Greennotes Ethics 1

7/29/2019 Greennotes Ethics 1

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3. Suspension, Disbarment and Discipline of Lawyers

a. Nature and Characteristics of Disciplinary Actions AgainstLawyers

(1) Sui Generis

A proceeding for suspension or disbarment being neither civil orcriminal in nature but one presented sui generis, there is no complainant norprosecutor to speak of. If there is a complainant, it is the Court itself, not themembers thereof.

(2) Prescription

b. Grounds

Section 27 of Rule 138 of Rules of Court enumerates the groundsfor disbarment or suspension, as follows:

SEC. 27.Disbarment or suspension of attorneys by Supreme Court;grounds therefor.A member may be disbarred or suspended from his officeas attorney by the Supreme Court for any deceit, malpractice, or other grossmisconduct in such office, grossly immoral conduct, or by reason of hisconviction of a crime involving moral turpitude, or for any violation of theoath which he is required to take before admission to practice, or for a willfuldisobedience of any lawful order of a superior court, or for corruptly orwillfully appearing as an attorney for a party to a case without authority so to

do. The practice of soliciting cases at law for the purpose of gain, eitherpersonally or through paid agents or brokers, constitutes malpractice.

*These enumerated grounds are not exclusive. For settled is the rulethat the statutory enumeration of the grounds for disciplinary actionsconstitutes no limitation on the genera power of the Supreme Court tosuspend or disbar lawyers. Gross violation of any provisions of the Code ofProfessional Responsibility and lawyers oath is also a ground for disciplinaryaction against lawyer.

*Generally, any misconduct on the part of a lawyer in his professional

or private capacity which shows him to be wanting in moral character mayjustify his suspension or removal. The continuous possession of good moralcharacter is a condition for the privilege to practice law and if that conditionis broken by any act of misconduct on the part of the lawyer, the withdrawalof the privilege is justified.

b.1. Breach of Duties to Court


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i. Obstructing justice and abuse of legal processii. Misleading the courtiii. Forum shoppingiv. Preferring false charges

v. Introducing false evidencevi. Blackmail; Violation of Canon 19vii. Willfully disobeying court orders and disrespect to courtviii. Using vicious or disrespectful languageix. Continuing to practice after suspension

b.2. Breach of Duties to Client

i. Negligence in the performance of dutiesii. Ignorance of lawiii. Employment of unlawful means

iv. Deceit or misrepresentationv. Representing adverse interest and revealing clients secretsvi. Purchasing clients property in litigationvii. Failing to account or misappropriating clients propertyviii. Collecting unreasonable feesix. Acting without authorityx. Willfully appearing without being retained

b.3. Breach of Duties to the Bar

i. Unethical conduct

ii. Defaming fellow lawyersiii. Communicating with adverse partyiv. Encroaching upon business of anotherv. Soliciting businessvi. Advertisingvii. Cooperating in illegal practice of lawviii. Nonpayment of IBP dues

b.4. Other Grounds for Discipline

i. Non-professional misconduct

ii. Gross immoralityiii. Conviction of crime involving moral turpitudeiv. Promoting to violate or violating penal lawsv. Misconduct in the discharge of duties as a public officer]vi. Commission of fraud or falsehoodvii. Misconduct of notary public


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c. Proceedings

* A disciplinary action is in reality an investigation by the court into themisconduct of its officer or an examination into his character. Theexamination, like the one before admission, is merely a test of fitness. It is

nonetheless a judicial proceeding.

* A disciplinary proceeding against an attorney is confidential in natureuntil its final determination. It has three-fold purpose:

a. To enable the court to make its investigation free from anyextraneous influence or interference.

b. To protect the personal and professional reputation ofattorneys from baseless charges of disgruntled, vindictive ad irresponsiblepersons or clients by prohibiting the publication of such charges pendingtheir resolution.

c. To deter the press from publishing the charges or proceedings

based thereon for even a verbatim reproduction of the complaint against anattorney in a newspaper may be actionable.

Who and how instituted - Proceedings may be taken by the Supreme Court motu proprio, or

by the Integrated Bar of the Philippines (IBP) or upon verifiedcomplaint of any person. The IBP or upon verified complaint of anyperson. The IBP Board of Governors may, motu proprio or uponreferral by the Supreme Court or by Chapter Board of Officers, or atthe instance of any person, initiate and prosecute charges againsterring attorneys including those in the government service.

- Charges against justices of CA and Sandiganbayan and judges ofCTA and lower courts, even if lawyers jointly charged with them,shall be filed with the Supreme Court. And such charges, if filed withthe IBP, shall immediately be forwarded to the Supreme Court fordisposition and adjudication.

- The IBP has no power or jurisdiction over such justices and judges.

Action on, and investigation of, complaint

- A complaint for disciplinary action must allege specific factswhich constitutes particular breaches or violation of law or Codeof Professional Responsibility or legal ethics. Due process sorequires

- The IBP national grievance investigator or, if so required by theIBP Board of Governors, a panel of three investigators, to whom


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the complaint is assigned, will ascertain whether said complaintis meritorious.

- If meritorious, the investigator shall direct that copy thereof beserved upon the respondent, requiring him to answer the samewithin 15 days from date of service.

- If not, it will be dismissed by the Board upon recommendation. Acopy of the resolution of dismissal shall be furnished thecomplainant and the SC which may review the case motu proprioor upon timely appeal of the complainant filed within 15 daysfrom notice of dismissal.

- The Answer shall be verified. The original and 5 legible copiesshall be filed with the investigator. With proof of service. Upon

joinder of issues or failure of the respondent to answer, theinvestigator shall proceed with the investigation of the case.

- An ex parte investigation of administrative complaint may onlybe conducted when the respondent fails to appear despitereasonable notice. There will be no ex parte investigation.

- The investigator shall terminate the investigation within threemonths from the date of its commencement, unless extended for

good cause by the Board of governors upon prior application. Noinvestigation shall be interrupted or terminated by reason of thedesistance, settlement, compromise, restitution, withdrawal ofthe charges, or failure of the complainant to prosecute the same.

Report of investigator and decision by Board of Governors

- Within 30 days from the termination of the investigation, theinvestigator shall submit a report containing his finding andrecommendations to the IBP Board of Investigators.

-The Board shall review every case heard by an investigator andshall promulgate its decision within a period not exceeding 30days from the next meeting of the Board following thesubmission of the investigation report.

- If the decision is suspension or disbarment, it shall betransmitted to the Supreme Court.

- If exoneration or dismissal of complaint, or imposition ofdisciplinary sanction of less than suspension or disbarment, such


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as admonition or reprimand, the Boards decision shall becomefinal unless upon petition of the complainant or other interestedparty filed with the Supreme Court within 15 days from notice ofthe Boards resolution , the SC otherwise.

- Before elevating to the SC, a motion for reconsideration may be

filed within 15-day period.- The Supreme Court may decide either by Division or En banc, in

accordance with the following rules:

1. Suspension for one year or less- DivisionExceeds one year- En banc

2. Fine of P10,000 or less- DivisionFine of more than P10,000- En banc

3. If both suspension which exceeds one year and exceeds

P10,000- En banc

4. In case of two or more suspensions of the lawyer, service ofthe same will be successive, not simultaneous.

- The SC may refer the case for investigation, report andrecommendation to the Solicitor General or to any officer of theSupreme Proceedings in the Supreme Court and by other

courts Courtor judge of lower court.- During pendency, the SC may recommend the suspension of the

respondent from the practice of law until such suspension islifted by the Supreme Court.

- The Court of Appeals or Regional Trial Court may suspend anattorney, after due notice and opportunity to be heard. Failure ofthe respondent to submit his explanation constitutes his waiverof the right to be heard. Failure on his part to defend himself isequivalent to waiver of his right to due process.

* The Desistance of complaint or his withdrawal of the charges againstthe lawyer does not deprive the court of the authority to proceed todetermine the matter. It does not even exonerate the respondent.However, it may indicate that the lawyer lacks merit.

* An attorney enjoys the legal presumption that he is innocent of thecharges preferred against him until the contrary is proved, and that asan officer of the court he has performed his duties in accordance with


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his oath. The burden of proof rests upon the complainant to overcomethe presumption. The complainant must establish a clear, convincingand satisfactory proof. Only preponderance of evidence is required toestablish liability.

*Primary purpose of disciplinary proceedings: To protect theadministration of justice y requiring that those who exercise thisimportant function shall be competent, honorable, and reliable, meninn whom courts and clients may repose confidence and should betaken into account by the court in the exercise power.

* A judgment of suspension or disbarment is self-executory. A lawyerwho has been disbarred or suspended cannot practice law withoutbeing held liable for contempt.

*A lawyer holding a government office which requires a membership of

the bar as an indispensable disqualification will justify his dismissal tosuch office. But it does not apply to impeachable officials.

d. Discipline of Filipino Lawyers Practice in Foreign Jurisdictions

* The rule is that a Philippine lawyer may practice law only in thecountry. He may, however, be admitted to the bar in a foreign country,where he practice a law in both countries. If he commits a misconductoutside Philippine jurisdiction, which is also a ground for disciplinary actionunder Philippine law, he may be suspended or disbarred in this country.

(Velez v de Vera)

4. Readmission to the Bar

*The Supreme Court has the exclusive authority to reinstate adisbarred or indefinitely suspended lawyer to the office of attorney-at-law.His reinstatement is a recognition of his moral rehabilitation and mentalfitness to practice law.

a. Lawyers Who Have Been Suspended

b. Lawyers Who Have Been Disbarredc. Lawyers Who Have Been Repatriated

5. Mandatory Continuing Legal Education

a. Purpose


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- Continuing legal education is required of members of theIntegrated Bar of the Philippines to ensure that throughout theircareer, they keep abreast with law and jurisprudence, maintainthe ethics of the profession and enhance the standards of thepractice of law.

b. Requirements- Members of the IBP not exempt under Rule 7 shall complete

every three years at least thirty-six hours of continuing legalactivities approved by the MCLE Committee. Of the 36 hours:

a. at least 6 hours shall be devoted to legal ethicsb. at least 4 hours shall be devoted to trial and pre-trial

skillsc. at least 5 hours shall be devoted to alternative dispute

resolutiond. at least 9 hours shall be devoted to updates on

substantive and procedural laws, and jurisprudencee. at least 4 hours shall be devoted to legal writing and

oral advocacyf. at least 2 hours shall be devoted to international law

and international conventionsg. the remaining 6 hours shall be devoted to such subjects

as may be prescribed by the MCLE Committee.c. Compliance

- Initial Compliance Period- the initial compliance period shallbegin not later than 3 months from the constitution of the MCLE

Committee. Except for the initial compliance period for membersadmitted or readmitted after the establishment of the program,all compliance periods shall be for the 36 months and shallbegin the day after the end of the previous compliance period.

Compliance Group 1.

Members in the National Capital Region (NCR) or Metro Manila shall bepermanently assigned to Compliance Group 1.

Compliance Group 2.

Members in Luzon outside NCR shall be permanently assigned toCompliance Group 2.

Compliance Group 3.


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Members in Visayas and Mindanao shall be permanently assigned toCompliance Group 3.

Compliance period for members admitted or readmitted afterestablishment of the program.

Members admitted or readmitted to the Bar after the establishment ofthe program shall be permanently assigned to the appropriate ComplianceGroup based on their Chapter membership on the date of admission orreadmission.

The initial compliance period after admission or readmission shallbegin on the first day of the month of admission or readmission and shallend on the same day as that of all other members in the same ComplianceGroup.

(a) Where four (4) months or less remain of the initial complianceperiod after admission or readmission, the member is not required tocomply with the program requirement for the initial compliance.

(b) Where more than four (4) months remain of the initial complianceperiod after admission or readmission, the member shall be required tocomplete a number of hours of approved continuing legal educationactivities equal to the number of months remaining in the complianceperiod in which the member is admitted or readmitted. Such membershall be required to complete a number of hours of education in legalethics in proportion to the number of months remaining in the

compliance period. Fractions of hours shall be rounded up to the nextwhole number.

d. Exemptions

Parties exempted from the MCLE

The following members of the Bar are exempt from the MCLE requirement:

(a) The President and the Vice President of the Philippines, and the

Secretaries and Undersecretaries of Executives Departments;

(b) Senators and Members of the House of Representatives;

(c) The Chief Justice and Associate Justices of the Supreme Court,incumbent and retired members of the judiciary, incumbent membersof the Judicial and Bar Council and incumbent court lawyers covered by


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the Philippine Judicial Academy program of continuing judicialeducation;

(d) The Chief State Counsel, Chief State Prosecutor and AssistantSecretaries of the Department of Justice;

(e) The Solicitor General and the Assistant Solicitor General;

(f) The Government Corporate Counsel, Deputy and AssistantGovernment Corporate Counsel;

(g) The Chairmen and Members of the Constitutional Commissions;

(h) The Ombudsman, the Overall Deputy Ombudsman, the DeputyOmbudsmen and the Special Prosecutor of the Office of theOmbudsman;

(i) Heads of government agencies exercising quasi-judicial functions;

(j) Incumbent deans, bar reviews and professors of law who haveteaching experience for at least 10 years accredited law schools;

(k) The Chancellor, Vice-Chancellor and members of the Corps ofProfessors and Professorial Lectures of the Philippine Judicial Academy;and

(l) Governors and Mayors.

*Other parties exempted from the MCLE

The following Members of the Bar are likewise exempt:

(a) Those who are not in law practice, private or public.

(b) Those who have retired from law practice with the approval of theIBP Board of Governors.

d. Sanctions

What constitutes non-compliance

The following shall constitute non-compliance


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(a) Failure to complete the education requirement within thecompliance period;

(b) Failure to provide attestation of compliance or exemption;

(c) Failure to provide satisfactory evidence of compliance (includingevidence of exempt status) within the prescribed period;

(d) Failure to satisfy the education requirement and furnish evidence ofsuch compliance within sixty (60) days from receipt of a non-compliance notice;

(e) Any other act or omission analogous to any of the foregoing orintended to circumvent or evade compliance with the MCLErequirements.

Non-compliance notice and 60-day period to attaincompliance

A member failing to comply will receive a Non-Compliance Notice stating thespecific deficiency and will be given sixty (60) days from the date ofnotification to explain the deficiency or otherwise show compliance with therequirements. Such notice shall contain, among other things, the followinglanguage in capital letters:

YOUR FAILURE TO PROVIDE ADEQUATE JUSTIFICATION FORNON-COMPLIANCE OR PROOF OF COMPLIANCE WITH THE MCLEREQUIREMENT BY (INSERT DATE 60 DAYS FROM THE DATE OFNOTICE), SHALL BE A CAUSE FOR LISTING AS A DELINQUENTMEMBER.

The Member may use this period to attain the adequate number of credithours for compliance. Credit hours earned during this period may only becounted toward compliance with the prior compliance period requirementunless hours in excess of the requirement are earned, in which case, theexcess hours may be counted toward meeting the current compliance period

requirement.lawphil.net

CONSEQUENCES OF NON-COMPLIANCE

Non-compliance fee


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A member who, for whatever reason, is in non-compliance at the end of thecompliance period shall pay a non-compliance fee.

Listing as delinquent member

Any member who fails to satisfactorily comply with Section 2 of Rule 12 shallbe listed as a delinquent member by the IBP Board of Governors upon therecommendation of the MCLE Committee, in which case, Rule 139-A of theRules of Court shall apply.

6. Notarial Practice

a. Qualifications of Notary Public

A notarial commission may be issued by an Executive Judge to anyqualified person who submits a petition in accordance with theseRules.

To be eligible for commissioning as notary public, the petitioner:

(1) must be a citizen of the Philippines;

(2) must be over twenty-one (21) years of age;

(3) must be a resident in the Philippines for at least one (1) year andmaintains a regular place of work or business in the city or province

where the commission is to be issued;(4) must be a member of the Philippine Bar in good standing with

clearances from the Office of the Bar Confidant of the SupremeCourt and the Integrated Bar of the Philippines; and

(5) must not have been convicted in the first instance of any crimeinvolving moral turpitude.

b. Term of Office of Notary Public

A person commissioned as notary public may perform notarial acts for

a period of two (2) years commencing the first day of January of theyear in which the commissioning is made, unless earlier revoked or thenotary public has resigned under these Rules and the Rules of Court.

c. Powers and Limitations


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*Powers. - (a) A notary public is empowered to perform the followingnotarial acts:

(1) acknowledgments;

(2) oaths and affirmations;

(3) jurats;

(4) signature witnessings;

(5) copy certifications; and

(6) any other act authorized by these Rules.

(b) A notary public is authorized to certify the affixing of a signatureby thumb or other mark on an instrument or document presentedfor notarization if:

(1)the thumb or other mark is affixed in the presence of the notarypublic and of two (2) disinterested and unaffected witnesses tothe instrument or document;

(2) both witnesses sign their own names in addition to the thumb orother mark;

(3) the notary public writes below the thumb or other mark: "Thumb

or Other Mark affixed by (name of signatory by mark) in thepresence of (names and addresses of witnesses) andundersigned notary public"; and

(4) the notary public notarizes the signature by thumb or othermark through an acknowledgment, jurat, or signature witnessing.

(c) A notary public is authorized to sign on behalf of a person who isphysically unable to sign or make a mark on an instrument ordocument if:

(1) the notary public is directed by the person unable to sign ormake a mark to sign on his behalf;

(2) the signature of the notary public is affixed in the presence oftwo disinterested and unaffected witnesses to the instrument ordocument;

(3) both witnesses sign their own names ;


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(4) the notary public writes below his signature: "Signature affixedby notary in presence of (names and addresses of person andtwo \2] witnesses)"; and

(5) the notary public notarizes his signature by acknowledgment orjurat.

*Prohibitions. -(a) A notary public shall not perform a notarial actoutside his regular place of work or business; provided, however, that oncertain exceptional occasions or situations, a notarial act may be performedat the request of the parties in the following sites located within his territorialjurisdiction:

(1) public offices, convention halls, and similar places where oathsof office may be administered;

(2) public function areas in hotels and similar places for the signingof instruments or documents requiring notarization;

(3) hospitals and other medical institutions where a party to aninstrument or document is confined for treatment; and

(4) any place where a party to an instrument or document requiringnotarization is under detention.

(b) Aperson shall not perform a notarial act if the person involved assignatory to the instrument or document -

(1) is not in the notary's presence personally at the time of the

notarization; and(2) is not personally known to the notary public or otherwise

identified by the notary public through competent evidence ofidentity as defined by these Rules.

*Disqualifications. - A notary public is disqualified from performing anotarial act if he:

(a) is a party to the instrument or document that is to be notarized;

(b) will receive, as a direct or indirect result, any commission, fee,

advantage, right, title, interest, cash, property, or otherconsideration, except as provided by these Rules and by law; or

(c) is a spouse, common-law partner, ancestor, descendant, orrelative by affinity or consanguinity of the principal within thefourth civil degree.


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* Refusal to Notarize. - A notary public shall not perform any notarialact described in these Rules for any person requesting such an act even if hetenders the appropriate fee specified by these Rules if:

(a) the notary knows or has good reason to believe that the notarialact or transaction is unlawful or immoral;

(b) the signatory shows a demeanor which engenders in the mind ofthe notary public reasonable doubt as to the former's knowledge ofthe consequences of the transaction requiring a notarial act; and

(c) in the notary's judgment, the signatory is not acting of his or herown free will.

* False or Incomplete Certificate. - A notary public shall not:

(a) execute a certificate containing information known or believed by

the notary to be false.

(b) affix an official signature or seal on a notarial certificate that isincomplete.

* Improper Instruments or Documents. - A notary public shall notnotarize:

(a) a blank or incomplete instrument or document; or

(b) an instrument or document without appropriate notarial

certification.

d. Notarial Register

Form of Notarial Register. - (a) A notary public shall keep,maintain, protect and provide for lawful inspection as provided inthese Rules, a chronological official notarial register of notarial actsconsisting of a permanently bound book with numbered pages.

The register shall be kept in books to be furnished by the Solicitor

General to any notary public upon request and upon payment of the costthereof. The register shall be duly paged, and on the first page, the SolicitorGeneral shall certify the number of pages of which the book consists.

For purposes of this provision, a Memorandum of Agreement orUnderstanding may be entered into by the Office of the Solicitor General andthe Office of the Court Administrator.


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(b) A notary/ public shall keep only one active notarial register at anygiven time.

* Entries in the Notarial Register. - (a) For every notarial act, the

notary shall record in the notarial register at the time of notarization thefollowing:

(1) the entry number and page number;

(2) the date and time of day of the notarial act;

(3) the type of notarial act;

(4) the title or description of the instrument, document or proceeding;

(5) the name and address of each principal;

(6) the competent evidence of identity as defined by these Rules ifthe signatory is not personally known to the notary;

(7) the name and address of each credible witness swearing to oraffirming the person's identity;

(8) the fee charged for the notarial act;

(9) the address where the notarization was performed if not in the

notary's regular place of work or business; and

(10) any other circumstance the notary public may deem ofsignificance or relevance.

(b) A notary public shall record in the notarial register the reasons andcircumstances for not completing a notarial act.

(c) A notary public shall record in the notarial register the circumstances ofany request to inspect or copy an entry in the notarial register, including therequester's name, address, signature, thumbmark or other recognized

identifier, and evidence of identity. The reasons for refusal to allowinspection or copying of a journal entry shall also be recorded.

(d) When the instrument or document is a contract, the notary public shallkeep an original copy thereof as part of his records and enter in said recordsa brief description of the substance thereof and shall give to each entry aconsecutive number, beginning with number one in each calendar year. Heshall also retain a duplicate original copy for the Clerk of Court.


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(e) The notary public shall give to each instrument or document executed,sworn to, or acknowledged before him a number corresponding to the one inhis register, and shall also state on the instrument or document the page/s ofhis register on which the same is recorded. No blank line shall be leftbetween entries.

(f) In case of a protest of any draft, bill of exchange or promissory note, thenotary public shall make a full and true record of all proceedings in relationthereto and shall note therein whether the demand for the sum of moneywas made, by whom, when, and where; whether he presented such draft, billor note; whether notices were given, to whom and in what manner; wherethe same was made, when and to whom and where directed; and of everyother fact touching the same.

(g) At the end of each week, the notary public shall certify in his notarialregister the number of instruments or documents executed, sworn to,

acknowledged, or protested before him; or if none, this certificate shall showthis fact.

(h) A certified copy of each month's entries and a duplicate original copy ofany instrument acknowledged before the notary public shall, within the firstten (10) days of the month following, be forwarded to the Clerk of Court andshall be under the responsibility of such officer. If there is no entry to certifyfor the month, the notary shall forward a statement to this effect in lieu ofcertified copies herein required.

* Signatures and Thumbmarks. - At the time of notarization, thenotary's notarial register shall be signed or a thumb or other mark affixed byeach:

(a) principal;

(b) credible witness swearing or affirming to the identity of aprincipal; and

(c) witness to a signature by thumb or other mark, or to a signing bythe notary public on behalf of a person physically unable to sign.

* Inspection, Copying and Disposal. - (a) In the notary's presence,any person may inspect an entry in the notarial register, during regularbusiness hours, provided;

(1) the person's identity is personally known to the notary public orproven through competent evidence of identity as defined inthese Rules;


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(2) the person affixes a signature and thumb or other mark or otherrecognized identifier, in the notarial .register in a separate, datedentry;

(3) the person specifies the month, year, type of instrument ordocument, and name of the principal in the notarial act or acts

sought; and

(4) the person is shown only the entry or entries specified by him.

(b) The notarial register may be examined by a law enforcementofficer in the course of an official investigation or by virtue of acourt order.

(c) If the notary public has a reasonable ground to believe that aperson has a criminal intent or wrongful motive in requestinginformation from the notarial register, the notary shall deny accessto any entry or entries therein.

*Loss, Destruction or Damage of Notarial Register. - (a) In case thenotarial register is stolen, lost, destroyed, damaged, or otherwise renderedunusable or illegible as a record of notarial acts, the notary public shall,within ten (10) days after informing the appropriate law enforcement agencyin the case of theft or vandalism, notify the Executive Judge by any meansproviding a proper receipt or acknowledgment, including registered mail andalso provide a copy or number of any pertinent police report.

(b) Upon revocation or expiration of a notarial commission, or deathof the notary public, the notarial register and notarial records shallimmediately be delivered to the office of the Executive Judge.

*Issuance of Certified True Copies. -The notary public shall supply acertified true copy of the notarial record, or any part thereof, to any personapplying for such copy upon payment of the legal fees.

e. Jurisdiction of Notary Public and Place of Notarization

A person commissioned as notary public may perform notarial acts in

any place within the territorial jurisdiction of the commissioning court.

f. Revocation of Commission


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* Revocation- (a) The Executive Judge shall revoke a notarialcommission for any ground on which an application for a commission may bedenied.

(b) In addition, the Executive Judge may revoke the commission of, orimpose appropriate administrative sanctions upon, any notary

public who:

(1) fails to keep a notarial register;

(2) fails to make the proper entry or entries in his notarial registerconcerning his notarial acts;

(3) fails to send the copy of the entries to the Executive Judgewithin the first ten (10) days of the month following;

(4) fails to affix to acknowledgments the date of expiration of hiscommission;

(5) fails to submit his notarial register, when filled, to the ExecutiveJudge;

(6) fails to make his report, within a reasonable time, to theExecutive Judge concerning the performance of his duties, asmay be required by the judge;

(7) fails to require the presence of a principal at the time of thenotarial act;

(8) fails to identify a principal on the basis of personal knowledge orcompetent evidence;

(9) executes a false or incomplete certificate under Section 5, RuleIV;

(10) knowingly performs or fails to perform any other act prohibitedor mandated by these Rules; and

(11) commits any other dereliction or act which in the judgment ofthe Executive Judge constitutes good cause for revocation ofcommission or imposition of administrative sanction.

(c) Upon verified complaint by an interested, affected or aggrievedperson, the notary public shall be required to file a verified answer

to the complaint.If the answer of the notary public is not satisfactory, the Executive

Judge shall conduct a summary hearing. If the allegations of thecomplaint are not proven, the complaint shall be dismissed. If thecharges are duly established, the Executive Judge shall impose theappropriate administrative sanctions. In either case, the aggrievedparty may appeal the decision to the Supreme Court for review.Pending the appeal, an order imposing disciplinary sanctions shall


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be immediately executory, unless otherwise ordered by theSupreme Court.

(d) The Executive Judge may motu proprio initiate administrativeproceedings against a notary public, subject to the proceduresprescribed in paragraph (c) above and impose the appropriate

administrative sanctions on the grounds mentioned in thepreceding paragraphs (a) and (b).

*Supervision and Monitoring of Notaries Public. -The ExecutiveJudge shall at all times exercise supervision over notaries public and shallclosely monitor their activities.

*Death of Notary Public. - If a notary public dies before fulfilling theobligations in Section 4(e), Rule VI and Section 2(e), Rule VII, the

Executive Judge, upon being notified of such death, shall forthwithcause compliance with the provisions of these sections.

g. Competent Evidence of Identity

* - In notarizing a paper instrument or document, a notary public OfficialSignature.shall:

(a) sign by hand on the notarial certificate only the name indicatedand as appearing on the notary's commission;

(b) not sign using a facsimile stamp or printing device; and

(c) affix his official signature only at the time the notarial act isperformed.

* Official Seal. - (a) Every person commissioned as notary public shallhave a seal of office, to be procured at his own expense, which shall not bepossessed or owned by any other person. It shall be of metal, circular inshape, two inches in diameter, and shall have the name of the city orprovince and the word "Philippines" and his own name on the margin and theroll of attorney's number on the face thereof, with the words "notary public"

across the center. A mark, image or impression of such seal shall be madedirectly on the paper or parchment on which the writing appears.

(b) The official seal shall be affixed only at the time the notarial act isperformed and shall be clearly impressed by the notary public onevery page of the instrument or document notarized.


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(c) When not in use, the official seal shall be kept safe and secure andshall be accessible only to the notary public or the person dulyauthorized by him.

(d) Within five (5) days after the official seal of a notary public isstolen, lost, damaged or other otherwise rendered unserviceable in

affixing a legible image, the notary public, after informing theappropriate law enforcement agency,

shall notify the Executive Judge in writing, providing proper receipt oracknowledgment, including registered mail, and in the event of acrime committed, provide a copy or entry number of theappropriate police record. Upon receipt of such notice, if found inorder by the Executive Judge, the latter shall order the notarypublic to cause notice of such loss or damage to be published, oncea week for three (3) consecutive weeks, in a newspaper of generalcirculation in the city or province where the notary public is

commissioned. Thereafter, the Executive Judge shall issue to thenotary public a new Certificate of Authorization to Purchase aNotarial Seal.

(e) Within five (5) days after the death or resignation of the notarypublic, or the revocation or expiration of a notarial commission, theofficial seal shall be surrendered to the Executive Judge and shallbe destroyed or defaced in public during office hours. In the eventthat the missing, lost or damaged seal is later found orsurrendered, it shall be delivered by the notary public to theExecutive Judge to be disposed of in accordance with this section.Failure to effect such surrender shall constitute contempt of court.In the event of death of the notary public, the person in possessionof the official seal shall have the duty to surrender it to theExecutive Judge.

*Seal Image. -The notary public shall affix a single, clear, legible,permanent, and photographically reproducible mark, image or impression ofthe official seal beside his signature on the notarial certificate of a paperinstrument or document.

* Obtaining and Providing Seal. - (a) A vendor or manufacturer ofnotarial seals may not sell said product without a written authorization fromthe Executive Judge.

(b) Upon written application and after payment of the application fee,the Executive Judge may issue an authorization to sell to a vendoror manufacturer of notarial seals after verification and investigationof the latter's qualifications. The Executive Judge shall charge an


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authorization fee in the amount of Php 4,000 for the vendor andPhp 8,000 for the manufacturer. If a manufacturer is also a vendor,he shall only pay the manufacturer's authorization fee.

(c) The authorization shall be in effect for a period of four (4) yearsfrom the date of its issuance and may be renewed by the Executive

Judge for a similar period upon payment of the authorization feementioned in the preceding paragraph.

. (d) A vendor or manufacturer shall not sell a seal to a buyer exceptupon submission of a certified copy of the commission and theCertificate of Authorization to Purchase a Notarial Seal issued bythe Executive Judge. A notary public obtaining a new seal as aresult of change of name shall present to the vendor ormanufacturer a certified copy of the Confirmation of the Change ofName issued by the Executive Judge.

(e) Only one seal may be sold by a vendor or manufacturer for eachCertificate of Authorization to Purchase a Notarial Seal,

(f) After the sale, the vendor or manufacturer shall affix a mark,image or impression of the seal to the Certificate of Authorizationto Purchase a Notarial Seal and submit the completed Certificate tothe Executive Judge. Copies of the Certificate of Authorization toPurchase a Notarial Seal and the buyer's commission shall be keptin the files of the vendor or manufacturer for four (4) years afterthe sale.

(g) A notary public obtaining a new seal as a result of change of nameshall present to the vendor a certified copy of the order confirmingthe change of name issued by the Executive Judge.

h. Sanctions

*Publication of Revocations and Administrative Sanctions. -The ExecutiveJudge shall immediately order the Clerk of Court to post in a conspicuousplace in the offices of the Executive Judge and of the Clerk of Court thenames of notaries public who have been administratively sanctioned or

whose notarial commissions have been revoked.

B. JUDICIAL ETHICS

1. Sources


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On August 1, 1946, the Department of Justice issuedAdministrative Order No. 162, which promulgated the canons of judicialethics for the guidance and observance of all judges, then under theethics for the guidance and observance of all judges, then under theadministrative supervision of the Department of Justice. Under the

1987 Constitution, which vested in the Supreme Court, administrativesupervision over all judges, the Supreme Court, adopted the Code ofJudicial Conduct, which took effect on October 20, 1989. Thereafter,the Supreme Court adopted a New Code of Judicial Conduct of thePhilippine Judiciary, which took effect on June 1, 2004, following itspublication not later than May 15, 2004.

a. New Code of Judicial Conduct for the Philippine Judiciary(Bangalore Draft)

- At the Round Table Meeting of Chief Justices held at the Peace

Palace, The Hague, on 25-26 November 2002, at which thePhilippine Supreme Court was represented by the Chief Justiceand Associate Justicr Reynaldo S. Puno, the Bangalore Draft ofthe Code of Judicial Conduct adopted by the Judicial Group onStrengthening Judicial Integrity was deliberated upon andapproved after incorporating therein several amendments.

- It is intended to be the Universal Declaration of JudicialStandards applicable in all judiciaries.

b. Code of Judicial Conduct

PREAMBLEchan robles virtual law library

An honorable competent and independent judiciary exists toadminister justice and thus promote the unity of the country, thestability of government, and the well-being of the people.

CANON 1

A JUDGE SHOULD UPHOLD THE INTEGRITY

AND INDEPENDENCE OF THE JUDICIARY

chan robles virtual law libraryRULE 1.01 - A judge should be the embodiment of competence,integrity and independence.

RULE 1.02 - A judge should administer justice impartially andwithout delay.


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RULE 1.03. - A judge should be vigilant against any attempt tosubvert the independence of the judiciary and should forthwithresist any pressure from whatever source intended to influence theperformance of official functions.

CANON 2

A JUDGE SHOULD AVOID IMPROPRIETYAND THE APPEARANCE OF IMPROPRIETY

IN ALL ACTIVITIES

RULE 2.01 - A judge should so behave at all times as to promote

public confidence in the integrity and impartiality of thejudiciary.chan robles virtual law library

RULE 2.02 - A judge should not seek publicity for personal vainglory.

RULE 2.03 - A judge shall not allow family, social, or otherrelationships to influence judicial conduct or judgment. The prestigeof judicial office shall not be used or lent to advance the privateinterests of others, nor convey or permit others to convey the

impression that they are in a special position to influence the judge.

RULE 2.04 - A judge should refrain from influencing in any mannerthe outcome of litigation or dispute pending before another court oradministrative agency.

CANON 3

A JUDGE SHOULD PERFORM OFFICIALDUTIES HONESTLY, AND WITH IMPARTIALITY

AND DILIGENCE

ADJUDICATIVE RESPONSIBILITIES


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RULE 3.01 - A judge shall be faithful to the law and maintainprofessional competence.

RULE 3.02 - In every case, a judge shall endeavor diligently toascertain the facts and the applicable law unswayed by partisaninterests, public opinion or fear of criticism.

RULE 3.03 - A judge shall maintain order and proper decorum in thecourt.

RULE 3.04 - A judge should be patient, attentive, and courteous tolawyers, especially the inexperienced, to litigants, witnesses, and

others appearing before the court. A judge should avoidunconsciously falling into the attitude of mind that the litigants aremade for the courts, instead of the courts for the litigants.

RULE 3.05 - A judge shall dispose of the court's business promptlyand decide cases within the required periods.

RULE 3.06 - While a judge may, to promote justice, prevent waste oftime or clear up some obscurity, properly intervene in thepresentation of evidence during the trial, it should always be borne

in mind that undue interference may prevent the properpresentation of the cause or the ascertainment of truth.

RULE 3.07 - A judge should abstain from making public comments onany pending or impending case and should require similar restrainton the part of court personnel.

ADMINISTRATIVE RESPONSIBILITIES

RULE 3.08 - A judge should diligently discharge administrativeresponsibilities, maintain professional competence in courtmanagement, and facilitate the performance of the administrativefunctions or other judges and court personnel.

RULE 3.09 - A judge should organize and supervise the courtpersonnel to ensure the prompt and efficient dispatch of business,


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and require at all times the observance of high standards of publicservice and fidelity.

RULE 3.10 - A judge should take or initiate appropriate disciplinarymeasures against lawyers or court personnel for unprofessional

conduct of which the judge may have become aware.

RULE 3.11 - A judge should appoint commissioners, receivers,trustees, guardians, administrators and others strictly on the basisof merit and qualifications, avoiding nepotism and favoritism.Unless otherwise allowed by law, the same criteria should beobserved in recommending appointment of court personnel. Wherethe payment of compensation is allowed, it should be reasonableand commensurate with the fair value of services rendered.

DISQUALIFICATION

.RULE 3.12 - A judge should take no part in a proceeding where thejudge's impartiality might reasonably be questioned. These casesinclude among others, proceedings where:(a) the judge has personal knowledge of disputed evidentiary factsconcerning the proceeding;

(b) the judge served as executor, administrator, guardian, trusteeor lawyer in the case or matter in controversy, or a former associate

of the judge served as counsel during their association, or the judgeor lawyer was a material witness therein;

(c) the judge's ruling in a lower court is the subject of review;

(d) the judge is related by consanguinity or affinity to a partylitigant within the sixth degree or to counsel within the fourthdegree;

(e) the judge knows the judge's spouse or child has a financialinterest, as heir, legatee, creditor, fiduciary, or otherwise, in the

subject matter in controversy or in a party to the proceeding, or anyother interest that could be substantially affected by the outcomeof the proceeding.

In every instance, the judge shall indicate the legal reason forinhibition.


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REMITTAL OF DISQUALIFICATION

RULE 3.13 - A judge disqualified by the terms of rule 3.12 may,instead of withdrawing from the proceeding, disclose on the recordthe basis of disqualification. If, bases on such disclosure, the partiesand lawyers independently of judge's participation, all agree inwriting that the reason for the inhibition is immaterial orinsubstantial, the judge may then participate in the proceeding. Theagreement, signed by all parties and lawyers, shall be incorporatedin the record of the proceeding.

CANON 5

A JUDGE SHOULD REGULATE EXTRA-JUDICIALACTIVITIES TO MINIMIZE THE RISK

OF CONFLICT WITH JUDICIAL DUTIES

ADVOCATIONAL, CIVIC AND CHARITABLE ACTIVITIES

RULE 5.01 - A judge may engage in the following activities providedthat they do not interfere with the performance of judicial duties ordetract from the dignity of the court:

(a) write, teach and speak on non-legal subjects;

(b) engage in the arts, sports, and other special recreationalactivities;

(c) participate in civic and charitable activities;

(d) serve as an officer, director, trustee, or non-legal advisor of anon-profit or non-political educational, religious, charitable,fraternal, or civic organization.

FINANCIAL ACTIVITIESchan robles virtual law library

RULE 5.02 - A judge shall refrain from financial and business dealingthat tend to reflect adversely on the court's impartiality, interferewith the proper performance of judicial activities or increaseinvolvement with lawyers or persons likely to come before thecourt. A judge should so manage investments and other financial


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interests as to minimize the number of cases giving grounds fordisqualifications.

RULE 5.03 - Subject to the provisions of the proceeding rule, a judgemay hold and manage investments but should not serve as officer,

director, manager or advisor, or employee of any business except asdirector of a family business of the judge.

RULE 5.04 - A judge or any immediate member of the family shallnot accept a gift, bequest, factor or loan from any one except asmay be allowed by law.

RULE 5.05 - No information acquired in a judicial capacity shall besued or disclosed by a judge in any financial dealing or for any other

purpose not related to judicial activities.

FIDUCIARY ACTIVITIES

RULE 5.06 - A judge should not serve as the executor, administrator,trustee, guardian, or other fiduciary, except for the estate, trusts,or person of a member of the immediate family, and then only ifsuch service will not interfere with the proper performance ofjudicial duties. "Member of immediate family" shall be limited to thespouse and relatives within the second degree of consanguinity. Asa family, a judge shall not:

(a) serve in proceedings that might come before the court of saidjudge; or

(b) act as such contrary to rules 5.02 to 5.05.

PRACTICE OF LAW AND OTHER PROFESSION

RULE 5.07 - A judge shall not engage in the private practice of law.Unless prohibited by the Constitution or law, a judge may engage in

the practice of any other profession provided that such practice willnot conflict or tend to conflict with judicial functions.

FINANCIAL DISCLOSURE


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RULE 5.08 - A judge shall make full financial disclosure as requiredby law.RULE 5.09 - A judge shall not accept appointment or designation toany agency performing quasi-judicial or administrative functions.

POLITICAL ACTIVITIES

chan robles virtual law libraryRULE 5.10 - A judge is entitled to entertain personal views onpolitical questions. But to avoid suspicion of political partisanship, ajudge shall not make political speeches, contribute to party funds,publicly endorse candidates for political office or participate inother partisan political activities.

.COMPLIANCE WITH THE CODE OF JUDICIAL CONDUCT

chan robles virtual law library

All judges shall strictly comply with this Code.

DATE OF EFFECTIVITY

This Code, promulgated on 5 September 1989, shall take effect on20 October 1989

2. Qualitiesa. Independence

b. Integrityc. Impartialityd. Proprietye. Equalityf. Competence and Diligence

Preamble

WHEREAS the Universal Declaration of Human Rights recognize asfundamental the principle that everyone is entitled in full equality to a fair

and public hearing by an independent and impartial tribunal, in thedetermination of rights and obligations and of any criminal charge.

WHEREAS the International Covenant on Civil and Political Rights guaranteesthat all persons shall be equal before the courts, and that in thedetermination of any criminal charge or of rights and obligations in a suit atlaw, everyone shall be entitled to a fair and public hearing by a competent,independent and impartial tribunal established by law.


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WHEREAS the foregoing fundamental principles and rights are alsorecognized or reflected in regional human rights instruments, in domesticconstitutional, statutory and common law, and in judicial conventions andtraditions.

WHEREAS the importance of a competent, independent and impartialjudiciary to the protection of human rights is given emphasis by the fact thatthe implementation of all the other rights ultimately depends upon theproper administration of justice.

WHEREAS an independent judiciary is likewise essential if the courts are tofulfil their roles as guardians of the rule of law and thereby to assure goodgovernance.

WHEREAS the real source of judicial power is public acceptance of the moralauthority and integrity of the judiciary.

WHEREAS consistently with the United Nations Basic Principles on theIndependence of the Judiciary, it is essential that judges, individually andcollectively, respect and honour judicial office as a public trust and strive toenhance and maintain confidence in the judicial system.

The following principles and rules are intended to establish standards forethical conduct of judges. They are principles and rules of reason to beapplied in the light of all relevant circumstances and consistently with therequirements of judicial independence and the law. They are designed toprovide guidance to judges and to afford a structure for regulating judicial

conduct. They are intended to supplement and not to derogate from existingrules of law and conduct which bind the judge.

The values which this Code upholds are:

Propriety

Independence

Integrity

Impartiality

Equality

Competence and diligence

Accountability


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I

Propriety, and the appearance of propriety, are essential to the performanceof all of the activities of a judge.

1.1 A judge shall avoid impropriety and the appearance of impropriety in allof the judge's activities.

1.2. As a subject of constant public scrutiny, a judge must accept personalrestrictions that might be viewed as burdensome by the ordinary citizen andshould do so freely and willingly. In particular, a judge shall conduct himselfor herself in a way that is consistent with the dignity of the judicial office

1.3. A judge shall avoid close personal association with individual membersof the legal profession, particularly those who practise in the judge's court,where such association might reasonably give rise to the suspicion or

appearance of favouritism or partiality.

1.4 Save in exceptional circumstances or out of necessity, a judge shall notparticipate in the determination of a case in which any member of thejudge's family represents a litigant or is associated in any manner with thecase.

1.5 A judge shall avoid the use of the judge's residence by a member of thelegal profession to receive clients or other members of the legal profession incircumstances that might reasonably give rise to the suspicion orappearance of impropriety on the part of the judge.

1.6 A judge shall refrain from conduct such as membership of groups ororganisations or participation in public discussion which, in the mind of areasonable, fair-minded and informed person, might undermine confidencein the judge's impartiality with respect to any issue that may come beforethe courts.

1.7 A judge shall, upon appointment, cease all partisan political activity orinvolvement. A judge shall refrain from conduct that, in the mind of areasonable fair-minded and informed person, might give rise to theappearance that the judge is engaged in political activity

1.8 A judge shall refrain from:

1.8.1 Membership of political parties;

1.8.2 Political fund-raising;

1.8.3 Attendance at political gatherings and political fund-raising events;


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1.8.4 Contributing to political parties or campaigns; and

1.8.5 Taking part publicly in controversial discussions of a partisan politicalcharacter

1.9 A judge shall not allow the judge's family, social or other relationshipsimproperly to influence the judge's judicial conduct and judgment as a judge

1.10 A judge shall not use or lend the prestige of the judicial office toadvance the private interests of the judge, a member of the judge's family orof anyone else, nor shall a judge convey or permit others to convey theimpression that anyone is in a special position improperly to influence thejudge in the performance of judicial duties

1.11 A judge shall not testify voluntarily as a character witness, except that ajudge may testify as a witness in a criminal proceeding if the judge or a

member of the judge's family is a victim of the offence or if the defendant isa member of the judge's family or in like exceptional circumstances

1.12 Subject to the proper performance of judicial duties, a judge mayengage in activities such as:

1.12.1 The judge may write, lecture, teach and participate in activitiesconcerning the law, the legal system, the administration of justice andrelated matters;

1.12.2 The judge may appear at a public hearing before an official body

concerned with matters relating to the law, the legal system and theadministration of justice or related matters; and

1.12.3 The judge may serve as a member of an official body devoted to theimprovement of the law, the legal system, the administration of justice orrelated matters.

1.13 A judge may speak publicly on non-legal subjects and engage inhistorical, educational, cultural, sporting or like social and recreationalactivities, if such activities do not detract from the dignity of the judicialoffice or otherwise interfere with the performance of judicial duties in

accordance with this Code

1.14 A judge may participate in civic and charitable activities that do notreflect adversely on the judge's impartiality or interfere with theperformance of judicial duties. A judge should not be involved in fund-raisingor membership solicitation


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1.15 A judge shall not serve as the executor, administrator, trustee, guardianor other fiduciary, except for the estate, trust or person connected with amember of the judge's family and then only if such service will not interferewith the proper performance of judicial duties

1.16 Save for holding and managing appropriate personal or familyinvestments, a judge shall refrain from being engaged in other financial orbusiness dealings as these may interfere with the proper performance ofjudicial duties or reflect adversely on the judge's impartiality

1.16 Confidential information acquired by a judge in the judge's judicialcapacity shall not be used or disclosed by the judge in financial dealings orfor any other purpose not related to the judge's judicial duties.

1.17 A judge shall not practise law whilst the holder of judicial office

1.18 Except as consistent with, or as provided by, constitutional or other law,a judge shall not accept appointment to a government commission,committee or to a position that is concerned with issues of fact or policy onmatters other than the improvement of the law, the legal system, theadministration of justice or related matters. However, a judge may representthe judge's country or the state on ceremonial occasions or in connectionwith historical, educational, cultural, sporting or like activities

1.19 A judge may form or join associations of judges or participate in otherorganisations representing the interests of judges to promote professionaltraining and to protect judicial independence

1.20 A judge and members of the judge's family, shall neither ask for, noraccept, any gift, bequest, loan or favour in relation to anything done or to bedone or omitted to be done by the judge in connection with the performanceof judicial duties.

1.21 Subject to law and to any legal requirements of public disclosure, ajudge may receive a small token gift, award or benefit as appropriate to theoccasion on which it is made provided that such gift, award or benefit mightnot reasonably be perceived as intended to influence the judge in theperformance of judicial duties or otherwise give rise to an appearance of

partiality

1.22 A judge may receive compensation and reimbursement of expenses forthe extra-judicial activities permitted by this Code, if such payments do notgive the appearance of influencing the judge in the performance of judicialduties or otherwise give the appearance of impropriety, subject to thefollowing restrictions:


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(a) Such compensation and reimbursement shall not exceed a reasonableamount nor shall it exceed what a person who is not a judge would receivefor the same activities; and

(b) Reimbursement shall be limited to the actual cost of travel and

accommodation reasonably incurred by the judge and, where appropriate tothe occasion, by the judge's family. Any payment in excess of such anamount is compensation

1.23 A judge shall make such financial disclosures and pay all such taxes asare required

An independent judiciary is indispensable to impartial justice under law. Ajudge should therefore uphold and exemplify judicial independence in bothits individual and institutional aspects.

2.1 A judge shall exercise the judicial function independently on the basis ofthe judge's assessment of the facts and in accordance with a conscientiousunderstanding of the law, free of any extraneous influences, inducements,pressures, threats or interference, direct or indirect, from any quarter or forany reason

2.2 A judge shall reject any attempt to influence his or her decision in anymatter before the judge for decision where such attempt arises outside theproper performance of judicial duties

2.3 In performing judicial duties, a judge shall, within the judge's own court,

be independent of judicial colleagues in respect of decisions which the judgeis obliged to make independently

2.4 A judge shall encourage and uphold safeguards for the discharge ofjudicial duties in order to maintain and enhance the institutional andoperational independence of the judiciary

2.5 A judge shall exhibit and promote high standards of judicial conduct inorder to reinforce public confidence which is fundamental to themaintenance of judicial independence

Integrity is essential to the proper discharge of the judicial office.

3.1 A judge shall ensure that his or her conduct is above reproach in the viewof reasonable, fair-minded and informed persons

3.2 The behaviour and conduct of a judge must reaffirm the people's faith inthe integrity of the judiciary. Justice must not merely be done but must alsobe seen to be done


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3.3 A judge, in addition to observing personally the standards of this Code,shall encourage and support their observance by others

Impartiality is essential to the proper discharge of the judicial office. Itapplies not only to the making of a decision itself but also to the process by

which the decision is made.

4.1 A judge shall perform his or her judicial duties without favour, bias orprejudice[30].

4.2 A judge shall ensure that his or her conduct, both in and out of court,maintains and enhances the confidence of the public, the legal professionand litigants in the impartiality of the judge and of the judiciary

4.3 A judge shall, so far as is reasonable, so conduct himself or herself as tominimise the occasions on which it will be necessary for the judge to be

disqualified from hearing or deciding cases

4.4 A judge shall not knowingly, while a proceeding is before, or could comebefore, the judge, make any comment that might reasonably be expected toaffect the outcome of such proceeding or impair the manifest fairness of theprocess. Nor shall the judge make any comment in public or otherwise thatmight affect the fair trial of any person or issue

4.5 A judge shall disqualify himself or herself from participating in anyproceedings in which the judge is unable to decide the matter impartially orin which a reasonable, fair-minded and informed person might believe that

the judge is unable to decide the matter impartiall

4.6 A judge shall disqualify himself or herself in any proceedings in whichthere might be a reasonable perception of a lack of impartiality of the judgeincluding, but not limited to, instances where:

4.6.1 The judge has actual bias or prejudice concerning a party or personalknowledge of disputed evidentiary facts concerning the proceedings;

4.6.2 The judge previously served as a lawyer or was a material witness inthe matter in controversy;

4.6.3 The judge, or a member of the judge's family, has an economic interestin the outcome of the matter in controversy[35].

4.7 A judge shall inform himself or herself about the judge's personal andfiduciary financial interests and shall make reasonable efforts to be informedabout the financial interests of members of the judge's family[36].


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4.8 A judge who would otherwise be disqualified on the foregoing groundsmay, instead of withdrawing from the proceedings, disclose on the recordthe basis of such disqualification. If, based on such disclosure, the parties,independently of the judge's participation, agree in writing or on the record,that the judge may participate, or continue to participate, in the proceedings,

the judge may do so[37].

4.9 Disqualification of a judge is not required if necessity obliges the judge todecide the matter in controversy including where no other judge maylawfully do so or where, because of urgent circumstances, failure of thejudge to participate might lead to a serious miscarriage of justice[38]. Insuch cases of necessity, the judge shall still be obliged to disclose to theparties in a timely way any cause of disqualification and ensure that suchdisclosure is included in the record.

4.10 Save for the foregoing, a judge has a duty to perform the functions of

the judicial office and litigants do not have a right to choose a judge.

5.1 A judge shall strive to be aware of, and to understand, diversity in societyand differences arising from various sources, including but not limited torace, colour, sex, religion, national origin, caste, disability, age, maritalstatus, sexual orientation, social and economic status and other like causes("irrelevant grounds")[39].

5.2 A judge shall not, in the performance of judicial duties, by words orconduct, manifest bias or prejudice towards any person or group onirrelevant grounds[40].

5.3 A judge shall carry out his or her duties with appropriate considerationfor all persons (for example, parties, witnesses, lawyers, court staff andjudicial colleagues) without unjust differentiation on any irrelevant ground,immaterial to the proper performance of such duties[41].

5.4 A judge shall not knowingly permit court staff or others subject to thejudge's influence, direction or control to differentiate between personsconcerned, in a matter which is before the judge, on any irrelevant ground.

5.5 A judge shall require lawyers in proceedings before a court to refrain

from manifesting, by words or conduct, bias or prejudice based on irrelevantgrounds. This requirement does not preclude legitimate advocacy where anysuch grounds are legally relevant to an issue in the proceedings[42].

5.6 A judge shall not be a member of, nor associated with, any society ororganisation that practises unjust discrimination on the basis of anyirrelevant ground[43].


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5.7 Without authority of law and notice to, and consent of, the parties and anopportunity to respond, a judge shall not engage in independent, personalinvestigation of the facts of a case.

5.8 Without authority of law and notice to, and consent of, the parties and an

opportunity to respond, a judge shall not, in the absence of the other partiesto the proceedings, communicate with any party to proceedings in thejudge's court concerning such proceedings[44].

Competence and diligence are prerequisites to the due performance ofjudicial office.

[45].

[46].

6.3 A judge shall take reasonable steps to maintain and enhance the judge'sknowledge, skills and personal qualities necessary for the properperformance of judicial duties[47].

6.4 A judge shall keep himself or herself informed about relevantdevelopments of international law, including international conventions andother instruments establishing human rights norms and, within anyapplicable limits of constitutional or other law, shall conform to such normsas far as is feasible[48].

6.5 A judge shall perform all judicial duties, including the delivery of reserved

decisions, efficiently, fairly and with reasonable promptness[49].

6.6 A judge shall maintain order and decorum in all proceedings in which thejudge is involved. He or she shall be patient, dignified and courteous inrelation to litigants, jurors, witnesses, lawyers and others with whom thejudge deals in an official capacity. The judge shall require similar conduct oflegal representatives, court staff and others subject to the judge's influence,direction or control[50].

6.7 A judge shall not engage in conduct incompatible with the diligentdischarge of judicial duties[51].

Implementing these principles and ensuring the compliance of judges withthem are essential to the effective achievement of the objectives of thisCode.

7.2 By the nature of the judicial office judges are not, except in accordancewith law, accountable to any organ or entity of the state for their judicial


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decisions but they are accountable for their conduct to institutions that areestablished to implement this Code.

7.3 The institutions and procedures established to implement this Code shallbe transparent so as to strengthen public confidence in the judiciary and

thereby to reinforce judicial independence.

7.4 Ordinarily, except in serious cases that may warrant removal of the judgefrom office, proceedings established to implement this Code shall beconducted in confidence.

7.5 The implementation of this Code shall take into account the legitimateneeds of a judge, by reason of the nature of the judicial office, to be affordedprotection from vexatious or unsubstantiated accusations and due process oflaw in the resolution of complaints against the judge.

7.6 The judiciary and any institution established to implement this Code shallpromote awareness of these principles and of the provisions of the Code.

In this Code, unless the context otherwise permits or requires, the followingmeanings shall be attributed to the words used:

"Court staff" includes the personal staff of the judge including law clerks.

"Judge" includes a magistrate, a member of customary or village courts andany person exercising judicial office, however designated.

"Judge's family" includes a judge's spouse, the judge's son, daughter, son-in-law or daughter-or-law. it also includes any other close relative or personwho is a companion or employee of the judge and who lives in the judge'shousehold.

"Judge's spouse" includes a domestic partner of the judge or any otherperson of either sex in a close personal relationship with the judge.

2. Discipline of Members of the Judiciary

a. Members of the Supreme Court(1)Impeachment

b. Lower Court Judges and Justices

c. Grounds


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c.1 Criminal Liability

i. Knowingly rendering unjust judgment

ii. Judgment rendered through negligence

iii. Unjust interlocutory order

iv. Malicious delay in the administration of justice

v. Direct bribery

vi. Indirect bribery

vii. Infidelity in custody of documents

viii. Open disobedience

ix. Prolonging performance of duties and powers

x. Abandonment of office or position

xi. Usurpation of legislative powers

xii. Usurpation of executive functions

xiii. Disobeying request for disqualification

xiv. Abuses against chastity

xv. Falsification by public officer, employee, or notary or ecclesiasticalminister

xvi. Anti- Graft Act

xvii. Plunder

xviii. Violation of Code of Conduct of Public Officials

xix. Violation of PD 46

xx. Transfer of unlawfully acquired property

xxi. Violation of right to counsel

xxii. Election offenses

c.2. Civil cases


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i. Under Administrative Code of 1987. Secs. 38 and 39.

ii. Article 27 of Civil Code

iii. Article 32 of Civil Code

iv. Arising from bad faith

v. Unexplained wealth

c.3. Administrative cases

a. Serious charges

1. Bribery, direct or indirect

2. Dishonesty and violations of the Anti-Graft and Corrupt orPractices or the law

3. Gross misconduct constituting violations of Code of JudicialConduct

4. Knowingly rendering an unjust judgment or order as determined

by a competent court in an appropriate proceeding

5. Conviction of a crime involving moral turpitude

6. Willful failure to pay a just debt

7. Borrowing money or property from lawyers and litigants in acase pending before the court

8. Immorality

9. Gross ignorance of the law or procedure

10. Partisan political activities

11. Alcoholism and/or vicious habits

b. Less Serious charges


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1. Undue delay in rendering a decision or order, or in transmittingthe records of the case

2. Frequent and unjustified absences without leave or habitualtardiness

3. Unauthorized practice

4. Violation of Supreme Court rules, directive and circulars

5. Receiving additional or double compensation unless specificallyauthorized by law

6. Simple misconduct or inefficiency

7. Untruthful statements in the certificate of service

c. Light Charges

1. Vulgar and unbecoming conduct

2. Gambling in public

3. Fraternizing with lawyers and litigants with pending case in hiscourt

4. Undue delay in the submission of month reports

d. Impeachment

e. Sanctions Imposed by the Supreme Court On Erring Members ofthe Judiciary

Proof beyond reasonable doubt is needed to establish the guilt ofthe respondent

The following sanctions may be imposed if found guilty of a seriouscharge:

1. Dismissal from the service, forfeiture of all or part of the benefitsas this Court may determine, and disqualification fromreinstatement or appointment to any public office, includinggovernment-owned or controlled corporations. Provided,however, that the forfeiture of benefits shall in no case includeaccrued leave credits


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2. Suspension from office without salary and other benefits formore than 3 but not exceeding 6 months.

3. A fine of more than P20,000.00 but not exceeding P40,0000.00.

If the respondent is guilty ofless serious charge:

1. Suspension from office without any salary and other benefits fornot less than 1 year nor more than 3 months

2. A fine of more than P10,000.00 but not exceeding P20,000.00

If he is found guilty oflight charge:

1. A fine of not less than P1,000.00 but not exceeding P10,000.002. a. Censure

b. Reprimandc. Admonition with Warning

Greennotes Ethics 1

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Transcript of Greennotes Ethics 1