts from Gonzalo Realty appeared only from August 2006,
consistent
with Judith Gonzalo’s testimony that only from that month did their company begin to collect
rents from Maranan (Exhs. “B” to “B-19”). She testified that they assumed that
Maranan
had been leasing the property on a month-to-month basis and they collected rents from him in
good
faith on the basis of that belief.

III.
GONZALO REALTY IS ENTITLED TO DAMAGES

For having instituted this baseless and malicious suit, Maranan should be held liable to Gonzalo Realty
for moral damages and attorney’s fees.

RELIEF

WHEREFORE, defendant Gonzalo Realty Corporation respectfully prays the Court to render judgment:

1. Dismissing the petition for lack of merit; and


2. Ordering plaintiff Ramon C. Maranan to pay defendant moral damages of P1 million and
attorney’s fees of P100,000.00 plus appearance fee for counsel at P3,000.00 per hearing.

[Explanation: A copy of this memorandum has been served on the adverse party by registered mail in view of
the distance and the absence of a messenger who could make a personal service.]

Manila for Muntinlupa City, May 12, 2012.


THE ACADEMICS COMMITTEE: UNIVERSITY OF SANTO TOMAS
CHAIRPERSON: KAREN FELIZ G. SUPNAD
VICE CHAIRPERSON FOR ACADEMICS: MA. IRENE SANTOS
VICE CHAIRPERSON FOR ADMINISTRATION AND FINANCE: JANICE G. NADAL
Facultad de Derecho Civil
249
VICE CHAIRPERSON FOR LAYOUT AND DESIGN: EARL LOUIE M. MASACAYAN
UST GOLDEN NOTES 2012

ISABELA H. FONTANILA
Counsel for Gonzalo Realty Corp.
2nd Flr. Olympia Bldg
445 Buendia Avenue
Makati City
Atty. Roll No. 23456
IBP 544498 12-21-12
PTR 8723254 01-02-12
MCLE Compliance III-295
Email: ihfontanilla@yahoo.com

Copy furnished:

Atty. Shaira A. Cruz


346 President Avenue Parañaque City
Source: Abad, Roberto.
The Fundamentals of Legal Writing. 2009.

250
LEGAL AND JUDICIAL ETHICS WITH LEGAL FORMS TEAM
ADVISER: JUDGE PHILIP AGUINALDO; SUBJECT HEAD: JANCE G. NADAL
ASST. SUBJECT HEADS: LANI LAURETTE P. FRANCISCO; MEMBERS: ANNE ROSE DE GUIA, GIRLIE ANN BASILIO

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