Rules Governing the Legal Profession and Judiciary in Illinois 

TABLE OF CONTENTS

Rules of Professional Conduct

Preamble
Rule 1.1 Competence
Rule 1.2 Scope of Representation

Rule 1.3

Diligence

Rule 1.4 

Communication

Rule 1.5 

Fees
Rule 1.6  Confidentiality of Information (Amended May 24, 2006)
Rule 1.7  Conflict of Interest: General Rule
Rule 1.8 Conflict of Interest: Prohibited Transactions

Rule 1.9 

Conflict of Interest: Former Client
Rule 1.10  Imputed Disqualification: General Rule

Rule 1.11 

Successive Government and Private Employment

Rule 1.12 

Former Judge or Arbitrator

Rule 1.13 

Organization as Client

Rule 1.14 

Client Under a Disability
Rule 1.15  Safekeeping Property (Amended January 25, 2007, eff. June 1, 2007)

Rule 1.16 

Declining or Terminating Representation
Rule 1.17 Sale or Transfer of a Law Practice (New)

Rule 2.1 

Advisor

Rule 2.2 

Reserved

Rule 2.3

Evaluation for Use by Third Persons

Rule 3.1 

Meritorious Claims and Contentions

Rule 3.2 

Expediting Litigation

Rule 3.3 

Conduct Before a Tribunal

Rule 3.4

Fairness to Opposing Party and Counsel

Rule 3.5

Impartiality and Decorum of the Tribunal

Rule 3.6 

Trial Publicity

Rule 3.7 

Lawyer as Witness

Rule 3.8 

Special Responsibilities of a Prosecutor
Rule 3.9  Reserved

Rule 4.1 

Truthfulness in Statements to Others

Rule 4.2

Communication With Person Represented by Counsel

Rule 4.3 

Dealing With Unrepresented Person

Rule 4.4 

Respect for Rights of Third Persons

Rule 5.1 

Responsibilities of a Partner or Supervisory Lawyer

Rule 5.2 

Responsibilities of a Subordinate Lawyer
Rule 5.3 Responsibilities Regarding Nonlawyer Assistants
Rule 5.4 Professional Independence of a Lawyer
Rule 5.5 Unauthorized Practice of Law
Rule 5.6 Restrictions on Right to Practice
Rule 6.1 Reserved
Rule 6.2 Accepting Appointments
Rule 6.3 Membership in Legal Services Organization
Rule 6.4 Law Reform Activities Affecting Client Interests
Rule 7.1 Communications Concerning a Lawyer's Services
Rule 7.2 Advertising
Rule 7.3 Direct Contact With Prospective Clients
Rule 7.4 Communication of Fields of Practice
Rule 7.5 Firm Names and Letterheads
Rule 8.1 Bar Admission and Disciplinary Matters
Rule 8.2 Judicial and Legal Officials
Rule 8.3 Reporting Professional Misconduct
Rule 8.4 Misconduct
Rule 8.5 Disciplinary Authority; Choice of Law

 

SUPREME COURT OF ILLINOIS RULES OF PROFESSIONAL CONDUCT

ARTICLE VIII.  

Preamble

The practice of law is a public trust.  Lawyers are the trustees of the system by which citizens resolve disputes among themselves, punish and deter crime, and determine their relative rights and responsibilities toward each other and their government.  Lawyers therefore are responsible for the character, competence and integrity of the persons whom they assist in joining their profession; for assuring access to that system through the availability of competent legal counsel; for maintaining public confidence in the system of justice by acting competently and with loyalty to the best interests of their clients; by working to improve that system to meet the challenges of a rapidly changing society; and by defending the integrity of the judicial system against those who would corrupt, abuse or defraud it.

To achieve these ends the practice of law is regulated by the following rules.  Violation of these rules is grounds for discipline.  No set of prohibitions, however, can adequately articulate the positive values or goals sought to be advanced by those prohibitions.  This preamble therefore seeks to articulate those values in much the same way as did the former canons set forth in the Illinois Code of Professional Responsibility.  Lawyers seeking to conform their conduct to the requirements of these rules should look to the values described in this preamble for guidance in interpreting the difficult issues which may arise under the rules.

The policies which underlie the various rules may, under certain circumstances, be in some tension with each other.  Wherever feasible, the rules themselves seek to resolve such conflicts with clear statements of duty.  For example, a lawyer must disclose, even in breach of a client confidence, a client's intent to commit a crime involving a serious risk of bodily harm.  In other cases, lawyers must carefully weigh conflicting values, and make decisions, at the peril of violating one or more of the following rules.  Lawyers are trained to make just such decisions, however, and should not shrink from the task.  To reach correct ethical decisions, lawyers must be sensitive to the duties imposed by these rules and, whenever practical, should discuss particularly difficult issues with their peers.

Timely, affordable counsel is essential if disputes are to be avoided and, when necessary, resolved.  Basic rights have little meaning without access to the judicial system which vindicates them.  Effective access to that system often requires the assistance of counsel.

It is the responsibility of those licensed as officers of the court to use their training, experience and skills to provide services in the public interest for which compensation may not be available.  It is the responsibility of those who manage law firms to create an environment that is hospitable to the rendering of a reasonable amount of uncompensated service by lawyers practicing in that firm.

Service in the public interest may take many forms.  These include but are not limited to pro bono representation of persons unable to pay for legal services and assistance in the organized bar's efforts at law reform.  An individual lawyer's efforts in these areas is evidence of the lawyer's good character and fitness to practice law, and the efforts of the bar as a whole are essential to the bar's maintenance of professionalism.

The absence from the proposed new rules of ABA Model Rule 6.1 regarding pro bono and public service therefore should not be interpreted as limiting the responsibility of attorneys to render uncompensated service in the public interest.  Rather, the rationale for the absence of ABA Model Rule 6.1 is that this concept is not appropriate for a disciplinary code, because an appropriate disciplinary standard regarding pro bono and public service is difficult, if not impossible, to articulate.  That ABA Model Rule 6.1 itself uses the word "should" instead of "shall" in describing this duty reflects the uncertainty of the ABA on this issue.

The quality of the legal professional can be no better than that of its members.  Lawyers must exercise good judgment and candor in supporting applicants for membership in the bar.

Lawyers also must assist in the policing of lawyer misconduct.  The vigilance of the bar in preventing and, where required, reporting misconduct can be a formidable deterrent to such misconduct, and a key to maintaining public confidence in the integrity of the profession as a whole in the face of the egregious misconduct of a few.

Legal services are not a commodity.  Rather, they are the result of the efforts, training, judgment and experience of the members of a learned profession.  These rules reflect the sensitive task of striking a balance between making available useful information regarding the availability and merits of lawyers and the need to protect the public against deceptive or overreaching practices.  All communications with clients and potential clients should be consistent with these values.

The lawyer-client relationship is one of trust and confidence.  Such confidence only can be maintained if the lawyer acts competently and zealously pursues the client's interests within the bounds of the law.  "Zealously" does not mean mindlessly or unfairly or oppressively.  Rather, it is the duty of all lawyers to seek resolution of disputes at the least cost in time, expense and trauma to all parties and to the courts.

Terminology

"Belief" or "believes"  denotes that the person involved actually supposed the fact in question to be true.  A person's belief may be inferred from circumstances.

"Confidence"  denotes information protected by the lawyer-client privilege under applicable law.

"Contingent fee agreement"  denotes an agreement for the provision of legal services by a lawyer under which the amount of the lawyer's compensation is contingent in whole or in part upon the successful completion of the subject matter of the agreement, regardless of whether the fee is established by formula or is a fixed amount.

"Disclose" or "disclosure"  denotes communication of information reasonably sufficient to permit the client to appreciate the significance of the matter in question.

"Firm" or "law firm"  denotes a lawyer or lawyers engaged in the private practice of law in a partnership, professional corporation, or other entity or in the legal department of a corporation, legal services organization or other entity.

"Fraud" or "fraudulent"  denotes conduct having a purpose to deceive and not merely negligent misrepresentation or failure to apprise another of relevant information.

"Knowingly" "known" or "knows"  denotes actual knowledge of the fact in question.  A person's knowledge may be inferred from circumstances.

"Partner"  denotes a lawyer who is a member of a partnership, or a shareholder or officer in a law firm organized as a professional corporation.

"Person"  denotes natural persons, partnerships, business corporations, not-for-profit corporations, public and quasi public corporations, municipal corporations, State and Federal governmental bodies and agencies, or any other type of lawfully existing entity.

"Reasonable" or "reasonably"  when used in relation to conduct by a lawyer denotes the conduct of a reasonably prudent and competent lawyer.

"Reasonable belief" or "reasonably believes"  when used in reference to a lawyer denotes that the lawyer believes the matter in question and that the circumstances are such that the belief is reasonable.

"Reasonably should know"  when used in reference to a lawyer denotes that a lawyer of reasonable prudence and competence would ascertain the matter in question.

"Secret"  denotes information gained in the professional relationship, that the client has requested be held inviolate or the revelation of which would be embarrassing to or would likely be detrimental to the client.

"Substantial"  when used in reference to degree or extent denotes a material matter of clear and weighty importance.

RULE 1.1                Competence  

(a)    A lawyer shall provide competent representation to a client.  Competent representation requires the legal knowledge, skill, thoroughness and preparation necessary for the representation.

(b)    A lawyer shall not represent a client in a legal matter in which the lawyer knows or reasonably should know that the lawyer is not competent to provide representation, without the association of another lawyer who is competent to provide such representation.

(c)    After accepting employment on behalf of a client, a lawyer shall not thereafter delegate to another lawyer not in the lawyer's firm the responsibility for performing or completing that employment, without the client's consent.

Adopted February 8, 1990, effective August 1, 1990.  

RULE 1.2                Scope of Representation  

(a)    A lawyer shall abide by a client's decisions concerning the objectives of representation, subject to paragraphs (c), (d) and (e), and shall consult with the client as to the means by which they are to be pursued.  A lawyer shall abide by a client's decision whether to accept an offer of settlement of a matter.  In a criminal case, the lawyer shall abide by the client's decision, after disclosure by the lawyer, as to a plea to be entered, whether to waive jury trial and whether the client will testify.

(b)    A lawyer's representation of a client, including representation by appointment, does not constitute an endorsement of the client's political, economic, social or moral views or activities.

(c)    A lawyer may limit the objectives of the representation if the client consents after disclosure.

(d)    A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good-faith effort to determine the validity, scope, meaning or application of the law.

(e)    A lawyer shall not present, participate in presenting, or threaten to present criminal charges or professional disciplinary actions to obtain an advantage in a civil matter.

(f)    In representation of a client, a lawyer shall not:

(1)   file a suit, assert a position, conduct a defense, delay a trial or take other action on behalf of the client when the lawyer knows or reasonably should know that such action would serve merely to harass or maliciously injure another;

(2)   advance a claim or defense the lawyer knows is unwarranted under existing law, except that the lawyer may advance such claim or defense if it can be supported by a good-faith argument for an extension, modification, or reversal of existing law; or

(3)   fail to disclose that which the lawyer is required by law to reveal.

(g)    A lawyer who knows a client has, in the course of representation, perpetrated a fraud upon a person or tribunal shall promptly call upon the client to rectify the same, and if the client refuses or is unable to do so, the lawyer shall reveal the fraud to the affected person or tribunal, except when the information is protected as a privileged communication.

(h)   A lawyer who knows that a person other than the client has perpetrated a fraud upon a tribunal shall promptly reveal the fraud to the tribunal.

(i)    When a lawyer knows that a client expects assistance not permitted by these Rules or other law, the lawyer shall consult with the client regarding the relevant limitations on the lawyer's conduct.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.3                Diligence

 A lawyer shall act with reasonable diligence and promptness in representing a client.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.4                Communication

(a)    A lawyer shall keep a client reasonably informed about the status of a matter and promptly comply with reasonable requests for information.

(b)    A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.5                Fees  

(a)    A lawyer's fee shall be reasonable.  The factors to be considered in determining the reasonableness of a fee include the following:

(1)   the time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly;

(2)   the likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer;

(3)   the fee customarily charged in the locality for similar legal services;

(4)   the amount involved and the results obtained;

(5)   the time limitations imposed by the client or by the circumstances;

(6)   the nature and length of the professional relationship with the client;

(7)   the experience, reputation, and ability of the lawyer or lawyers performing the services; and

(8)   whether the fee is fixed or contingent.

(b)    When the lawyer has not regularly represented the client, the basis or rate of the fee shall be communicated to the client before or within a reasonable time after commencing the representation.

(c)    A fee may be contingent on the outcome of the matter for which the service is rendered, except in a matter in which a contingent fee is prohibited by paragraph (d) or other law.  A contingent fee agreement shall be in writing and shall state the method by which the fee is to be determined, including the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial or appeal, litigation and other expenses to be deducted from the recovery, and whether such expenses are to be deducted before or after the contingent fee is calculated.  Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination.

(d)    A lawyer shall not enter into an arrangement for, charge, or collect:

(1)   any fee in a domestic relations matter, the payment or amount of which is contingent upon the securing of a dissolution of marriage or upon the amount of maintenance or support, or property settlement in lieu thereof; provided, however, that the prohibition set forth in Rule 1.5(d)(1) shall not extend to representation in matters subsequent to final judgments in such cases;

(2)   a contingent fee for representing a defendant in a criminal case.

(e)    Notwithstanding Rule 1.5(c), a contingent fee agreement regarding the collection of commercial accounts or of insurance company subrogation claims may be made in accordance with the customs and practice in the locality for such legal services.

(f)    Except as provided in Rule 1.5(j), a lawyer shall not divide a fee for legal services with another lawyer who is not in the same firm, unless the client consents to employment of the other lawyer by signing a writing which discloses:

(1)   that division of fees will be made;

(2)   the basis upon which the division will be made, including the economic benefit to be received by the other lawyer as a result of the division; and

(3)   the responsibility to be assumed by the other lawyer for performance of the legal services in question.

(g)    A division of fees shall be made in proportion to the services performed and responsibility assumed by each lawyer, except where the primary service performed by one lawyer is the referral of the client to another lawyer and

(1)   the receiving lawyer discloses that the referring lawyer has received or will receive economic benefit from the referral and the extent and basis of such economic benefit, and

(2)   the referring lawyer agrees to assume the same legal responsibility for the performance of the services in question as would a partner of the receiving lawyer.

(h)   The total fee of the lawyers shall be reasonable.

(i)    For purposes of Rule 1.5 "economic benefit" shall include:

(1)   the amount of participation in the fee received with regard to the particular matter;

(2)   any other form of remuneration passing to the referring lawyer from the receiving lawyer, whether or not with regard to the particular matter; and

(3)   an established practice of referrals to and from or from and to the receiving lawyer and the referring lawyer.

(j)    Notwithstanding Rule 1.5(f), a payment may be made to a lawyer formerly in the firm, pursuant to a separation or retirement agreement.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.6                Confidentiality of Information  

(a)    Except when required under Rule 1.6(b) or permitted under Rule 1.6(c), a lawyer shall not, during or after termination of the professional relationship with the client, use or reveal a confidence or secret of the client known to the lawyer unless the client consents after disclosure.

(b)    A lawyer shall reveal information about a client to the extent it appears necessary to prevent the client from committing an act that would result in death or serious bodily harm.

(c)    A lawyer may use or reveal:

(1)   confidences or secrets when permitted under these Rules or required by law or court order,

(2)   the intention of a client to commit a crime in circumstances other than those enumerated in Rule 1.6(b); or

(3)   confidences or secrets necessary to establish or collect the lawyer's fee or to defend the lawyer or the lawyer's employees or associates against an accusation of wrongful conduct.

(d)    The relationship of trained intervenor and a lawyer, judge, or a law student who seeks or receives assistance through the Lawyers' Assistance Program, Inc., shall be the same as that of lawyer and client for purposes of the application of Rule 8.1, Rule 8.3 and Rule 1.6.

(e)    Any information received by a lawyer in a formal proceeding before a trained intervenor, or panel of intervenors, of the Lawyers' Assistance Program, Inc., or in an intermediary program approved by a circuit court in which nondisciplinary complaints against judges or lawyers can be referred shall be deemed to have been received from a client for purposes of the application of Rules 1.6, 8.1 and 8.3.

Adopted February 8, 1990; effective August 1, 1990; amended February 2, 1994, effective immediately; amended May 24, 2006, effective immediately..  

RULE 1.7                Conflict of Interest: General Rule  

(a)    A lawyer shall not represent a client if the representation of that client will be directly adverse to another client, unless:

(1)   the lawyer reasonably believes the representation will not adversely affect the relationship with the other client; and

(2)   each client consents after disclosure.

(b)    A lawyer shall not represent a client if the representation of that client may be materially limited by the lawyer's responsibilities to another client or to a third person, or by the lawyer's own interests, unless:

(1)   the lawyer reasonably believes the representation will not be adversely affected; and

(2)   the client consents after disclosure.

(c)    When representation of multiple clients in a single matter is undertaken, the disclosure shall include explanation of the implications of the common representation and the advantages and risks involved.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.8                Conflict of Interest: Prohibited Transactions  

(a)    Unless the client has consented after disclosure, a lawyer shall not enter into a business transaction with the client if:

(1)   the lawyer knows or reasonably should know that the lawyer and the client have or may have conflicting interests therein; or

(2)   the client expects the lawyer to exercise the lawyer's professional judgment therein for the protection of the client.

(b)    Unless all aspects of the matter giving rise to the employment have been concluded, a lawyer shall not enter into any arrangement or understanding with a client or a prospective client by which the lawyer acquires an interest in publication, media, or other literary rights with respect to the subject matter of employment or proposed employment.

(c)    A lawyer shall not prepare an instrument giving the lawyer or a person related to the lawyer as parent, child, sibling or spouse any substantial gift from a client, including a testamentary gift, except where the client is related to the donee.

(d)    While representing a client in connection with contemplated or pending litigation, a lawyer shall not advance or guarantee financial assistance to the client, except that a lawyer may advance or guarantee the expenses of litigation, including, but not limited to, court costs, expenses of investigation, expenses of medical examination, and costs of obtaining and presenting evidence if:

(1)   the client remains ultimately liable for such expenses; or

(2)   the repayment is contingent on the outcome of the matter; or

(3)   the client is indigent.

(e)    A lawyer who represents two or more clients shall not participate in making an aggregate settlement of the claims of or against the clients, or in a criminal case an aggregate agreement as to guilty or nolo contendere pleas, unless each client consents after disclosure, including disclosure of the existence and nature of all the claims or pleas involved and of the participation of each person in the settlement.

(f)    A lawyer shall not make an agreement with a client prospectively limiting the lawyer's liability to the client unless such an agreement is permitted by law and the client is independently represented in making the agreement.

(g)    A lawyer shall not settle a claim against the lawyer made by an unrepresented client or former client without first advising that person in writing that independent representation is appropriate in connection therewith.

(h)   A lawyer shall not enter into an agreement with a client or former client limiting or purporting to limit the right of the client or former client to file or pursue any complaint before the Attorney Registration and Disciplinary Commission.

(i)    A lawyer shall not acquire a proprietary interest in the cause of action or the subject matter of litigation which is being conducted for a client except by:

(1)   acquiring a lien granted by law to secure fees or expenses; or

(2)   contracting with a client for a reasonable contingent fee in a civil case.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.9                Conflict of Interest: Former Client  

(a)    A lawyer who has formerly represented a client in a matter shall not thereafter:

(1)   represent another person in the same or a substantially related matter in which that person's interests are materially adverse to the interests of the former client, unless the former client consents after disclosure; or

(2)   use information relating to the representation to the disadvantage of the former client, unless:

(A)   such use is permitted by Rule 1.6; or

(B)   the information has become generally known.

Adopted February 8, 1990; effective August 1, 1990.

RULE 1.10      Imputed Disqualification: General Rule  

(a)    No lawyer associated with a firm shall represent a client when the lawyer knows or reasonably should know that another lawyer associated with that firm would be prohibited from doing so by Rules 1.7, 1.8(c) or 1.9, except as permitted by Rules 1.10(b), (c) or (d), or by Rule 1.11 or Rule 1.12.

(b)    When a lawyer becomes associated with a firm, the firm may not represent a person in a matter that the firm knows or reasonably should know is the same or substantially related to a matter in which the newly associated lawyer, or a firm with which that lawyer was associated, had previously represented a client whose interests are materially adverse to that person unless:

(1)   the newly associated lawyer has no information protected by Rule 1.6 or Rule 1.9 that is material to the matter; or

(2)   the newly associated lawyer is screened from any participation in the matter.

(c)    When a lawyer has terminated an association with a firm, the firm may thereafter represent a person with interests materially adverse to those of a client represented by the formerly associated lawyer if:

(1)   the matter is not the same or substantially related to that in which the formerly associated lawyer represented the client; and

(2)   no lawyer remaining in the firm has information protected by Rule 1.6 and Rule 1.10 that is material to the matter.

(d)    A disqualification prescribed by Rule 1.10 may be waived by the affected client under the conditions stated in Rule 1.7.

(e)    For purposes of Rule 1.10, Rule 1.11, and Rule 1.12, a lawyer in a firm will be deemed to have been screened from any participation in a matter if:

(1)   the lawyer has been isolated from confidences, secrets, and material knowledge concerning the matter;

(2)   the lawyer has been isolated from all contact with the client or any agent, officer, or employee of the client and any witness for or against the client;

(3)   the lawyer and the firm have been precluded from discussing the matter with each other; and

(4)   the firm has taken affirmative steps to accomplish the foregoing.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.11      Successive Government and Private Employment  

(a)    Except as otherwise expressly permitted by law, a lawyer shall not represent a private client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee, unless the appropriate government agency consents after disclosure.  No lawyer in a firm with which that lawyer is associated and who knows or reasonably should know of the lawyer's prior participation may undertake or continue representation in such a matter unless:

(1)   the disqualified lawyer is screened from any participation in the matter and is apportioned no specific share of the fee therefrom; and

(2)   written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with the provisions of Rule 1.11.

(b)    Except as otherwise permitted by law, a lawyer having information that the lawyer knows is confidential government information about a person, acquired when the lawyer was a public officer or employee, may not represent a private client whose interests are adverse to that person in a matter in which the information could be used to the material disadvantage of that person.  A firm with which that lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is screened from any participation in the matter and is apportioned no specific share of the fee therefrom.

(c)    Except as otherwise expressly permitted by law, a lawyer serving as a public officer or employee shall not:

(1)   participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment, unless under applicable law no one is, or by lawful delegation may be, authorized to act in the lawyer's stead in the matter; or

(2)   negotiate for private employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally or substantially.

(d)    As used in Rule 1.11, the term "matter" denotes:

(1)   any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, offset or other particular matter involving a specific party or parties; and

(2)   any other matter covered by the conflict of interest rules of the appropriate government agency.

(e)    As used in Rule 1.11, the term "confidential government information" denotes information which has been obtained under governmental authority and which, at the time Rule 1.11 is applied, the government is prohibited by law from revealing to the public or has a legal privilege not to reveal, and which is not otherwise available to the public.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.12      Former Judge or Arbitrator  

(a)    Except as provided in Rule 1.12(d), a lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer, arbitrator, or law clerk to such a person, unless all parties to the proceeding consent after disclosure.

(b)    A lawyer shall not negotiate for employment with any person who is involved as a party or as a lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge, other adjudicative officer, or arbitrator.  A lawyer serving as a law clerk to a judge, other adjudicative officer, or arbitrator may negotiate for employment with a party or a lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge, other adjudicative officer, or arbitrator.

(c)    If a lawyer is disqualified by Rule 1.12(a), a lawyer in the firm with which that lawyer is associated who knows or reasonably should know of that disqualification shall not undertake or continue representation in the matter unless:

(1)   the disqualified lawyer is screened from any participation in the matter and is apportioned no specific share of the fee therefrom; and

(2)   written notice is promptly given to the appropriate tribunal to enable it to ascertain compliance with the provisions of Rule 1.12.

(d)    An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.13      Organization as Client  

(a)    A lawyer employed or retained by an organization represents the organization acting through its duly authorized constituents.

(b)    If a lawyer for an organization knows that an officer, employee, or other person associated with the organization is engaged in action, intends to act or refuses to act in a matter related to the representation that is a violation of a legal obligation to the organization, or a violation of law which reasonably might be imputed to the organization, and is likely to result in substantial injury to the organization, the lawyer shall proceed as is reasonably necessary in the best interest of the organization.  In determining how to proceed, the lawyer shall give due consideration to the seriousness of the violation and its consequences, the scope and nature of the lawyer's representation, the responsibility in the organization and the apparent motivation of the person involved, the policies of the organization concerning such matters, and any other relevant considerations.  Any measures taken shall be designed to minimize disruption of the organization and the risk of revealing information relating to the representation to persons outside the organization.  Such measures may include among others:

(1)   asking reconsideration of the matter;

(2)   advising that a separate legal opinion on the matter be sought for representation to appropriate authority in the organization; and

(3)   referring the matter to higher authority in the organization, including, if warranted by the seriousness of the matter, referral to the highest authority that can act in behalf of the organization as determined by applicable law.

(c)    If, despite the lawyer's efforts in accordance with paragraph (b), the highest authority that can act on behalf of the organization insists upon action, or a refusal to act, that is clearly a violation of the law and is likely to result in substantial injury to the organization, the lawyer may resign in accordance with Rule 1.16.

(d)    In dealing with an organization's directors, officers, employees, members, shareholders or other constituents, a lawyer shall explain the identity of the client when it is apparent that the organization's interests are adverse to those of the constituents with whom the lawyer is dealing.

(e)    A lawyer representing an organization may also represent any of its directors, officers, employees, members, shareholders or other constituents, subject to the provisions of Rule 1.7.  If the organization's consent to the dual representation is required by Rule 1.7, the consent shall be given by an appropriate official of the organization other than the individual who is to be represented, or by the shareholders.

Adopted February 8, 1990; effective August 1, 1990.

RULE 1.14      Client Under a Disability

 (a)    When a client's ability to make adequately considered decisions in connection with the representation is impaired, whether because of minority, mental disability, or some other reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship.

(b)    A lawyer may seek the appointment of a guardian or take other protective action with respect to a client, only when the lawyer reasonably believes that the client cannot adequately act in the client's own interest.

Adopted February 8, 1990; effective August 1, 1990.  

RULE 1.15      Safekeeping Property  

        (a) A lawyer shall hold property of clients or third persons that is in a lawyer’s possession in connection with a representation separate from the lawyer’s own property. Funds shall be kept in a separate account or accounts maintained in the state where the lawyer’s office is situated, or elsewhere with the consent of the client or third person. Other property shall be identified as such and appropriately safeguarded.  Complete records of such account funds and other property shall be kept by the lawyer and shall be preserved for a period of seven years after termination of the representation. 

        (b) Upon receiving funds or other property in which a client or third person has an interest, a lawyer shall promptly notify the client or third person. Except as stated in this rule or otherwise permitted by law or by agreement with the client, a lawyer shall promptly deliver to the client or third person any funds or other property that the client or third person is entitled to receive and, upon request by the client or third person, shall promptly render a full accounting regarding such property. 

         (c) When in the course of representation a lawyer is in possession of property in which both the lawyer and another person claim interests, the property shall be kept separate by the lawyer until there is an accounting and severance of their interests. If a dispute arises concerning their respective interests, the portion in dispute shall be kept separate by the lawyer until the dispute is resolved.

        (d) All nominal or short-term funds of clients paid to a lawyer or law firm, including advances for costs and expenses, shall be deposited in one or more pooled interest-bearing trust accounts established with a bank or savings and loan association, with the Lawyers Trust Fund of Illinois designated as income beneficiary. Each pooled, interest-bearing trust account shall comply with the following provisions:
       
(1) Each lawyer or law firm shall establish one or more interest-bearing trust accounts with any bank(s), savings bank(s) or savings and loan association(s) authorized by federal or state law to do business in Illinois. Each interest-bearing trust account shall be insured by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation and such funds shall be subject to withdrawal promptly upon request. At the direction of the lawyer or law firm, such funds may be used to purchase securities pursuant to fully collateralized overnight repurchase agreements with such financial institution(s), provided such securities: (a) are guaranteed as to principal and interest by the full faith and credit of the United States or are AAA-rated United States agency obligations, and (b) are held by a third-party custodian who shall be either the Federal Reserve Bank of Chicago or St. Louis or a correspondent bank who is a member of the Federal Reserve System.
        (2) The rate of interest payable on any interest-bearing trust account shall not be less than the rate paid by the depository institution to depositors other than lawyers or law firms.

        (3) Each lawyer or law firm shall direct the depository institution to remit net interest or dividends, after deduction of reasonable charges and fees, as the case may be, on the average monthly balance in the account, or as otherwise computed in accordance with the institution’s standard accounting practice, at least quarterly, directly to the Lawyers Trust Fund of Illinois. A statement shall be transmitted with each remittance showing the name of the lawyer or law firm directing that the remittance be sent, the account number, the gross interest, the service fee/handling charge, if any, the net interest remitted, the amount of such remittance, the remittance period, and the rate of interest applied.

        (4) Each lawyer or law firm shall deposit into such interest-beari