LEGAL ETHICS (Canon 15- 22) 2.

Communication made by client to lawyer in the course of

lawyer’s professional employment
CANON 15 – A lawyer shall observe candor, fairness and loyalty in 3. Communication is intended to be confidential (see Rule 130, Sec.
all his dealings and transactions with his client. 21(b), Rules of Court)
 When communication is not privileged:
Rule 15.01 – A lawyer in conferring with a prospective client, shall
1. after pleading has been filed
ascertain as soon as practicable whether the matter would involve
2. communication intended by the client to be sent to a third
a conflict with another client or his own interest, and if so, shall
person through his counsel (it loses its confidential character as
forthwith inform the prospective client.
soon as it reaches the hands of third person)
Rule 15.02 – A lawyer shall be bound by the rule on privilege  Even if the communication is unprivileged, the rule of ethics
communication in respect of matters disclosed to him by a prohibits him from voluntarily revealing or using to his benefit or
prospective client. to that of a third person, to the disadvantage of the client, the
said communication unless the client consents thereto.
Rule on Revealing Client’s Identity  This is applicable to students under the Student Practice Law
 General Rule: A lawyer may not invoke privilege communication Program
to refuse revealing a client’s identity. (Regala vs. Sandiganbayan, Rule 15.03 – A lawyer shall not represent conflicting interests
262 SCRA 122, September 20, 1996) except by written consent of all concerned given after a full
Exceptions: disclosure of the facts.
1. When by divulging such identity, it would implicate the client to
that same controversy for which the lawyer’s services were
required.
2. It would open client to civil liability Rule on Conflicting Interest
3. The disclosure of such identity will provide for the only link in It is generally the rule based on sound public policy that an
order to convict the accused, otherwise, the government has no attorney cannot represent adverse interest. It is highly improper to
case. represent both sides of an issue. The proscription against
 Requisites of Privileged Communication: representation of conflicting interest finds application where the
1. Atty.-client relationship (or a kind of consultancy relationship conflicting interest arises with respect to the same general matter
with a prospective client
and is applicable however slight such adverse interest may be. It Rule 15.08 – A lawyer who is engaged in another profession or
applies although the attorney’s intention and motives were honest occupation concurrently with the practice of law shall make clear
and he acted in good faith. However, representation of conflicting to his client whether he is acting as a lawyer or in another
interest may be allowed where the parties consent to the capacity.
representation after full disclosure of facts. (Nakpil vs. Valdez, 286  Lawyers should refrain from giving any advice unless they have
SCRA 758). obtained sufficient understanding of their client’s cause. A
 General Rule:An attorney cannot represent adverse interest. careful investigation and examination of the facts must first be
 Exception:Where the parties consent to the representation after had before any legal opinion be given by the lawyer to the client.
full disclosure of facts.  To avoid breach of legal ethics, a lawyer should keep any
 The TEST in determining Conflicting Interest: The test is business, in which is engaged in concurrently with the practice of
whether or not the acceptance of a new relation will prevent an law, entirely separate and apart from the latter.
attorney from the full discharge of his duty of individual fidelity
and loyalty to his client or invite suspicion of unfaithfulness in
double-dealing in the performance thereof.(Tiana vs. Ocampo)
CANON 16 – A lawyer shall hold in trust all moneys and properties
Rule 15.04 – A lawyer may, with the written consent of all
of his client that may come into his possession.
concerned, act as mediator, conciliator or arbitrator in settling
Rule 16.01 – A lawyer shall account for all money or property
disputes.
collected or received for or from the client.
Rule 15.05 – A lawyer, when advising his client, shall give a candid
Rule 16.02 – A lawyer shall keep the funds of each client separate
and honest opinion on the merits and probable results of the
and apart from his own and those of others kept by him.
client’s case, neither overstating nor understating the prospects of
Rule 16.03 – A lawyer shall deliver the funds and property of his
the case.
client when due or upon demand. However, he shall have a lien
Rule 15.06 – A lawyer shall not state nor imply that he is able to
over the funds and may apply so much thereof as may be
influence any public official, tribunal or legislative body.
necessary to satisfy his lawful fees and disbursements, giving
Rule 15.07 – A lawyer shall impress upon his client compliance
notice promptly thereafter to his client. He shall also have a lien
with the laws and the principles of fairness.
to the same extent on all judgments and executions he has
secured for his client as provided for the Rules of Court.
 Attorneys’ Liens – an attorney shall have a lien upon the prejudice of the client and in violation of the trust reposed in
funds, documents and papers of his client which have lawfully come him.
into his possession and may retain the same until his lawful fees and  Notify client if retaining lien shall be implemented
disbursements have been paid, and may apply such finds to the  When a lawyer enforces a charging lien against his client, the
client-lawyer relationship is terminated.
satisfaction thereof. He shall also have a lien to the same extent
 The principle behind Rule 16.04 is to prevent the lawyer from
upon all judgements for the payment of money, and executions
taking advantage of his influence over the client or to avoid
issued in pursuance of such judgements which he has secured in a
acquiring a financial interest in the outcome of the case.
litigation of his client, from and after the time when he shall have
caused a statement of his claim of such lien to be entered upon the
records of the court rendering such judgement, or issuing such
execution, and shall have caused written notice thereof to be CANON 17 – A lawyer owes fidelity to the cause of his client and he
delivered to his client and to the adverse party; and he shall have the shall be mindful of the trust and confidence reposed in him.
same right and power over such judgments and executions as his  No fear of judicial disfavor or public popularity should restrain
client would have to enforce his lien and secure the payment of his him from full discharge of his duty.
fees and disbursements. (Sec, 37, Rule 138, RRC)  It is the duty of the lawyer at the time of retainer to disclose to
Rule 16.04 – A lawyer shall not borrow money from his client the client all the circumstances of his relations to the parties and
any interest in, or connection with, the controversy which might
unless the client’s interests are fully protected by the nature of
influence the client in the selection of counsel.
the case or by independent advice. Neither shall a lawyer lend
 The lawyer owes loyalty to his client even after the relation of
money to a client except, when in the interest of justice, he has
attorney and client has terminated. It is not good practice to
to advance necessary expenses in the legal matter he is handling
permit him afterwards to defend in another case other persons
for the client. against his former client under the pretext that the case is
 Attorney’s lien is not an excuse for non-rendition of accounting distinct from and independent of the former case.
 Cannot disburse client’s money to client’s creditors without
authority.
 Failure to deliver upon demand gives rise to the presumption
that he has misappropriated the funds for his own use to the
CANON 18 – A lawyer shall serve his client with competence and  Lawyer is not an insurer of the result in a case where he is
diligence. engaged in the counsel.
Rule 18.01 – A lawyer shall not undertake a legal service which he
knows or should know that he is not qualified to render.
However, he may render such service if, with the consent of his
CANON 19 – A lawyer shall represent his client with zeal within the
client, he can obtain as collaborating counsel a lawyer who is
bounds of the law.
competent on the matter.
Rule 19.01 – A lawyer shall employ only fair and honest means to
Rule 18.02 – A lawyer shall not handle any legal matter without
attain the lawful objectives of his client and shall not present,
adequate preparation.
participate in presenting or threaten to present unfounded
Rule 18.03 – A lawyer shall not neglect a legal matter entrusted to
criminal charges to obtain an improper advantage in any case or
him and his negligence in connection therewith shall render him
proceeding.
liable.
Rule 19.02 – A lawyer who has received information that his client
Rule 18.04 – A lawyer shall keep the client informed of the status
has, in the course of the representation, perpetuated a fraud upon
of his case and shall respond within a reasonable time to the
a person or tribunal, shall promptly call upon the client to rectify
client’s request for information.
the same, and failing which he ha to terminate the relationship
 Competence: sufficiency of lawyer’s qualification to deal with
with such client in accordance with the Rules of Court.
the matter in question and includes knowledge and skill and the
Rule 19.03 – A lawyer shall not allow his client to dictate the
ability to use them effectively in the interest of the client.
procedure in handling the case.
 A lawyer must keep himself constantly abreast with the trend of
 General Rule: Negligence binds client
authoritative pronouncements and developments in all branches
of law. Exception: Reckless imprudence (deprives client of due process)
 There must be extraordinary diligence in prosecution or defense
Results in outright deprivation of one’s property through technicality
of his client’s cause.
 If a lawyer errs like any other human being, he is not answerable
 Must not present in evidence any document known to be false;
for every error or mistake, and will be protected as long as he
nor present a false witness.
acts honestly and in good faith to the best of his skill and
knowledge.
  Negative pregnant is improper since it is an ambiguous pleading 9. i. The character of the employment, whether occasional
(improper if in bad faith and the purpose is to confuse the other or established; and
party) 10. j. The professional standing of the lawyer.
In defense: present every defense the law permits.  Kinds of Payment which may be stipulated upon:
 Lawyer should do his best efforts to restrain and to prevent his 1. a fixed or absolute fee which is payable regardless of the result
clients from perpetrating acts which he himself ought not to do. of the case
Or else, withdraw. But lawyer shall not volunteer the information 2. a contingent fee that is conditioned to the securing of a
about the client’s commission of fraud to anyone – counter to duty favorable judgment and recovery of money or property and the
to maintain client’s confidence and secrets. amount of which may be on a percentage basis
3. a fixed fee payable per appearance
4. a fixed fee computed by the number of hours spent
5. a fixed fee based on a piece of work
CANON 20 – A lawyer shall charge only fair and reasonable fees.  Attorney’s Fees
Rule 20.01 – A lawyer shall be guided by the following factors in 1. Ordinary attorney’s fee -the reasonable compensation paid to a
determining his fees: lawyer by his client for the legal services he has rendered to the
1. a. The time spent and the extent of the services rendered latter. The basis for this compensation is the fact of his
or required. employment by and his agreement with the client.
2. b. The novelty and difficulty of the questions involved; 2. Extraordinary attorney’s fee – an indemnity for damages ordered
3. c. The importance of the subject matter; by the court to be paid by the losing party in litigation. The basis
4. d. The skill demanded; for this is any of the cases provided for by law where such award
5. e. The probability of losing other employment as a result of can be made, such as those authorized in Article 2208 of the Civil
acceptance of the proffered case; Code, and is payable NOT to the lawyer but to the client, unless
6. f. The customary charges for similar services and the they have agreed that the award shall pertain to the lawyer as
schedule of fees of the IBP chapter to which he belongs; additional compensation or as part thereof.
7. g. The amount involved in the controversy and the benefits  How attorney’s fees may be claimed by the lawyer:
resulting to the client from the services; 1. It may be asserted either in the very action in which the services
8. h. The contingency or certainty of compensation; of a lawyer had been rendered or in a separate action.
2. A petition for attorney’s fees may be filed before the judgment 5. When lawyer and client disregard the contract for attorney’s
in favor of the client is satisfied or the proceeds thereof delivered fees.
to the client.  Skill: length of practice is not a safe criterion of professional
3. The determination as to the propriety of the fees or as to the ability.
amount thereof will have to be held in abeyance until the main Rule 20.02 – A lawyer shall, in cases of referral, with the consent
case from which the lawyer’s claim for attorney’s fees may arise of the client, be entitled to a division of fees in proportion to the
has become final. Otherwise, the determination of the courts will work performed and responsibility assumed.
be premature. Rule 20.03 – A lawyer shall not, without the full knowledge and
 Kinds of Retainer Agreements on Attorney’s fees:
consent of the client, accept any fee, reward, costs, commission,
1. General Retainer or Retaining Fee – it is the fee paid to a lawyer
interest, rebate or forwarding allowance or other compensation
to secure his future services as general counsel for any ordinary
whatsoever related to his professional employment from anyone
legal problem that may arise in the ordinary business of the client
other than the client.
and referred to him for legal action;
2. Special Retainer – that is a fee for a specific case or service Rule 20.04 – A lawyer shall avoid controversies with clients
rendered by the lawyer for a client concerning his compensation and shall resort to judicial action
 Quantum Meruit –it means “as much as he deserves”, and is used only to prevent imposition, injustice or fraud.
as the basis for determining the lawyer’s professional fees in the  Unauthorized counsel: Not entitled to attorney’s fees.
absence of a contract, but recoverable by him from his client.  Stipulation regarding payments of attorney’s fees is not
 Quantum Meruit is resorted to where: illegal/immoral and is enforceable as the law between the parties
1. there is no express contract for payment of attorney’s fees provided such stipulation does not contravene law, good morals,
agreed upon between the lawyer and the client; etc.
2. when although there is a formal contract for attorney’s fees, the  When counsel cannot recover full amount despite written
stipulated fees are found unconscionable or unreasonable by the contract for attorneys’ fees:
court. 1. When he withdraws before the case is finished
3. When the contract for attorney’s fees is void due to purely 2. justified dismissal of attorney (payment: in quantum
formal matters or defects of execution meruit only)
4. When the counsel, for justifiable cause, was not able to finish  The reason for the award of attorney’s fees must be stated in
the case to its conclusion the text of the decision; otherwise, if it is stated only in the
 dispositive portion of the decision, the same must be disallowed  Confidence – refers to information protected by the attorney-
on appeal. client privilege (RRC)
 Even though the interest or property involved is of considerable  Secret – refers to other information gained in the professional
value, if the legal services rendered do not call for much efforts relationship that the client has regulated to be held inviolate or
there is no justification for the award of high fees. the disclosure of which would be embarrassing or would likely be
 Champertous Contracts (void) – Lawyer stipulates with his client detrimental to the client.
that in the prosecution of the case, he will bear all the expenses  An attorney cannot, without the consent of his client, be
for the recovery of things or property being claimed by the client examined as to any communication made by the client to him, or
and the latter agrees to pay the former a portion of the his advice given thereon in the course of professional
thing/property recovered as compensation. employment; nor can an attorney’s secretary, stenographer, or
 Compensation to an attorney for merely recommending another clerk be examined, without the consent of the client and his
lawyer is improper (agents) employees, concerning any fact the knowledge of which has been
 Attorney’s fees for legal services shared or divided to non-lawyer acquired in such capacity (Rule 130, Sec. 21 (b), RRC)
is prohibited. Division of fees is only for division of service or  The mere establishment of a client-lawyer relationship does not
responsibility. raise a presumption of confidentiality. There must be an intent or
 A lawyer should try to settle amicably any differences on the that the communication relayed by the client to the lawyer be
subject. A lawyer has 2 options. Judicial action to recover treated as confidential.
attorney’s fees: Rule 21.01 – A lawyer shall not reveal the confidences or secrets
1. In same case: Enforce attorney’s fees by filing an appropriate of his client except:
motion or petition as an incident to the main action where he 1. a. When authorized by the client after acquainting him of
rendered legal services. the consequences of the disclosure:
2. In a separate civil action. 2. b. When required by law;
3. c. When necessary to collect his fees or to defend himself,
his employees or associates or by judicial action.
 When properly authorized after having been fully informed of
CANON 21 – A lawyer shall preserve the confidences and secrets of
the consequences to reveal his confidences/secrets, then there is
his client even after the attorney-client relation is terminated. a valid waiver.
  Art. 209. Betrayal of Trust by an Attorney or Solicitor. unless the client with full knowledge of the circumstances
Revelation of secrets. In addition to the proper administrative consents thereto.
action, the penalty of prision correccional in its minimum period, Rule 21.03 – A lawyer shall not, without the written consent of his
or a fine ranging from P200 to P1000, or both, shall be imposed client, give information from his files to an outside agency seeking
upon any attorney at law or solicitor who, by any malicious break
such information for auditing, statistical, bookkeeping,
of professional duty as inexcusable negligence or ignorance, shall
accounting, data processing, or any other similar purposes.
prejudice his client, or reveal any of the secrets of the latter
Rule 21.04 – A lawyer may disclose the affairs of a client of the
learned by him in his professional capacity.
firm to partners or associates thereof unless prohibited by the
The same penalty shall be imposed upon an attorney at law or client.
solicitor who, having undertaken the defense of a client, or having Rule 21.05 – A lawyer shall adopt such measures as may be
received confidential information from said client in a case, shall required to prevent those whose services are utilized by him,
undertake the defense of the opposing party in the same case, from disclosing or using confidences or secrets of the client.
without the consent of his first client (Rule 209, RPC) Rule 21.06 – A lawyer shall avoid indiscreet conversation about a
client’s affairs even with members of his family.
 General Rule: Obligation to keep secrets covers only lawful Rule 21.07 – A lawyer shall not reveal that he has been consulted
purposes about a particular case except to avoid possible conflict of
 Exceptions: interest.
1. announcements of intention of a client to commit a crime  Avoid committing calculated indiscretion – accidental revelation
2. client jumped bail and lawyer knows his whereabouts; or client of secrets obtained in his professional employment.
is living somewhere under an assumed name  Prohibition applies, even if the prospective client did not
3. communication involves the commission of future fraud or crime thereafter actually engage the lawyer.
but crimes/frauds “already committed” falls within the privilege.
Rule 21.02 – A lawyer shall not, to the disadvantage of his client,
use information acquired in the course of employment, nor shall
he use the same to his own advantage or that of a third person, CANON 22 – A lawyer shall withdraw his services only for good
cause and upon notice appropriate in the circumstances.
Rule 22.01 – A lawyer may withdraw his services in any of the papers, documents,
following cases: property belonging to money judgment for the
client. client.
1. a. When the client pursues an illegal or immoral course of
conduct in connection with the matter he is handling; Covers only papers,
2. b. When the client insists that the lawyer pursue conduct documents and
violative of these canons and rules; property in the lawful Covers all judgments for
possession of the the payment of money
3. c. When his inability to work with co-counsel will not attorney by reason of and executions issued in
promote the best interest of the client; his professional pursuance of such
4. d. When the mental or physical condition of the lawyer 3. Coverage employment judgments.
renders it difficult for him to carry out the employment
As soon as the
effectively; attorney gets As soon as the claim for
5. e. When the client deliberately fails to pay the fees for the possession of the attorney’s fees had
services or fails to comply with the retainer agreement; 4. When Lien papers documents or been entered into the
takes effect property records of the case
6. f. When the lawyer is elected or appointed to a public
office, and Client need not be Client and adverse party
7. g. Other similar cases notified to make it must be notified to
5. Notice effective make it effective
Rule 22.02 – A lawyer who withdraws or is discharged shall subject
to a retaining lien, immediately turn over all papers and property Generally, it is
to which the client is entitled, and shall cooperate with his exercisable only when
May be exercised the attorney had
successor in the orderly transfer of the matter, including all before judgment or already secured a
information necessary for the proper handling of the matter. execution or favorable judgment for
6. Applicability regardless thereof. his client
Retaining Lien Charging Lien
 In withdrawal as counsel for a client, an attorney may only retire
Passive Lien: It cannot Active Lien: It can be from a case either by written consent of his client or by
be actively enforced. enforced by execution.
permission of the court after due notice and hearing, in which
1. Nature It is a general lien It is a special lien.
event the attorney should see to it that the name of the new
2. Basis Lawful possession of Securing of a favorable attorney is recorded in the case.
 An attorney who could not get the written consent of his client
must make an application to the court, for the relation does not
terminate formally until there is a withdrawal of record. Counsel
has no right to presume that the court would grand his withdrawal
and therefore must still appear on the date of hearing.
 Requirements for the Substitution of Counsel in a Case:
1. written application
2. written consent of client
3. written consent of attorney to be substituted
4. if the consent of the attorney to be substituted cannot be
obtained, there must be at least a proof of notice that the motion
for substitution has been served upon him, in the manner
prescribed by the rules.
 A lawyer cannot recover compensation from one who did not
employ or authorize his employment, however valuable the results
of his services may have been to such person. In similar cases, no
compensation when:
1. client conducts himself in a manner which tends to degrade his
attorney;
2. client refuses to extend cooperation;
3. client stops having contact with him.
 The right of a client to terminate a lawyer is absolute. Such
termination may be with or without cause.
 Liabilities of Lawyers  Criminal – any conduct directed against the authority or dignity
of the court.
 Civil Liability b. Acts Constituting Contempt:
1. Client is prejudiced by lawyer’s negligence or misconduct 1. Misbehavior
2. Breach of fiduciary obligation 2. Disobedience
3. Civil liability to third persons 3. Publication concerning pending litigation
4. Libelous words in pleadings; violation of communication privilege 4. Publication tending to degrade the court; disrespectful language
5. Liability for costs of suit (treble costs) – when lawyer is made in pleadings
liable for insisting on client’s patently unmeritorious case or 5. Misleading the court or obstructing justice
interposing appeal merely to delay litigation 6. Unauthorized practice of law
 Criminal Liability 7. Belligerent attitude
1. Prejudicing client through malicious breach of professional duty 8. Unlawful retention of client’s funds
2. Revealing client’s secrets
3. Representing adverse interests
4. Introducing false evidence
5. Misappropriating client’s funds (estafa) Administrative Liabilities of lawyers
 Contempt of Court  Main Objectives of Disbarment and Suspension:
1. to compel the attorney to deal fairly and honestly with his
a. Kinds of Contempt:
clients;
 Direct – consists of misbehavior in the presence of or so near a
2. to remove from the profession a person whose misconduct has
court or judge as to interrupt or obstruct the proceedings before
proved him unfit to be entrusted with the duties and
the court or the administration of justice; punished summarily.
responsibilities belonging to the office of an attorney;
 Indirect – one committed away from the court involving
3. to punish the lawyer;
disobedience of or resistance to a lawful writ, process, order,
4. to set an example or a warning for the other members of the
judgment or command of the court, or tending to belittle,
bar;
degrade, obstruct, interrupt or embarrass the court.
5. to safeguard the administration of justice from incompetent and
 Civil- failure to do something ordered by the court which is for
dishonest lawyers;
the benefit of a party.
6. to protect the public
 2. the Supreme Court, motu proprio, or
3. the IBP, motu proprio, or
 Characteristics of Disbarment Proceedings: 4. upon verified complaint by any person
1. Neither a civil nor criminal proceedings; 5. Six copies of the verified complaint shall be filed with the
2. Double jeopardy cannot be availed of in a disbarment Secretary of the IBP or Secretary of any of its chapter and shall be
proceeding; forwarded to the IBP Board of Governors.
3. It can be initiated motu propio by the SC or IBP. It can be 6. Investigation by the National Grievance Investigators.
initiated without a complaint; 7. Submission of investigative report to the IBP Board of Governors.
4. It is imprescriptible; 8. Board of Governors decides within 30 days.
5. Conducted confidentially; 9. Investigation by the Solicitor-General
6. It can proceed regardless of the interest of the lack thereof on 10. SC renders final decision for disbarment/suspension/dismissal.
the part of the complainant;
7. It constitutes due process.

Quantum of Proof Required: CLEAR, CONVINCING & SATISFACTORY

evidence.
 Grounds for Disbarment or Suspension: Burden of Proof:Rests on the COMPLAINANT, the one who instituted
1. deceit;
the suit
2. malpractice or other gross misconduct in office;
3. grossly immoral conduct;
4. conviction of a crime involving moral turpitude;
5. violation of oath of office;  Officers authorized to investigate Disbarment cases:
6. willful disobedience of any lawful order of a superior court; 1. Supreme Court
7. corrupt or willful appearance as attorney for a party to case 2. IBP through its Commission on Bar Discipline or authorized
without authority to do so (Sec. 27, Rule 138, RRC) investigator
3. Office of the Solicitor General
 Procedure for Disbarment
1. Institution either by:
  Mitigating Circumstances in Disbarment:
1. Good faith in the acquisition of a property of the client subject
of litigation (In re: Ruste, 70 Phil. 243)
2. Inexperience of the lawyer (Munoz v. People, 53 SCRA 190)
3. Age (Lantos v. Gan, 196 SCRA 16)
4. Apology (Munoz v. People, 53 SCRA 190)
Lack of Intention to slight or offend the Court (Rhum of the
Philippines, Inc. v. Ferrer, 20 SCRA 441).
Notaries Public 3. To act as magistrate in the writing of affidavits or depositions
 Powers and Duties of a Notary Public
4. To make declarations and certify the truth thereof under his seal
Section 241 of the Revised Administrative Act enumerates the of office, concerning all matters done by him in virtue of his office.
General Powers of a Notary Public:
 The law imposes on the notary public two kinds of duties:
1. To administer all oaths and affirmations provided for by law: 1. execution of formalities required by law; and
1. in all matters incident to his notarial office; 2. verification of the capacity and identity of the parties as well as
2. in the execution of: the legality of the act executed.
1. affidavits  Extent of Jurisdiction of a Notary Public:
2. depositions
3. other documents requiring an oath Under the Notarial Law, the jurisdiction of a notary public in general,
1. To receive proof or acknowledgment of all writings relating to used to be CO-EXTENSIVE with the province for which he was
commerce, such as commissioned; and for the notary public in the City of Manila, the
1. ships, vessels or boats: jurisdiction is CO-EXTENSIVE with said city. Circular 8 of 1985
1. Bills of Exchange however, clarified further that the notary public may be
2. Bottomries commissioned for the same term only by one court within the Metro
3. Mortgages Manila region.
4. Hypothecations
5. charter parties or affreightments  Q: Must a Notary Public always be a LAWYER?
6. letters of attorney A: General Rule: Only those admitted to the practice of law are
7. land/buildings or interest therein: qualified to be notaries public.
1. deeds
Exception: When there are no persons with the necessary
2. mortgages
qualifications OR where there are qualified persons but refuse
3. transfers and assignments
appointment. In which case, the following persons may be appointed
4. other writings as are commonly provided
as notaries:
or acknowledged before notaries.
1. those who have passed the studies of law in a reputable
university
2. a clerk or deputy clerk of court for a period of not less than two
years
 Effects of NOTARIZATION
1. The notary, in effect, proclaims to the world:
1. that all the parties therein personally appeared before
him
2. that they are personally known to him
3. that they are the same persons who executed the
instrument
4. that he inquired into the voluntariness of the execution
of the instrument; and
5. that they acknowledged personally before him that they
voluntarily and freely executed the same
6. 2. Converts a private document into a public one and
renders it admissible in court without further proof of its
authenticity. (Joson vs. Baltazar)
7. 3. Documents enjoy a presumption of regularity. It
constitutes prima facie evidence of the facts which give
rise to their execution and of the date of said execution,
but not of the truthfulness of the statements. The reason
for the former presumption is that the law assumes that the
act which the officer witnesses and certified to or the date
written by him are not shown to be false since notaries are
public officers.
 Code of Judicial Conduct Rule 2.02 – A judge should not seek publicity for personal
Preamble vainglory.
Rule 2.03 – A judge shall not allow family, social, or other
An honorable, competent and independent judiciary exists to relationships to influence judicial conduct or judgment. The
administer justice and thus promote the unity of the country, the prestige of judicial office shall not be used or lent to advance the
stability of government, and the well being of the people. private interests of others, nor convey or permit others to convey
the impression that they are in a special position to influence the
CANON 1- A judge should uphold the integrity and independence
judge.
of the judiciary
Rule 2.04 – A judge shall refrain from influencing in any manner
Rule 1.01 – A judge should be the embodiment of competence,
the outcome of litigation or dispute pending before another court
integrity, and independence.
of administrative agency.
Rule 1.02 – A judge should administer justice impartially and
 A judge must be beyond suspicion. He has the duty not only to
without delay.
render a just and impartial decision but also to render it in such a
Rule 1.03 – A judge should be vigilant against any attempt to manner as to be free from any suspicion as to its fairness and
subvert the independence of the judiciary and resist any pressure impartiality, and also as to his integrity.
from whatever source.  Every litigant is entitled to nothing short of the cold neutrality of
 Judges should avoid even the slightest infraction of the law. an independent, wholly free, disinterested and impartial tribunal.
 Must be models of uprightness, fairness and honesty  A judge must be temperate in his language and must not lose his
 Should not relax in his study of the law and court decisions. cool.
 Should not be swayed by public clamor or considerations of  A judge is prohibited from making public statements in the
personal popularity media regarding a pending case so as not to arouse public opinion
 Must decide motions without delay. for or against a party (violates the Principle of Subjudice)
 Should also appear impartial.  Judges must not use or permit the use of any undignified/self-
CANON 2 – A judge should avoid impropriety and the appearance laudatory statement regarding their qualifications or legal
of impropriety in all activities. services.
Rule 2.01 – A judge should so behave at all times as to promote
public confidence in the integrity and impartiality of the judiciary.
  A judge must not allow anyone to ride on his prestige. He should unconsciously falling into the attitude of mind that the litigants
not create the impression that someone or some people are so are made for the courts, instead of the courts for the litigants.
close to him to enjoy his favor.  Conduct of trial must not be attended with fanfare and publicity;
CANON 3 – A judge should perform official duties honestly, and not permit pictures or broadcasting.
with impartiality and diligence.  Must use temperate language; should not make insulting
remarks.
ADJUDICATIVE RESPONSIBILITIES Rule 3.05 – A judge shall dispose of the court’s business promptly
Rule 3.01 – A judge shall be faithful to the law and maintain and decide cases within the required periods.
professional competence. Rule 3.06 – While a judge may, to promote justice, prevent waste
 Judge should be conversant with the law and its amendments. of time or clear up some obscurity, properly intervene in the
Rule 3.02 – In every case, a judge shall endeavor diligently to presentation of evidence during the trial, it should always be
ascertain the facts and the applicable law unswayed by partisan borne in mind that undue interference may prevent the proper
interest, public opinion or fear of criticism. presentation of the cause of the ascertainment of the truth.
 Finding of facts must be based not on the personal knowledge of Rule 3.07 – A judge should abstain from making public comments
the judge but upon the evidence presented. on any pending or impending case and should require similar
 If the personal view of the judge contradicts the applicable restraint on the part of court personnel.
doctrine promulgated by the Supreme Court, nonetheless, he  Judge should take notes and rely on transcripts.
should decide the case in accordance with that doctrine and not  Judge is not excused if stenographer is overloaded. He is excused
in accordance with his personal views. He is however not for delay on grounds of multifarious motions; appellate court
prohibited from stating his own opinion on the matter if he wants enjoins judge from further proceeding; heavy caseload.
to invite constructive attention thereto.
Rule 3.03 – A judge shall maintain order and proper decorum in ADMINISTRATIVE RESPONSIBILITIES
the courts. Rule 3.08 – A judge should diligently discharge administrative
Rule 3.04 – A judge should be patient, attentive, and courteous to responsibilities, maintain professional competence in court
lawyers, especially the inexperienced, to litigants, witnesses, and managements, and facilitate the performance of the
others appearing before the court. A judge should avoid administrative functions of other judges and court personnel.
Rule 3.09 – A judge should organize and supervise the court  If knowingly nominate or appoint to any public office any person
personnel to ensure the prompt and efficient dispatch of business, lacking the legal qualification therefor, shall be guilty of unlawful
and require at all times the observance of high standards of public appointment punishable with imprisonment and fine (Art 244,
service and fidelity. RPC).

Rule 3.10 – A judge should take or inititate appropriate

disciplinary measures against lawyers or court personnel for DISQUALIFICATIONS
unprofessional conduct of which the judge may have become Rule 3.12 – A judge should take no part in proceeding where the
aware. judge’s impartiality might reasonably be questioned. These cases
Rule 3.11 – A judge should appoint commissioners, receivers, include, among others, proceedings where;
1. a. the judge has personal knowledge of disputed
trustees, guardians, administrators and others strictly on the basis
evidentiary facts concerning the proceeding;
of merit and qualifications, avoiding nepotism, and favoritism.
2. b. the judge served as executor, administrator, guardian,
Unless otherwise allowed by law, the same criteria should be
trustee or lawyer in the case or matters in controversy, or a
observed in recommending appointment of court personnel.
former associate of the judge served as counsel during their
Where the payment of compensation is allowed, it should be association, or the judge or lawyer was a material witness
reasonable and commensurate with the fair value of services therein;
rendered. 3. c. the judge’s ruling in a lower court is subject of review
 Ascertain that the records of all cases are properly kept and 4. d. the judge is related by consanguinity or affinity to a
managed. party litigant within the 6th degree or to counsel within the
 Maintain a checklist on the cases submitted for decision with a 4th degree;
view to know exactly the specific deadlines for the 5. e. the judge knows that the judge’s spouse or child has a
resolution/decision of the said cases. financial interest, as heir, legatee, creditor, fiduciary, or
 Loss of records: gross negligence otherwise, in the subject matter in controversy or in a party to
 Should be a good manager. the proceeding, or any other interest that could be
 May not summarily suspend a lawyer for indirect contempt. substantially affected by the outcome of the proceeding.
 Judge has the power to appoint, but the power to dismiss court In every instance the judge shall indicate the legal reason for
employees is vested in the Supreme Court. inhibition.
  Petition to disqualify judge must be filed before rendition of or the administration of justice and otherwise consult with
judgment by the judge; can’t be raised first time on appeal. them on matters concerning the administration of justice;
 If a judge denies petition for disqualification, the ultimate test: 3. c. serve on any organization devoted to the improvement
is whether or not the complaint was deprived of a fair and of the law, the legal system or the administration of justice.
impartial trial. Remedy: seek new trial.  Decision to engage in these activities depends upon the sound
REMITTAL OF DISQUALIFICATION judgement of the judge.
Rule 3.13 – A judge disqualified by the terms of Rule 3.12 may,  If has not enough time to spare (such as when caseload is too
instead of withdrawing from the proceeding, disclose on the heavy) prudence dictates, he must concentrate on his judicial
record the basis of disqualification. If, based on such disclosure, duties.
 If a judge has time to spare, the best attitude to take is to
the parties and lawyers independently of the judge’s
participate in activities which are closely related to the
participation, all agree in writing that the reason for the inhibition
performance of his duties and which do not consume much of his
is immaterial or insubstantial, the judge may then participate in
time and energy.
the proceeding. The agreement, signed by all parties and lawyers,
CANON 5 – A judge should regulate extra-judicial activities to
shall be incorporated in the record of the proceeding.
minimize the risk of conflict with judicial activities.
VOCATIONAL, CIVIC AND CHARITABLE ACTIVITIES
CANON 4 – A judge may, with due regard to official duties, engage
Rule 5.01 – A judge may engage in the following activities
in activities to improve the law, the legal system and the
provided that they do not interfere with the performance of
administration of justice.
judicial duties or detract from the dignity of the courts:
Rule 4.01 – A judge may, to the extent that the following activities
1. a. write, lecture, teach and speak on non-legal subjects;
do not impair the performance of judicial duties or case doubt on 2. b. engage in the arts, sports, and other special recreational
the judge’s impartiality: activities;
1. a. speak, write, lecture, teach or participate in activities 3. c. participate in civic and charitable activities;
concerning the law, the legal system and the administration of 4. d. serve as an officer, director, trustee, or non-legal
justice; advisor of a non-profit or non-political, educational, religious,
2. b. appear at a public hearing before a legislative or charitable, fraternal, or civic organization.
executive body on matters concerning the law, the legal system
  If they opt to engage in such activities, they must learn how to interested in any transaction of exchange or speculation within the
manage their time in such manner that their judicial territory subject to his jurisdiction.
responsibilities do not falter and suffer. Art 216. Possession of prohibited interest by a public officer. The
FINANCIAL ACTIVITIES penalty of arresto mayor in its medium period to prision
Rule 5.02 – A judge shall refrain from financial and business correccional in its minimum period, or a fine ranging from P200 to
dealings that tends to reflect adversely on the court’s impartiality, P1000, or both, shall be imposed upon a public officer who directly
interfere with the proper performance of judicial activities, or and indirectly, shall become interested in any contract or business
increase involvements with lawyers or persons likely to come which it is his official duty to intervene.
before the court. A judge should so manage investments and other  Sec 3. Corrupt practices of public officers. In addition to acts or
financial interests as to minimize the number of cases giving omissions of public officers already penalized by existing law, the
grounds for disqualification. following shall constitute corrupt practices of any public officer
Rule 5.03 – Subject to the provisions of the proceeding rule, a and are hereby declared to be unlawful:
judge may hold and manage investments but should not serve as
an officer, director, manager, advisor, or employee of any XXX
business except as director of a family business of the judge.
(h) Directly or indirectly having financial or pecuniary interest in any
Rule 5.04 – A judge or any, immediate member of the family, shall
business, or contract or transaction in connection with which here
not accept a gift, bequest, favor or loan from anyone except as
intervenes or takes part in his official capacity or in which he is
may be allowed by law.
prohibited by the Constitution or by any law from having any
Rule 5.05 – No information acquired in a judicial capacity shall be
interest, (Sec. 3(h), RA 3019)
used or disclosed by a judge in any financial dealing or for any
other purpose not related to judicial activities.  General Rule: Avoid taking or receiving loans from litigants.
 Prohibitions under the Revised Penal Code:  Exception (AGCPA): Unsolicited gifts or presents of small value
Art 215. Prohibited Transaction. The penalty of prision offered or given as a mere ordinary token of gratitude or
correccional in its minimum period or a fine ranging from P200 to friendship according to local custom or usage.
P1000 or both, shall be imposed upon any appointive public officer
who, during his incumbency, shall directly or indirectly become FIDUCIARY ACTIVITIES
Rule 5.06 – A judge should not serve as the execution FINANCIAL DISCLOSURE
administrator, trustee, guardian, or other fiduciary, except for the Rule 5.08 – A judge shall make full financial disclosure as required
estate, trust, or person of a member of the immediate family and by law.
then only if such service will not interfere with the proper EXTRA-JUDICIAL APPOINTMENTS
performance of judicial duties. “member of immediate family” Rule 5.09 – A judge shall not accept appointment or designation to
shall be limited to the spouse and relatives within the second any agency performing quasi-judicial or administrative functions.
degree of consanguinity. As a family fiduciary, a judge shall not: POLITICAL ACTIVITIES
1. a. serve in proceedings that might come before the court Rule 5.10 – A judge is entitled to entertain personal views on
of said judge; or political questions. But to avoid suspicion of political partisanship,
2. b. act as such contrary to Rule 5.02 to 5.05 a judge shall not make political speeches, contribute to party
PRACTICE OF LAW AND OTHER PROFESSION funds, publicly endorse candidates for political office or
Rule 5.07 – A judge shall not engage in the private practice of participate in other partisan political activities.
law. Unless prohibited by the Constitution or law, a judge may COMPLIANCE WITH THE CODE OF JUDICIAL CONDUCT
engage in the practice of any other profession provided that such All judges shall strictly comply with this code
practice will not conflict or tend to conflict with judicial functions.
 Includes preparation of pleadings or papers in anticipation of DATE OF EFFECTIVITY
litigation, and giving of legal advice to clients or persons needing
This code, promulgated on 5 September 1989, shall take effect on
the same.
20 October 1989.
 Not engage in notarial work. Exception: “Notaries public ex-
 An administrative case against a judge is not necessarily
oficio” – may engage only in notarization of documents connected
dismissed by the withdrawal by or desistance of the complainant.
with the exercise of their official functions. Provided, all notarial
 Retirement, resignation or promotion of a judge does not
fees on account of the government and certification attesting to
necessarily render moot and academic all the cases against him.
lack of any lawyer or Notary Public.
 Civil Liabilities Re Official Functions:
 Sworn statement of assets and liabilities including statement of
1. obstructs, defeats, violates or in any manner impedes or impairs
amounts and services of income, the amount of personal and
the civil rights.
family expenses and the amount of income tax is paid for the next
preceding calendar year.
 2. Willful or negligent rendition of a decision which causes damages 4. the judge knows that his judgment is unjust.
to another 1. Judgment Rendered Through Negligence (Art. 205, RPC)
3. For damages: rendering/neglecting to decide a case causing loss The elements are:
to a party. 1. thatthe offender is a judge;
 Civil Code Disabilities: 2. thathe renders judgment in a case submitted to him for decision
3. thatthe judgment is manifestly unjust;
Rule: Can’t purchase properties subject of litigation is his court. 4. thatis due to his inexcusable negligence or ignorance.

Exception: Does not apply where the subject property was not
acquired from any of the parties to the case, nor will it apply when
the litigation is already finished.

But… while in a technical sense, the judge may not have acquired the
property in litigation in a case before him, nevertheless, it is
improper for him to have done so under the canons of judicial ethics.

 Donations made to a judge by reason of his office are void.

 Taking advantage of his position to boost his candidacy amounts
to gross misconduct.
 Cannot serve as officers or advisers of political groups.
Criminal Liabilities of Judges
 Malfeasance under the RPC:
1. Knowingly Rendering Unjust Judgment (Art. 204, RPC)
The elements are:
1. that the officer is a judge;
2. that he renders judgment in a case submitted to him for
decision;
3. that the judgment is unjust;