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Legal Ethics
Bar 2011 Notes
Roland Glenn T. Tuazon
Ateneo de Manila University
PRACTICE OF LAW
What is the concept of legal practice?o A. The practice of law is to give notice or render any kind of
service, which requires the use of any degree of legalknowledge or skill (Monsod)
It is any activity, in or out of court, which requiresapplication of the law, legal procedure, knowledge,
training, and experience
o B. It is a privilege granted only to those who possess strict 1)intellectual and 2) moral qualifications
o C. It is a profession, not a businessRequirements:
Admission to the Bar To become a lawyer Continued admission
to the BarPhilippine citizen Passed Bar exams Remain IBP member in
good standingPhilippine resident Took oath Pay IBP dues and
other assessmentsAt least 21 years old Registered in roll of
attorneysPay annual privilegetax
Complete requiredcourses
Received certificate oflicense to practice lawfrom the clerk of courtof the SC
Observe rules onproper ethics
Evidence of GMC
No charges involvingmoral turpitude filed orpending in any Phil.Court
How do you prove GMC and lack of pending charges?o Produce before the SC satisfactory evidenceo What is moral turpitude?
Everything done contrary to justice, modesty, goodmorals; act of baseness, vileness or depravity,
contrary to justice, honesty, modesty, good morals
Who has the power to control and regulate the practice of law?o The SCo The legislature cannot contravene this constitutional grant. So
it cannot, for instance, require that a lawyer take another exam
as a prerequisite to practice law in a particular government
agency.
In what instances can non-lawyers appear in court?
Before the MTC Before any othercourt
Special cases
As party to the litigation As party to thelitigation, in person, in acivil case
Before NLRA/LA,representingthemselves
Agent or friend of aparty in litigation
Legal aid program Before NLRC/LA,representing theirorganization
In a criminal case in alocality where a lawyer
is not available
Before cadastral court
Legal aid program
Requisites for who can be appointed in a criminal case before theMTC, in localities where a lawyer is not available?
o 1. A resident of the provinceo 2. Of good reputation for probity and ability to aid the accused
in his defense
May juridical persons appear in person?o No.Juridical persons may only appear by attorney
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Requisites for who can appear under the legal aid program?o 1. Senior law studento 2. Enrolled in the schools clinical education program approved
by the SC
Who can the senior law student represent?o Indigent clients accepted by the CLED program
What is the caveat?o Must be under direct supervision and control of an IBP
member duly accredited by the school
What are the limits for appearance of such non-lawyers?o 1. Appearance must not be habitualo 2. It must be without compensation
Which lawyers and in what situations are lawyers prohibi tedtoappear?
o 1.Lawyer-member of Congresso 2. Lawyers with conflicting interestso 3. Small claims
Except when the lawyer himself is the partyo 4. Government lawyers, in private suits, without written
authority
o 5. Former government lawyers who left public service cannotintervene in matters he handled as a public official
What is the prohibition for practice of law of public officials?o Public officials and employees cannot practice law during their
term unless authorized by the Constitution or by law and
provided that it doesnt interfere with his duties
What are sanctions for practice or appearance without authority?o 1. Contempt for misbehaviour in official transactions for
lawyer who appears without proper authority from cliento 2. Indirect contempt for one who assumes to be an attorney
and acting as such without authority
What is the main rule concerning lawyers in government service?o Primary duty is to see that justice is doneo Who are the public officials covered here?
Elective and appointive Permanent and temporary, career and non-career Military and police personnel Compensated and not
Causes for disciplinary action for prosecutor:o 1. Suppression of factso 2. Concealment of witnesses capable of establishing
innocence of the accused
o N.B. Prosecutor must recommend acquittal of the accusedwhose conviction is on appeal if he finds no legal basis tosustain the conviction.
Rules on public position vis-a-vis private interests:o 1. Cannot promote or advance his private interestso 2. Cannot allow private interests to interfere with public duties
Prohibition after leaving government service:o 1. Cannot accept engagement or employment in connection
with any matter in which he had intervened during government
service
o 2. Cannot practice profession in connection with any matterbefore the office he used to be with (1 year prohibition)
o What is a matter? Any discrete act, transaction, or conduct involving a
particular situation and specific party
o What is adverse interest conflict? Where matter in which the former government lawyer
represents a client in private practice is substantially
related to the matter than the lawyer dealt with while
employed with government and the interests of the
clients are adverse
o What is congruent interest conflict? Representing a client in private practice, where the
new client and former government client are entirely
parallel Still prohibited
Which public officials cannot engage in private legal practice?
Absolutely prohibited Restricted
Judges, and other officials andemployees in the SC
Members of Congress
OSG officials and employees Sanggunian membersPublic prosecutors Retired justice or judge receiving
pension from governmentPresident
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Vice PresidentCabinet members, deputies,assistantsConstitutional Commission membersOMB, Deputies of OMBGovernors
Mayors city and municipalThose prohibited by special law
Where can members of Congress not personally appear before ascounsel, as a restriction?
o 1. Courts of justiceo 2. Electoral tribunalso 3. QJ bodieso 4. Admin bodies
What are Sanggunian members not allowed to do?
Type of case Restriction Situation
Civil cases Cannot appear ascounsel
If an LGU or anyinstrumentality is theadverse party
Criminal cases Cannot appear ascounsel
If an officer/employee ofgovernment is accusedof an office-relatedoffense
Administrativeproceedings
Collect fees If it involves LGU ofwhich he is an official
Any Use property andpersonnel of the
government
UNLESS he isdefending government
interest
What is the restriction on retired justices/judges receivinggovernment pension?
o Same as first two prohibitions against Sanggunian members Who are the lawyers authorized to represent government?
o 1. The Solicitor Generalo 2. Any other government official deputized by the Solicitor
General in prosecution of cases
In this case, notice to deputized agent will not bind theSG unless notice is actually received by the latter
o 3. When a government agency which the SG is tasked torepresent is represented by the agencys internal counsel
Notice to counsel is notice to SGLawyers oath:
I __ do solemnly swear that:
I will maintain allegiance to the Republic of the Philippines
I will support its constitution and obey the laws and legal orders of the duly
constituted authorities therein
I will do no falsehood, nor consent to the doing of any in court
I will not willingly nor wittingly promote or sue any groundless, false, or
unlawful suit, or give aid nor consent to the same;
I will delay no man for money or malice, and will conduct myself as a lawyer
according to the best of my knowledge and discretion, with all good fidelity
as well to the court as to my clients; and
I impose upon myself these voluntary obligations without any mental
reservation or purpose of evasion.
So help me God.
Duty To whom/what (hierarchy)
Maintain allegiance The Republic of the PhilippinesSupport; obey Constitution and lawsDo no falsehood or consent to such TruthWillingly nor wittingly promotegroundless, false, unlawful suit; norgiving aid or consenting to such
Respect for legal processes
Delaying no man for money ormalice;
Fidelity to justice, to court, to client
Conduct self as lawyer according tobest of knowledge and discretion
Fidelity to justice, to court, to client
Good fidelity to court and clients Fidelity to justice, to court, to client
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Overview of coverage of the canon duties:
Society Legalprofession
Courts Client
1: UpholdConstitution,
obey laws; anti-barratry;settlements
7: Upholdintegrity of legal
profession;support IBP;application forthe Bar
10: Candor,fairness, GF to
the court; nofalsehood ormisquoting;observeprocedure
14: Not refusethe needy; no
prejudice; notdecline asamicus or deoficio; treatingnon-paying client
2: Acceptingcases; chargingfees
8: Candor,fairness, andcourtesy forcolleagues; notencroachinguponemployment
11: Respect tocourts; attire;punctuality; notimpute wrongmotives to judge;grievances onlyto properauthorities
15: Candor,fairness, loyaltyto client; revealconflicts;privilegedcommunication;conflictinginterest; candid
and fair advice3: Advertisingservices; firmnames; payingmedia
9: Not assistunauthorizedpractice of law;dividing fees
12: Speedyadministration ofjustice; prepare;multiple actions;delays or lapses,talking towitnesses duringbreaks; respectwitnesses; nottestify for client
16: Hold moneyin trust; separatefunds; lien; noborrowing orlending to client
4: Law reformandimprovement
13: Rely onmerits and notimproperinfluence;hospitality tojudges; mediastatements;having otherbranch step in
17: Fidelity tocause of client
5: MCLE;improve schools;disseminate info
18: Competenceand diligence;not take what hecant handle; noneglect
6: Lawyers ingovernment
19: With zeal,within bounds oflaw; fair andhonest means;rectifying clientsfraud; not let
client dictate20: Fair andreasonable fees;nocompensationfrom anyoneelse; avoidcompensationcontroversies21: Preserveconfidence andsecrets of client22: Withdrawal
of services forgood cause;turning overmatters tosuccessor
DUTIES AND RESPONSIBILITIES OF LAWYERS TO SOCIETY
CANON 1 Respect for the law and legal processeso Duties:
1. Uphold the constitution 2. Obey laws of the land 3. Promote respect for law and legal processes
o 1.01no unlawful, dishonest, immoral, or deceitful conducto 1.02 not counsel or abet activities aimed at defying the law or
lessening confidence in legal processes
o 1.03not encourage suit or proceeding or delay any manscause for corrupt motive or interest
NO barratry (instigating groundless suits) NO stirring up litigation NO ambulance chasing
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o 1.04 encourage clients to avoid, end, or settle controversy ifit will admit of fair settlement
o Why? Lawyer must be a mediator for concord and
conciliator for compromise, rather than an initiator of
controversy and conflict CANON 2 Making legal services available
o Qualifications: Available in an efficient and Convenient manner
o 2.01not reject cause of defenceless or oppressed except forvalid reasons
o 2.02if he does not accept a case, not refuse to render legaladvice to person at least, to the extent necessary to safeguard
the persons rights
o 2.03not do or permit to be done an act designed primarily tosolicit legal business
Because law is profession, not businesso 2.04 not charge rates lower than those customarily
prescribed
Unless circumstances warrant Why?
To avoid proliferation of competition amongbrother lawyers
CANON 3 true, honest, fair, dignified, and objective informationon legal services
o 3.01not use or permit the use of false, fraudulent,misleading, deceptive, undignified, self-laudatory, or unfair
statement or claim re: qualifications/services
What is the rule on advertisements? Generally, not allowed because it degrades
the dignity of the profession
What are the exceptions? 1. Reputable law lists according to the
conduct imposed by canons
2. Ordinary simple professional cardo Nameo Law firm
o Address, telephone number, branchof law
3. Simple announcement of opening in firmor changes in partnership, address, or firm
name
4. Advertisements or simple announcementof existence of the firm/lawyer posted
anywhere proper
o Except court rooms or governmentbuildings
5. Advertisements or announcement in legalpublication, books, journals, legal
magazines, phone directories
What are prohibited indirect advertisements? 1. Those connected to causes in which the
lawyer has been engaged in or re: manner of
conduct
2. Magnitude of interest involved 3. Importance of lawyers position 4. All other self-laudation
What is the best advertisement? Well-earned reputation for professional
capacity and fidelity to trust
Soliciting employment is ground for suspension ordisbarment.
What is valid indirect solicitation? A lawyer may write and sell for publication
articles of general nature re: legal subjects
o And send upon request his picturefor publication with the article in a
law journal
Or submit for publication to a bar associationjournal an unsolicited article on a general
subject
What are guarded against? 1. Improper advertisements 2. Giving legal advice to one with whom no
A-C relationship exists
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3. Aiding layman to engage in authorizedpractice of law
What about giving legal advice on legal mattersthrough newspaper column, radio, or television
broadcast?
Improper.o 3.02 not use false, misleading or assumed name in firm
name
What about firms using names of dead partners? Allowed if the firm indicates in all
communications that he is already deceased
o 3.03If the partner accepts public office: 1. Must withdraw from firm 2. Drop name from firm name 3. Unless the law allows him to practice law
concurrently (ex. Member of Congress, although
restricted)
o 3.04not pay or give anything of value to representatives ofmedia in return for or anticipation of publicity (to attract legal
business)
CANON 4 participation in improvement reforms in legal systemo How?
Initiating efforts in law reform and administration ofjustice
Or supporting such effortso Examples?
1. Presenting position papers or resolutions for bills inCongress
2. Petitions with SC to amend the ROC
CANON 5 participation in legal education programo 1. Keep abreast of legal developmentso 2. Participate in MCLE and continuing education programso 3. Support efforts to achieve high standards in law schools and
training of students
o 4. Assist in disseminating law/jurisprudence CANON 6 rules on lawyers in government service
o N.B. see prior discussion on (1) duty of prosecutors, (2) duty ofthose in government services, and (3) those leaving
government service
DUTIES AND RESPONSIBILITIES OF LAWYERS TO THE LEGAL PROFESSION
What is the IBP?o The Integrated Bar of the Philippines is the national
organization of lawyers created on 16 January 1973
oPursuant to Rule 139-A of the ROC
o It was made into a corporate body by PD 181 (4 May 1973) What are the objectives of the IBP?
o 1. Elevate standards of legal professiono 2. Improve administration of justiceo 3. Enable the Bar to discharge its responsibility more
effectively
What is the three-fold obligation of a lawyer?o 1. Owe to himself to continue improving knowledge of the lawso 2. Owe to the profession to take active interest in maintenance
of high standards of legal education
o 3. Owe to the public to make the law a part of socialconsciousness
Re: membership and dueso Look for this
CANON 7 upholding the dignity and integrity of the professiono Includes supporting the activities of the IBPo 7.01re: bar application; cannot:
1. Knowingly make false statements 2. Suppress material facts in connection with
application
o 7.02 not support the application for admission to the Bar of aperson known by him to be unqualified with respect to:
Character Education Or other relevant attribute
o 7.03 not engage in: 1. Conduct that adversely reflects on his fitness to
practice law
2. Scandalous manner to the discredit of the legalprofession, whether in private or public life
o N.B. Good moral character is need to continue membership inthe Bar
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CANON 8 courtesy, fairness, and candor towards professionalcolleagues
o Usual case: avoid harassing tactics against opposing counselo 8.01not use language which is abusive, offensive, or
improper in professional dealings
o 8.02 not directly or indirectly encroach upon professionalemployment of another lawyer Caveat: it is the right of any lawyer to give proper
advise/assistance to those seeking relief against
unfaithful or neglectful counsel
CANON 9 no assistance in unauthorized practice of lawo Who may a lawyer not take as partner or associate:
1. Not a lawyer 2. Disbarred 3. Forever suspended from practice of law 4. Foreign lawyer
Unless licensed by the Supreme Courto 9.01not delegate to any unqualified person the performance
of a task which by law may only be done by a member of the
bar in good standing
o 9.02not divide or stipulate division of legal fees for serviceswith persons not authorized to practice law
o Exceptions? 1. Pre-existing agreement with partner or associate
that upon his death, money will be paid over
reasonable period of time to heirs or estate
2. Lawyer undertakes to complete unfinishedbusiness of deceased lawyer
3. Lawyer or firm includes non-lawyer employees in aretirement plan
Even if the plan is based wholly or partiallyon profit sharing agreement
DUTIES AND RESPONSIBILITIES TOWARDS THE COURTS
CANON 10 candor, fairness, and good faith towards the courtso 10.01lawyer mustnot:
1. Do falsehood 2. Consent to doing falsehood in court
3. Mislead or allow the court to be misled by anyartifice
What prevails between duties to ones clientandcandor to the court?
Candor towards the courts prevails overduties to ones client
o 10.02prohibited falsehoods: 1. Misquotation or misrepresentation of:
Contents of paper Language or argument of other counsel Text of decision or authority
2. Knowingly citing a repealed or amended law 3. Asserting as fact one that had not yet been proved How must quotation be done?
Word for word, punctuation mark forpunctuation mark.
o 10.03re: rules of procedure Must observe rules of procedure Must not misuse them to defeat ends of justice
CANON 11 respect for courts and judicial officerso Must observe and maintain the respect due to the court and
judicial officers AND insist that others do the same
o 11.01 wear proper attire in court What is the consequence of wrong attire?
Contempt of court Barong or tie, not both :P
o 11.02 punctually appear at court hearingso 11.03abstain from scandalous, offensive, or menacing
language or behaviour in courto 11.04not attribute to a judge, motives not supported by the
record or have no materiality to the case
o 11.05 not criticize the personal or official conduct of a judgein an insulting and intemperate language
What is important here? The criticism must be bona fide It must not spill over the walls of decency
and propriety
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In general: cannot testify in behalf of his client Except:
1. Formal matters, such as mailing,authentication or custody of instrument, and
the like
2. Substantial matters, where his testimonyis essential to the ends of justice, in whicheven he must entrust the case to another
counsel during his testimony
CANON 13 reliance on merits of case, not from improperinfluence upon the courts
o Whether it tends to influence or gives the appearance ofinfluencing the court
o 13.01not extend extraordinary attention or hospitality to, norseek opportunity for cultivating familiarity with judges
Ex. preparing a draft decision for the judgeo 13.02 not make public statements in the media re: a pending
case which tend to arouse public opinion for/against a party Ex. preliminary investigation where the public
prosecutor encouraged publicity, fanfare,
sensationalism
What is allowable for post-litigation utterances? In general, can criticize a courts decision
after conclusion of litigation
EXCEPT: when the comments breach thebounds of fair comment and legitimate
criticism
o Where there is erosion of faith inthe judiciary and confidence in itsintegrity
o 13.03not brook or invite interference by another branch oragency of government in the normal course of judicial
proceedings
Basis: separation of powers Ex. submitting grievances against an SC justice to the
President
DUTIES AND RESPONSIBILITIES TOWARDS CLIENTS
What is the characteristic of this relationship?o 1. Strictly personalo 2. Highly confidentialo 3. Fiduciary
What are the duties of lawyers?o 1. Advise client on merit or lack thereof of his case. If he findsthe case defenceless, he must advise the latter to acquiesce
and submit.
o 2. Resist whims and caprices of the client, and temper thelatters propensity to litigate.
o 3. Refrain from giving advice unless they have obtainedsufficient understanding of the clients cause.
Need careful investigation and examination of factso 4. Disclose to the client, at the time of retainer, all the
circumstances of his relations to the parties, or any interest in
or connection with the controversy which might influence the
client in selecting counsel
How must he regard judicial disfavour or public popularity?o These must not restrain him from full discharge of duty
What is competence?o Sufficiency of the lawyers qualification to deal with the matter
in question
o Includes knowledge and skill and ability to use them effectivelyfor the client
o Keep constantly abreast with authoritative pronouncementsand developments in branches of law
What are the kinds of appearance?o 1. General appearance
Party comes to court either as plaintiff of defendantand seeks general reliefs from the court
o 2. Special appearance Defendant appears in court solely for the purpose of
objecting to the jurisdiction of the court over his
person
The moment the client asks for something else,ANYTHING, it becomes a general appearance.
Do attorneys acts bind the client?o Yes. This is the general rule. Even mistakes bind the client.o What are the exceptions?
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1. Gross negligence of lawyers 2. Clients meritorious claim or defense has been
prejudiced
Ex. non-presentation of key document 3. Diligence or absence of gross negligence on the
part of the party represented What is the scope of authority of lawyers to bind clients?
o 1. In any case by any agreement in relation thereto put inwriting
o 2. In taking appealso 3. In all matters of ordinary judicial procedure
What is beyond the scope of authority and need special authority?o 1. Compromise litigationo 2. Receive anything in discharge of a clients claim but the full
amount of cash
What is the rule in notice?o In general, notice to lawyer is notice to client.o Who is entitled to notice?
The attorney must have made a formal appearance tobe entitled to notice
o Exception to this rule? Listed as counsel on record, with no withdrawal or
substitution of counsel
What is the effect of a lawyer signing a complaint or answer?o It means that he has
1. Read the pleading 2. And to the best of his knowledge, information, and
belief, there is good ground to support it
CANON 14 availability of service without discrimination
o Not refuse services to the needyo The poor and indigent must not be further disadvantaged by
preventing access to legal system
This is related to 2.01 (lawyer must not reject cause ofdefenceless or oppressed save for valid reasons)
o 14.01not: 1. Decline to represent person due to race, sex,
creed, or status life alone
2. Decline to represent person due to his own opinionon guilt of that person
For what kind of case does Rule 14.01 apply? ONLY criminal cases
Relate with Rule 138 s. 20? It provides that in the defense of a person
accused of a crime, by all fair and
reasonable means, regardless of personalopinion as to the latters guilt, to present
every defense the law permits
Purpose: so that no person may be deprivedof life or liberty except by due process of law
o 14.02not decline appointment as: 1. Counsel de officio
Rule 138, s. 31 [GENERAL RULE]: a courtmay appoint an attorney to render free
professional aid for a destitute party unable
to employ one
Rule 116, s. 6 [FOR ACCUSED IN CRIMCASE]: before arraignment, if an accused
has no counsel and he is not allowed to
defend self in person, the court must assign
a counsel de officio
Rule 116, s. 7 [SAME]: who may beappointed:
o 1. Members of bar in good standingo 2. Any person, resident of the
province and of good report for
probity and ability (in localities
without lawyers)
oConsider:
1. Gravity of offense 2. Difficulty of questions 3. Experience and ability
of appointee
Rule 124, s. 2 [ACCUSED ON APPEAL]:for cases on appeal, when does the CA clerk
designate a counsel de officio:
o 1. In prison, with no counsel departe on appeal, and he signed
notice of appeal himself
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o 2. If not in prison not entitled toCDO unless appointment of one is
requested within 10 days from
notice to file brief (and right is
established through affidavit)
2. Amicus curiae
Experienced and impartial attorneys invitedby the court to appear and help in disposition
of issues
friend of court 3. One who renders free legal aid as requested by the
IBP or any of its chapters
Exception? Serious and sufficient cause
o 14.03may only refuse to accept representation of indigent if: 1. Not in position to carry out work effectively or
competently
2. Conflict of interest between him and theprospective client
3. Conflict of interest between prospective client andpresent client
o 14.04 Observe same standard of conduct between paying
and non-paying clients
CANON 15 candor, fairness, loyalty to clientso What matters does this canon cover?
1. Conflicts of interest And acting in another capacity (mediator,
etc.)
2. Privileged communication 3. Advice given to client
o 15.01 Ascertain whether matter would involve a conflict with
another client or own interest
AND inform prospective client if there is such a thingo 15.02
Matters disclosed by client are covered by rule onprivileged communication
Exceptions:
1. A lawyer is accused by client and heneeds to reveal information to defend himself
2. Client discloses intention to commit acrime or unlawful act
o 15.03 Not represent conflicting interests Exception?
Written consent of all concerned after fulldisclosure of all facts
What are the types of conflict of interest? 1. Concurrent or multiple representation:
o A lawyer represents clients whoseobjectives are adverse to each
other, no matter how slight or
remote these are
Take note of this minimaldegree
o Ex. A CPA-lawyer being part of afirm that represents the estate and
being part of the accountancy firm
that represents the creditors. The
conflict need not arise from two
legal relationships.
2. Sequential or successive representation:o Representation of present client
who may have an interest adverse
to prior client
What are the tests for determining whetherconcurrent or multiple representation amounts to
conflict of interest:
1. w/n lawyer is duty-bound to fight for anissue or claim on behalf of one client and at
the same time oppose it with another client
2. w/n acceptance of the new relation wouldprevent full discharge of the duty of
undivided loyalty to a client
3. w/n acceptance of the new relation wouldinvite suspicious of unfaithfulness/double-
dealing in duty of undivided loyalty
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4. w/n acceptance of the new relation wouldhave the lawyer use against the client
confidential information acquired through
their connection
Does the lawyer have to be the counsel-of-recordfor the other party to violate this provision?
No. In a case,Artezuela v. Maderazo, thelawyer merely helped with the other partys
pleading by allowing it to be made in his
office. While being counsel-of-record is the
easiest situation, the prohibition covers even
having a mere hand in preparation of the
other party.
Can the lawyer represent a party in a case wherethe other party is his former client, even if the
case is distinct from the former case?
No. This will still give the appearance ofdouble-dealing.
o 15.04 May act as mediator, conciliator, or arbitrator in
dispute IF there is written consent of all concerned
What is special about this rule? The controversy hasnt reach courts in this
case yet. The lawyer is in the best position
to understand both positions and reach a
settlement.
BUT note that the lawyer must have consentof both parties to do this.
o 15.05 Give candid and honest opinion on merits and
probable result of the case
As re: prospects of the case, dont: Overstate Understate
Related with requirement for certification? The certification filed with a pleading states
that the lawyer believes there is good ground
to support the case
o 15.06
Not state or imply that he can influence a publicofficial, tribunal, or legislature
o 15.07Impress upon client: 1. Compliance with laws 2. Principles of fairness
o15.08
If engaged in another profession or occupation Must make either clear to the client w/n he is acting
as a lawyer or in that other capacity
Ex. In a business deal What is the fiduciary duty principle?
o An attorney must derive no undue advantage that mayprejudice or cause loss to a client. The relationship between
lawyer and client is one of mutual trust and confidence to the
highest degree.
What does Article 1491 of the NCC say?o Lawyers cannot acquire or purchase, even in a public or
judicial auction (directly or through another person) theproperty and rights that are the subject of litigation
o Elements: 1. Property or interest is in litigation 2. Attorney takes part as counsel in the case involving
that property
3. Purchase (including mortgage), acquisition by theattorney
Himself or through another During pendency of the case
CANON 16clients money and propertieso
Hold in trust all moneys and properties of client that comeunder his possession
o 16.01 Account all these money and property collected or
received for or from the client
o 16.02Keep funds of each client separate form: 1. His own 2. Other clients funds
o 16.03 Deliver the funds and property of his client when due
or upon demand
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What is his lien? 1. Over the funds, and only so much thereof
as may be necessary to satisfy lawful fees
and disbursements
o May apply such funds to satisfythese
2. On all judgments and executions he hassecured for the client
o From time he causes statement ofclaim of the lien on the records of
the court rendering judgment or
issuing execution
o Written notice delivered to his clientand adverse party
o Same right and power his clientwould have over the judgments, in
order to enforce his lien
What are the kinds of lien? 1. Retaining lien:
o Right of attorney to retainpossession of clients documents,
money, property which came into
his hands professionally
o Until balance it paid 2. Charging lien:
o Equitable right of attorney to havefees and costs due to him for
services in a suit secured by the
judgment/recovery in that same suit
What are the additional rules re: liens? 1. Attorneys lien is not an excuse not to
render accounting.
o NOTE: he must make accounting,deduct attorneys fees, and turn
over balance to client (Tanhueco v.
De Dumo)
2. Must notify client if a retaining lien will beimplemented
3. When the lawyer enforces charging lienagainst his client, the lawyer-client
relationship is terminated
Can the lawyer disburse the clients funds to thelatters creditors without authority?
No.o 16.04 lawyer cannot:
1. Borrow money from his client Unless the latters interests are fully
protected (by nature of the case or by
independent advice)
2. Lend money to client Except if he has to advance necessary
expenses for a legal matter he handles for
the client
CANON 17fidelity to clients causeo Owe fidelity to clients cause and be mindful of trust/confidence
reposed in himo If the court asks the lawyer to withdraw for a valid reason,
what must the lawyer do?
Must advice the client to get another lawyer and whatto do next. Failure to do so is gross negligence.
o Compromising the money claim due to the client without thelatters consent is a violation of this canon.
o The act of receiving money as acceptance fee and failing tosubsequently render legal service is the usual case for this
canon.
o Duty of senior partners? Monitor activities of the associates; else, tantamount
to indifference/neglect
CANON 18 competence and diligenceo When does required diligence start?
From retainer until effective discharge of case or finaldisposition
o What is the required diligence? Ordinary diligence, not extraordinary
o 18.01 NOT render service he knows hes unqualified to
render
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Exception (requisites): If he can obtain a collaborating counsel
competent on the matter
And the client must approve of this What is the presumption?
If a lawyer accepts a case, it means he hasthe learning, skill, and ability to handle thecase
o 18.02 Not handle any legal matter without adequate
preparation
o 18.03 Not neglect a legal matter entrusted to him What if hes negligent?
Hes liable Can a lawyer waive a clients appeal?
NO. Failure to perfect an appeal withinprescribed period is negligence and
malpractice under 18.03. A lawyer is no longer practicing law but is still the
counsel on record. The court sent an order. What
is the lawyers duty?
Must still comply with it. Or at least, informthe court that he has already retired from
practice of law.
The client must not be prejudiced. Remember that extensions of time are not a right, but
a mere discretionary relief granted by courts.
Abandonment of cases also falls under this canon.
What is the effect of gross negligence by thecounsel?
This can be an exception to the general rulethat the counsels mistakes bind his client
o 18.04 Keep client informed of status of the case AND respond within reasonable time to clients
request for information
CANON 19 representation with zeal within legal boundso 19.01
Use only fair and honest means to attain lawfulobjectives of client
NOT present, participate in presenting, or threaten topresent unfounded criminal charges
Done in order to obtain improper advantagein any case/proceeding
Example of a violation of 19.01: Lawyer filed numerous actions,
administrative and criminal against
respondent, which had nothing to do with his
clients civil case
Offered a monetary reward to people whocan give him dirt on the respondent, as
leverage
o 19.02 If he receives information that a client has
perpetrated fraud on a person or tribunal, what
must he do? 1. Promptly tell client to rectify the same 2. Failing, terminate the relationship
When does this rule apply? In the course of the representation
How must termination be effected? According to the ROC. The lawyer needs to
obtain the written consent of the client. Else,
he needs approval of the court, with notice to
client and attorney.
o 19.03 NOT allow client to dictate the procedure in handlingthe case
What are within the clients control? Cause of action, claim/demand, and subject
of litigation
(thus, the attorney cannot, without authoritygiven by the client, compromise the litigation
or receive anything in discharge of the
clients claim)
CANON 20charge only fair and reasonable attorneys fees
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o 20.01charge only reasonable and fair fees. What factorsdetermine his fees?
1. Time spent and extent of service rendered/required 2. Novelty and difficulty of questions 3. Importance of subject matter
4. Skill demanded 5. Probability of losing other employment due to
acceptance of this case
6. Customary charges for similar services andschedule of fees of his IBP chapter
7. Amount involved in the controversy and benefits tothe client from the service
8. Contingency or certainty of compensation 9. Character of employment, whether occasional or
established
10. Professional standing of lawyero What are the factors mentioned in the rules of court (R
138, s. 24)? 1. Importance of subject matter 2. Extent of services rendered 3. Professional standing of attorney
o What is the factor added by jurisprudence? Clients capacity to pay
o Does the considerable value of the property or interestinvolved per se justify high attorneys fees?
No necessarily, especially if the legal services do notcall for too much effort.
o Can the court reduce attorneys fees or impose a newamount?
Yes, it may reduce if the amount is unreasonable orimpose an amount when there was none agreed
upon.
o What about counsels de officio? The court in its discretion and subject to availability of
funds, may order compensation of the counsel de
officio. Amount fixed by court.
o What are the kinds of payment? 1. Fixed or absolute fee
Payable regardless of outcome
2. Contingent fee Dependent on favorable judgment And recovery of property or money
o Usually percentage basis asregards this
3. Fixed per-appearance fee
4. Fixed per-hour fee 5. Fixed fee for piece of work
o What are the kinds of attorneys fees? 1. Ordinary attorneys fees:
Reasonable compensation paid to a lawyerby his clients for legal services rendered
Basis for this compensation is the fact ofemployment and agreement with client
2. Extraordinary attorneys fees: Indemnity for damages ordered by the court
to be paid to losing party in litigation
Payable not to the lawyer but the client,unless they agree that the award pertains to
the lawyer
o What if there is no express contract? The lawyer must still be compensated. Principle: against unjust enrichment Legal effect: innominate contract of facio ut des (I do,
you give) arises
o How are attorneys fees claimed? 1. Asserted in the very action where the services of a
lawyer had been rendered or in a separate action
If in the same action, file motion in sameproceeding
Of course, for separate action, file a new one 2. Petition for attorneys fees filed before judgment in
favor of the client is satisfied or delivered to the client
3. Determination as to the propriety of fees or itsamount held in abeyance until end of main case
Otherwise, determination of courts ispremature
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o What are the kinds of retainer agreements on attorneysfees?
1. General retainer or retaining fee fee paid tolawyer to secure future services as general counsel
For problems arising in ordinary course ofbusiness
2. Special retainer fee for specific or particular caseor service
o What is the nature of retaining fee? It is not a payment for services and is in fact separate
from such. This is just paid for the right to be retained
by a party and to compensate for the deprivation of
the opportunity to render services to the other party.
o What is quantum meruit? As much as he deserves used as basis to
determine a lawyers professional fees in the absence
of a contract, but recoverable by him from the client
When does QM apply? 1. No express contract 2. There is formal contract but the attorneys
fees are unconscionable or unreasonable, as
found by the court
3. Contract is void due to purely formalmatters or defects in execution
4. Counsel through justifiable cause was notable to finish the case to its conclusion
5. Lawyer and client disregarded the contractfor attorneys fees
o 20.02in case of referral with consent of the client: Be entitled to a division of fees in proportion to the
work performed and responsibility assumed by that
other lawyer
o 20.03 Not accept fee, reward, costs, commission, interest,
rebate, or forwarding allowance or other
compensation from anyone not his client
Related to professional employment Unless consented to by client, with
knowledge
o 20.04 General rule: avoid controversies with clients
concerning compensation
Resort to judicial action only to prevent injustice orfraud
oWhen can counsel not recover full amount despite writtencontract stipulating attorneys fees?
1. Attorney withdraws before case is finished 2. Justified dismissal of attorney
What is the payment?o Quantum meruit only
o What is a champertous contract? It is a void contract. Here, the lawyer stipulates with his client that in the
prosecution of the case, the lawyer bears all the
expenses
And the client gives the lawyer a portion of thething/property recovered
How is it different from contingent fees? In contingent fees, the client still reimburses
any advances made by the lawyer, and only
the attorneys fees are contingent.
o Can a lawyer ask for fees for merely recommendinganother lawyer?
No. CANON 21preservation of clients confidence and secrets
o When does this duty last? During and even after the relationship Otherwise, people would refrain from seeking legal
advice
o What does confidence mean? Information protected by attorney-client privilege
o What does secret mean? Other information gained in professional relationship
that
A) the client has deemed to be held inviolate B) or disclosure of which would embarrass or
detriment the client
o When does attorney-client privilege exist?
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1. Attorney-client relationship or prospective attorney-client relationship
2. Client made the communication in confidence 3. Legal advice sought from attorney in professional
capacity
Is there need for a formal contract?
No. Documentary formalism is not arequirement for an A-C relationship.
Is information the client intended for the lawyer tocommunicate to a third person privileged?
No.o What is the nature of the clients identity?
IN GENERAL, it must not be shrouded in mystery. Itmust be divulged by the lawyer.
o What are the exceptions to this under Regala? 1. Strong probability that revealing clients name
would implicate that client for the very activity he
sought advice for 2. Disclosure would open client to civil liability 3. Revealing the name would furnish the only link that
would form the chain of testimony necessary to
convict an individual of a crime
Contra:when the client is still seeking advice how togo around the law for a future misdeed. This is not
covered by the privilege.
o 21.01not reveal the secrets of his client. Exceptions?
1. Authorized by the client after acquaintinghim of the consequences of the disclosure
2. Required by law 3. Necessary to collect his fees or defend
himself, employees, or associates or by
judicial action
o 21.02 Not use information acquired in course of employee Not use the same to his advantage or that of a third
person
UNLESS the client with full knowledge of thecircumstances consents thereto
o 21.03 Not give information from his files to an outside
agency seeking information for:
Auditing Statistics Bookkeeping Accounting Data processing, etc.
UNLESS client gives written consento 21.04
May disclose affairs of client of firm to partners orassociates
UNLESS prohibited by the cliento 21.05
Adopt measures to prevent those who use hisservices from disclosing or using confidences/secrets
of the clients
Does the privilege extend to the lawyersemployees?
Yeso 21.06
Avoid indiscreet conversation about clients affairs EVENWITH members of family
o 21.07 Not reveal that he has been consulted about a
particular case
EXCEPT to avoid possible conflict of interesto What does the duty to preserve a clients secrets cover?
Only lawful purposeso What are not covered by this duty?
1. Announcements or communications of a clientsintent to commit crime or f raud
2. Client jumped bail and lawyer knows where he is 3. Client is living somewhere under assumed name
CANON 22 withdrawal of serviceso When can a lawyer withdraw his services?
1. Only for good cause 2. AND upon notice appropriate in the circumstances
o 22.01 when a lawyer can withdraw his services:
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1. Client pursues illegal or immoral course of conductin the matter he is handling
2. Client insists the lawyer pursue conduct violatinglegal ethics rules
3. Inability to work with co-counsel will prejudice bestinterest of client 4. Mental or physical condition of the lawyer makes itdifficult for him to carry out the employment effectively
5. Client deliberately fails to pay fees or fails tocomply with retainer agreement
6. When the lawyer is elected or appointed to publicoffice
7. Other similar caseso 22.02whathappenswhen the lawyer withdraws or is
discharged:
Turn over all papers and property to which client isentitled
Subject to retainer lien AND cooperate with successor in orderly transfer of
matter, including all information necessary to handle
the matter
o Whose consent is required for withdrawal as counsel for aclient?
1. Written consent of client 2. OR permission of court after due notice and
hearing
o What are requirements for substitution of counsel in acase?
1. Written application 2. Written consent of client 3. Written consent of attorney to be substituted 4. AND if consent of attorney to be substituted cannot
be obtained, there must at least be proof of notice that
the motion for substitution has been served on him
o When can a lawyer not recover from his client? 1. The supposed client did not employ him or
authorize his employment
2. Client conducts himself in manner which tends todegrade his attorney
3. Client refuses to extend cooperation 4. Client stops having contact with him Ang labo ng grounds 2-4. Please check if this is
correct. It doesnt make sense.
o What is the nature of the right of the client to terminate hislawyer?
ABSOLUTE. It may be with or without cause. It may be done anytime.
o When is the lawyer-client relationship terminated? 1. Withdrawal of the lawyer (under 22.01) 2. Discharge or dismissal of the lawyer by the client 3. Death of lawyer
If law firm, however, any of the other lawyersmay continue the case
4. Declaration of presumptive death of the lawyer 5. Death of client 6. Intervening incapacity or incompetence of the client
during the case pendency The guardian may authorize the lawyer to
continue
7. Full termination of the case 8. Appointment or election of the lawyer to
government position that prohibits him from practicing
law
9. Disbarment or suspension of the lawyer 10. Conviction for crime and imprisonment of the
lawyer
LIABILITY OF LAWYERS
When is a lawyer civilly liable?o [against client]o 1. Client is prejudiced by the lawyers negligence/misconducto 2. Lawyer breached fiduciary obligationo 3. Violation of communication privilegeo [Against third persons]o 4. Civil liability to third personso 5. Libellous words in pleadingso [Treble costs]
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o 6. Liability for costs of suit (treble costs) 1. When the lawyer insists on the clients patently
unmeritorious case
2. Interposing appeal merely to delay litigation N.B. same heart for both pursuing litigation not
meant to be pursued
When is a lawyer criminally liable?o 1. Prejudiced client through malicious breach of professional
duty
Cf .Here, it is malicious breach, not just negligence(which attracts civil liability)
o 2. Revealing clients secrets Cf . As opposed to violating privilege (just civil). Here,
secrets are revealed. Recall distinction between
privileged matters and secrets.
o 3. Representing adverse interests N.B. #1-3 are the three betrayal of trust by attorney
crimes in the RPCo 4. Introducing false evidenceo 5. Estafa
A. Misappropriating clients funds B. Unauthorized practice of law
What are the two kinds of contempt?o 1. Direct
Misbehaviour in the presence of or near a court/judgeas to interrupt or obstruct the proceedings before the
court or the administration of justice
Summary punishmento 2. Indirect
One committed away from the court Disobedience or resistance to lawful writ, order,
process, judgment, or command of the court
Or act tending to degrade, interrupt, embarrass thecourt
What are the two types of indirect contempt? 1. Civil failure to do something ordered by
the court for the benefit of a party
2. Criminal conduct directed againstauthority or dignity of the court
o Does the power to punish for contempt preclude thepower to disbar?
No. They can be exercised concurrently or one afterthe other.
o Does the determination whether contempt is criminal orcivil affect the courts jurisdiction?
No, it does not affect the courts jurisdiction or itspower to punish.
Does the lawyer owe loyalty to his client after the relationship hasterminated? What if there is a conflict between client and court?
o Lawyer owes loyalty to the client even after the relationshiphas terminated
o But if there is conflict between client and court, the loyalty andobedience to the court prevails
SUSPENSION,DISBARMENT,DISCIPLINE,REINSTATEMENT
Distinguish disbarment from suspension:
o Disbarment quasi-summary proceeding instituted before acourt to deprive an attorney of his license to practice his
profession due to misconduct
o Suspension act of court prohibiting an attorney formpracticing law for a certain definite period
What are the objectives of disbarment and suspension?o 1. Compel attorney to be honest and fair with clientso 2. Remove from profession a person whose misconduct has
proved him not to be trusted
o 3. Punish the lawyero 4. Set an example and warning to otherso 5. Safeguard administration of justice from
incompetent/dishonest lawyers
o 6. Protect the public What are the characteristics of disbarment proceedings?
o 1. Neither civil nor criminal Cannot claim damages in a disciplinary case
o 2. No concept of double jeopardy Res judicata does not apply either
o 3. Can be initiated motu propio by the SC or the IBPo 4. Does not prescribe
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o 5. Conducted confidentiallyo 6. Can proceed regardless of interest or lack thereof of the
complainant
o 7. Constitutes due processo 8. Sui generis
Not intended to inflict criminal or civil sanctions. Onlyquestion is w/n he is fit to be an officer of the court
No prosecutor or plaintiff What are the grounds for disbarment or suspension?
o 1. Deceito 2. Malpractice or other gross misconduct in officeo 3. Grossly immoral conducto 4. Conviction of crime involving moral turpitudeo 5. Violation of oath of officeo 6. Wilful disobedience of any lawful order of superior courto 7. Corrupt or wilful appearance as attorney for a party to case
without authority to do so
What are the mitigating circumstances in disbarment orsuspension?
o 1. Good faith in acquisition of a property of client subject tolitigation (in re: Ruste)
o 2. Inexperience of the lawyero 3. Ageo 4. Apologyo 5. Lack of intent to slight or offend the court
What is the procedure for disbarment or suspension?o 1. Instituted either by:
SC, motu propio IBP, motu propio Verified complaint by any person
o 2. Six copies of the verified complaint filed with IBP Secretaryor Secretary of any chapter, and forwarded to IBP Board of
Governors
o 3a. Investigation by National Grievance Investigators Submission of investigative report to the IBP Board of
Governors
Board decides within 30 dayso 3b. Or investigation by the Solicitor Generalo 4. SC renders final decision
NOTE: that only the SC can disbar or suspend. TheIBP can only issue a decision
What is presumption of innocence?o In absence of contrary proof, the presumption is that the lawyer
is innocent of the charges and has performed his duty as
officer of the court according to his oath What is needed quantum of proof?
o Clear, convincing, satisfactory (clearly preponderant evidence Gatchal ian v Naldoza)
Who has the burden of proof?o The complainant
Who are the officers authorized to investigate?o 1. SCo 2. IBP through:
Commission on Bar Discipline Authorized investigator
o 3. Office of the Solicitor General What is the rule on discipline of Filipino lawyers practicing in
foreign jurisdictions?
o If the lawyer is also authorized to practice law in thePhilippines, the disbarment or suspension of the lawyer abroad
is also a ground to disbar or suspend here, if the ground is for
any of those listed here
o What is the effect of judgment, order, or resolution of theforeign court?
Prima facie evidence of ground for disbarment orsuspension
What is reinstatement?o Restoration in disbarment proceedings to a disbarred lawyer
the privilege to practice law
o Basis: SCs power under the Constitution of control overadmission of those practicing law
Discretionary on the courto As such, the SC may require special conditions to be fulfilled
How is it initiated?o Filing of appropriate petition for reinstatement with the SC
What will the court consider?o 1. W/n the application is a person of good moral charactero 2.Applicants character and standing prior to disbarment
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o 3. Applicant character and standing after disbarment and priorto application for reinstatement
What is the effect of reinstatement?o Wipes out restrictions and disabilities resulting from prior
disbarment
Differentiate absolute and conditional pardon?
o 1. Absolute disbarment case dismissedo 2. Conditional disbarment case will not be dismissed
What is the rule on lawyers who have been repatriated?MANDATORY CONTINUING LEGAL EDUCATION
What is the purpose of MCLE?o To ensure that through their career:o lawyers keep abreast of law and jurisprudence,o maintain ethics of profession,o and enhance standards of practice
Who are required to take up MCLE?o All members of the IBP
What are the requirements for compliance?o Must complete at least 36 hours of MCLE activities every 3
years, divided as follows:
International law and conventions 2 hours
Legal writing; oral advocacy 4 hoursTrial and pre-trial skills 4 hoursAlternative dispute resolution 5 hoursLegal ethics 6 hoursOther subjects prescribed by the MCLE committee 6 hours
Updates on substantive/procedurallaw/jurisprudence
9 hours
Who are the 3 compliance groups?o A. Group 1 members in NCRo B. Group 2 members in Luzono C. Group 3 members in Vis-Min
What is the concept of credit units?o Members may participate in any legal education activity
wherever it may be available earns units
o For every class of credit, a corresponding number of units isassigned
o What are the classes of credit units? 1. Participatory Credit
Attending approved education activities(seminars, symposia, etc.)
Lecturing or panelling in approved educationactivities
Teaching in law school/teaching bar review 2. Non-participatory
Authoring written materials (article, book,book review) which contribute to legal
education of author-member
o MUST NOT BE prepared inordinary course of practice or
employment
Editing law book, law journal, legalnewsletter
Who exempted from MCLE?o 1. P, VP, Secretaries, Undersecretarieso 2. Senators and Congressmeno 3. Justices of the SC, incumbent and retired members of the
judiciary, incumbent members of the JBC, and incumbent court
lawyers covered by the Phil. Judicial Academy program of
continuing judicial education
o 4. Chief State Counsel, Chief State Prosecutor, AssistantSecs. Of the DOJ
o 5. Solicitor General and Asst. Sol Geno 6. Government Corporate Counsel, Deputy, and Asst. GCCo 7. Chair and members of Con Commissions.o 8. OBM, Overall deputy OMB, Deputy OMB, and Special
Prosecutor
o 9. Heads of government agencies exercising QJ functionso 10. Incumbent deans, bar reviewers, professors of law of at
least 10 years in accredited law schools
o 11. Chancellor, vice chancellor, members of the corps ofProfessional and Professorial Lecturers of the Phil Judicial
Academy
o 12. Governors and mayors
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o Others exempted: 13. Not in law practice, whether private or public 14. Those retired from law practice, with approval of
IBP Board of Governors
o Application for exemption: A member showing good cause can have himself
excused from compliance with MCLE or have some
requirements modified, including time extensions
What is required here? 1. Under oath 2. Supported by documents
o What are the good causes, for instance? 1. Physical disability 2. Illness 3. Post-grad abroad 4. Proven expertise in law
What are the sanctions for failure to comply?o 1. What is non-compliance:
Failure to complete education requirement within thecompliance period
Failure to provide attestation of compliance/exemption Failure to provide satisfactory evidence of compliance
or exemption within prescribed period
Failure to satisfy education requirement and furnishcompliance within 60 days from receipt of non-
compliance notice
Failure to pay non-compliance fee within prescribedperiod
Any other act or omission analogous to foregoing orintended to circumvent MCLE
o 2. Members not complying will: Receive non-compliance notice stating deficiency AND given 60 days from notification to file a response
o 3. Consequences of non-compliance: Listed as delinquent member by the IBP Board of
Governors upon recommendation by MCLE
committee
Listing is administrative in nature by with notice andhearing by committee on MCLE
What is the composition of the committee on MCLE?o 1. Retired SC Justice (chairman)o 2. IBP National President (vice chair)o 3. Three other members
Nominated by PHILJA
Nominated by UP Law center Nominated by Association of law Professorso What is the quality of members?
Proven probity and integrityo Compensation as may be determined by the SC
NOTARIAL PRACTICE
Who can be a Notary Public?o 1. Filipino citizeno 2. Over 21 years oldo 3. Resident in Philippines for at least 1 year and maintains
regular place of work/business in the city or province where thecommission is issued
o 4. Member of Philippine Bar in good standing With clearance by Office of Bar Confidant of the SC With clearance by the IBP
o 5. Not convicted in the first instance of any crime involvingmoral turpitude
What is the term of office of a NP?o 2 years from first day of January of the year when
commissioning was made
o Unless earlier revoked or the NP resigned What is the jurisdiction of a NP?
o A NP can perform notarial acts in any place within the territorialjurisdiction of the commissioning court within the regular
place of work or business
o EXCEPTIONS can perform notarial acts, upon request ofthe parties in the following sites located within his
territorial jurisdiction:
1. Public offices, convention halls, similar placeswhere oaths of office may be administered
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2. Public function areas in hotels and similar placesfor signing of instruments or documents requiring
notarization
3. Hospitals and other medical institutions where aparty to an instrument or document is confined for
treatment
4. Any place where a party to an instrument ordocument requiring notarization is under detention
What must the verified petition for a notarial commission contain?o 1. Petitioners personal qualifications, including the petitioners
date of birth, residence, telephone number, professional tax
receipt, roll of attorneys number, IBP membership number
o 2. Certification of GMC By at least 2 executive officers of the local chapter of
the IBP where he is applying
o 3. Proof of payment for filing of petitiono 4. 3 passport size photos with light background taken within 30
days of application Unretouched Sign name at the bottom part
Before the executive judge conducts a summary hearing, thefollowing are required:
o 1. Petition is sufficient in form and substanceo 2. He proves allegations contained in the petitiono 3. He establishes to the satisfaction of the executive judge that
he has read and fully understood the Rules
What are the powers and limitations of a NP?o May perform the following:
1. Acknowledgements 2. Oaths and affirmations 3. Jurats 4. Signature witnessing 5. Copy certifications 6. Any other act authorized by the rules
o NP can certify the affixing of a signature or thumb mark on aninstrument or document for notarization ifrequisites:
1. The mark is affixed in the presence of the NP andof 2 disinterested and unaffected witnesses to the
instrument
2. Both witnesses sign their own names in addition tothe mark
3. The NP writes below the mark: The thumb or othermark affixed by (name of signatory by mark) in the
presence of (names and addresses of witnesses) and
undersigned notary public
4. The NP notarizes the signature by thumb or othermark through an acknowledgement, jurat, or signature
witnessing
o NP is authorized to sign on behalf of a person who is physicallyunable to sign or make a mark on an instrumentrequisites:
1. NP directed by person unable to sign or make amark to sign on his behalf
2. Signature of NP is affixed in the presence of twodisinterested an unaffected witnesses to the
instrument or document
3. Both witnesses sign their own names 4. NP writes below his signature: signature affixed bynotary in presence of (the names and addresses of
the 2 witnesses)
5. NP notarizes his signature by acknowledgement orjurat
What is the notarial register?o It is a permanently bound book with numbered pages
containing a chronological record of notarial acts performed by
the NP
o What is in the register? 1. Entry number and page number 2. Date and time of day of the notarial act 3. Type of notarial act 4. Title or description of instrument or proceeding 5. Name and address of principals 6. Competent evidence of identity as defined by the
rules if the signatory is not personally known to the
notary
7. Name and address of the witnesses 8. Fee charged 9. Address where notarization performed if not in the
notarys regular place of work or business
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10. Any other important circumstance What is a notarial certificate?
o The part of the notarized document/instrument that iscompleted by the NP, bearing
1. His signature 2. His seal 3. The facts attested to by the NP
o What is in the certificate? 1. Name of notary public as indicated in his
commission
2. Serial number of the commission of the NP 3. Words Notary Public and the province/city where
commissioned, and expiration date of commission,
and office address of the NP
4. Roll of attorneys number, professional tax receiptnumber, place and date of issuance, IBP membership
number
When is the NP disqualified to act?o 1. He is a party to the instrument or document to be notarizedo 2. Will receive, as direct or indirect result, any commission, fee,
advantage, right, title, interest, cash, property, or other
consideration (except as provided by Rules/law)
o 3. Spouse, common law partner, ancestor, descendant, orrelative by affinity or consanguinity of the principal within
FOURTH civil degree
When must a NP refuse to notarize a document?o 1. NP knows or has good reason to believe that the notarial act
or transaction is unlawful or immoral
o 2. Signatory shows demeanour which brings reasonable doubtto the NPs mind that the signatory knows the consequences
of the transaction to be notarized
o 3. In the NPs judgment, the signatory is not acting on his ownfree will
What are the other things a NP will not do?o 1. Execute a certificate containing info known or believed by
the notary to be false
o 2. Affix a signature or seal on a notarial certificate that isincomplete
o 3. Notarize a blank or incomplete instrument
o 4. Notarize an instrument without appropriate notarialcertification
When can a notarial commission by revoked by an executivejudge?
o For any ground on which an application for commission maybe denied
o Plus any of the grounds directly below. When can the executive judge impose appropriate admin
sanctions on a NP?
o 1. Failing to keep a registero 2. Failing to make property entries in the registero 3. Failing to send copy of the entries to the executive judge
within first 10 days of the month following
o 4. Failing to affix acknowledgements the date of expiration ofcommission
o 5. Failing to submit register, when filled, to the executive judgeo 6. Failing to make report, within reasonable time, to the
executive judge re: his performance of duties, when requiredo 7. Failing to require presence of principal during notarial acto 8. Failing to identify principal on the basis of personal
knowledge or competent evidence
What is competent evidence of identity? Either: 1. At least one current ID issued by official
agency bearing the photo and signature of
the individual
2. Oath or affirmation of one credible witnessnot privy to the instrument, document, or
transaction who is personally known to the
NP and who personally knows the individual
o Or two credible witnesses neither ofwhom is privy, who each personally
knows the individual and shows to
the NP documentary identification
o 9. Executing false or incomplete certificateo 10. Knowingly performing a prohibited act or failing to perform
a mandatory act
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o 11. Committing any other dereliction or act which n thejudgment of the executive judge is a good cause to revoke or
impose sanctions
What is the procedure?o How initiated?
1. Verified complaint by interested, affected, oraggrieved person
2. Motu propio, by the executive judgeo The NP is required to file a verified answero If not satisfactory, the executive judge requires a summary
hearing
o If not proved: complaint dismissed
o If charges established: executive judge imposes sanctions
o What is the remedy? Appeal to the SC for review Pending appeal, sanction is executory unless orderedby the SC
What are the special punishable acts?o 1. Person knowingly acts or impersonates a NPo 2. Knowingly obtains, conceals, defaces, or destroys the seal,
register, or official records of a NP
o 3. Knowingly solicits, coerces, or influences a NP to commitofficial misconduct
o Who causes the prosecution thereof? The Executive Judge
Types of acts
Acknowledgement Oath / Aff. Jurat Sig. Wit.Appear, giveintegrally completedocument
Appear Appear, givedocument
Appear, givedocument
Properly identified Properlyidentified
Properlyidentified
Properlyidentified
Says signature isvoluntarily affixed
Avows to truthof contents ofdocument
Signs thedocument inpresence of NP
Sign thedocument inpresence of NP
If in representative Take oath as to
capacity, say hehas authority
the document
ACKNOWLEDGEMENTo 1. Individual appears before NP and presents an integrally
complete instrument/documento 2. Attested to be personally known to the NP or identified by
the NP through competent evidence (see above)
o 3. Represents to the NP that the signature on the instrumentwas voluntarily affixed by him for purposes stated in the
instrument
He declares that he executed it as free and voluntaryact or deed
If he acts in a particular representative capacity, thathe has authority
AFFIRMATION OR OATHo 1. Individual appears before the NPo 2. Is personally known to the NP or identified by the NP
through competent evidence (see above)
o 3. Avows under penalty of law to the whole truth of thecontents of the instrument or document
COPY CERTIFICATIONo 1. Notarial act where the NP is presented with an instrument
that is neither a vital record, public record, or publicly
recordable
o 2. Copies or supervises the copying of the instrumento 3. Compares the instrument with the copyo 4. Determines that the copy is accurate and complete
JURATo 1. Individual appears before the NP and presents an
instrument
o 2. Is personally known to the NP or identified by the NPthrough competent evidence (see above)
o 3. Signs the instrument in the presence of the notaryo 4. Takes an oath or affirmation before the NP as to the
instrument
SIGNATURE WITNESSING
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o 1.Notarial act where the individual appears before NP andpresents an instrument
o 2. Is personally known to the NP or identified by the NPthrough competent evidence (see above)
o 3. Signs the instrument in the presence of the notaryJUDICIAL ETHICS
NOTE: the canons here are already from the NCJC
Independence Integrity Impartiality Propriety Equality Competence,Diligence
Free fromextraneousinfluence
Abovereproach;perception
No bias orprejudice
Avoidimpropriety,andappearancethereof
Socialdiversity
Judicial dutiesovereverythingelse
From judicialcolleagues
Reaffirmfaith injudiciary
Conduct inand out ofcourtinspires
confidence
Acceptpersonalrestrictions
No bias orprejudice onirrelevantgrounds
Professionalactivity tojudicial duties
Anticompanerismo
Disciplinelawyers &personnel
Lessenchance ofbeing DQ
Personalrelations withlawyersappearingbefore him
Nodifferentiation
Enhanceknowledge orskills
Family, social,other relns
Makingcommentson cases
Lawyersusing hisresidence
Nodifferentiationby staff
Keep abreastof I-Law
Other govtbranches
Self-DQ(important)
Freedom ofexpression,belief,assembly
Not allowlawyers tomanifest biasor prejudiceon irrelevantgrounds
Efficientperformanceof duties
Society ingeneral
Remittanceof DQ
Be informedre personal
and familyinterests
Conduct anddecorum
Upholdsafeguards
Using officefor privateinterest;giving wrongidea
Inspire publicconfidence
Confidentiality
Extra-curricularactivitiesCannotpractice law
Judges
associationsAsk/acceptgifts
Court staffasking oracceptinggiftsAppropriate
gifts only
CANON 1 independence
prerequisite to the Rule of Law and a fundamental guarantee of fairtrial
S.1: decide according to assessment of facts and understanding of thelaw free from extraneous influence, pressure, threat or interference
(direct or indirect, from whatever quarter, or for whatever reason)
o Covers influence from: 1. Government officials 2. Public opinion, especially media
o Specifically, from S. 2-6: S2. Judicial colleagues S3. Another court or agency S4. Relationships S5. Other branches of government S6. Society in general
S.2: independent of other judicial colleagues, if he has to make adecision independently
S.3: refrain from influencing outcome of litigation or dispute beforeanother court or agency
o Companerismo due to this camaraderie, judges seekaccommodations from other judges (ex. Provisional remedies,
favorable decisions, etc.)
o Leads to quid-pro-quoo N.B.in the CJC, this was classified under propriety but now it
is deemed an independence issue
S.4: not allow family, social, or other relationships to influence judicialconduct. Also:
o 1. Not use or lend prestige of judicial office to advance privateinterests of others
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o 2. Not convey (or permit others to convey) that they are in aspecial position to influence the judge
o What is the expanded definition of the judges familyunder this section?
1. Those related by blood or marriage up to the sixthcivil degree
2. Those in the judges employ 3. Those living in his household
o The social and other relationships cover business associates,fraternity and sorority mates, those from the same
organization, etc. Decisions are usually controlled by
pakikisama
o Labor union X gave money to Judge A. A accepted it butgave the money away. Is this prohibited by this section?
Yes, because it gave the union the impression that itwas in the position to influence the judge.
o N.B.in the CJC, this was classified under propriety but now itis deemed an independence issue
S.5: must appear free from inappropriate connections with and influenceby the other branches of government to a reasonable observer
o Not just actually free from such, but this also covers theappearance
o Internal personnel issues are dealt with by the court; cannotask other branches or an LGU to do so
S.6: independent in relation to society in general and in relation toparticular parties to a dispute
o Not necessarily become a hermit but at least avoid fraternizingto a point that would arouse suspicions
S.7: encourage and uphold safeguards for discharge of judicial dutieso To maintain/enhance institutional and operational
independence of the judiciary
S.8: exhibit and promote high standards of judicial conduct to reinforcepublic confidence in the judiciary
o Focus here: inspiring public confidence in judiciaryCANON 2 integrity
S.1: conduct must be above reproach AND it must be perceived so by areasonable observer
o Examples of lack of professional integrity: Lack of GMC, demand or accepting bribes, fraternizing with litigants, sexual harassment, ignorance of the law
o Examples of lack of personal integrity: keeping a mistress, inebriation, frequent gambling
o Examples of damaging integrity of judiciary: incompetence such as failing to comply with a basic
rule in the ROC,
conducting hearings in their residence, using intemperate language, even not wearing judicial robes
S.2:behaviour and conduct of judges must reaffirm peoples faith in theintegrity of the judiciary. Justice must not be merely done, but alsoseen to be done.
o The last sentence is important because it also involvesperception by the public.
o Like Caesars wife, he must not just be pure, but also beyondsuspicion.
S.3: judges must take disciplinary action against lawyers or courtpersonnel for unprofessional conduct of which the judge became aware
o The actions of the court personnel must also affirm the integrityof the judiciary
o Judge must be aware of even the slightest transgressions,before these ripen into something bigger or worse
CANON 3 impartiality
Essential to proper discharge of office. Applies to both the decision and the process by which it is made.
o So if the decision is fair but the manner appears biased, thereis still a violation.
S.1:judges must perform judicial duties without favor, bias, or prejudice
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o Note that mere allegations are not enough. The complainanthas the burden of proof. There must be clear and convincing
evidence.
o What must be proved? Extra-judicial Source Rule- that the decision was
based on some influence other than facts or laws
presented in the courtroom
If the decision was based on evidence and testimonypresented, even if erroneous, it will not sustain a
claim of favor/prejudice/bias
S.2: judges must ensure that their conduct in and out of the courtmaintains and enhances confidence of the public, litigants, and the legal
profession in the impartiality of the judge and the judiciary
o No judge should handle a case where he might be perceived,rightly or wrongly, to be biased or partial
Ex. A judge asked for the presentation of specificdocumentary evidence without corresponding motion
from any of the parties Ex. Judge pushes actively for amicable settlement
against the wishes of the complainant
o A judge may not be legally prohibited from sitting in litigation,but when suggestion is made on record that he might be
biased, he must conduct a careful self-examination.
o When can a judge ask a witness questions? To clarify vague points, clear ambiguity
S.3: must conduct selves in manner as to minimize occasions where itwill be necessary for them to be DQ from hearing/deciding cases
o This is a warning against fraternizing too much with litigantso Judges may voluntarily restrict selves from hearing a case but
it must be based on good, sound, ethical grounds, or just/validreasons
o When there is conflict between duty to inhibit and duty tosit (i.e. there wi ll be no judge otherwise available), what
prevails?
Duty to sit. A basic judge is better than no judge atall.
Ex. The SC members decided a suit challenging theconstitutionality of a statute limiting the increases on
cost of living allowances of judges. While they have
an interest in the case, there would be no one else to
decide.
S.4: cannot knowingly, when a proceeding is before or could comebefore him, make any comment that might reasonably be expected to
affect the outcome of the proceeding or impair manifest fairness of the
process
o Judges cannot make comments in public that might affect fairtrial
o Ex. Made a prior comment in a case he decided where hisopinion may lead a party to doubt his impartiality
o BUT merely writing a legal article on the law involved in thecase is not a ground to DQ the judge
o Must not make hasty conclusions, loose statements, orgratuitous utterances that suggest prejudgment should not
make comments on pending cases
o But a statement that is critical of a party or counsel generallydoes not support motion for DQ
S.5: disqualify themselves from participating in proceedings where theycannot decide impartially, or it may appear so to a reasonable observer.Such as:
o 1. Judge has actual bias or prejudice re: a party orpersonal knowledge of disputed evidentiary facts on the
proceedings
Mere filing of admin case against a judge is not aground for DQ on the ground of bias/prejudice
That the judge is a next-door neighbour of thecomplainant is not a ground per se
Strained personal relationship per se is not a ground Judge cannot make out-of-court observations or
extra-judicial research on the interneto 2. Judge previously was a lawyer or material witness in
the controversy
Also, if formerly associated with one of the parties orcounsel
Also, ex. Judge notarized the affidavit to bepresented as witness in a case before him
o 3. Judge or family member has economic interest in theoutcome of the controversy
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Ex. A judge filed complaints in his own sala forrobbery/malicious mischief and issued warrants of
arrest, to protect interest of co-heirs
Ex. The law firm of the judges family member is thecounsel of record (he has economic interest)
But a mere associate or counsel will nottrigger the DQ because there is generally no
economic interest
o 4. Judge served as executor, administrator, guardian,trustee, or lawyer in the case or matter of controversy;
former associate of the judge served as counsel during
their association; judge or lawyer was material witness in
the case
Restriction extends even to closely related caseso 5. Judges lower court ruling is the subject of reviewo 6. Judge is related by consanguinity or affinity to a party
litigant within 6th
civil degree, or counsel is a relative
within 4
th
civil degree Covers preliminary investigation as well, as even if it
is not a case per se, the effect is the same.
o 7. His spouse or child has financial interest as heir,legatee, creditor, fiduciary or otherwise in the subject
matter of the controversy or a party to the proceeding, or
any substantial interest that could affect proceedings
Philippinejurisprudence doesnt distinguish betweendirect and indirect interest
Even if it is according to law, to avoid perceptions ofimpropriety, the judge must inhibit
The petition to DQ a judge must be filed beforejudgment, otherwise it is deemed waived
S.6: a judge instead of DQ-ing himself, may instead disclose the basisfor DQ to the parties. If the parties and lawyers, independent of the
judges participation, all agree in writing that the DQ is immaterial or
insubstantial, the judge may participate. (remittal of disqualification)
o The agreement in writing is incorporated in the records.o The judge must expressly cite the basis, and not just a general
inhibition based on personal reasons because parties have
no basis to decide.
o Who must waive?
Both lawyers and parties If not all, it does not suffice
CANON 4 propriety
S.1: judges must avoid impropriety and the appearance of impropriety inall activities
o An act of a judge that is not illegal per se can violate the NCJC.o Ex. Hearing cases on official leave dayo Ex. Hearing a motion while on vacation, while dressed in a
polo jacket
o Ex. Photos show a judge and his subordinate exiting a moteltogether
o Ex. A judge cracking bastos jokes during the proceedings S.2: as subject of constant public scrutiny, judges must accept personal
restrictions the might be viewed as burdensome by ordinary citizens
must do so freely and willingly.
o Judicial officers subject to scrutiny in both public and privateconduct
Ex. Using intemperate language Ex. Being drunk in parties Ex. Being ma-chicks
o Must not perform acts that show disregard for the law/judiciary Ex. Pattern of hostile conduct towards attorney,
making derogatory and obscene references to
members of the bar in a social setting
S.3: in personal relations with lawyers who practice regularly in his courtmust avoid situations that give rise to suspicion or appearance of
favouritism or partiality
o Not invite counsel from one side into chambers after or prior tocourt sessions without disclosing to the other counsel the
reason for the meetings
o Being aggressive in demeanour towards a lawyer appearingbefore them, making public comments, allowing court staff to
make comments on pending cases
o Fraternizing with lawyers, such as being seen in public eatingwith them in restaurants
o A judge must not be too thin-skinned in his relationship withlawyers (such as being too sensitive to comments)
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S.4:judges cannot participate in the determination of a case where amember of his family represents a litigant or is associated in any
manner with the case
o When the relative is a party to the case or a lawyer S.5: judges must not allow use their residences by a member of the
legal profession to receive clients or other members of the legal
profession
S.6: judges are entitled to freedom of expression, belief, association,assembly.
o But in doing so, they must act in a manner that preservesdignity of judicial office and impartiality/independence of
judiciary.
o Ex. A judge appeared to be engaging in partisan politics byparticipating in a public rally even if his real purpose was just to
explain the concept of block voting to the public. He was
admonished.
S.7: must inform selves about personal fiduciary and financial interestsand