Basic Legal Ethics

Atty. Ronic Treptor

Liability of Judges
Module 17
In General
• Can Judges be civilly, criminally, or administratively liable for
erroneous decisions?
• Generally, No. The rule is that in the absence of fraud, malice, dishonesty,
corruption or bad faith, the acts of a judge in his judicial capacity are not
subject to disciplinary, much less to civil or criminal, action.
Civil Liability
• When can a judge be held civilly liable?
• SECTION 38. Liability of Superior Officers.—
• (1) A public officer shall not be civilly liable for acts done in the performance of his
official duties, unless there is a clear showing of bad faith, malice or gross negligence.
• (2) Any public officer who, without just cause, neglects to perform a duty within a period
fixed by law or regulation, or within a reasonable period if none is fixed, shall be liable
for damages to the private party concerned without prejudice to such other liability as
may be prescribed by law.
• (3) A head of a department or a superior officer shall not be civilly liable for the wrongful
acts, omissions of duty, negligence, or misfeasance of his subordinates, unless he has
actually authorized by written order the specific act or misconduct complained of.
Civil Liability
• When can a judge be held civilly liable?
• SECTION 39. Liability of Subordinate Officers. —No subordinate officer or
employee shall be civilly liable for acts done by him in good faith in the
performance of his duties. However, he shall be liable for willful or negligent
acts done by him which are contrary to law, morals, public policy and good
customs even if he acted under orders or instructions of his superiors.
Civil Liability
• When can a judge be held civilly liable?
• ARTICLE 27. Any person suffering material or moral loss because a public
servant or employee refuses or neglects, without just cause, to perform his
official duty may file an action for damages and other relief against the latter,
without prejudice to any disciplinary administrative action that may be taken.
Civil Liability
• When can a judge be held civilly liable?
• ARTICLE 32. Any public officer or employee, or any private individual, who
directly or indirectly obstructs, defeats, violates or in any manner impedes or
impairs any of the following rights and liberties of another person shall be
liable to the latter for damages:
• (1) Freedom of religion;
• (2) Freedom of speech;
• (3) Freedom to write for the press or to maintain a periodical publication;
• (4) Freedom from arbitrary or illegal detention;
• (5) Freedom of suffrage;
Civil Liability
• When can a judge be held civilly liable?
• ARTICLE 32. Any public officer or employee, or any private individual, who directly or
indirectly obstructs, defeats, violates or in any manner impedes or impairs any of the
following rights and liberties of another person shall be liable to the latter for
damages:
• (6) The right against deprivation of property without due process of law;
• (7) The right to a just compensation when private property is taken for public use;
• (8) The right to the equal protection of the laws;
• (9) The right to be secure in one’s person, house, papers, and effects against unreasonable
searches and seizures;
• (10) The liberty of abode and of changing the same;
• (11) The privacy of communication and correspondence;
• (12) The right to become a member of associations or societies for purposes not contrary to
law;
Civil Liability
• When can a judge be held civilly liable?
• ARTICLE 32. Any public officer or employee, or any private individual, who directly or
indirectly obstructs, defeats, violates or in any manner impedes or impairs any of the
following rights and liberties of another person shall be liable to the latter for
damages:
• (13) The right to take part in a peaceable assembly to petition the Government for redress of
grievances;
• (14) The right to be free from involuntary servitude in any form;
• (15) The right of the accused against excessive bail;
• (16) The right of the accused to be heard by himself and counsel, to be informed of the
nature and cause of the accusation against him, to have a speedy and public trial, to meet the
witnesses face to face, and to have compulsory process to secure the attendance of witness
in his behalf;
• (17) Freedom from being compelled to be a witness against one’s self, or from being forced to
confess guilt, or from being induced by a promise of immunity or reward to make such
confession, except when the person confessing becomes a State witness;
Civil Liability
• When can a judge be held civilly liable?
• ARTICLE 32. Any public officer or employee, or any private individual, who directly or indirectly
obstructs, defeats, violates or in any manner impedes or impairs any of the following rights and
liberties of another person shall be liable to the latter for damages:
• (18) Freedom from excessive fines, or cruel and unusual punishment, unless the same is imposed or inflicted in
accordance with a statute which has not been judicially declared unconstitutional; and
• (19) Freedom of access to the courts.

• In any of the cases referred to in this article, whether or not the defendant’s act or omission
constitutes a criminal offense, the aggrieved party has a right to commence an entirely separate
and distinct civil action for damages, and for other relief. Such civil action shall proceed
independently of any criminal prosecution (if the latter be instituted), and may be proved by a
preponderance of evidence.

• The indemnity shall include moral damages. Exemplary damages may also be adjudicated.

• The responsibility herein set forth is not demandable from a judge unless his act or omission
constitutes a violation of the Penal Code or other penal statute.
Civil Liability
• What is the meaning of “bad faith”?
• Bad faith does not simply mean bad judgement or negligence; it imputes a
dishonest purpose or some moral obliquity and conscious doing of a wrong, a
breach of sworn duty through some motive or intent or ill-will; it partakes the
nature of fraud.

• Public officials, including judges, are personally liable for damages arising
from illegal acts done in bad faith.

• Note that if an action against a public officer for civil liability does not allege
that the public officer acted in bad faith, the action states no cause of action,
and no judgement can be rendered.
Civil Liability
• Can a Judge use the principle of Immunity of State from Suit as a
defense against civil liability?
• An officer is sued in his private or personal capacity for acts done beyond the
scope of his authority or for unlawful or tortious acts while discharging official
function, cannot invoke the doctrine of state immunity from suit.

• This defense can only be used if the public officer acted within the scope of
his authority. In this case, the action will be against an act of the State, and
thus the doctrine of state immunity applies.
Criminal Liability
• Note that the term “public officer or employee” will include a judge.
Some crimes require as an element that the offender is a public
officer or employee. This means that in these crimes, a Judge can be
held liable, if all the other elements are present.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 204. Knowingly Rendering Unjust Judgment. — Any judge who shall
knowingly render an unjust judgment in any case submitted to him for
decision, shall be punished by prisión mayor and perpetual absolute
disqualification.
• ARTICLE 205. Judgment Rendered Through Negligence. — Any judge who, by
reason of inexcusable negligence or ignorance, shall render a manifestly
unjust judgment in any case submitted to him for decision shall be punished
by arresto mayor and temporary special disqualification.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 206. Unjust Interlocutory Order. — Any judge who shall knowingly
render an unjust interlocutory order or decree shall suffer the penalty of
arresto mayor in its minimum period and suspension; but if he shall have
acted by reason of inexcusable negligence or ignorance and the interlocutory
order or decree be manifestly unjust, the penalty shall be suspension.
• ARTICLE 207. Malicious Delay in the Administration of Justice. — The penalty
of prisión correccional in its minimum period shall be imposed upon any
judge guilty of malicious delay in the administration of justice.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can be held liable in relation to his public
duties?
• ARTICLE 210. Direct Bribery. — Any public officer who shall agree to perform an act constituting a crime, in connection with
the performance of his official duties, in consideration of any offer, promise, gift or present received by such officer,
personally or through the mediation of another, shall suffer the penalty of prisión correccional in its minimum and medium
periods and a fine of not less than the value of the gift and not more than three times such value, in addition to the penalty
corresponding to the crime agreed upon, if the same shall have been committed.

• If the gift was accepted by the officer in consideration of the execution of an act which does not constitute a crime, and the
officer executed said act, he shall suffer the same penalty provided in the preceding paragraph; and if said act shall not have
been accomplished, the officer shall suffer the penalties of arresto mayor in its maximum period and a fine of not less than
the value of the gift and not more than twice such value.

• If the object for which the gift was received or promised was to make the public officer refrain from doing something which
it was his official duty to do, he shall suffer the penalties of arresto mayor in its medium and maximum periods and a fine of
not less than the value of the gift and not more than three times such value.

• In addition to the penalties provided in the preceding paragraphs, the culprit shall suffer the penalty of special temporary
disqualification.

• The provisions contained in the preceding paragraphs shall be made applicable to assessors, arbitrators, appraisal and claim
commissioners, experts or any other persons performing public duties.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 211. Indirect Bribery. — The penalties of arresto mayor, suspension
in its minimum and medium periods, and public censure shall be imposed
upon any public officer who shall accept gifts offered to him by reason of his
office.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 226. Removal, Concealment or Destruction of Documents. — Any
public officer who shall remove, destroy or conceal documents or papers
officially entrusted to him, shall suffer:
• 1. The penalty of prisión mayor and a fine not exceeding 1,000 pesos, whenever serious
damage shall have been caused thereby to a third party or to the public interest.
• 2. The penalty of prisión correccional in its minimum and medium periods and a fine not
exceeding 1,000 pesos, whenever the damage caused to a third party or to the public
interest shall not have been serious.
• In either case, the additional penalty of temporary special disqualification in
its maximum period to perpetual special disqualification shall be imposed.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 231. Open Disobedience. — Any judicial or executive officer who
shall openly refuse to execute the judgment, decision or order of any superior
authority made within the scope of the jurisdiction of the latter and issued
with all the legal formalities, shall suffer the penalties of arresto mayor in its
medium period to prisión correccional in its minimum period, temporary
special disqualification in its maximum period and a fine not exceeding 1,000
pesos.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 237. Prolonging Performance of Duties and Powers. — Any public
officer who shall continue to exercise the duties and powers of his office,
employment or commission, beyond the period provided by law, regulations
or special provisions applicable to the case, shall suffer the penalties of
prisión correccional in its minimum period, special temporary disqualification
in its minimum period and a fine not exceeding 500 pesos.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 238. Abandonment of Office or Position. — Any public officer who,
before the acceptance of his resignation, shall abandon his office to the
detriment of the public service shall suffer the penalty of arresto mayor.

• If such office shall have been abandoned in order to evade the discharge of
the duties of preventing, prosecuting or punishing any of the crimes falling
within Title One, and Chapter One of Title Three of Book Two of this Code, the
offender shall be punished by prisión correccional in its minimum and
medium periods, and by arresto mayor if the purpose of such abandonment is
to evade the duty of preventing, prosecuting or punishing any other crime.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 239. Usurpation of Legislative Powers. — The penalties of prisión
correccional in its minimum period, temporary special disqualification and a
fine not exceeding 1,000 pesos, shall be imposed upon any public officer who
shall encroach upon the powers of the legislative branch of the Government,
either by making general rules or regulations beyond the scope of his
authority, or by attempting to repeal a law or suspending the execution
thereof.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 240. Usurpation of Executive Functions. — Any judge who shall so
assume any power pertaining to the executive authorities, or shall obstruct
the latter in the lawful exercise of their powers, shall suffer the penalty of
arresto mayor in its medium period to prisión correccional in its minimum
period.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can
be held liable in relation to his public duties?
• ARTICLE 242. Disobeying Request for Disqualification. — Any public officer
who, before the question of jurisdiction is decided, shall continue any
proceeding after having been lawfully required to refrain from so doing, shall
be punished by arresto mayor and a fine not exceeding 500 pesos.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can be
held liable in relation to his public duties?
• ARTICLE 245. Abuses Against Chastity — Penalties. — The penalties of prisión
correccional in its medium and maximum periods and temporary special
disqualification shall be imposed:
• 1. Upon any public officer who shall solicit or make immoral or indecent advances to a
woman interested in matters pending before such officer for decision, or with respect to
which he is required to submit a report to or consult with a superior officer;
• 2. Any warden or other public officer directly charged with the care and custody of prisoners
or persons under arrest who shall solicit or make immoral or indecent advances to a woman
under his custody.
• If the person solicited be the wife, daughter, sister or relative within the same degree
by affinity of any person in the custody of such warden or officer, the penalties shall
be prisión correccional in its minimum and medium periods and temporary special
disqualification.
Criminal Liability
• What are the crimes under the Revised Penal Code that a Judge can be held liable in relation to
his public duties?
• ARTICLE 171. Falsification by Public Officer, Employee or Notary or Ecclesiastic Minister. — The penalty of
prisión mayor and a fine not to exceed 5,000 pesos shall be imposed upon any public officer, employee, or
notary who, taking advantage of his official position, shall falsify a document by committing any of the
following acts:
• 1. Counterfeiting or imitating any handwriting, signature or rubric;
• 2. Causing it to appear that persons have participated in any act or proceeding when they did not in fact so participate;
• 3. Attributing to persons who have participated in an act or proceeding statements other than those in fact made by them;
• 4. Making untruthful statements in a narration of facts;
• 5. Altering true dates;
• 6. Making any alteration or intercalation in a genuine document which changes its meaning;
• 7. Issuing in authenticated form a document purporting to be a copy of an original document when no such original exists, or
including in such copy a statement contrary to, or different from, that of the genuine original; or
• 8. Intercalating any instrument or note relative to the issuance thereof in a protocol, registry, or official book.
• The same penalty shall be imposed upon any ecclesiastical minister who shall commit any of the offenses
enumerated in the preceding paragraphs of this article, with respect to any record or document of such
character that its falsification may affect the civil status of persons.
Criminal Liability
• What are the crimes under the R.A. 3019, as amended, that a Judge
can be held liable in relation to his public duties?
• Section 3. Corrupt practices of public officers. — In addition to acts or
omissions of public officers already penalized by existing law, the following
shall constitute corrupt practices of any public officer and are hereby declared
to be unlawful:
• (a) Persuading, inducing or influencing another public officer to perform an act
constituting a violation of rules and regulations duly promulgated by competent
authority or an offense in connection with the official duties of the latter, or allowing
himself to be persuaded, induced, or influenced to commit such violation or offense.
Criminal Liability
• What are the crimes under the R.A. 3019, as amended, that a Judge
can be held liable in relation to his public duties?
• Section 3. Corrupt practices of public officers. — In addition to acts or
omissions of public officers already penalized by existing law, the following
shall constitute corrupt practices of any public officer and are hereby declared
to be unlawful:
• (b) Directly or indirectly requesting or receiving any gift, present, share, percentage, or
benefit, for himself or for any other person, in connection with any contract or
transaction between the Government and any other party, wherein the public officer in
his official capacity has to intervene under the law.
Criminal Liability
• What are the crimes under the R.A. 3019, as amended, that a Judge
can be held liable in relation to his public duties?
• Section 3. Corrupt practices of public officers. — In addition to acts or
omissions of public officers already penalized by existing law, the following
shall constitute corrupt practices of any public officer and are hereby declared
to be unlawful:
• (c) Directly or indirectly requesting or receiving any gift, present or other pecuniary or
material benefit, for himself or for another, from any person for whom the public officer,
in any manner or capacity, has secured or obtained, or will secure or obtain, any
Government permit or license, in consideration for the help given or to be given, without
prejudice to Section thirteen of this Act.
Criminal Liability
• What are the crimes under the R.A. 3019, as amended, that a Judge can be
held liable in relation to his public duties?
• Section 3. Corrupt practices of public officers. — In addition to acts or omissions of
public officers already penalized by existing law, the following shall constitute corrupt
practices of any public officer and are hereby declared to be unlawful:
• (d) Accepting or having any member of his family accept employment in a private enterprise
which has pending official business with him during the pendency thereof or within one year
after its termination.

• (e) Causing any undue injury to any party, including the Government, or giving any private
party any unwarranted benefits, advantage or preference in the discharge of his official
administrative or judicial functions through manifest partiality, evident bad faith or gross
inexcusable negligence. This provision shall apply to officers and employees of offices or
government corporations charged with the grant of licenses or permits or other concessions.
Criminal Liability
• What are the crimes under the R.A. 3019, as amended, that a Judge
can be held liable in relation to his public duties?
• Section 3. Corrupt practices of public officers. — In addition to acts or
omissions of public officers already penalized by existing law, the following
shall constitute corrupt practices of any public officer and are hereby declared
to be unlawful:
• (f) Neglecting or refusing, after due demand or request, without sufficient justification,
to act within a reasonable time on any matter pending before him for the purpose of
obtaining, directly or indirectly, from any person interested in the matter some pecuniary
or material benefit or advantage, or for the purpose of favoring his own interest or giving
undue advantage in favor of or discriminating against any other interested party.
Criminal Liability
• Other crimes of public officers, including a judge:
• R.A. 7080 which punishes the crime of plunder.

• Section 2. Definition of the Crime of Plunder; Penalties – Any public officer who, by
himself or in connivance with members of his family, relatives by affinity or
consanguinity, business associates, subordinates or other persons, amasses,
accumulates or acquires ill-gotten wealth through a combination or series of overt or
criminal acts as described in Section 1(d) hereof, in the aggregate amount or total
value of at least Seventy-five million pesos (P75,000,000.00), shall be guilty of the
crime of plunder and shall be punished by life imprisonment with perpetual absolute
disqualification from holding any public office. Any person who participated with said
public officer in the commission of plunder shall likewise be punished. In the
imposition of penalties, the degree of participation and the attendance of mitigating
and extenuating circumstances shall be considered by the court. The court shall
declare any and all ill-gotten wealth and their interests and other incomes and assets
including the properties and shares of stock derived from the deposit or investment
thereof forfeited in favor of the State.
Criminal Liability
• Other crimes of public officers, including a judge:
• Violation of R.A. 6713, otherwise known as the Code of Conduct and Ethical
Standards for Public Officials and Employees.

• Violation of P.D. 46, Making it punishable for public officials and employees to
receive, and for private persons to give, gifts on any occasion, including
Christmas.

• Violation of R.A. 1379, An act declaring forfeiture in favor of the state any
property found to have been unlawfully acquired by any public officer or
employee and providing for the proceedings therefor.
Administrative Liability
• Who has the authority to discipline judges?
• The Supreme Court.

• Sec. 6, Art VIII. The Supreme Court shall have administrative supervision over
all courts and the personnel thereof.
Administrative Liability
• What are the two general categories of the grounds for suspension or
dismissal?
• The first are those related to the functions of the judge.
• The second are those not related to the functions of a judge.

• Note that in the 1st category, a conviction of a crime is not required (if the
ground is related to a commission of a crime), in the 2nd category, a conviction
is generally required before an administrative case can be filed against a
judge, except if the ground also constitutes a violation of the New Code of
Judicial Conduct, then no conviction is also required.
Administrative Liability
• What are the classification of administrative charges against a judge?
• Serious
• Less Serious
• Light
Administrative Liability
• What are considered serious charges against a judge?
• Bribery, direct of indirect
• Dishonesty and violations of RA 3019, as amended
• Gross misconduct constituting violations of the New Code of Judicial Conduct
• Knowingly rendering an unjust judgment of order as determined by a competent
court in an appropriate proceeding
• Conviction of a crime involving moral turpitude
• Willful failure to pay his just debt
• Borrowing money or property from lawyers and litigants ina case pending before the
court
• Immorality
• Gross ignorance of the law or procedure
• Partisan political activities
• Alcoholism or vicious habits
Administrative Liability
• What are considered less serious charges against a judge?
• Undue delay in rendering a decision of order, or in transmitting the records of
a case
• Frequent and unjustified absences without leave or habitual tardiness
• Unauthorized practice of law
• Violation of Supreme Court rules, directives, or circulars
• Receiving additional or double compensation unless specifically authorized by
law
• Untruthful statements in the certificate of service
• Simple misconduct
Administrative Liability
• What are considered light charges against a judge?
• Vulgar and unbecoming conduct
• Gambling in public
• Fraternizing with lawyers and litigants with pending case or cases in his court
• Undue delay in the submission of month reports
Administrative Liability
• Note that the enumerated acts are not exclusive. Other acts
analogous to those enumerated may be grounds for discipline.

• Note also that more than one less serious offense may aggravate the
offense and it can be considered as a serious offense warranting the
dismissal of a judge. This rule is also applicable to multiple light
offenses.
Administrative Liability
• Note that an administrative case against a judge is not a judicial
remedy. This means that if the lawyer thinks that the decision of a
judge is unjust, he should not only file an administrative case against
a judge, but also avail of the judicial remedies against the decision,
like an appeal or a petition for certiorari.
Administrative Liability
• How are administrative proceedings initiated against a judge? (See AM No. 21-08-09-SC)
• The proceedings may be initiated by the Supreme Court motu proprio or by the Judicial Integrity
Board, or
• Upon a verified complaint supported by affidavits of persons who have personal knowledge of the
facts alleged therein or by documents which may substantiate the allegations, or
• Upon an anonymous complaint, supported by public records of indubitable integrity.
• Note that generally, this is not entertained by the Supreme Court except in cases in which the charges can be
fully borne by public records of indubitable integrity, thus needing no corroboration by evidence to be offered
by the complainant whose identity and integrity could hardly be material where the matter involved is of public
interest.

• Note that the complaints must be filed before the Judicial Integrity Board. complaints filed before the Supreme
Court shall be referred by the Supreme Court to the Judicial Integrity Board.

• Note: All Charges against judges of first instance shall be in writing and shall set out distinctly,
clearly, and concisely the facts complained of as constituting the alleged serious misconduct or
inefficiency of the respondent, and shall be sworn to and supported by affidavits of persons who
have personal knowledge of the facts therein alleged, and shall be accompanied with copies of
documents which may substantiate said facts. (Sec. 1, Rule 140, Rules of Court)
Administrative Liability
• What happens next after the initiation of the proceedings?
• For cases initiated by the Supreme Court motu proprio, the respondent shall
be served with a copy of the records, documents, newspaper or media
reports, or other papers used as basis for the disciplinary action. Within 10
days from notice, or within any extended period granted by the Judicial
Integrity Board not exceeding 30 days, the respondent shall be required to file
his or her verified answer or comment thereon, which may be supported by
affidavits of persons who have personal knowledge of the facts alleged and/or
by documents which may substantiate respondent’s defenses.
Administrative Liability
• What happens next after the initiation of the proceedings?
• For cases initiated by a complaint, if the Judicial Integrity Board finds that the
complaint is sufficient in form and substance, the respondent shall be served
with a copy thereof, including its attachments. Within 10 days from notice, or
within any extended period granted by the Judicial Integrity Board not
exceeding 30 days, the respondent shall be required to file his or her verified
answer or comment thereon, which may be supported by affidavits of
persons who have personal knowledge of the facts alleged and/or by
documents which may substantiate respondent’s defenses.

• If the complaint is not sufficient in form and substance, it shall be dismissed.

Administrative Liability
• What happens if the respondent fails to answer?
• This will result in a waiver to participate in the proceedings.

• What happens after the respondent files his answer or after the
period to file an answer lapses?
• If the complaint can be resolved on the basis of the pleadings of the parties,
then the case shall be deemed submitted for preparation and submission by
the Judicial Integrity Board of its “Report” containing its findings of facts and
recommendations to the Supreme Court.

• If actual hearings are required, then the Judicial Integrity Board can set such
hearings.
Administrative Liability
• What happens after?
• The Judicial Integrity Board is required to submit its report to the Supreme
Court.

• The Supreme Court shall take such necessary action on the Report as may be
warranted by the facts and the law, the Rules of Court, as well as the
issuances of the Supreme Court and its Internal Rules.
Administrative Liability
• Note that all proceedings against judges shall be private and
confidential. (Sec. 6, Rule 140, RoC)

• Note also that the withdrawal of the complaint does not divest the
Supreme Court of its authority to order the investigation of the
charges, nor does it preclude such investigation nor result in its
dismissal.