CANON IV. COMPETENCE AND DILIGENCE
B. Specific Duties Owed Relating to Competence
2. Explaining Viable Options

Below is a comprehensive discussion on the lawyer’s ethical duty, under Philippine legal ethics, to explain viable legal options to a client. This duty arises from a lawyer’s overarching obligation to serve clients with competence and diligence and is rooted in both the spirit and letter of the Code of Professional Responsibility (now superseded by the 2023 Code of Professional Responsibility and Accountability, or CPRA), pertinent jurisprudence, and core tenets of Philippine legal ethics.

I. FOUNDATIONS IN THE CODE OF PROFESSIONAL RESPONSIBILITY

1. Canon on Competence and Diligence

Under the New Code of Professional Responsibility and Accountability (2023) (“CPRA”), Canon IV expressly provides that lawyers must render legal services with competence and diligence. This broad canon covers obligations such as:

Keeping abreast of legal developments.
Rendering sound legal advice based on thorough research and preparation.
Taking every reasonable step to protect and advance the client’s interests.

An integral part of this overarching duty is the requirement that lawyers give clients a clear, candid understanding of the legal landscape they face. A lawyer cannot simply direct a course of action without ensuring the client understands the options, alternatives, and potential outcomes.

2. Core Obligation to Explain Viable Options

Under traditional formulations in the old Code of Professional Responsibility (1988) and carried over (and amplified) in the CPRA (2023), a lawyer must:

Inform the client of the possible courses of action: This includes enumerating all feasible remedies, defenses, or strategic steps in a particular legal matter.
Explain the pros and cons of each option: A lawyer must discuss not only the possible legal consequences but also practical considerations such as time, cost, probability of success, and potential risks.
Enable the client to make an informed decision: The client must retain ultimate authority over major decisions (e.g., whether to settle, whether to plead guilty or not guilty in a criminal case, whether to appeal, etc.). A lawyer’s role is to empower the client by laying out the legal roadmap plainly and accurately.

3. Supporting Ethical Rules

In both the old Code of Professional Responsibility and in the new CPRA, the following rules buttress the duty to explain viable options:

Duty to Keep Client Informed: A lawyer is obliged to keep the client reasonably informed about the status of the case and about any significant developments affecting the client’s interests. This necessarily includes informing them of all available remedies or courses of action at critical junctures.
Duty of Candor: A lawyer must deal honestly and in good faith with the client. Misrepresentation or omission regarding feasible legal measures is a breach of this duty.
Duty of Communication: Effective communication channels are essential. Even the most competent legal advice fails if the client does not comprehend its implications.

II. RATIONALE FOR THE DUTY TO EXPLAIN VIABLE OPTIONS

Protecting Client Autonomy
In Philippine legal ethics, it is settled that certain decisions fundamentally belong to the client—whether to pursue or abandon a claim, whether to settle, whether to plead guilty in criminal cases, and so forth. A lawyer may recommend a particular path, but only after laying out the alternatives. Failure to present these alternatives impinges upon the client’s right to self-determination.
Ensuring Competent Representation
Competent representation under Canon IV (CPRA) is not confined to legal acumen alone. It encompasses the ability to gather facts, research, analyze, and—crucially—communicate all relevant findings and remedies to the client. A lawyer who neglects to explain viable options demonstrates a deficiency in thoroughness and diligence.
Preventing Client Prejudice and Injustice
Clients depend on their counsel to illuminate the available legal avenues. Without a clear explanation of options, clients may lose opportunities for early resolution, alternative remedies (e.g., arbitration, mediation, compromise, amicable settlement), or might unwittingly expose themselves to greater liability or cost.
Preserving Trust in the Attorney-Client Relationship
One core aspect of the fiduciary relationship is trust. Clients must be able to trust their lawyer’s advice. This trust is cultivated by transparency and open communication, particularly about the available legal strategies and outcomes.

III. JURISPRUDENTIAL SUPPORT

Several Supreme Court decisions underscore the importance of a lawyer’s duty to discuss and clarify options:

Heirs of Talaban v. Court of Appeals
Although focusing primarily on diligence, the Court reiterated that a lawyer’s duty includes not merely filing pleadings but counseling the client regarding potential remedies and next steps. Failure to keep the client informed or to present alternative legal recourses constitutes negligence.
In Re: A Suspended Attorney
In various administrative cases, the Supreme Court has disciplined lawyers who unilaterally decided on a course of action without consulting or informing their clients of alternative remedies. The Court repeatedly stressed that the client’s right to make informed decisions is paramount.
Estrada v. Dionisio
While case facts may vary, the principle that emerges is consistent: the lawyer’s responsibility to communicate regularly, present viable avenues, and obtain client consent or instructions on major decisions is an ethical requirement sanctioned by the Court.

These jurisprudential threads converge on the principle that competence and diligence necessarily include meaningful client engagement regarding legal strategies.

IV. ELEMENTS OF A PROPER EXPLANATION OF OPTIONS

Clarity and Simplicity
The lawyer must avoid jargon-laden or overly technical explanations. As clients are generally non-lawyers, clarity often requires the use of everyday language without sacrificing accuracy.
Comprehensiveness
A thorough review of the case facts, legal provisions, and procedural rules is necessary to identify all possible courses of action. This means going beyond the most obvious solution and exploring alternatives such as administrative remedies, mediation, or novel legal approaches.
Disclosure of Risks and Benefits
Each option should be accompanied by a candid evaluation of:
- Likelihood of success or failure.
- Potential costs (court fees, attorney’s fees, ancillary expenses).
- The possible time frame for resolution.
- Effects on the client’s reputation, relationships, or other intangible considerations.
- Possible subsequent steps (e.g., appeals, execution of judgment).
Opportunity for Client Queries
The lawyer must provide the client an open forum to ask questions and clarify doubts. This is crucial to ensure genuine “informed consent” on the part of the client.

V. CONSEQUENCES OF NON-COMPLIANCE

1. Administrative Sanctions

A lawyer who fails to adequately explain viable options, or who takes unilateral actions without consulting the client, may be charged with violating the canons of competence and diligence. The Supreme Court imposes sanctions, ranging from reprimand and suspension to disbarment in severe cases.

2. Civil Liability

A client may file a civil action for damages against a lawyer for negligence or malpractice if it can be shown that the lawyer’s failure to disclose and explain alternatives caused harm to the client’s interests.

3. Erosion of Professional Reputation

Even short of formal proceedings, repeated complaints or negative feedback from clients can damage a lawyer’s standing in the legal community and undermine professional credibility.

VI. BEST PRACTICES FOR LAWYERS

Document All Communications
Whenever possible, follow up face-to-face or phone consultations with written summaries (letters or emails) that outline the options and record any instructions from the client.
Provide Realistic Assessments
Avoid sugar-coating or overstating the strengths of the case; be forthright about weaknesses, costs, and potential pitfalls. An accurate assessment enhances the client’s decision-making process.
Engage in Continuous Dialogue
Legal scenarios evolve. What was once an unviable option might become viable later (or vice versa). Maintain ongoing communication so the client can reassess and realign the legal strategy when circumstances change.
Stay Updated on Laws and Procedures
Competence requires continual legal education. The duty to explain “viable options” presumes the lawyer is up-to-date with the latest statutes, jurisprudence, administrative rules, and relevant legal trends.
Encourage Questions and Feedback
Ensure the client feels comfortable asking for clarifications. A client who understands the legal environment is more likely to trust counsel and follow a coherent strategy.

VII. INTERPLAY WITH OTHER ETHICAL DUTIES

Confidentiality (Canon II or III, CPRA): While explaining the options, a lawyer must be careful not to disclose confidential client information to any unauthorized party.
Conflict of Interest (Canon V or VI, CPRA): If different options might benefit different clients in a multiple-client scenario, or the lawyer’s interests are implicated, conflicts of interest rules demand full disclosure and, if necessary, withdrawal.
Zeal and Loyalty: Explaining options demonstrates loyalty because it ensures the client’s best interests are served. Zealous advocacy, however, must never override the client’s autonomy to decide after being properly informed.

VIII. CONCLUSION

Under Canon IV on Competence and Diligence in the 2023 Code of Professional Responsibility and Accountability, the duty to explain viable options to a client lies at the heart of ethical legal practice in the Philippines. It reflects a lawyer’s commitment to providing informed, transparent, and effective representation. By thoroughly canvassing potential remedies, elucidating their respective merits and demerits, and cultivating open communication, a lawyer honors both the letter and spirit of the professional canons.

Key Takeaways:

A lawyer must ensure that the client is equipped with a clear understanding of all possible courses of action.
This duty is grounded in the fundamental principles of client autonomy, competent representation, and fiduciary trust.
Non-compliance may result in serious disciplinary and civil liability.
Best practices include detailed documentation, continuous education, and forthright communication.

By diligently explaining all viable legal pathways and enabling clients to make informed decisions, lawyers uphold the nobility of the legal profession and fortify public confidence in the administration of justice.