Legal Ethics Bar 2011 Notes Roland Glenn T.

Tuazon

No charges involving moral turpitude filed or pending in any Phil. Court How do you prove GMC and lack of pending charges? o Produce before the SC satisfactory evidence o What is moral turpitude? Everything done contrary to justice, modesty, good morals; 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 SC o 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.

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 legal knowledge or skill (Monsod) It is any activity, in or out of court, which requires application 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 business

In what instances can non-lawyers appear in court? Before the MTC As party to the litigation Before any other court As party to the litigation, in person, in a civil case Legal aid program Special cases Before NLRA/LA, representing themselves Before NLRC/LA, representing their organization Before cadastral court

Agent or friend of a party in litigation In a criminal case in a locality where a lawyer is not available Legal aid program

Requirements: Admission to the Bar Philippine citizen Philippine resident At least 21 years old Complete required courses To become a lawyer Passed Bar exams Took oath Registered in roll of attorneys Received certificate of license to practice law from the clerk of court of the SC Continued admission to the Bar Remain IBP member in good standing Pay IBP dues and other assessments Pay annual privilege tax Observe rules on proper ethics

Evidence of GMC

Requisites for who can be appointed in a criminal case before the MTC, in localities where a lawyer is not available? o 1. A resident of the province o 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

Requisites for who can appear under the legal aid program? o 1. Senior law student o 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 habitual o 2. It must be without compensation Which lawyers and in what situations are lawyers prohibited to appear? o 1.Lawyer-member of Congress o 2. Lawyers with conflicting interests o 3. Small claims Except when the lawyer himself is the party o 4. Government lawyers, in private suits, without written authority o 5. Former government lawyers who left public service cannot intervene 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 client o 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 done o 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 facts o 2. Concealment of witnesses capable of establishing innocence of the accused o N.B. Prosecutor must recommend acquittal of the accused whose conviction is on appeal if he finds no legal basis to sustain the conviction. Rules on public position vis-a-vis private interests: o 1. Cannot promote or advance his private interests o 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 matter before 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 Judges, and other officials and employees in the SC OSG officials and employees Public prosecutors President Restricted Members of Congress Sanggunian members Retired justice or judge receiving pension from government

Vice President Cabinet members, deputies, assistants Constitutional Commission members OMB, Deputies of OMB Governors Mayors city and municipal Those prohibited by special law

In this case, notice to deputized agent will not bind the SG unless notice is actually received by the latter 3. When a government agency which the SG is tasked to represent is represented by the agencys internal counsel Notice to counsel is notice to SG

Lawyers oath: I __ do solemnly swear that:

Where can members of Congress not personally appear before as counsel, as a restriction? o 1. Courts of justice o 2. Electoral tribunals o 3. QJ bodies o 4. Admin bodies

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 Maintain allegiance Support; obey Do no falsehood or consent to such Willingly nor wittingly promote groundless, false, unlawful suit; nor giving aid or consenting to such Delaying no man for money or malice; Conduct self as lawyer according to best of knowledge and discretion Good fidelity to court and clients To whom/what (hierarchy) The Republic of the Philippines Constitution and laws Truth Respect for legal processes

What are Sanggunian members not allowed to do? Type of case Civil cases Restriction Cannot appear as counsel Cannot appear as counsel Situation If an LGU or any instrumentality is the adverse party If an officer/employee of government is accused of an office-related offense If it involves LGU of which he is an official UNLESS he is defending government interest

Criminal cases

Administrative proceedings Any

Collect fees Use property and personnel of the government

What is the restriction on retired justices/judges receiving government pension? o Same as first two prohibitions against Sanggunian members Who are the lawyers authorized to represent government? o 1. The Solicitor General o 2. Any other government official deputized by the Solicitor General in prosecution of cases

Fidelity to justice, to court, to client Fidelity to justice, to court, to client Fidelity to justice, to court, to client

Overview of coverage of the canon duties: Society 1: Uphold Constitution, obey laws; antibarratry; settlements Legal profession 7: Uphold integrity of legal profession; support IBP; application for the Bar 8: Candor, fairness, and courtesy for colleagues; not encroaching upon employment Courts 10: Candor, fairness, GF to the court; no falsehood or misquoting; observe procedure 11: Respect to courts; attire; punctuality; not impute wrong motives to judge; grievances only to proper authorities 12: Speedy administration of justice; prepare; multiple actions; delays or lapses, talking to witnesses during breaks; respect witnesses; not testify for client 13: Rely on merits and not improper influence; hospitality to judges; media statements; having other branch step in Client 14: Not refuse the needy; no prejudice; not decline as amicus or de oficio; treating non-paying client 15: Candor, fairness, loyalty to client; reveal conflicts; privileged communication; conflicting interest; candid and fair advice 16: Hold money in trust; separate funds; lien; no borrowing or lending to client

6: Lawyers in government

2: Accepting cases; charging fees

3: Advertising services; firm names; paying media

9: Not assist unauthorized practice of law; dividing fees

19: With zeal, within bounds of law; fair and honest means; rectifying clients fraud; not let client dictate 20: Fair and reasonable fees; no compensation from anyone else; avoid compensation controversies 21: Preserve confidence and secrets of client 22: Withdrawal of services for good cause; turning over matters to successor

DUTIES AND RESPONSIBILITIES OF LAWYERS TO SOCIETY 17: Fidelity to cause of client CANON 1 Respect for the law and legal processes o Duties: 1. Uphold the constitution 2. Obey laws of the land 3. Promote respect for law and legal processes o 1.01 no unlawful, dishonest, immoral, or deceitful conduct o 1.02 not counsel or abet activities aimed at defying the law or lessening confidence in legal processes o 1.03 not encourage suit or proceeding or delay any mans cause for corrupt motive or interest NO barratry (instigating groundless suits) NO stirring up litigation NO ambulance chasing

4: Law reform and improvement

5: MCLE; improve schools; disseminate info

18: Competence and diligence; not take what he cant handle; no neglect

1.04 encourage clients to avoid, end, or settle controversy if it 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 2.01 not reject cause of defenceless or oppressed except for valid reasons o 2.02 if he does not accept a case, not refuse to render legal advice to person at least, to the extent necessary to safeguard the persons rights o 2.03 not do or permit to be done an act designed primarily to solicit legal business Because law is profession, not business o 2.04 not charge rates lower than those customarily prescribed Unless circumstances warrant Why? To avoid proliferation of competition among brother lawyers CANON 3 true, honest, fair, dignified, and objective information on legal services o 3.01 not 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 card o Name o Law firm o

Address, telephone number, branch of law 3. Simple announcement of opening in firm or changes in partnership, address, or firm name 4. Advertisements or simple announcement of existence of the firm/lawyer posted anywhere proper o Except court rooms or government buildings 5. Advertisements or announcement in legal publication, 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 or disbarment. 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 picture for publication with the article in a law journal Or submit for publication to a bar association journal 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

3. Aiding layman to engage in authorized practice of law What about giving legal advice on legal matters through 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 3.03 If 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 3.04 not pay or give anything of value to representatives of media in return for or anticipation of publicity (to attract legal business) CANON 4 participation in improvement reforms in legal system o How? Initiating efforts in law reform and administration of justice Or supporting such efforts o Examples? 1. Presenting position papers or resolutions for bills in Congress 2. Petitions with SC to amend the ROC CANON 5 participation in legal education program o 1. Keep abreast of legal developments o 2. Participate in MCLE and continuing education programs o 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 of those 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 o Pursuant 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 profession o 2. Improve administration of justice o 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 laws o 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 social consciousness Re: membership and dues o Look for this CANON 7 upholding the dignity and integrity of the profession o Includes supporting the activities of the IBP o 7.01 re: 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 a person 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 legal profession, whether in private or public life o N.B. Good moral character is need to continue membership in the Bar

CANON 8 courtesy, fairness, and candor towards professional colleagues o Usual case: avoid harassing tactics against opposing counsel o 8.01 not use language which is abusive, offensive, or improper in professional dealings o 8.02 not directly or indirectly encroach upon professional employment 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 law o 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 Court o 9.01 not 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 9.02 not divide or stipulate division of legal fees for services with 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 unfinished business of deceased lawyer 3. Lawyer or firm includes non-lawyer employees in a retirement plan Even if the plan is based wholly or partially on profit sharing agreement

DUTIES AND RESPONSIBILITIES TOWARDS THE COURTS CANON 10 candor, fairness, and good faith towards the courts o 10.01 lawyer must not: 1. Do falsehood 2. Consent to doing falsehood in court

3. Mislead or allow the court to be misled by any artifice What prevails between duties to ones client and candor to the court? Candor towards the courts prevails over duties to ones client o 10.02 prohibited 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 for punctuation mark. o 10.03 re: rules of procedure Must observe rules of procedure Must not misuse them to defeat ends of justice CANON 11 respect for courts and judicial officers o 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 hearings o 11.03 abstain from scandalous, offensive, or menacing language or behaviour in court o 11.04 not 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 judge in 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

11.06 submit grievance against judge to proper authorities only CANON 12 assistance in the speedy and efficient administration of justice o Must exert every effort and consider it his duty to do so Acts which obstruct justice: 1. Instructing a witness not to appear at trial 2. Asking client to plead guilty to crime he did not commit 3. Advising a client to escape from prison 4. Dilatory tactics 5. Prosecuting frivolous cases or appeals o 12.01 must not appear for trial unless he has: 1. Adequately prepared himself On the law and facts The evidence he will adduce The order of its proffering 2. Readied himself with original documents for comparison with the copies o 12.02 not engage in forum shopping When is there forum shopping? 1. Party seeks favorable opinion of another forum, other than through appeal or certiorari, after adverse opinion of one 2. Institutes 2 or more actions grounded on same cause, on a gamble that one or other would make him win Contents of CNFS? 1. Not commenced any action or filed any claim involving same issues in any court, tribunal, or QJA, and to the best of his knowledge there is no such action 2. If there is such other action, a complete statement of the status thereof 3. If he should learn that a similar action or same action is filed or pending, report that fact within 5 days to the court wherein the o

complaint or initiatory pleading has been filed Effects of failure to comply with CNFS? 1. Not curable by mere amendment of pleading 2. Cause for dismissal of case without prejudice o Unless otherwise provided upon motion and after hearing Effect of submitting false CNFS or non compliance with undertakings therein? 1. Indirect contempt 2. Without prejudice to admin and criminal action Effect of wilful and deliberate forum shopping? 1. Ground for summary dismissal of case with prejudice 2. Direct contempt 3. Cause for administrative sanction

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12.03 After obtaining extension, not let the period lapse without submitting the pleading, memo, or brief or explaining failure to do so 12.04 NOT: 1. Unduly delay a case 2. Impede execution of judgment 3. Misuse court processes Ex. using technicalities to defeat justice, etc. 12.05 cannot talk to his witness during break/recess when the witness is still being examined 12.06 not knowingly assist a witness to: 1. Misrepresent himself 2. Or impersonate another 12.07 not do the following to witnesses: Abuse Browbeat Harass Needlessly inconvenience 12.08

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 testimony is essential to the ends of justice, in which even he must entrust the case to another counsel during his testimony CANON 13 reliance on merits of case, not from improper influence upon the courts o Whether it tends to influence or gives the appearance of influencing the court o 13.01 not extend extraordinary attention or hospitality to, nor seek opportunity for cultivating familiarity with judges Ex. preparing a draft decision for the judge o 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 the bounds of fair comment and legitimate criticism o Where there is erosion of faith in the judiciary and confidence in its integrity o 13.03 not brook or invite interference by another branch or agency 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 personal o 2. Highly confidential o 3. Fiduciary What are the duties of lawyers? o 1. Advise client on merit or lack thereof of his case. If he finds the case defenceless, he must advise the latter to acquiesce and submit. o 2. Resist whims and caprices of the client, and temper the latters propensity to litigate. o 3. Refrain from giving advice unless they have obtained sufficient understanding of the clients cause. Need careful investigation and examination of facts o 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 effectively for the client o Keep constantly abreast with authoritative pronouncements and developments in branches of law What are the kinds of appearance? o 1. General appearance Party comes to court either as plaintiff of defendant and 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?

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 in writing o 2. In taking appeals o 3. In all matters of ordinary judicial procedure What is beyond the scope of authority and need special authority? o 1. Compromise litigation o 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 to be 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 needy o 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 of defenceless or oppressed save for valid reasons) o 14.01 not: 1. Decline to represent person due to race, sex, creed, or status life alone 2. Decline to represent person due to his own opinion on 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 personal opinion as to the latters guilt, to present every defense the law permits Purpose: so that no person may be deprived of life or liberty except by due process of law 14.02 not decline appointment as: 1. Counsel de officio Rule 138, s. 31 [GENERAL RULE]: a court may appoint an attorney to render free professional aid for a destitute party unable to employ one Rule 116, s. 6 [FOR ACCUSED IN CRIM CASE]: 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 be appointed: o 1. Members of bar in good standing o 2. Any person, resident of the province and of good report for probity and ability (in localities without lawyers) o Consider: 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 de parte on appeal, and he signed notice of appeal himself

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2. If not in prison not entitled to CDO unless appointment of one is requested within 10 days from notice to file brief (and right is established through affidavit)

1. A lawyer is accused by client and he needs to reveal information to defend himself 2. Client discloses intention to commit a crime or unlawful act

2. Amicus curiae Experienced and impartial attorneys invited by 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 14.03 may 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 the prospective client 3. Conflict of interest between prospective client and present client o 14.04 Observe same standard of conduct between paying and non-paying clients CANON 15 candor, fairness, loyalty to clients o 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 thing o 15.02 Matters disclosed by client are covered by rule on privileged communication Exceptions:

15.03 Not represent conflicting interests Exception? Written consent of all concerned after full disclosure of all facts What are the types of conflict of interest? 1. Concurrent or multiple representation: o A lawyer represents clients whose objectives are adverse to each other, no matter how slight or remote these are Take note of this minimal degree o Ex. A CPA-lawyer being part of a firm 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 whether concurrent or multiple representation amounts to conflict of interest: 1. w/n lawyer is duty-bound to fight for an issue 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 would prevent full discharge of the duty of undivided loyalty to a client 3. w/n acceptance of the new relation would invite suspicious of unfaithfulness/doubledealing in duty of undivided loyalty

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4. w/n acceptance of the new relation would have the lawyer use against the client confidential information acquired through their connection Does the lawyer have to be the counsel-of-record for the other party to violate this provision? No. In a case, Artezuela v. Maderazo, the lawyer 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 where the other party is his former client, even if the case is distinct from the former case? No. This will still give the appearance of double-dealing.

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 consent of both parties to do this. 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 15.06

Not state or imply that he can influence a public official, tribunal, or legislature o 15.07 Impress upon client: 1. Compliance with laws 2. Principles of fairness o 15.08 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 may prejudice 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) the property 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 the attorney Himself or through another During pendency of the case CANON 16 clients money and properties o Hold in trust all moneys and properties of client that come under his possession o 16.01 Account all these money and property collected or received for or from the client o 16.02 Keep 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 satisfy these 2. On all judgments and executions he has secured for the client o From time he causes statement of claim of the lien on the records of the court rendering judgment or issuing execution o Written notice delivered to his client and adverse party o Same right and power his client would have over the judgments, in order to enforce his lien What are the kinds of lien? 1. Retaining lien: o Right of attorney to retain possession 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 have fees 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 be implemented

3. When the lawyer enforces charging lien against his client, the lawyer-client relationship is terminated Can the lawyer disburse the clients funds to the latters 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 17 fidelity to clients cause o Owe fidelity to clients cause and be mindful of trust/confidence reposed in him o 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 what to do next. Failure to do so is gross negligence. o Compromising the money claim due to the client without the latters consent is a violation of this canon. o The act of receiving money as acceptance fee and failing to subsequently 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 diligence o When does required diligence start? From retainer until effective discharge of case or final disposition 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 has the learning, skill, and ability to handle the case

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 within prescribed 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, inform the 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 the counsel? This can be an exception to the general rule that 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 bounds o 19.01 o

Use only fair and honest means to attain lawful objectives of client NOT present, participate in presenting, or threaten to present unfounded criminal charges Done in order to obtain improper advantage in 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 who can give him dirt on the respondent, as leverage

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 handling the case What are within the clients control? Cause of action, claim/demand, and subject of litigation (thus, the attorney cannot, without authority given by the client, compromise the litigation or receive anything in discharge of the clients claim) CANON 20 charge only fair and reasonable attorneys fees o

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o o

20.01 charge only reasonable and fair fees. What factors determine 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 and schedule of fees of his IBP chapter 7. Amount involved in the controversy and benefits to the client from the service 8. Contingency or certainty of compensation 9. Character of employment, whether occasional or established 10. Professional standing of lawyer 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 What is the factor added by jurisprudence? Clients capacity to pay Does the considerable value of the property or interest involved per se justify high attorneys fees? No necessarily, especially if the legal services do not call for too much effort. Can the court reduce attorneys fees or impose a new amount? Yes, it may reduce if the amount is unreasonable or impose an amount when there was none agreed upon. 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. 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 as regards this 3. Fixed per-appearance fee 4. Fixed per-hour fee 5. Fixed fee for piece of work What are the kinds of attorneys fees? 1. Ordinary attorneys fees: Reasonable compensation paid to a lawyer by his clients for legal services rendered Basis for this compensation is the fact of employment 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 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 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 same proceeding 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 its amount held in abeyance until end of main case Otherwise, determination of courts is premature

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What are the kinds of retainer agreements on attorneys fees? 1. General retainer or retaining fee fee paid to lawyer to secure future services as general counsel For problems arising in ordinary course of business 2. Special retainer fee for specific or particular case or service 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. 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 formal matters or defects in execution 4. Counsel through justifiable cause was not able to finish the case to its conclusion 5. Lawyer and client disregarded the contract for attorneys fees 20.02 in 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 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

20.04 General rule: avoid controversies with clients concerning compensation Resort to judicial action only to prevent injustice or fraud o When can counsel not recover full amount despite written contract 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 the thing/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 recommending another lawyer? No. CANON 21 preservation 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? o

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1. Attorney-client relationship or prospective attorneyclient 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 a requirement for an A-C relationship. Is information the client intended for the lawyer to communicate to a third person privileged? No. What is the nature of the clients identity? IN GENERAL, it must not be shrouded in mystery. It must be divulged by the lawyer. 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 to go around the law for a future misdeed. This is not covered by the privilege. 21.01 not reveal the secrets of his client. Exceptions? 1. Authorized by the client after acquainting him 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 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 the circumstances consents thereto

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 consent o 21.04 May disclose affairs of client of firm to partners or associates UNLESS prohibited by the client o 21.05 Adopt measures to prevent those who use his services from disclosing or using confidences/secrets of the clients Does the privilege extend to the lawyers employees? Yes o 21.06 Avoid indiscreet conversation about clients affairs EVEN WITH members of family o 21.07 Not reveal that he has been consulted about a particular case EXCEPT to avoid possible conflict of interest o What does the duty to preserve a clients secrets cover? Only lawful purposes o What are not covered by this duty? 1. Announcements or communications of a clients intent to commit crime or fraud 2. Client jumped bail and lawyer knows where he is 3. Client is living somewhere under assumed name CANON 22 withdrawal of services o 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: o

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1. Client pursues illegal or immoral course of conduct in the matter he is handling 2. Client insists the lawyer pursue conduct violating legal ethics rules 3. Inability to work with co-counsel will prejudice best interest of client 4. Mental or physical condition of the lawyer makes it difficult for him to carry out the employment effectively 5. Client deliberately fails to pay fees or fails to comply with retainer agreement 6. When the lawyer is elected or appointed to public office 7. Other similar cases 22.02 what happens when the lawyer withdraws or is discharged: Turn over all papers and property to which client is entitled Subject to retainer lien AND cooperate with successor in orderly transfer of matter, including all information necessary to handle the matter Whose consent is required for withdrawal as counsel for a client? 1. Written consent of client 2. OR permission of court after due notice and hearing What are requirements for substitution of counsel in a case? 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 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 to degrade 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. What is the nature of the right of the client to terminate his lawyer? ABSOLUTE. It may be with or without cause. It may be done anytime. 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 lawyers may 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/misconduct o 2. Lawyer breached fiduciary obligation o 3. Violation of communication privilege o [Against third persons] o 4. Civil liability to third persons o 5. Libellous words in pleadings o [Treble costs]

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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 RPC o 4. Introducing false evidence o 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/judge as to interrupt or obstruct the proceedings before the court or the administration of justice Summary punishment o 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 the court 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 against authority or dignity of the court

Does the power to punish for contempt preclude the power to disbar? No. They can be exercised concurrently or one after the other. o Does the determination whether contempt is criminal or civil affect the courts jurisdiction? No, it does not affect the courts jurisdiction or its power to punish. Does the lawyer owe loyalty to his client after the relationship has terminated? What if there is a conflict between client and court? o Lawyer owes loyalty to the client even after the relationship has terminated o But if there is conflict between client and court, the loyalty and obedience to the court prevails

SUSPENSION, DISBARMENT, DISCIPLINE, REINSTATEMENT Distinguish disbarment from suspension: o Disbarment quasi-summary proceeding instituted before a court to deprive an attorney of his license to practice his profession due to misconduct o Suspension act of court prohibiting an attorney form practicing law for a certain definite period What are the objectives of disbarment and suspension? o 1. Compel attorney to be honest and fair with clients o 2. Remove from profession a person whose misconduct has proved him not to be trusted o 3. Punish the lawyer o 4. Set an example and warning to others o 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 IBP o 4. Does not prescribe

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5. Conducted confidentially 6. Can proceed regardless of interest or lack thereof of the complainant o 7. Constitutes due process o 8. Sui generis Not intended to inflict criminal or civil sanctions. Only question 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. Deceit o 2. Malpractice or other gross misconduct in office o 3. Grossly immoral conduct o 4. Conviction of crime involving moral turpitude o 5. Violation of oath of office o 6. Wilful disobedience of any lawful order of superior court o 7. Corrupt or wilful appearance as attorney for a party to case without authority to do so What are the mitigating circumstances in disbarment or suspension? o 1. Good faith in acquisition of a property of client subject to litigation (in re: Ruste) o 2. Inexperience of the lawyer o 3. Age o 4. Apology o 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 Secretary or 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 days o 3b. Or investigation by the Solicitor General o 4. SC renders final decision

o o

NOTE: that only the SC can disbar or suspend. The IBP 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 Gatchalian v Naldoza) Who has the burden of proof? o The complainant Who are the officers authorized to investigate? o 1. SC o 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 the Philippines, 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 the foreign court? Prima facie evidence of ground for disbarment or suspension 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 over admission of those practicing law Discretionary on the court o 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 character o 2. Applicants character and standing prior to disbarment

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3. Applicant character and standing after disbarment and prior to 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 dismissed o 2. Conditional disbarment case will not be dismissed What is the rule on lawyers who have been repatriated? o

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: 2 hours 4 hours 4 hours 5 hours 6 hours 6 hours 9 hours

International law and conventions Legal writing; oral advocacy Trial and pre-trial skills Alternative dispute resolution Legal ethics Other subjects prescribed by the MCLE committee Updates on substantive/procedural law/jurisprudence

Who are the 3 compliance groups? o A. Group 1 members in NCR o B. Group 2 members in Luzon o 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

For every class of credit, a corresponding number of units is assigned o What are the classes of credit units? 1. Participatory Credit Attending approved education activities (seminars, symposia, etc.) Lecturing or panelling in approved education activities 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 in ordinary course of practice or employment Editing law book, law journal, legal newsletter Who exempted from MCLE? o 1. P, VP, Secretaries, Undersecretaries o 2. Senators and Congressmen o 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, Assistant Secs. Of the DOJ o 5. Solicitor General and Asst. Sol Gen o 6. Government Corporate Counsel, Deputy, and Asst. GCC o 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 functions o 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 of Professional and Professorial Lecturers of the Phil Judicial Academy o 12. Governors and mayors

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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 the compliance 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 furnish compliance within 60 days from receipt of noncompliance notice Failure to pay non-compliance fee within prescribed period Any other act or omission analogous to foregoing or intended 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 and hearing 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 Professors o What is the quality of members? Proven probity and integrity o Compensation as may be determined by the SC

NOTARIAL PRACTICE Who can be a Notary Public? o 1. Filipino citizen o 2. Over 21 years old o 3. Resident in Philippines for at least 1 year and maintains regular place of work/business in the city or province where the commission 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 involving moral 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 territorial jurisdiction of the commissioning court within the regular place of work or business o EXCEPTIONS can perform notarial acts, upon request of the parties in the following sites located within his territorial jurisdiction: 1. Public offices, convention halls, similar places where oaths of office may be administered

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2. Public function areas in hotels and similar places for signing of instruments or documents requiring notarization 3. Hospitals and other medical institutions where a party to an instrument or document is confined for treatment 4. Any place where a party to an instrument or document 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 petition o 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, the following are required: o 1. Petition is sufficient in form and substance o 2. He proves allegations contained in the petition o 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 an instrument or document for notarization if requisites: 1. The mark is affixed in the presence of the NP and of 2 disinterested and unaffected witnesses to the instrument

2. Both witnesses sign their own names in addition to the mark 3. The NP writes below the mark: The thumb or other mark 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 other mark through an acknowledgement, jurat, or signature witnessing o NP is authorized to sign on behalf of a person who is physically unable to sign or make a mark on an instrument requisites: 1. NP directed by person unable to sign or make a mark to sign on his behalf 2. Signature of NP is affixed in the presence of two disinterested an unaffected witnesses to the instrument or document 3. Both witnesses sign their own names 4. NP writes below his signature: signature affixed by notary in presence of (the names and addresses of the 2 witnesses) 5. NP notarizes his signature by acknowledgement or jurat 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 is completed 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 receipt number, 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 notarized o 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, or relative 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 doubt to 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 own free 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 is incomplete o 3. Notarize a blank or incomplete instrument

4. Notarize an instrument without appropriate notarial certification When can a notarial commission by revoked by an executive judge? o For any ground on which an application for commission may be 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 register o 2. Failing to make property entries in the register o 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 of commission o 5. Failing to submit register, when filled, to the executive judge o 6. Failing to make report, within reasonable time, to the executive judge re: his performance of duties, when required o 7. Failing to require presence of principal during notarial act o 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 witness not 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 of whom is privy, who each personally knows the individual and shows to the NP documentary identification o 9. Executing false or incomplete certificate o 10. Knowingly performing a prohibited act or failing to perform a mandatory act

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11. Committing any other dereliction or act which n the judgment 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, or aggrieved person 2. Motu propio, by the executive judge o The NP is required to file a verified answer o 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 ordered by the SC What are the special punishable acts? o 1. Person knowingly acts or impersonates a NP o 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 commit official misconduct o Who causes the prosecution thereof? The Executive Judge

capacity, say he has authority

the document

Types of acts Acknowledgement Appear, give integrally complete document Properly identified Says signature is voluntarily affixed If in representative Oath / Aff. Appear Jurat Appear, give document Properly identified Signs the document in presence of NP Take oath as to Sig. Wit. Appear, give document Properly identified Sign the document in presence of NP

Properly identified Avows to truth of contents of document

ACKNOWLEDGEMENT o 1. Individual appears before NP and presents an integrally complete instrument/document o 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 instrument was voluntarily affixed by him for purposes stated in the instrument He declares that he executed it as free and voluntary act or deed If he acts in a particular representative capacity, that he has authority AFFIRMATION OR OATH o 1. Individual appears before the NP o 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 the contents of the instrument or document COPY CERTIFICATION o 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 instrument o 3. Compares the instrument with the copy o 4. Determines that the copy is accurate and complete JURAT o 1. Individual appears before the NP and presents an instrument o 2. Is personally known to the NP or identified by the NP through competent evidence (see above) o 3. Signs the instrument in the presence of the notary o 4. Takes an oath or affirmation before the NP as to the instrument SIGNATURE WITNESSING

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o o o

1.Notarial act where the individual appears before NP and presents an instrument 2. Is personally known to the NP or identified by the NP through competent evidence (see above) 3. Signs the instrument in the presence of the notary

JUDICIAL ETHICS NOTE: the canons here are already from the NCJC
Independence Free from extraneous influence Integrity Above reproach; perception Impartiality No bias or prejudice Propriety Avoid impropriety, and appearance thereof Accept personal restrictions Equality Social diversity Competence, Diligence Judicial duties over everything else Professional activity to judicial duties

associations Ask/accept gifts Court staff asking or accepting gifts Appropriate gifts only

CANON 1 independence prerequisite to the Rule of Law and a fundamental guarantee of fair trial S.1: decide according to assessment of facts and understanding of the law 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 a decision independently S.3: refrain from influencing outcome of litigation or dispute before another court or agency o Companerismo due to this camaraderie, judges seek accommodations from other judges (ex. Provisional remedies, favorable decisions, etc.) o Leads to quid-pro-quo o 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 judicial conduct. Also: o 1. Not use or lend prestige of judicial office to advance private interests of others

From judicial colleagues

Reaffirm faith in judiciary

Anti companerismo

Discipline lawyers & personnel

Conduct in and out of court inspires confidence Lessen chance of being DQ

No bias or prejudice on irrelevant grounds No differentiation

Family, social, other relns Other govt branches

Making comments on cases Self-DQ (important)

Personal relations with lawyers appearing before him Lawyers using his residence Freedom of expression, belief, assembly

Enhance knowledge or skills

No differentiation by staff Not allow lawyers to manifest bias or prejudice on irrelevant grounds

Keep abreast of I-Law Efficient performance of duties

Society in general

Remittance of DQ

Uphold safeguards

Inspire public confidence

Be informed re personal and family interests Using office for private interest; giving wrong idea Confidentiality Extracurricular activities Cannot practice law Judges

Conduct and decorum

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2. Not convey (or permit others to convey) that they are in a special position to influence the judge o What is the expanded definition of the judges family under this section? 1. Those related by blood or marriage up to the sixth civil 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 but gave the money away. Is this prohibited by this section? Yes, because it gave the union the impression that it was in the position to influence the judge. o N.B. in the CJC, this was classified under propriety but now it is deemed an independence issue S.5: must appear free from inappropriate connections with and influence by the other branches of government to a reasonable observer o Not just actually free from such, but this also covers the appearance o Internal personnel issues are dealt with by the court; cannot ask other branches or an LGU to do so S.6: independent in relation to society in general and in relation to particular parties to a dispute o Not necessarily become a hermit but at least avoid fraternizing to a point that would arouse suspicions S.7: encourage and uphold safeguards for discharge of judicial duties o To maintain/enhance institutional and operational independence of the judiciary S.8: exhibit and promote high standards of judicial conduct to reinforce public confidence in the judiciary o Focus here: inspiring public confidence in judiciary

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 the integrity of the judiciary. Justice must not be merely done, but also seen to be done. o The last sentence is important because it also involves perception by the public. o Like Caesars wife, he must not just be pure, but also beyond suspicion. S.3: judges must take disciplinary action against lawyers or court personnel for unprofessional conduct of which the judge became aware o The actions of the court personnel must also affirm the integrity of 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, there is still a violation. S.1: judges must perform judicial duties without favor, bias, or prejudice

CANON 2 integrity S.1: conduct must be above reproach AND it must be perceived so by a reasonable observer

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Note that mere allegations are not enough. The complainant has 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 testimony presented, 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 court maintains 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 specific documentary 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 it will be necessary for them to be DQ from hearing/deciding cases o This is a warning against fraternizing too much with litigants o Judges may voluntarily restrict selves from hearing a case but it must be based on good, sound, ethical grounds, or just/valid reasons o When there is conflict between duty to inhibit and duty to sit (i.e. there will be no judge otherwise available), what prevails? Duty to sit. A basic judge is better than no judge at all. Ex. The SC members decided a suit challenging the constitutionality 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 come before 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 fair trial o Ex. Made a prior comment in a case he decided where his opinion may lead a party to doubt his impartiality o BUT merely writing a legal article on the law involved in the case is not a ground to DQ the judge o Must not make hasty conclusions, loose statements, or gratuitous utterances that suggest prejudgment should not make comments on pending cases o But a statement that is critical of a party or counsel generally does not support motion for DQ S.5: disqualify themselves from participating in proceedings where they cannot decide impartially, or it may appear so to a reasonable observer. Such as: o 1. Judge has actual bias or prejudice re: a party or personal knowledge of disputed evidentiary facts on the proceedings Mere filing of admin case against a judge is not a ground for DQ on the ground of bias/prejudice That the judge is a next-door neighbour of the complainant 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 internet o 2. Judge previously was a lawyer or material witness in the controversy Also, if formerly associated with one of the parties or counsel Also, ex. Judge notarized the affidavit to be presented as witness in a case before him o 3. Judge or family member has economic interest in the outcome of the controversy

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Ex. A judge filed complaints in his own sala for robbery/malicious mischief and issued warrants of arrest, to protect interest of co-heirs Ex. The law firm of the judges family member is the counsel of record (he has economic interest) But a mere associate or counsel will not trigger 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 cases o 5. Judges lower court ruling is the subject of review o 6. Judge is related by consanguinity or affinity to a party th litigant within 6 civil degree, or counsel is a relative th within 4 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 Philippine jurisprudence doesnt distinguish between direct and indirect interest Even if it is according to law, to avoid perceptions of impropriety, the judge must inhibit The petition to DQ a judge must be filed before judgment, otherwise it is deemed waived S.6: a judge instead of DQ-ing himself, may instead disclose the basis for 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?

CANON 4 propriety

Both lawyers and parties If not all, it does not suffice

S.1: judges must avoid impropriety and the appearance of impropriety in all activities o An act of a judge that is not illegal per se can violate the NCJC. o Ex. Hearing cases on official leave day o Ex. Hearing a motion while on vacation, while dressed in a polo jacket o Ex. Photos show a judge and his subordinate exiting a motel together 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 private conduct 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 court must 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 to court sessions without disclosing to the other counsel the reason for the meetings o Being aggressive in demeanour towards a lawyer appearing before them, making public comments, allowing court staff to make comments on pending cases o Fraternizing with lawyers, such as being seen in public eating with them in restaurants o A judge must not be too thin-skinned in his relationship with lawyers (such as being too sensitive to comments)

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S.4: judges cannot participate in the determination of a case where a member 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 preserves dignity of judicial office and impartiality/independence of judiciary. o Ex. A judge appeared to be engaging in partisan politics by participating 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 interests and make reasonable efforts to be informed about financial interests of their family. o Read R.A. 6713: judge must refrain from financial and business dealings that tend to reflect adversely on the courts impartiality, interfere with proper performance of judicial activities, or increase involvement with lawyers likely to come before the court. o Mutual fund investments: avoids conflict of interest in equity stock investments, because the holder is not considered to have financial interest in the underlying stocks in the fund. S.8: judge must not use office to advance private interests. He also must not give the impression that he can be influenced to use the office to advance others private interests. o Ex. Filing a case for another persons behalf or assisting in securing a warrant of arrest for another. o Ex. Posting advertisements for restaurant personnel on the court bulletin board and using his court address to receive applications (using court facilities for private business) o Also, using judicial power to exact vengeance is a common problem, like using position to avoid traffic tickets or to get back at a personal enemy.

S.9: confidential information acquired in judicial capacity must not be used/disclosed for any other purpose o Ex. Allowing wife to access confidential records o Ex. Revealing court orders not through the court docket, but personally to a litigant, in order to have that party negotiate for increases in the monetary award S.10: judges may (subject to proper performance of duties): o 1. Write, lecture, teach, participate in activities concerning the law, legal system, etc. o 2. Appear at public hearing before an official body concerned with matters relating to law, legal system, etc. o 3. Engage in other activities if these do not detract from dignity of the judicial office or interfere with judicial duties o What is the limitation in the constitution for #2? Judges cannot be designated to agencies performing quasi-judicial or administrative functions. BUT they can still reasonably assist them, as partial involvement is fine. o What is the limitation for #3? Judge may not engage in private business without written permission by the SC. S.11: cannot practice law while holding judicial office o Because there is inherent incompatibility of rights, duties, functions of attorneys and judges o Take note of expanded definition of practice of law which can include: Interpreting wills, contracts, trust agreements Giving legal advice in general Etc. o This prohibition also covers situations when the judge subtly act as advocate and not judge. Ex. Is giving advice to a complainant. o Can a judge notarize a document? Generally, no. o Exception requisites? 1. All notarial fees must be charged to governments account

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2. AND certification made in the notarial documents that there is lack of lawyers or notary in the municipality or circuit S.12: judges may form or join associations of judges or organizations representing judges interests o As opposed to appearing in events hosted by lawyers, which may create appearance of impropriety. o And they may not use resources of the government. S.13: judges and members of their family cannot ask or accept any gift, bequest, loan, or favor in relation to: o Anything done within judicial duties o Anything omitted but are otherwise within judicial duties o Note: this also violates the anti-graft law (RA 6713) S.14: in relation to prior section, judges must not knowingly permit court staff/others subject to his control to perform the same acts above o This also covers subtle circumventions of the prohibition. Ex. Judge using money or property in custodia legis for personal use. S.15: judges may receive token gifts, awards, or benefits appropriate to certain occasions when made, provided that it is not reasonably perceived as intended to influence him or giving rise to partiality o Subject to law/requirement of public disclosure o What are the gifts allowed to be received by judges from foreign countries, under RA 6713? 1. Gift of nominal value as souvenir or mark of courtesy 2. Scholarship, fellowship grant, or medical treatment 3. Travel grants or expenses for travel entirely abroad of more than nominal value if: Acceptance is consistent with Philippine interest And approved by head office, branch, or agency to which the judge belongs

CANON 5 equality This is not found in the two prior codes. This is consistent with the UN Charter, UNDHR, CRC, and CEDAW.

S.1: judges must be aware of and understand societal diversity (sex, race, religion, etc.). o Must avoid preconceptions. o Minority status must not play a role in the decision. o Even in rape cases, cannot use derogatory or condescending language. o Consistent with formation of Committee on Gender Responsiveness in the judiciary (2003) and its Gender and Development Mainstreaming Plan for the Philippine judicial system S.2: judges must not by words or conduct manifest bias or prejudice on irrelevant grounds o No derogatory language, no distasteful jokes, etc. o Must not show bias like advising a party what the best action to take S.3: must carry out judicial duties with appropriate consideration for all persons (parties, witnesses, lawyers, court staff, colleagues), without differentiation on irrelevant grounds o Judges must be patient, conscientious, courteous, punctual, etc. o Must not have a controversial tone. Must act with decorum. Must not use arrogant, intemperate, or sarcastic language. o Must not unduly interfere with proceedings with haste. Although the judge may ask clarificatory questions. But not questions that destroy the theory of a party. Judges participation must not strengthen or destroy any partys case. o Judges must admonish lawyers who also act out of line. S.4: judges must not permit court staff or others subject to his or her influence, direction, or control to differentiate between persons concerned, in a matter before the judge, on any relevant ground o BOTTOMLINE: not allow court staff to discriminate o Must not allow concepts like pakikisama or other misdeeds to frustrate administration of justice o Acts of personnel must be beyond reproach S.5: judges must require lawyers before the court to not manifest, by words or conduct, bias or prejudice on irrelevant grounds o Censure lawyers who use sexist language, inappropriate behavior, etc.

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Correlate with: A. Rule 12.07 of the Code of Professional Responsibility lawyer must not abuse, browbeat, harass a witness B. Rule 132 of the ROC, discussing witness rights: No irrelevant, improper, insulting questions Not detained longer than required Not examined on impertinent issues Not to give answer tending to subject him to penalty for offense unless provided by law Not give answers tending to degrade witness reputation

CANON 6 competence and diligence Competence and diligence are pre-requisites to due performance of judicial office. S.1: judicial duties of judge take precedence over all other activities o Judge has a duty to sit, even if the case is difficult or controversial o Unless he is disqualified S.2: judges devote professional activity to judicial duties. This includes not just judicial functions and responsibilities in court and making decisions, and other relevant tasks to the judicial office. o Usual violation: failure to keep records or handle funds properly o Relevant defense: caseload is due to unusual absence of another magistrate o Not relevant: general insufficiency of staff S.3: take reasonable steps to maintain and enhance knowledge, skills, personal qualities for proper performance of duties o Take advantage of training and other facilities which should be made available to judges o Usual violation: gross ignorance of the law or procedure Against judges of regular courts, special courts, CA, or SB and instituted by the SC o Ignorantia legis neminem excusat.

But not every wrong ruling is punishable. GF, absence of malice, corruption, or gross ignorance is a defense. o What is the nature of administrative action? It is an exceptional remedy. GENERALLY: resort to MR, MNT, appeal, certiorari, mandamus, or prohibition. S.4: keep abreast of developments in International Law including conventions and HR instruments o Because through incorporation and transformation, these become part of the law of the land S.5: perform all judicial duties, including delivery of reserved decisions, efficiently, fairly, and with reasonable promptness o Relate to Rule 124, S.1 of the ROC: justice must be impartially administered without unnecessary delay. o This duty includes administration of a judge of his office and administrative matters. o Relate to Canon 4, rule 10 of the NCJC: a judge may teach, write, appear in public hearing, etc. as long as these do not interfere with judicial duties S.6: maintain order and decorum in all proceedings before the court and be patient, dignified, courteous in relating to litigants, witnesses, lawyers, and others he deals with in official capacity. Require the same conduct from people under his control. o Must exhibit temperament of utmost sobriety. Must be courteous and respectful. Courts are made for litigants, and not litigants for the courts. o Must also be punctual. S.7: judges must not engage in conduct incompatible with diligent discharge of duties o This covers financial and business dealings that are adverse to courts impartiality, interfere with performance of judicial activities, or increase involvement with lawyers hell likely deal with in court o Private activities must not interfere with judicial duties

Discipline of judges of regular and special courts and justices of the CA/SB What are the grounds?

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A. Serious charges: [Crime related] 1. Bribery (indirect/direct) 2. Dishonesty and violations of RA 3019 3. Conviction of crime of moral turpitude [Performance related] 4. Gross misconduct constituting violations of CJC 5. Knowingly rendering an unjust judgment or order As determined by a competent court in an appropriate proceeding 6. Gross ignorance of the law or procedure [Debt-related] 7. Wilful failure to pay a just debt 8. Borrowing money or property form lawyers/litigants in a case pending before the court [Character-related] 9. Immorality 10. Partisan political activities 11. Alcoholism and /or vicious habits o B. Less Serious charges: [Delay related] 1. Undue delay in rendering decision or order, or transmitting records of a case 2. Frequent and unjustified absences without leave or habitual tardiness [Violation of SC rules] 3. Unauthorized practice of law 4. Violation of SC rules, directives, circulars 5. Receiving additional or double compensation unless authorized by law 6. Untruthful statements in the certificate of service 7. Simple misconduct o C. Light charges: 1. Vulgar and unbecoming conduct 2. Gambling in public 3. Fraternizing with lawyers and litigants with pending cases in his court 4. Undue delay in the submission of monthly reports What are the options for sanctions for serious charges?

1. Dismissal from service, forfeiture of benefits, DQ from reinstatement in any public office (even GOCCs) N.B. except accrued leave credits: not forfeited o 2. Suspension without salary/benefits for 3-6 months o 3. Fine of P20K-P40K What are the options for sanctions for less serious charges? o 1. Suspension from office without salary and other benefits for 1-3 months o 2. Fine of P10K-P20K What are the options for sanctions for light charges? o 1. Fine of P1K-P10K o 2. Censure o 3. Reprimand o 4. Admonition in writing What is the procedure involved? o 1. Complaint instituted: A. Motu propio by the SC B. Or upon verified complaint Supported by affidavits of persons with personal knowledge Or documents C. Or anonymous complaint Supported by public records of indubitable integrity What is the form of the complaint? 1. In writing 2. State the violation What if it is not sufficient in form or substance? Dismiss o 2. Serve copy upon respondent files comment within 10 days from date of service Or wait for 10 days to expire o 3. SC forwards matter to: A. Office of the Court of Administrator for evaluation, report, recommendation, or B. To a judge/justice for investigation, report, recommendation 1. Retired member of SC, if over CA justice

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2. CA justice, if RTC judge or special court of equal rank 3. RTC judge, if MTC judge 4. Hearing set and notice given to parties Terminate within 90 days SC may grant extension 5. Report submitted to the SC 30 days from termination of investigation SC takes action

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