Rules Governing the Legal Profession and Judiciary in Illinois

Transcription

1 July 2013 Rules Governing the Legal Profession and Judiciary in Illinois Illinois Code of Judicial Conduct Illinois Supreme Court Rules on Admission and Discipline of Attorneys Illinois Rules of Professional Conduct Rules of the ARDC Rules of the Board of Admission and Committee on Character and Fitness Web Site: Attorney Registration and Disciplinary Commission of the Supreme Court of Illinois One Prudential Plaza 130 East Randolph Drive, Suite 1500 Chicago, IL (312) or (800) Fax (312) West White Oaks Drive, Suite 301 Springfield, IL (217) or ( ) Fax (217)

2 ARDC Mission Statement The mission of the ARDC is to promote and protect the integrity of the legal profession, at the direction of the Supreme Court, through attorney registration, education, investigation, prosecution and remedial action. As an administrative agency of the Supreme Court of Illinois, the ARDC assists the Court in regulating the legal profession through attorney registration, education, investigation, prosecution and remedial action. Through our annual registration process, we compile a list of lawyers authorized to practice law. We provide ready access to that list so that the public, the profession and courts may access lawyers credentials and contact information. We educate lawyers through seminars and publications to help them serve their clients effectively and professionally within the bounds of the rules of conduct adopted by the Court. We provide guidance to lawyers and to the public on ethics issues through our confidential Ethics Inquiry telephone service. The ARDC handles discipline matters fairly and promptly, balancing the rights of the lawyers involved and the protection of the public, the courts and the legal profession. Grievances are investigated confidentially. Disciplinary prosecutions are adjudicated publicly and result in recommendations to the Court for disposition. Our boards consist of independent, diverse groups of volunteer lawyers and non-lawyers who make recommendations in disciplinary matters. We advocate for restitution and other remedial action in disciplinary matters. We seek to provide reimbursements through our Client Protection Program to those whose funds have been taken dishonestly by Illinois lawyers who have been disciplined. Ethics Inquiry Program The Ethics Inquiry Program was created by the ARDC to assist attorneys and the public when they have general questions about a lawyer s professional responsibilities or attorney disciplinary case law. The Program is free of charge and provides research assistance and guidance regarding ethics issues and the Illinois Rules of Professional Conduct. The goal of the Program is to help lawyers understand their professional obligations and assist them in resolving important issues in their practice. The Program provides them with information about professional responsibility law, legal precedent, bar association ethics opinions, law review articles and practical guidelines. The Program cannot give either legal advice or a binding advisory opinion. The Program also aids the public in understanding the obligations that lawyers owe to the courts, clients and the profession. The Commission Rules governing the Program are contained in Article VIII, Com. Rules 601 et seq. An attorney or member of the public may make an ethics inquiry by telephoning 312/ or 800/ Callers may remain anonymous and must pose inquiries in hypothetical form.

3 i TABLE OF CONTENTS CODE OF JUDICIAL CONDUCT... 1 Preamble... 1 Terminology... 1 RULE 61 RULE 62 RULE 63 RULE 64 RULE 65 RULE 66 RULE 67 Canon 1. A Judge Should Uphold the Integrity and Independence of the Judiciary Canon 2. A Judge Should Avoid Impropriety and the Appearance of Impropriety in All of the Judge's Activities Canon 3. A Judge Should Perform the Duties of Judicial Office Impartially and Diligently Canon 4. A Judge may Engage in Activities to Improve the Law, the Legal System, and the Administration of Justice Canon 5. A Judge Should Regulate His or Her Extrajudicial Activities to Minimize the Risk of Conflict with the Judge's Judicial Duties Canon 6. Nonjudicial Compensation and Annual Statement of Economic Interests Canon 7. A Judge or Judicial Candidate Shall Refrain from Inappropriate Political Activity RULE 68 Declaration of Economic Interests... 9 RULE 69 Reserved RULE 70 Reserved RULE 71 Violation of Rules RULES 72 through 75 Reserved RULE 76 Military Service of Judges RULES 77 through 85 Reserved SUPREME COURT OF ILLINOIS RULES ON ADMISSION AND DISCIPLINE OF ATTORNEYS Part A. Admission To The Bar RULE 701 General Qualifications RULE 702 Board of Admissions to the Bar RULE 703 Educational Requirements RULE 704 Qualification on Examination RULE 705 Admission on Motion RULE 706 Filing Deadlines and Fees of Registrants and Applicants RULE 707 Permission for an Out-of-State Attorney to Provide Legal Services in Proceedings in Illinois RULE 708 Committee on Character and Fitness RULE 709 Power to Make Rules, Conduct Investigations, and Subpoena Witnesses RULE 710 Immunity... 25

4 TABLE OF CONTENTS RULE 711 Representation by Supervised Senior Law Students or Graduates RULE 712 Licensing of Foreign Legal Consultants Without Examination RULE 713 Applications for Licensing of Foreign Legal Consultants RULE 714 Reserved RULE 715 Admission of Graduates of Foreign Law Schools RULE 716 Limited Admission of House Counsel RULE 717 Limited Admission of Legal Service Program Lawyers RULE 718 Provision of Legal Services Following Determination of Major Disaster RULE 719 Admission of Military Spouse Attorneys From Other Jurisdictions RULE 720 Reserved Part A-1. Practice Of Law RULE 721 Professional Service Corporations, Professional Associations, Limited Liability Companies, and Registered Limited Liability Partnerships for the Practice of Law RULE 722 Limited Liability Legal Practice RULES 723 through 729 Reserved RULE 730 Group Legal Services RULES 731 through 750 Reserved Part B. Registration And Discipline Of Attorneys RULE 751 Attorney Registration and Disciplinary Commission RULE 752 Administrator RULE 753 Inquiry, Hearing and Review Boards RULE 754 Subpoena Power RULE 755 Assistance of Members of the Bar, Rule Making Power of Boards RULE 756 Registration and Fees RULE 757 Transfer to Disability Inactive Status upon Involuntary Commitment or upon Judicial Determination of Legal Disability Because of Mental Condition RULE 758 Mental Disability or Addiction to Drugs or Intoxicants RULE 759 Restoration to Active Status RULE 760 Appointment of Medical Experts RULE 761 Conviction of Crime RULE 762 Disbarment and Other Discipline on Consent RULE 763 Reciprocal Disciplinary Action RULE 764 Duties of a Disciplined Attorney and Attorneys Affiliated with Disciplined Attorney RULE 765 Service RULE 766 Confidentiality and Privacy RULE 767 Reinstatement RULE 768 Notification of Disciplinary Action ii

5 TABLE OF CONTENTS iii RULE 769 Maintenance of Records RULE 770 Types of Discipline RULE 771 Finality of Orders and Effective Date of Discipline RULE 772 Probation RULE 773 Costs RULE 774 Interim Suspension RULE 775 Immunity RULE 776 Appointment of Receiver in Certain Cases RULE 777 Registration of, and Disciplinary Proceedings Relating to Foreign Legal Consultants RULE 778 Retention of Records by Administrator RULE 779 Unauthorized Practice of Law Proceedings RULE 780 Client Protection Program Part C. Minimum Continuing Legal Education Preamble RULE 790 Title and Purpose RULE 791 Persons Subject to MCLE Requirements RULE 792 The MCLE Board RULE 793 Requirement for Newly-Admitted Attorneys RULE 794 Continuing Legal Education Requirement RULE 795 Accreditation Standards and Hours RULE 796 Enforcement of MCLE Requirements RULE 797 Confidentiality RULE 798 Reserved Part D. Commission On Professionalism RULE 799 Supreme Court Commission on Professionalism SUPREME COURT OF ILLINOIS RULES OF PROFESSIONAL CONDUCT OF Preamble: A Lawyer s Responsibilities Scope RULE 1.0 Terminology RULE 1.1 Competence RULE 1.2 Scope of Representation and Allocation of Authority Between Client and Lawyer RULE 1.3 Diligence RULE 1.4 Communication RULE 1.5 Fees RULE 1.6 Confidentiality of Information RULE 1.7 Conflict of Interest: Current Clients RULE 1.8 Conflict of Interest: Current Clients: Specific Rules

6 TABLE OF CONTENTS RULE 1.9 Duties To Former Clients RULE 1.10 Imputation Of Conflicts Of Interest: General Rule RULE 1.11 Special Conflicts of Interest for Former and Current Government Officers and Employee RULE 1.12 Former Judge, Arbitrator, Mediator or Other Third-Party Neutral RULE 1.13 Organization as Client RULE 1.14 Client with Diminished Capacity RULE 1.15 Safekeeping Property RULE 1.16 Declining or Terminating Representation RULE 1.17 Sale of Law Practice RULE 1.18 Duties to Prospective Client RULE 2.1 Advisor RULE 2.2 Reserved RULE 2.3 Evaluation for Use by Third Persons RULE 2.4 Lawyer Serving as Third-Party Neutral RULE 3.1 Meritorious Claims and Contentions RULE 3.2 Expediting Litigation RULE 3.3 Candor Toward the 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 Advocate in Nonadjudicative Proceedings 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 Partners, Managers, and Supervisory Lawyers 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; Multijurisdictional Practice of Law RULE 5.6 Restrictions on Right to Practice RULE 5.7 Reserved RULE 6.1 Reserved RULE 6.2 Accepting Appointments RULE 6.3 Membership in Legal Services Organization iv

7 TABLE OF CONTENTS v RULE 6.4 Law Reform Activities Affecting Client Interests RULE 6.5 Nonprofit and Court-Annexed Limited Legal Services Programs 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 and Specialization RULE 7.5 Firm Names and Letterheads RULE 7.6 Reserved 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 RULES OF THE ATTORNEY REGISTRATION AND DISCIPLINARY COMMISSION Article I General RULE 1 Preamble RULE 2 Definitions RULE 3 Construction RULES 4 through 50 Reserved Article II Investigations By The Administrator RULE 51 Initiation of an Investigation RULE 52 Charges RULE 53 Duty of Attorneys RULE 54 Closure by Administrator RULE 55 Reference to Inquiry Board RULES 56 through 100 Reserved Article III The Inquiry Board RULE 101 Organization RULE 102 Function and Procedure of Inquiry Board RULE 103 Inquiry Panel Agenda RULE 104 Prompt Disposition RULE 105 Notice that Complaint may Be Voted RULE 106 Right to Counsel RULE 107 Notification to Complaining Witness RULE 108 Determination to Defer Further Proceedings RULES 109 through 200 Reserved Article IV The Hearing Board RULE 201 Organization

8 TABLE OF CONTENTS RULES 202 through 210 Reserved RULE 211 Preparation and Form of Complaint RULE 212 Docketing and Assignment to Panel for Hearing RULE 213 Reserved RULE 214 Service of Complaint RULE 215 Persons Authorized to Make Service RULES 216 through 230 Reserved RULE 231 Return Date RULE 232 Pleadings Subsequent to the Complaint RULE 233 Answer to be Specific RULE 234 Replies RULE 235 Motions RULE 236 Failure to Answer RULE 237 Master File RULES 238 through 250 Reserved RULE 251 Discovery RULE 252 Diligence in Discovery RULE 253 Disclosure of Witnesses RULES 254 through 259 Reserved RULE 260 Prehearing Conferences RULE 261 Substitution and Recusal of Hearing Chair and Panel Members RULES 262 through 270 Reserved RULE 271 (Deleted, effective October 21, 1988) RULE 272 Continuances RULE 273 Evidence RULE 274 Hearings to be Continuous RULE 275 Exclusion of Witnesses RULE 276 Exhibits RULE 277 Prior Discipline RULES 278 through 280 Reserved RULE 281 Report of the Hearing Board RULE 282 Reprimands RULE 283 Notification to Complaining Witness RULE 284 Post-Trial Procedures RULES 285 through 290 Reserved RULE 291 Perpetuating Testimony RULES 292 through 300 Reserved Article V The Review Board vi

9 TABLE OF CONTENTS RULE 301 Review of Hearing Board Report, Notice of Exceptions RULE 302 Briefs RULE 303 Reserved RULE 304 Oral Arguments RULES 305 through 310 Reserved RULE 311 Review Board Report RULE 312 Reprimands RULE 313 Notification to Complaining Witness RULE 314 Prior Discipline RULES 315 through 399 Reserved Article VI Reinstatement RULE 400 Presentation of Petition RULE 401 Presentation of Petition RULE 402 Content of Petition RULES 403 through 410 Reserved RULE 411 Filing of Petition RULE 412 Assignment to Chair RULE 413 Prehearing Conference RULE 414 Investigation by Administrator; Objections and Participation in Hearing RULE 415 Hearing and Review Procedure RULES 416 through 500 Reserved Article VII Client Protection Program RULE 501 Eligible Claims RULE 502 Excluded Claims RULE 503 Claims Payments Discretionary RULE 504 Form of Claim RULE 505 Content of Claim Form RULE 506 Claims Procedure RULE 507 Determination RULE 508 Request for Reconsideration: Assignment to Panel RULE 509 Review by Panel RULE 510 Payment of Claims RULE 511 Restitution and Subrogation RULE 512 Compensation for Representing Claimants Article VIII Ethics Inquiry Program RULE 601 Establishment of Program RULE 602 Purpose of Program RULE 603 The Ethics Inquiry vii

10 TABLE OF CONTENTS RULE 604 Response of Ethics Inquiry Program RULE 605 Inadmissibility of Inquiry Communications RULE 606 Records; Disclosure THE BOARD OF ADMISSIONS TO THE BAR AND THE COMMITTEES ON CHARACTER AND FITNESS OF THE SUPREME COURT OF ILLINOIS Rules of Procedure RULE 1 Character and Fitness Committees RULE 2 Director of Administration RULE 3 Character and Fitness Registration RULE 4 Application to Take the Bar Examination RULE 5 Processing of Character and Fitness Requirements RULE 6 Character and Fitness Requirements RULE 7 Conditional Admission RULE 8 Initial Review of Character and Fitness Applications RULE 9 Consideration of Character and Fitness Applications RULE 10 Status of Certain Character and Fitness Registration Applications RULE 11 Confidentiality RULE 12 Appeals RULE 13 New Hearings RULE 14 Service viii

11 CODE OF JUDICIAL CONDUCT CJC Preamble Preamble Our legal system is based on the principle that an independent, fair and competent judiciary will interpret and apply the laws that govern us. The role of the judiciary is central to American concepts of justice and the rule of law. Intrinsic to all provisions of this code are precepts that judges, individually and collectively, must respect and honor the judicial office as a public trust and strive to enhance and maintain confidence in our legal system. The judge is an arbiter of facts and law for the resolution of disputes and a highly visible symbol of government under the rule of law. The Code of Judicial Conduct is intended to establish standards for ethical conduct of judges. It consists of broad statements called canons, specific rules set forth in lettered subsections under each canon, and Committee Commentary. The text of the canons and the rules is authoritative. The Committee Commentary, by explanation, and example, provides guidance with respect to the purpose and meaning of the canons and rules. The Commentary is not intended as a statement of additional rules. The canons and rules are rules of reason. They should be applied consistent with constitutional requirements, statutes, other court rules and decisional law and in the context of all relevant circumstances. The Code is to be construed so as not to impinge on the essential independence of judges in making judicial decisions. The Code is designed to provide guidance to judges and candidates for judicial office and to provide a structure for regulating conduct through disciplinary agencies. It is not designed or intended as a basis for civil liability or criminal prosecution. Furthermore, the purpose of the Code would be subverted if the Code were invoked by lawyers for mere tactical advantage in a proceeding. The canons are not standards of discipline in themselves, but express the policy considerations underlying the rules contained within the canons. The text of the rules is intended to govern conduct of judges and to be binding upon them. It is not intended, however, that every transgression will result in disciplinary action. Whether disciplinary action is appropriate, and the degree of discipline to be imposed, should be determined through a reasonable and reasoned application of the text of the rules and should depend on such factors as the seriousness of the transgression, whether there is a pattern of improper activity and the effect of the improper activity on others or on the judicial system. The Code of Judicial Conduct is not intended as an exhaustive guide for the conduct of judges. They should also be governed in their judicial and personal conduct by general ethical standards. The Code is intended, however, to state basic standards which should govern the conduct of all judges and to provide guidance to assist judges in establishing and maintaining high standards of judicial and personal conduct. (Adopted August 6, 1993, effective immediately.) Terminology Candidate A Candidate is a person seeking public election for or public retention in judicial office. A person becomes a candidate for judicial office as soon as he or she makes a public announcement of candidacy, declares or files as a candidate with the election authority, or authorizes solicitation or acceptance of contributions or support. Court personnel does not include the lawyers in a proceeding before a judge. De minimis denotes an insignificant interest that could not raise reasonable question as to a judge's impartiality. Economic interest denotes ownership of a more than de minimis legal or equitable interest, or a relationship as officer, director, advisor or other active participant in the affairs of a party, except that: (i) ownership of an interest in a mutual or common investment fund that holds securities is not an economic interest in such securities unless the judge participates in the management of the fund or a proceeding pending or impending before the judge could substantially effect the value of the interest; CJC Terminology 1

12 CJC 61 (ii) service by a judge as an officer, director, advisor or other active participant in an educational, religious, charitable, fraternal or civic organization, or service by a judge's spouse, parent or child as an officer, director, advisor or other active participant in any organization does not create an economic interest in securities held by that organization; (iii) a deposit in a financial institution, the proprietary interest of a policyholder in a mutual insurance company, of a depositor in a mutual savings association or of a member in a credit union, or a similar proprietary interest, is not an economic interest in the organization unless a proceeding pending or impending before the judge could substantially affect the value of the interest; (iv) ownership of government securities is not an economic interest in the issuer unless a proceeding pending or impending before the judge could substantially affect the value of the securities. Fiduciary includes such relationships as executor, administrator, trustee, and guardian. He Whenever this pronoun is used it includes the feminine as well as the masculine form. Judge includes circuit and associate judges and judges of the appellate and Supreme Court. Knowingly, knowledge, known or knows denotes actual knowledge of the fact in question. A person's knowledge may be inferred from circumstances. Law denotes court rules as well as statutes, constitutional provisions and decisional law. Member of a candidate's/judge's family denotes a spouse, child, grandchild, parent, grandparent or other relative or person with whom the candidate maintains a close familial relationship. Member of the judge's family residing in the judge's household denotes any relative of a judge by blood or marriage, or a person treated by a judge as a member of the judge's family who resides in the judge's household. Political organization denotes a political party or other group, the principal purpose of which is to further the election or appointment of candidates to political office. Public election This term includes primary and general elections: it includes partisan elections, nonpartisan elections and retention elections. Require The rules prescribing that a judge require certain conduct of others are, like all of the rules in this Code, rules of reason. The use of the term require in that context means a judge is to exercise reasonable direction and control over the conduct of those persons subject to the judge's direction and control. Third degree of relationship The following persons are relatives within the third degree or relationship: great-grandparent, grandparent, parent, uncle, aunt, brother, sister, child, grandchild, great-grandchild, nephew or niece. (Adopted August 6, 1993, effective immediately.) RULE 61 Canon 1. A Judge Should Uphold the Integrity and Independence of the Judiciary. An independent and honorable judiciary is indispensable to justice in our society. A judge should participate in establishing, maintaining, and enforcing, and should personally observe, high standards of conduct so that the integrity and independence of the judiciary may be preserved. The provisions of this Code should be construed and applied to further that objective. (Adopted December 2, 1986, effective January 1, 1987; amended August 6, 1993, effective immediately; amended October 15, 1993, effective immediately.) RULE 62 Canon 2. A Judge Should Avoid Impropriety and the Appearance of Impropriety in All of the Judge's Activities. A. A judge should respect and comply with the law and should conduct himself or herself at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary. B. A judge should not allow the judge's family, social, or other relationships to influence the CJC 62 2

13 judge's judicial conduct or judgment. A judge should not lend the prestige of judicial office to advance the private interests of others; nor should a judge convey or permit others to convey the impression that they are in a special position to influence the judge. A judge should not testify voluntarily as a character witness. (Adopted December 2, 1986, effective January 1, 1987; amended October 15, 1993, effective immediately.) RULE 63 Canon 3. A Judge Should Perform the Duties of Judicial Office Impartially and Diligently. The judicial duties of a judge take precedence over all the judge's other activities. The judge's judicial duties include all the duties of the judge's office prescribed by law. In the performance of these duties, the following standards apply: A. Adjudicative Responsibilities (1) A judge should be faithful to the law and maintain professional competence in it. A judge should be unswayed by partisan interests, public clamor, or fear of criticism. (2) A judge should maintain order and decorum in proceedings before the judge. (3) A judge should be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, and others with whom the judge deals in an official capacity, and should require similar conduct of lawyers, and of staff, court officials, and others subject to the judge's direction and control. (4) A judge shall accord to every person who has a legal interest in a proceeding, or that person's lawyer, the right to be heard according to law. A judge may make reasonable efforts, consistent with the law and court rules, to facilitate the ability of selfrepresented litigants to be fairly heard. (5) A judge shall not initiate, permit, or consider ex parte communications, or consider other communications made to the judge outside the presence of the parties concerning a pending or impending proceeding except that: (a) Where circumstances require, ex parte communications for scheduling administrative purposes or emergencies that do not deal with substantive matters or is- CJC 63 sues on the merits are authorized; provided: (i) the judge reasonably believes that no party will gain a procedural or tactical advantage as a result of the ex parte communication, and (ii) the judge makes provision promptly to notify all other parties of the substance of the ex parte communication and allows an opportunity to respond. (b) A judge may consult with court personnel whose function is to aid the judge in carrying out the judge's adjudicative responsibilities or with other judges. (c) A judge may, with the consent of the parties, confer separately with the parties and their lawyers in an effort to mediate or settle matters pending before the judge. (d) A judge may initiate or consider any ex parte communications when expressly authorized by law to do so. (6) A judge shall devote full time to his or her judicial duties and should dispose promptly of the business of the court. (7) A judge should abstain from public comment about a pending or impending proceeding in any court, and should require similar abstention on the part of court personnel subject to the judge s direction and control. This paragraph does not prohibit judges from making public statements in the course of their official duties or from explaining for public information the procedures of the court. (8) Proceedings in court should be conducted with fitting dignity, decorum, and without distraction. The taking of photographs in the courtroom during sessions of the court or recesses between proceedings, and the broadcasting or televising of court proceedings is permitted only to the extent authorized by order of the Supreme Court. This rule is not intended to prohibit local circuit courts from using security cameras to monitor courtrooms, provided that cameras CJC 63 3

14 CJC 63 are controlled by designated court personnel. For the purposes of this rule, the use of the terms photographs, broadcasting, and televising include the audio or video transmissions or recordings made by telephones, personal data assistants, laptop computers, and other wired or wireless data transmission and recording devices. (9) A judge shall perform judicial duties without bias or prejudice. A judge shall not, in the performance of judicial duties, by words or conduct manifest bias or prejudice, including but not limited to bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status, and shall not permit staff, court officials and others subject to the judge's direction and control to do so. (10) Proceedings before a judge shall be conducted without any manifestation, by words or conduct, of prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status, by parties, jurors, witnesses, counsel, or others. This section does not preclude legitimate advocacy when these or similar factors are issues in the proceedings. B. Administrative Responsibilities (1) A judge should diligently discharge the judge's administrative responsibilities, maintain professional competence in judicial administration, and facilitate the performance of the administrative responsibilities of other judges and court officials. (2) A judge should require staff, court officials and others subject to the judge's direction and control to observe the standards of fidelity and diligence that apply to the judge. (3) (a) A judge having knowledge of a violation of these canons on the part of a judge or a violation of Rule 8.4 of the Rules of Professional Conduct on the part of a lawyer shall take or initiate appropriate disciplinary measures. (b) Acts of a judge in mentoring a new judge pursuant to M.R (Administrative Order of February 6, 1998, as amended June 5, 2000) and in the discharge of disciplinary responsibilities rerequired or permitted by canon 3 or article VIII of the Rules of Professional Conduct are part of a judge's judicial duties and shall be absolutely privileged. (c) Except as otherwise required by the Supreme Court rules, information pertaining to the new judge's performance which is obtained by the mentor in the course of the formal mentoring relationship shall be held in confidence by the mentor. (4) A judge should not make unnecessary appointments. A judge should exercise the power of appointment on the basis of merit, avoiding nepotism and favoritism. A judge should not approve compensation of appointees beyond the fair value of services rendered. (5) A judge should refrain from casting a vote for the appointment or reappointment to the office of associate judge, of the judge's spouse or of any person known by the judge to be within the third degree of relationship to the judge or the judge's spouse (or the spouse of such a person). C. Disqualification (1) A judge shall disqualify himself or herself in a proceeding in which the judge's impartiality might reasonably be questioned, including but not limited to instances where: (a) the judge has a personal bias or prejudice concerning a party or a party's lawyer, or personal knowledge of disputed evidentiary facts concerning the proceeding; (b) the judge served as a lawyer in the matter in controversy, or a lawyer with whom the judge previously practiced law served during such association as a lawyer concerning the matter, or the judge has been a material witness concerning it; (c) the judge was, within the preceding three years, associated in the private practice of law with any law firm or lawyer currently representing any party in the controversy (provided that referral of cases when no monetary interest was retained CJC 63 4

15 shall not be deemed an association within the meaning of this subparagraph) or, for a period of seven years following the last date on which the judge represented any party to the controversy while the judge was an attorney engaged in the private practice of law; (d) the judge knows that he or she, individually or as a fiduciary, or the judge's spouse, parent or child wherever residing, or any other member of the judge's family residing in the judge's household, has an economic interest in the subject matter in controversy or in a party to the proceeding, or has any more than de minimis interest that could be substantially affected by the proceeding; or (e) the judge or the judge's spouse, or a person within the third degree of relationship to either of them, or the spouse of such a person: (i) is a party to the proceeding, or an officer, director, or trustee of a party; (ii) is acting as a lawyer in the proceeding; (iii) is known by the judge to have a more than de minimis interest that could be substantially affected by the proceeding; or (iv) is to the judge's knowledge likely to be a material witness in the proceeding. (2) A judge shall keep informed about the judge's personal and fiduciary economic interests, and make a reasonable effort to keep informed about the personal economic interests of the judge's spouse and minor children residing in the judge's household. D. Remittal of Disqualification A judge disqualified by the terms of Section 3C may disclose on the record the basis of the judge's disqualification and may ask the parties and their lawyers to consider, out of the presence of the judge, whether to waive disqualification. If following disclosure of any basis for disqualification other than personal bias or prejudice concerning a party, the parties and lawyers, with- CJC 64 out participation by the judge, all agree that the judge should not be disqualified, and the judge is then willing to participate, the judge may participate in the proceeding. This agreement shall be incorporated in the record of the proceeding. (Adopted December 2, 1986, effective January 1, 1987; amended June 12, 1987, effective August 1, 1987; amended, effective November 25, 1987; amended, effective August 6, 1993; amended October 15, 1993, effective immediately; amended March 26, 2001, effective immediately; amended April 1, 2003, effective immediately; amended December 5, 2003, effective immediately; amended April 16, 2007, effective immediately; amended June 18, 2013, effective July 1, 2013.) Committee Commentary (April 1, 2003) New subpart (B)(3)(b) is a modified version of the ABA Model Code of Judicial Conduct, Canon 3D(3) (1990). New subpart (B)(3)(c) is the identical language currently contained in M.R (Administrative Order of February 6, 1998, as amended June 5, 2000) subparagraph (b)(4) on confidentiality. RULE 64 Canon 4. A Judge may Engage in Activities to Improve the Law, the Legal System, and the Administration of Justice. A judge, subject to the proper performance of his or her judicial duties, may engage in the following lawrelated activities, if in doing so the judge does not cast doubt on his or her capacity to decide impartially any issue that may come before him or her. A. A judge may speak, write, lecture, teach (with the approval of the judge s supervising, presiding, or chief judge), and participate in other activities concerning the law, the legal system, and the administration of justice. B. A judge may appear at a public hearing before an executive or legislative body or official on matters concerning the law, the legal system, and the administration of justice, and he or she may otherwise consult with an executive or legislative body or official, but only on matters concerning the administration of justice. C. A judge may serve as a member, officer, or director of a bar association, governmental agency, or other organization devoted to the improvement of the law, the legal system, or the administration of justice. He or she may assist CJC 64 5

16 CJC 65 such an organization in planning fund-raising activities; may participate in the management and investment of the organization's funds; and may appear at, participate in, and allow his or her title to be used in connection with a fund-raising event for the organization. Under no circumstances, however, shall a judge engage in direct, personal solicitation of funds on the organization's behalf. Inclusion of a judge's name on written materials used by the organization for fund-raising purposes is permissible under this rule so long as the materials do not purport to be from the judge and list only the judge's name, office or other position in the organization and, if comparable designations are listed for other persons holding a similar position, the judge s judicial title. D. A judge may make recommendations to public and private fund-granting agencies on projects and programs concerning the law, the legal system, and the administration of justice. (Adopted December 2, 1986, effective January 1, 1987; amended June 4, 1991, effective August 1, 1991; amended September 30, 2002, effective immediately; amended May 24, 2006, effective immediately.) RULE 65 Canon 5. A Judge Should Regulate His or Her Extrajudicial Activities to Minimize the Risk of Conflict with the Judge's Judicial Duties. A. Avocational Activities. A judge may write, lecture, teach, and speak on nonlegal subjects, and engage in the arts, sports, and other social and recreational activities, if such avocational activities do not detract from the dignity of the judge's office or interfere with the performance of the judge's judicial duties. B. Civic and Charitable Activities. A judge may participate in civic and charitable activities that do not reflect adversely upon the judge's impartiality or interfere with the performance of the judge's judicial duties. A judge may serve as an officer, director, trustee, or nonlegal advisor of an educational, religious, charitable, fraternal, or civic organization not conducted for the economic or political advantage of its members, subject to the following limitations: (1) A judge should not serve if it is likely that the organization will be engaged in proceedings that would ordinarily come before CJC 65 6 the judge or will be regularly engaged in adversary proceedings in any court. (2) A judge should not solicit or permit his or her name to be used in any manner to solicit funds or other assistance for any such organization. A judge should not allow his or her name to appear on the letterhead of any such organization where the stationery is used to solicit funds and should not permit the judge s staff, court officials or others subject to the judge s direction or control to solicit on the judge s behalf for any purpose, charitable or otherwise. However, a judge may be a speaker or the guest of honor at an organization s fund-raising events and may allow event-related promotional materials, invitations, and other communications to mention such participation by the judge. C. Financial Activities (1) A judge should refrain from financial and business dealings that tend to reflect adversely on the judge's impartiality, interfere with the proper performance of the judge's judicial duties, exploit the judge's judicial position, or involve the judge in frequent transactions with lawyers or persons likely to come before the court on which the judge serves. (2) Subject to the requirements of subsection (1), a judge may hold and manage investments, including real estate, and engage in the activities usually incident to the ownership of such investments, but a judge should not assume an active role in the management or serve as an officer, director, or employee of any business. (3) A judge should manage his or her investments and other financial interests to minimize the number of cases in which the judge is disqualified. As soon as the judge can do so without serious financial detriment, the judge should divest himself or herself of investments and other financial interests that might require frequent disqualification. (4) Neither a judge nor a member of the judge's family residing in the judge's household should accept a gift, bequest, favor, or loan from anyone except as follows:

17 (a) a judge may accept a gift incident to a public testimonial to the judge; books supplied by publishers on a complimentary basis for official use; or an invitation to the judge and the judge's spouse to attend a bar-related function or activity devoted to the improvement of the law, the legal system, or the administration of justice; (b) a judge or a member of the judge's family residing in the judge's household may accept ordinary social hospitality; a gift, bequest, favor or loan from a relative; a wedding or engagement gift; a loan from a lending institution in its regular course of business on the same terms generally available to persons who are not judges; or a scholarship or fellowship awarded on the same terms applied to other applicants; (c) a judge or a member of the judge's family residing in the judge's household may accept any other gift, bequest, favor, or loan only if the donor is not a party or other person whose interests have come or are likely to come before the judge, including lawyers who practice or have practiced before the judge. (5) Information acquired by a judge in the judge's judicial capacity should not be used or disclosed by the judge in financial dealings or for any other purpose not related to the judge's judicial duties. D. Fiduciary Activities. A judge should not serve as the executor, administrator, trustee, guardian, or other fiduciary, except for the estate, trust, or person of a member of the judge's family, and then only if such service will not interfere with the proper performance of the judge's judicial duties. As a family fiduciary a judge is subject to the following restrictions: (1) The judge should not serve if it is likely that as a fiduciary the judge will be engaged in proceedings that would ordinarily come before the judge, or if the estate, trust, or ward becomes involved in adversary proceedings in the court on which the judge serves or one under its appellate jurisdiction. CJC 66 (2) While acting as a fiduciary a judge is subject to the same restrictions on financial activities that apply to the judge in his or her personal capacity. E. Arbitration. A judge should not act as an arbitrator or mediator. F. Practice of Law. A judge should not practice law. G. Extrajudicial Appointments. A judge should not accept appointment to a governmental committee, commission, or other position that is concerned with issues of fact or policy on matters other than the improvement of the law, the legal system, or the administration of justice. A judge, however, may represent his or her country, State, or locality on ceremonial occasions or in connection with historical, educational, and cultural activities. (Adopted December 2, 1986, effective January 1, 1987; amended October 15, 1993, effective immediately; amended May 24, 2006, effective immediately; amended December 7, 2011, effective immediately.) RULE 66 Canon 6. Nonjudicial Compensation and Annual Statement of Economic Interests. A judge may receive compensation for the law-related and extrajudicial activities permitted by this Code, if the source of such payments does not give the appearance of influencing the judge in his or her judicial duties or otherwise give the appearance of impropriety, subject to the following restrictions: A. Compensation. Compensation should not exceed a reasonable amount nor should it exceed what a person who is not a judge would receive for the same activity. B. Expense Reimbursement. Expense reimbursement shall be limited to the actual cost of travel, food, and lodging reasonably incurred by the judge and, where appropriate to the occasion, by the judge's spouse. Any payment in excess of such an amount is compensation. C. Annual Declarations of Economic Interests. A judge shall file a statement of economic interests as required by Rule 68, as amended effective August 1, 1986, and thereafter. (Adopted December 2, 1986, effective January 1, 1987; amended June 4, 1991, effective August 1, 1991; amended April 1, 1992, effective August 1, 1992; amended Octo- CJC 66 7

18 CJC 67 ber 15, 1993, effective immediately; amended December 13, 1996, effective immediately; amended Sep- September 30, 2002, effective immediately.) RULE 67 Canon 7. A Judge or Judicial Candidate Shall Refrain from Inappropriate Political Activity. A. All Judges and Candidates (1) Except as authorized in subsections B(1)(b) and B(3), a judge or judicial candidate for election to judicial office shall not: (a) act as a leader or hold an office in a political organization; (b) publicly endorse or publicly oppose another candidate for public office; (c) make speeches on behalf of a political organization; (d) solicit funds for, or pay an assessment to a political organization or candidate. (2) A judge shall resign from judicial office upon becoming a candidate for a nonjudicial office either in a primary or in a general election. (3) A candidate for a judicial office: (a) shall maintain the dignity appropriate to judicial office and act in a manner consistent with the integrity and independence of the judiciary, and shall encourage members of the candidate's family to adhere to the same standards of political conduct in support of the candidate as apply to the candidate; (b) shall prohibit employees and officials who serve at the pleasure of the candidate, and shall discourage other employees and officials subject to the candidate's direction and control from doing on the candidate's behalf what the candidate is prohibited from doing under the provisions of this Canon; (c) except to the extent permitted by subsection B(2), shall not authorize or knowingly permit any other person to do for the candidate what the candidate is prohibited from doing under the provisions of this Canon: (d) shall not: (i) make statements that commit or appear to commit the candidate CJC 67 8 with respect to cases, controversies or issues within cases that are likely to come before the court; or (ii) knowingly misrepresent the identity, qualifications, present position or other fact concerning the candidate or an opponent; and (e) May respond to personal attacks or attacks on the candidate's record as long as the response does not violate subsection A(3)(d). B. Authorized Activities for Judges and Candidates (1) A judge or candidate may, except as prohibited by law: (a) at any time (i) purchase tickets for and attend political gatherings; (ii) identify himself or herself as a member of a political party; and (iii) contribute to a political organization; (b) when a candidate for public election (i) speak to gatherings on his or her own behalf; (ii) appear in newspaper, television and other media advertisements supporting his or her candidacy; (iii) distribute pamphlets and other promotional campaign literature supporting his or her candidacy; and (iv) publicly endorse or publicly oppose other candidates in a public election in which the judge or judicial candidate is running. (2) A candidate shall not personally solicit or accept campaign contributions. A candidate may establish committees of responsible persons to conduct campaigns for the candidate through media advertisements, brochures, mailings, candidate forums and other means not prohibited by law. Such committees may solicit and accept reasonable campaign contributions, manage the expenditure of funds for the candidate's campaign and obtain public statements of support for his or her candidacy. Such committees are not pro-

19 hibited from soliciting and accepting reasonable campaign contributions and public support from lawyers. A candidate's committees may solicit contributions and public support for the candidate's campaign no earlier than one year before an election and no later than 90 days after the last election in which the candidate participates during the election year. A candidate shall not use or permit the use of campaign contributions for the private benefit of the candidate or others. (3) Except as prohibited by law, a candidate for judicial office in a public election may permit the candidate's name: (a) to be listed on election materials along with the names of other candidates for elective public office, and (b) to appear in promotions of the ticket. C. Incumbent Judges. A judge shall not engage in any political activity except (i) as authorized under any other provision of this Code, (ii) on behalf of measures to improve the law, the legal system or the administration of justice, or (iii) as expressly authorized by law. D. Applicability. Canon 7 generally applies to all incumbent judges and judicial candidates. A successful candidate, whether or not an incumbent, is subject to judicial discipline for his or her campaign conduct; an unsuccessful candidate who is a lawyer is subject to lawyer discipline for his or her campaign conduct. A lawyer who is a candidate for judicial office is subject to Rule 8.2(b) of the Rules of Professional Conduct. (Amended August 6, 1993, effective immediately; amended March 24, 1994, effective immediately.) RULE 68 Declaration of Economic Interests A judge shall file annually with the Clerk of the Illinois Supreme Court (the Clerk) a verified written statement of economic interests and relationships of the judge and members of the judge's immediate family (the statement). As statements are filed in the Clerk's office, the Clerk shall cause the fact of that filing to be indicated on an alphabetical listing of judges who are required to file such statements. Blank statement forms shall be furnished to the Clerk by the Director of the Administrative Office of the Illinois Courts (the Director). CJC 68 Any person who files or has filed a statement under this rule shall receive from the Clerk a receipt indicating that the person has filed such a statement and the date of such filing. All statements filed under this rule shall be available for examination by the public during business hours in the Clerk's office in Springfield or in the satellite office of the Clerk in Chicago. Original copies will be maintained only in Springfield, but requests for examination submitted in Chicago will be satisfied promptly. Each person requesting examination of a statement or portion thereof must first fill out a form prepared by the Director specifying the statement requested, identifying the examiner by name, occupation, address and telephone number, and listing the date of the request and the reason for such request. The Director shall supply such forms to the Clerk and replenish such forms upon request. Copies of statements or portions of statements will be supplied to persons ordering them upon payment of such reasonable fee per page as is required by the Clerk. Payment may be by check or money order in the exact amount due. The Clerk shall promptly notify each judge required to file a statement under this rule of each instance of an examination of the statement by sending the judge a copy of the identification form filled out by the person examining the statement. The contents of the statement required by this rule shall be as specified by administrative order of this court. (Effective March 15, 1970; amended April 1, 1986, effective August 1, 1986.) ADMINISTRATIVE ORDER The verified statements of economic interests and relationships referred to in our Rule 68, as amended effective August 1, 1986, shall be filed by all judges on or before April 30, 1987, and on or before April 30, annually thereafter. Such statements shall also be filed by every person who becomes a judge, within 45 days after assuming office. However, judges who assume office on or after December 1 and who file the statement before the following April 30 shall not be required to file the statement due on April 30. The form of such statements shall be as provided CJC 68 9

20 CJC 68 by the Administrative Director of the Illinois Courts, and they shall include all information required by Rule 68 and this order, including: Current economic interests of the judge and members of the judge s immediate family (spouse and minor children residing with the judge) whether in the form of stock, bond, dividend, interest, trust, realty, rent, certificate of deposit, deposit in any financial institution, pension plan, Keogh plan, Individual Retirement Account, equity or creditor interest in any corporation, proprietorship, partnership, instrument of indebtedness or otherwise. Every source of no investment income in the form of a fee, commission, compensation, compensation for personal service, royalty, pension, honorarium or otherwise must also be listed. No reimbursement of expenses by any unit of government and no interest in deferred compensation under a plan administered by the State of Illinois need be listed. No amounts or account numbers need be listed in response to this paragraph 1. In listing his or her personal residence(s) in response to this paragraph 1, the judge shall not state the address(es). Current economic interests shall be as of a date within 30 days preceding the date of filing the statement. Former economic interests of the type required to be disclosed in response to numbered paragraph 1 which were held by the judge or any member of the judge s immediate family (spouse and minor children residing with the judge) during the year preceding the date of verification. Current economic interests listed in response to numbered paragraph 1 need not be listed. No amounts or account numbers need be listed in response to this paragraph 2. In listing his or her personal residence(s) in response to this paragraph 2, the judge shall not state the address(es). The names of all creditors to whom amounts in excess of $500 are owed by the judge or members of the judge s immediate family (spouse and minor children residing with the judge) or were owed during the year preceding the date of verification. For each such obligation there is to be listed the category for the amount owed as of the date of verification and the maximum category for the amount of each such obligation during the year preceding the date of verification of the statement. The categories for reporting the amount of each such obligation are as follows: a. not more than $5,000; b. greater than $5,000 but not more than $15,000; c. greater than $15,000 but not more than $50,000; d. greater than $50,000 but not more than $100,000; e. greater than $100,000 but not more than $250,000; and f. greater than $250,000. Excluded from this requirement are obligations consisting of revolving charge accounts, with an outstanding liability equal to or less than $5,000. The name of any individual personally known by the judge to be licensed to practice law in Illinois who is a co-owner with the judge or members of the judge s immediate family (spouse and minor children residing with the judge) of any of the economic interests disclosed in paragraphs 1 and 2, and the name of any person who has acted as a surety or guarantor of any of the obligations required to be disclosed in paragraph 3. A list of every office, directorship and salaried employment of the judge and members of the judge s immediate family (spouse and minor children residing with the judge). Exclude unsalaried positions in religious, social or raternal organizations, and honorary positions. Pending cases in which the judge or members of the judge s immediate family (spouse and minor children residing with the judge) are parties in interest and, to the extent personally known to the judge, pending cases in which a party is an economic entity in which the judge or any member of the judge s immediate family has an interest. Cases in which a judge has been sued in the judge s official capacity shall not be included. Any fiduciary position, including executorships and trusteeships of the judge or members of the judge s immediate family (spouse and minor children residing with the judge). The name of the donor and a brief description of any gifts received by the judge or members of CJC 68 10

21 the judge s immediate family (spouse and minor children residing with the judge). Gifts of transportation, food, lodging or entertainment having a value in excess of $250 must be reported. All other gifts having a value in excess of $100 must be reported. Gifts between the judge and the judge s spouse, children, or parents shall not be reported. Any other economic interest or relationship of the judge or of members of the judge s immediate family (spouse and minor children residing with the judge) which could create a conflict of interest for the judge in the judge s judicial capacity, other than those listed in numbered paragraphs 1 to 8 hereof. Prior to the first Monday in March of each year the Director shall inform each judge by letter of the requirements of this amended rule. The Director shall similarly inform by letter each person who becomes a judge of the requirements of the rule within 10 days of such person assuming office. The Director shall include with such letter instructions concerning the required statements, two sets of the statement forms, and one mailing envelope preaddressed to the Clerk. The Clerk shall redact personal residence addresses contained in any statement filed pursuant to Supreme Court Rule 68. The letter, instructions, and statements shall be in substantially the form set forth below: [Letterhead of Administrative Office of the Illinois Courts], 20 TO: MEMBERS OF THE JUDICIARY OF THE STATE OF ILLINOIS RE: Compliance with Supreme Court Rule 68 As a member of the judiciary, you are required to file an annual statement of economic interests pursuant to Supreme Court Rule 68. Enclosed are the necessary forms and envelopes to be used in complying with Rule 68 on or before, 20. In this packet are: (A) One copy of Instructions Concerning Required Statement for Members of the Judiciary of the State of Illinois. CJC 68 (B) Two copies of the form entitled Statement Required of Members of the Judiciary of the State of Illinois. [One copy to be filed with the Clerk of the Supreme Court; one copy to be retained for your records.] (C) One 9 x 12 mailing envelope preaddressed to the Clerk of the Supreme Court. The Supreme Court requests you follow these instructions carefully and asks that you be certain to return the original of your statement in the mailing envelope furnished herewith preaddressed to the Clerk of the Supreme Court. Forms for compliance with Public Act , Illinois Governmental Ethics Act, will be mailed to you under separate cover and must be filed separately with the Secretary of State. Very truly yours, Director INSTRUCTIONS CONCERNING REQUIRED STATEMENT FOR MEMBERS OF THE JUDI- CIARY OF THE STATE OF ILLINOIS On or before April 30, 1987, and on or before April 30, annually thereafter, every judge of the Supreme Court, the Appellate Court, and every judge and associate judge of the Circuit Court shall file a verified written statement (the statement) of economic interests and relationships which may create conflicts of interest, with the Clerk of the Illinois Supreme Court. Such statements shall be filed by every person who becomes a judge or associate judge within 45 days after assuming office and on or before each April 30 thereafter. However, judges who assume office on or after December 1 and who file the statement before the following April 30 shall not be required to file the statement due on April 30. The statements required shall include the following information which, except where noted, shall include information as of the date of verification of the statement. 1. Current economic interests of the judge and members of the judge s immediate family (spouse and minor children residing with the judge) whether in the form of stock, bond, dividend, interest, trust, realty, rent, certificate of deposit, deposit in any financial institution, pension plan, Keogh plan, Individual Retirement CJC 68 11

22 CJC 68 Account, equity or creditor interest in any corporation, proprietorship, partnership, instrument of indebtedness or otherwise. Every source of noninvestment income in the form of a fee, commission, compensation, compensation for personal service, royalty, pension, honorarium or otherwise must also be listed. No reimbursement of expenses by any unit of government and no interest in deferred compensation under a plan administered by the State of Illinois need be listed. No amounts or account numbers need be listed in response to this paragraph 1. In listing his or her personal residence(s) in response to this paragraph 1, the judge shall not state the address(es). Current economic interests shall be as of a date within 30 days preceding the date of filing the statement. 2. Former economic interests of the type required to be disclosed in response to numbered paragraph 1 which were held by the judge or any member of the judge s immediate family (spouse and minor children residing with the judge) during the year preceding the date of verification. Current economic interests listed in response to numbered paragraph 1 need not be listed. No amounts or account numbers need be listed in response to this paragraph 2. In listing his or her personal residence(s) in response to this paragraph 2, the judge shall not state the address(es). 3. The names of all creditors to whom amounts in excess of $500 are owed by the judge or members of the judge s immediate family (spouse and minor children residing with the judge) or were owed during the year preceding the date of verification. For each such obligation there is to be listed the category for the amount owed as of the date of verification and the maximum category for the amount of each such obligation during the year preceding the date of verification of the statement. The categories for reporting the amount of each such obligation are as follows: a. not more than $5,000; b. greater than $5,000 but not more than $15,000; c. greater than $15,000 but not more than $50,000; d. greater than $50,000 but not more than $100,000; e. greater than $100,000 but not more than $250,000; and f. greater than $250,000. Excluded from this requirement are obligations consisting of revolving charge accounts, with an outstanding liability equal to or less than $5, The name of any individual personally known by the judge to be licensed to practice law in Illinois who is a co-owner with the judge or members of the judge s immediate family (spouse and minor children residing with the judge) of any of the economic interests disclosed in paragraphs 1 and 2, and the name of any person who has acted as a surety or guarantor of any of the obligations required to be disclosed in paragraph A list of every office, directorship and salaried employment of the judge and members of the judge s immediate family (spouse and minor children residing with the judge). Exclude unsalaried positions in religious, social or fraternal organizations, and honorary positions. 6. Pending cases in which the judge or members of the judge s immediate family (spouse and minor children residing with the judge) are parties in interest, and, to the extent personally known to the judge, pending cases in which a party is an economic entity in which the judge or any member of the judge s immediate family has an interest. Cases in which a judge has been sued in the judge s official capacity shall not be included. 7. Any fiduciary position, including executorships and trusteeships of the judge and members of the judge s immediate family (spouse and any minor child residing with the judge). 8. The name of the donor and a brief description of any gifts received by the judge or members of the judge s immediate family (spouse and minor children residing with the judge). Gifts of transportation, food, lodging or entertainment having a value in excess of $250 must be reported. All other gifts having a value in excess of $100 must be reported. Gifts between the judge and the judge s spouse, children or parents shall not be reported. CJC 68 12

23 9. Any other economic interest or relationship of the judge or of members of the judge s immediate family (spouse and minor children residing with the judge) which could create a conconflict of interest for the judge in the judge s judicial capacity other than those listed in numbered paragraphs 1 to 8 hereof. The Statement required herein shall be in substantially the form titled STATEMENT REQUIRED OF MEMBERS OF THE JUDICI- ARY OF THE STATE OF ILLINOIS, which is attached hereto as Exhibit A. (SAMPLE) EXHIBIT A STATEMENT REQUIRED OF MEMBERS OF THE JUDICIARY OF THE STATE OF ILLINOIS 1. My current economic interests and the current economic interests of my immediate family (spouse and minor children residing with me) are as follows: (Here list current economic interests specified in numbered paragraph 1 of the instructions setting forth the date (within 30 days of the date of filing) as of which said interests are being reported.) 2. My former economic interests and the former economic interests of my immediate family (spouse and minor children residing with me) held during the year preceding the date of verification: (Here list former economic interests specified in numbered paragraph 2 of the instructions.) 3. Creditors to whom amounts in excess of $500 are owed as of the date of verification or were owed during the year preceding the date of verification by me or members of my immediate family (spouse and minor children residing with me), exclusive of revolving charge accounts with an outstanding liability equal to or less than $5,000, the amount of each such obligation outstanding as of the date of verification and the maximum amount of each such obligation during such preceding year within the categories set forth in numbered paragraph 3 of the instructions: (Here list in accordance with numbered paragraph 3 of the instructions.) CJC The name of any individual personally known by me to be licensed to practice law in Illinois who is a co-owner with me or members of my immediate family (spouse and minor children residing with me) of any of the economic interests disclosed in paragraphs 1 and 2, and the name of any person who has acted as a surety or guarantor of any of the obligations required to be disclosed in paragraph 3. (Here list in accordance with numbered paragraph 4 of the instructions.) 5. My offices, directorships, and salaried employments and the offices, directorships and salaried employments of my immediate family (spouse and minor children residing with me) are as follows: (Here list in accordance with numbered paragraph 5 of the instructions.) 6. Pending cases in which I or members of my immediate family (spouse and minor children residing with me) have an interest are as follows: (Here list pending cases in which you or members of your immediate family are parties in interest, or an economic entity in which you or they have an interest is a party, in accordance with numbered paragraph 6 of the instructions.) 7. My fiduciary positions, including executorships and directorships, and the fiduciary positions of the members of my immediate family (my spouse and minor children residing with me) are as follows: Here list fiduciary positions in accordance with numbered paragraph 7 of the instructions.) 8. The name of the donor of gifts received by me or members of my immediate family (spouse and minor children residing with me) during the year preceding the date of verification, are as follows: (Here list gifts in accordance with numbered paragraph 8 of the instructions.) 9. My economic interests and relationships and those of my immediate family (spouse and minor children residing with me), other than those listed in numbered paragraphs 1 to 8 hereof, which could create conflicts of interest for me in my judicial capacity are as follows: CJC 68 13

24 CJC 69 (Here insert any economic interest or relationship which might or could create a substantial conflict of interest.) VERIFICATION Pursuant to Supreme Court Rule 68, I declare that this statement of economic interest, including any accompanying schedules and statements, as it relates to me and members of my immediate family, has been examined by me and to the best of my knowledge and belief is true, correct and complete. Judge s Signature Date: (Adopted by Order Entered April 1, 1986; order amended April 20, 1987, effective August 1, 1987; order amended December 30, 1993, effective January 1, 1994; order amended December 1, 1995, effective immediately; order amended September 23, 2005, effective immediately.) RULE 69 Reserved (Repealed December 2, 1986; effective January 1, 1987.) RULE 70 Reserved (Repealed December 2, 1986; effective January 1, 1987.) RULE 71 Violation of Rules A judge who violates Rules 61 through 68 may be subject to discipline by the Illinois Courts Commission. (Amended, effective January 1, 1987.) RULES 72 through 75 Reserved RULE 76 Military Service of Judges (a) Military Service During War. A judge or associate judge may serve for a period of no more than 12 months in the state militia or the armed forces of the United States when called into active military service during war between the United States and a foreign government. The judge or associate judge s military pay may be supplemented for the first 30 days with full pay and, thereafter, in an amount necessary to bring his or her total salary, inclusive of base military pay, to the level earned at the time he or she was called to service. After the 12-month period, a judge or associate judge who remains on active duty may request from the Supreme Court of Illinois an extension of the 12-month period. (b) Reserve or Guard Training. A judge or associate judge who is a commissioned reserve officer or a reserve enlisted in the United States military or naval service or a member of the National Guard may serve on all days during which they are engaged in training ordered under the provisions of the United States military or naval training regulations for such personnel when assigned to active or inactive duty. Training shall be with full pay, not to exceed 30 days in each year. (c) Benefits during Military Service. During periods of active military service, a judge or associate judge may be entitled to continued health insurance and other existing benefits, including retirement privileges. For purposes of computing whether a judge or associate judge may be entitled to retirement, a period of active military service shall be deemed continuous service in the office of said judge or associate judge. (d) Resumption of Judicial Duties. A judge or associate judge terminating active military service shall immediately enter upon his or her judicial duties for the unexpired portion of the term for which he or she was elected or appointed. (e) Term of Office. In the event that the term of office of a judge or associate judge shall expire during such period of active military service, the office shall be filled by election or appointment as may be required by law; provided, however, that a supreme, appellate or circuit judge in active military service shall have the right to file a declaration of candidacy and run for retention of his or her judicial seat, and an associate judge in active military service shall have the right to file a request for reappointment to his or her judicial seat. (f) Definitions. (1) The term active military service as used in this rule shall signify active duty in the Illinois defense force or federal service in training or on active duty with any branch of the Army of the United States, the United States Navy, the United States Air Force, the Marine Corps of the United States, the Coast CJC 76 14

25 Guard of the United States, and service of all officers of the United States Public Health Service detailed by proper authority for duty either with the army or the navy, and shall include the period during which a judge or associate judge in military service is absent from duty on account of sickness, wounds, leave, or other lawful causes. (2) The term period of active military service as used in this rule shall begin with the date of entering upon active military service and shall terminate with death or the date immediately next succeeding the date of release or discharge from active military ser- CJC 77 vice or upon return from active military service, whichever shall occur first. (Effective July 1, 1971; amended May 28, 2003, effective immediately; amended June 6, 2003, effective immediately.) Committee Comments (July 1, 1971) This rule was adopted pursuant to the authority granted in section 13(b) of article VI of the new Illinois Constitution to prescribe the periods of time that a judge or associate judge may serve in the State militia or armed forces of the United States without becoming disqualified from serving as a judge or associate judge. RULES 77 through 85 Reserved CJC 85 15

26 SCt 701 SUPREME COURT OF ILLINOIS RULES ON ADMISSION AND DISCIPLINE OF ATTORNEYS Part A. Admission To The Bar RULE 701 General Qualifications (a) Subject to the requirements contained in these rules, persons may be admitted or conditionally admitted to practice law in this State by the Supreme Court if they are at least 21 years of age, of good moral character and general fitness to practice law, and have satisfactorily completed examinations on academic qualification and professional responsibility as prescribed by the Board of Admissions to the Bar or have been licensed to practice law in another jurisdiction and have met the requirements of Rule 705. (b) Any person admitted to practice law in this State is privileged to practice in every court in Illinois. No court shall by rule or by practice abridge or deny this privilege by requiring the retaining of local counsel or the maintaining of a local office for the service of notices. (Amended June 12, 1992, effective July 1, 1992; amended March 1, The amendment to paragraph (b) shall be effective one year after its adoption, and shall apply in capital cases filed by information or indictment on or after its effective date; amended October 2, 2006, effective July 1, 2007; amended February 6, 2013, effective immediately.) Committee Comments Special Supreme Court Committee on Capital Cases (March 1, 2001) The requirement that all defense counsel and assistant prosecutors appearing as lead or co-counsel in capital cases must be members of the Capital Litigation Trial Bar was adopted to improve the fairness and reliability of capital trials. The minimum qualifications for membership in the Capital Litigation Trial Bar are intended to insure that capital cases are tried by experienced, well-trained attorneys. See Rule 714. The amendment to Rule 701(b) provides the means for enforcement of the qualification standards by prohibiting an attorney who is not a member of the Capital Litigation Trial Bar from appearing as lead or co-counsel in a capital case. See also Rule 416(d). The Capital Litigation Trial Bar membership requirement does not apply to the elected or appointed State's SCt Attorney of the county of venue or the Attorney General. In addition, Rule 701(b) does not prohibit nonnonmembers from participating in a capital trial in the capacity of third chair, provided such participation by a third attorney for the prosecution or defense is under the direct supervision of qualified lead or cocounsel. For the purposes of Rule 701(b), the definition of a capital case is supplied by paragraphs (c) and (d) of Rule 416. Rule 461(c) provides that the State must give notice of its intent to seek or decline to seek the death penalty as soon as practicable, and in no event later than 120 days after arraignment, unless the court directs otherwise. Rule 416(d) provides that if the State provides notice of intent to seek the death penalty or fails to provide any notice in the time allowed by Rule 416(c), the trial court must confirm that attorneys appearing in the case are properly certified members of the Capital Litigation Trial Bar. Thus, the Capital Litigation Trial Bar membership requirement of Rule 701(b) is effective upon notification that the State will seek the death penalty or expiration of the time allowed for notice under Rule 416(c) without any notice from the State, whichever occurs first. Though the trial court will not enforce the counsel qualification standards of this rule and Rule 714 until the State provides notice of intent to seek the death penalty or the time for notice expires, in any case where the defendant may be eligible for the death penalty, defense counsel must presume the case will be capital unless the State has provided notice to the contrary. Attorneys who are not members of the Capital Litigation Trial Bar should not agree to provide representation for a defendant in a potentially capital case (i.e., a case in which the defendant may be eligible for the death penalty, where the time for State notice has not expired and the State has not provided any notice with respect to its intent to seek or decline to seek the death penalty). Attorneys should also decline to provide representation as sole counsel for a defendant in a potentially capital case, unless they are properly certified as lead counsel. See Rule 714. An attorney who is not properly certified under Rule 714 should never agree to provide representation for a defendant in a potentially capital case on the assumption that the State will not seek the death penalty, or that admission to the Capital Litigation Trial Bar or proper certification will be obtained after accepting the engagement. When considering representation of a defendant charged with first degree murder, an attorney who is not a member of the Capital Litigation Trial Bar (or

27 does not have proper certification) should immediately determine whether the defendant may be subject to the death penalty. The attorney should ascertain, for example, whether the defendant has been denied bail because the offense is capital, or whether the charges filed or information available through reasonable investigation suggest that one of the statutory aggravating factors of section 9-1(b) of the Criminal Code of 1961 (720 ILCS 5/9-1(b)) may apply. If any information available to the attorney suggests the case is potentially capital, the attorney should decline to provide representation for the defendant. An agreement to provide limited representation in a potentially capital case should be entered into only after careful consideration of the complex practical, legal, and ethical issues involved, and full disclosure of the attorney's inability to provide representation in a capital case. Adherence to the principles described above with respect to defense counsel in a potentially capital case will ensure fairness to the defendant, compliance with ethical responsibilities, and the proper administration of justice. Consistent with these principles, an attorney appointed for an indigent defendant in a potentially capital case should be a member of the Capital Litigation Trial Bar, certified as lead counsel. In addition, State's Attorneys are encouraged to assign assistant prosecutors who are members of the Capital Litigation Trial Bar in all potentially capital cases. RULE 702 Board of Admissions to the Bar (a) The Board of Admissions to the Bar shall oversee the administration of all aspects of bar admissions in this State including the character and fitness process. The board shall consist of seven members of the bar, appointed by the Supreme Court to serve staggered terms of three years. Each shall serve until his or her successor is duly appointed and qualified. No member may be appointed to more than three full consecutive terms. (b) A majority of the board shall constitute a quorum. A president and vice-president shall be designated by the Supreme Court and may serve only one three year term. A secretary and treasurer shall be annually elected by the members of the board. One member may hold the office of both secretary and treasurer. (c) The board shall audit annually the accounts of its treasurer and shall report to the court at each November term a detailed statement of its SCt 702 finances, together with such recommendations as shall seem advisable. All fees paid to the board in excess of its expenses shall be applied as the court may from time to time direct. (Amended June 12, 1992, effective July 1, 1992; amended December 30, 1993, effective January 1, 1994; amended December 5, 2012, effective January 1, 2013.) RULE 703 Educational Requirements Every applicant seeking admission to the bar on examination shall meet the following educational requirements: (a) Preliminary and College Work. Each applicant shall have graduated from a four-year high school or other preparatory school whose graduates are admitted on diploma to the freshman class of any college or university having admission requirements equivalent to those of the University of Illinois, or shall have become otherwise eligible for admission to such freshman class; and shall have satisfactorily completed at least 90 semester hours of acceptable college work, while in actual attendance at one or more colleges or universities approved by the Board of Admissions to the Bar. In lieu of such preliminary or college work, the board may, after due investigation, accept the satisfactory completion of the program or curriculum of a particular college or university. Proof of preliminary education may be made either by diploma showing graduation or by certificate that the applicant has become eligible for admission to such college or university, signed by the registrar thereof. Proof of the satisfactory completion of college work may be made by certificate, signed by the registrar of the college or university, that the applicant has satisfactorily completed the required college work. In lieu of the diploma and certificates described herein, the board may accept as proof of the preliminary and college work required herein, a certificate from an approved law school that the law school has on file proof of such preliminary and college work. (b) Legal Education. After the completion of both the preliminary and college work above set forth in paragraph (a) of this rule, each applicant shall have pursued a course of law studies and fulfilled the requirements for and received a first degree in law from a law school approved by SCt

28 SCt 704 the American Bar Association. Each applicant shall make proof that he has completed such law study and received a degree, in such manner as the Board of Admissions to the Bar shall require. (Amended September 28, 1977, effective October 15, 1977; amended September 14, 1984, effective September 14, 1984; amended June 12, 1992, effective July 1, 1992.) RULE 704 Qualification on Examination (a) Every applicant for the Illinois bar examination shall file with the Board of Admissions to the Bar both a character and fitness registration application and a separate application to take the bar examination. The application shall be in such form as the board shall prescribe and shall be subject to the fees and filing deadlines set forth in Rule 706. (b) In the event the character and fitness registration application and the separate application to take the bar examination shall be satisfactory to the board, the applicant shall be admitted to the examination; provided, however, that the following applicants must first receive certification of good moral character and general fitness to practice law by the Committee on Character and Fitness pursuant to Rule 708 before they will be permitted to write the bar examination:(1) applicants who have been convicted of felonies; (2) applicants against whom are pending indictments, criminal informations, or criminal complaints charging felonies; (3) applicants who have been rejected, or as to whom hearings are pending, in another jurisdiction on a ground related to character and fitness; or (4) applicants admitted to practice in another jurisdiction who have been reprimanded, censured, disciplined, suspended or disbarred in such other jurisdiction or against whom are pending disciplinary charges or proceedings in that jurisdiction. (c) The Board of Admissions to the Bar shall conduct separate examinations on academic qualification and professional responsibility. At least two academic qualification examinations shall be conducted annually, one in February and the other in July, or at such other times as the board, in its discretion, may determine. At least three professional responsibility examinations shall be conducted annually, one in March, another in August, and another in November, or at such other times as the board, in its discretion, may determine. The board may designate the Multistate Professional Responsibility Examination of the National Conference of Bar Examiners as the Illinois professional responsibility examination. The board may determine the score that constitutes a passing grade. (d) The academic qualification examination shall be conducted under the supervision of the board, by uniform printed questions, and may be upon the following subjects: administrative law; agency and partnership; business organizations, including corporations and limited liability companies; commercial paper; conflict of laws; contracts; criminal law and procedure; family law; equity jurisprudence; evidence; federal and state constitutional law; federal jurisdiction and procedure; federal taxation; Illinois procedure; personal property, including sales and bailments; real property; secured transactions; suretyship; torts; trusts and future interests; and wills and decedents estates. The academic qualification examination may also include a performance test. The Board may include the Multistate Bar Examination, the Multistate Essay Examination and the Multistate Performance Test of the National Conference of Bar Examiners as components of the examination. (e) In the event the Board of Admissions to the Bar shall find that such applicant has achieved a passing score, as determined by the board, on the academic and professional responsibility examinations, meets the requirements of these rules, and has received from the Committee on Character and Fitness its certification of good moral character and general fitness to practice law, the board shall certify to the court these requirements have been met; the Board may also transmit to the Court any additional information or recommendation it deems appropriate. (f) For all persons taking the bar examination after the effective date of this rule, a passing score on the Illinois bar examination is valid for four years from the last date of the examination. An applicant for admission on examination who is not admitted to practice within four years must repeat and pass the examination after filing the SCt

29 requisite character and fitness registration and bar examination applications and paying the fees therefore in accordance with Rule 706. (Amended effective October 2, 1972; amended April 8, 1980, effective May 15, 1980; amended June 19, 1987, effective immediately; amended June 12, 1992, effective July 1, 1992; amended May 7, 1993, effective immediately; amended July 1, 1998, effective immediately; amended July 6, 2000, effective immediately; amended December 6, 2001; effective immediately; amended October 2, 2006, effective July 1, 2007.) RULE 705 Admission on Motion Any person who, as determined by the Board of Admissions to the Bar, has been licensed to practice in the highest court of law in any United States state, territory, or the District of Columbia for no fewer than five years may be eligible for admission on motion on the following conditions: (a) The applicant meets the educational requirements of Rule 703. (b) The applicant meets Illinois character and fitness requirements and has been certified by the Committee on Character and Fitness. (c) The applicant has passed the Multistate Professional Responsibility Examination in Illinois or in any jurisdiction in which it was administered. (d) The applicant is in good disciplinary standing before the highest court of every jurisdiction in which ever admitted and is at the time of application on active status in at least one such jurisdiction. (e) The applicant provides documentary evidence satisfactory to the Board that for at least five of the seven years immediately preceding the application, he or she was engaged in the active, continuous, and lawful practice of law. (f) The applicant has paid the fee for admission on motion in accordance with Rule 706. (g) For purposes of this rule, the term practice of law shall mean: (1) Practice as a sole practitioner or for a law firm, professional corporation, legal services office, legal clinic, or other entity the lawful business of which consists of the practice of law or the provision of legal services; (2) Employment in a state or local court of record in a United States state, territory, or the District of Columbia as a judge, magis- SCt 705 trate, referee or similar official, or as a judicial law clerk; (3) Employment in a federal court of record in a United States state, territory, or the District of Columbia as a judge, magistrate, referee or similar official, or as a judicial law clerk; (4) Employment as a lawyer for a corporation, agency, association, trust department, or other similar entity; (5) Practice as a lawyer for a state or local government; (6) Practice as a lawyer for the federal government, including legal service in the armed forces of the United States; (7) Employment as a law professor at a law school approved by the American Bar Association; or (8) Any combination of the above; provided in each instance, however, that such employment is available only to licensed attorneys and that the primary duty of the position is to provide legal advice, representation, and/or services. (h) For purposes of this rule, the term active and continuous shall mean the person devoted a minimum of 80 hours per month and no fewer than 1,000 hours per year to the practice of law during 60 of the 84 months immediately preceding the application. (i) Except as provided in this subsection (i) and subsection (j) that follows, for purposes of this rule, the term lawful shall mean the practice was performed physically without Illinois and either physically within a jurisdiction in which the applicant was licensed or physically within a jurisdiction in which a lawyer not admitted to the bar is permitted to engage in such practice. An applicant relying on practice performed in a jurisdiction in which he or she is not admitted to the bar must establish that such practice is permitted by statute, rule, court order, or by written confirmation from the admitting or disciplinary authority of the jurisdiction in which the practice occurred. Practice falling within subparagraph (g)(3) or (g)(6) above shall be considered lawful practice even if performed physically without a jurisdiction in which the ap- SCt

30 SCt 706 plicant is admitted. Practice falling within (g)(7) above shall be considered lawful practice even if performed physically without a jurisdiction in which the applicant is admitted, provided that the professor does not appear in court or supervise student court appearances as part of a clinical course or otherwise; (j) Practice performed within Illinois pursuant to a Rule 716 license may be deemed lawful and counted toward eligibility for admission on motion, provided all other requirements of Rule 705 are met. (k) Practice performed without Illinois and within the issuing jurisdiction pursuant to a limited or temporary license may be counted toward eligibility for admission on motion only if the limited or temporary license authorized practice without supervision in the highest court of law in the issuing jurisdiction. (l) A person who has failed an Illinois bar examination administered within the preceding five years is not eligible for admission on motion. (m) Admission on motion is not a right. The burden is on the applicant to establish to the satisfaction of the Board that he or she meets each of the foregoing requirements. (Adopted April 3, 1989, effective immediately; amended October 25, 1989, effective immediately; amended June 12, 1992, effective July 1, 1992; amended December 6, 2001, effective immediately; amended September 30, 2002, effective immediately; amended February 6, 2004, effective immediately; amended October 1, 2010, effective January 1, 2011.) RULE 706 Filing Deadlines and Fees of Registrants and Applicants (a) Character and Fitness Registration. Students attending law school who intend to take the Illinois bar examination shall file a character and fitness registration application with the Board of Admissions to the Bar in the form prescribed by the Board by no later than the first day of March following the student's commencement of law school; provided, however, that a student who commences law school after the first day of January and before the first day of March in any calendar year shall file such application no later than the first day of July following the student's commencement of law school. Timely applications shall be accompanied by a registration fee of $100. All character and fitness registration applications filed after the foregoing deadlines shall be accompanied by a registration fee of $450. (b) Applications to Take the Bar Examination. The fees and deadlines for filing applications to take the February bar examination are as follows: (1) $400 for applications postmarked on or before the regular filing deadline of September 1 preceding the examination; (2) $600 for applications postmarked after September 1 but on or before the late filing deadline of November 1; and (3) $1,000 for applications postmarked after November 1 but on or before the final late filing deadline of December 31. The fees and deadlines for filing applications to take the July bar examination are as follows: (1) $400 for applications postmarked on or before the regular filing deadline of February 15 preceding the examination; (2) $600 for applications postmarked after February 15 but on or before the late filing deadline of April 1; and (3) $1,000 for applications postmarked after April 1 but on or before the final late filing deadline of May 31. (c) Applications for Reexamination. The fees and deadlines for filing applications for reexamination at a February bar examination are as follows: (1) $300 for applications postmarked on or before the regular reexamination filing deadline of November 1; (2) $650 for applications postmarked after November 1 but on or before the final late filing deadline of December 31. The fees and deadlines for filing applications for reexamination at a July bar examination are as follows: (1) $300 for applications postmarked on or before the regular reexamination filing deadline of May 1; (2) $650 for applications postmarked after April 1 but on or before the final late filing deadline of May 31. (d) Late Applications. The Board of Admissions shall not consider requests for late filing of SCt

31 applications after the final bar examination filing deadlines set forth in the preceding subparagraphs (b) and (c). (e) Applications for Admission on Motion under Rule 705. Each applicant for admission to the bar on motion under Rule 705 shall pay a fee of $1,250. (f) Application for Limited Admission as House Counsel. Each applicant for limited admission to the bar as house counsel under Rule 716 shall pay a fee of $1,250. (g) Application for Limited Admission as a Lawyer for Legal Service Programs. Each applicant for limited admission to the bar as a lawyer for legal service programs under Rule 717 shall pay a fee of $100. (h) Payment of Fees. All fees are nonrefundable and shall be paid in advance by certified check, cashier's check or money order payable to the Board of Admissions to the Bar. Fees of an applicant who does not appear for an examination shall not be transferred to a succeeding examination. (i) Fees to be Held by Treasurer. All fees paid to the treasurer of the Board of Admissions to the Bar shall be held by him or her subject to the order of the court. (Amended January 30, 1975, effective March 1, 1975; amended October 1, 1982, effective October 1, 1982; amended June 12, 1992, effective July 1, 1992; amended July 1, 1998, effective immediately; amended July 6, 2000, effective August 1, 2000; amended December 6, 2001, effective immediately; amended February 11, 2004, effective July 1, 2004; amended October 1, 2010, effective January 1, 2011; amended January 10, 2012, effective immediately.) RULE 707 Permission for an Out-of-State Attorney to Provide Legal Services in Proceedings in Illinois (a) Permission to Provide Legal Services in a Proceeding in Illinois. Upon filing pursuant to this rule of a verified Statement by an eligible out-of-state attorney and the filing of an appearance of an active status Illinois attorney associated with the attorney in the proceeding, the out-of-state attorney is permitted to appear as counsel and provide legal services in the proceeding without order of the tribunal. The permission is subject to termination pursuant to this rule. SCt 707 (b) Eligible Out-of-State Attorney. An outof-state attorney is eligible for permission to appear under this rule if the attorney: (1) is admitted to practice law without limitation and is authorized to practice law in another state, territory, or commonwealth of the United States, in the District of Columbia, or in a foreign country and is not prohibited from practice in any jurisdiction or any other jurisdiction by reason of discipline, resignation with charges pending, or permanent retirement; (2) on or after January 1, 2014, has not entered an appearance in more than five other proceedings under the provisions of this rule in the calendar year in which the Statement is filed; (3) has not been enjoined or otherwise prohibited from obtaining permission under this rule; and (4) has not been admitted to the practice of law in Illinois by unlimited or conditional admission. The admission of an attorney as a house counsel pursuant to Rule 716, as a legal services program lawyer pursuant to Rule 717, or as a foreign legal counsel pursuant to Rules 712 and 713 does not preclude that attorney from obtaining permission to provide legal services under this rule. (c) Proceedings Requiring Permission. The following proceedings require permission under this rule: (1) a case before a court of the State of Illinois; (2) a court-annexed alternative dispute resolution proceeding; and (3) a case before an agency or administrative tribunal of the State of Illinois or of a unit of local government in Illinois, if the representation by the out-of-state attorney constitutes the practice of law in Illinois or the agency or tribunal requires that a representative be an attorney. The appeal or review of a proceeding before a different tribunal is a separate proceeding for purposes of this rule. (d) Statement. The out-of-state attorney shall include the following information in the State- SCt

32 SCt 707 ment and shall serve the Statement upon the Administrator of the Attorney Registration and Disciplinary Commission, the Illinois counsel with whom the attorney is associated in the proceeding, the attorney s client, and all parties to the proceeding entitled to notice: (1) the attorney s full name, all addresses of offices from which the attorney practices law and related addresses and telephone numbers; (2) the name of the party or parties that the attorney represents in the proceeding; (3) a listing of all proceedings in which the attorney has filed an appearance pursuant to this rule in the calendar year in which the Statement is filed and the ARDC registration number of the attorney, if assigned previously; (4) a listing of all jurisdictions in which the attorney has been admitted and the full name under which the attorney has been admitted and the license or bar number in each such jurisdiction, together with a letter or certificate of good standing from each such jurisdiction, except for federal courts and agencies of the United States; (5) a statement describing any office or other presence of the attorney for the practice of law in Illinois; (6) a statement that the attorney submits to the disciplinary authority of the Supreme Court of Illinois; (7) a statement that the attorney has undertaken to become familiar with and to comply, as if admitted to practice in Illinois, with the rules of the Supreme Court of Illinois, including the Illinois Rules of Professional Conduct and the Supreme Court Rules on Admission and Discipline of Attorneys, and other Illinois law and practices that pertain to the proceeding; (8) the full name, business address and ARDC number of the Illinois attorney with whom the attorney has associated in the matter; and (9) a certificate of service of the Statement upon all entitled to service under this rule. (e) Additional Disclosures. The out-of-state attorney shall advise the Administrator of new or additional information related to items 4, 5 and 8 of the Statement, shall report a criminal conviction or discipline as required by Supreme Court Rule 761 and Rule 8.3(d) of the Illinois Rules of Professional Conduct, respectively, and shall report the conclusion of the attorney s practice in the proceeding. The attorney shall make these disclosures in writing to the Administrator within 30 days of when the information becomes known to the attorney. The out-of-state attorney shall provide waivers upon request of the Administrator to authorize bar admission or disciplinary authorities to disclose information to the Administrator. (f) Fee per Proceeding. At the time of serving the Statement upon the Administrator, the out-of-state attorney shall submit to the Administrator a nonrefundable fee in the amount of $250 per proceeding, except that no fee shall be due from an attorney appointed to represent an indigent defendant in a criminal or civil case, from an attorney employed by or associated with a nonprofit legal service organization in a civil case involving the client of such a program, from an attorney providing legal services pursuant to Rule 718, or from an attorney employed by the United States Department of Justice and representing the United States. Fees shall be deposited in the disciplinary fund maintained pursuant to Rule 751(e)(6). The Attorney Registration and Disciplinary Commission shall retain $75 of each fee received under this section to fund its expenses to administer this rule. The $175 balance of each such fee shall be remitted to the Court s Access to Justice Commission and used at the Court s discretion to provide funding for the work of the Commission on Access to Justice and related Court programs that improve access to justice for low-income and disadvantaged Illinois residents, as well as to provide funding to the Lawyers Trust Fund of Illinois for distribution to legal aid organizations serving the State. (g) Administrator s Review of Statement. The Administrator of the Attorney Registration and Disciplinary Commission shall conduct an inquiry into the Statement. It shall be the duty of SCt

33 the out-of-state attorney and Illinois attorneys to respond expeditiously to requests for information from the Administrator related to an inquiry under this section. (h) Registration Requirement. An out-ofstate attorney who appears in a proceeding pursuant to this rule shall register with the Attorney Registration and Disciplinary Commission and pay the registration fee required by Rule 756 for each year in which the attorney has any appearance of record pursuant to this rule. The attorney shall register within 30 days of the filing of a Statement pursuant to this rule if the attorney is not yet registered. (i) Duration of Permission to Practice. The permission to practice law shall extend throughout the out-of-state attorney s practice in the proceeding unless earlier terminated. The Supreme Court, the Chief Judge of the Circuit Court for the circuit in which a proceeding is pending, or the court in which a proceeding is pending may terminate the permission to practice upon its own motion or upon motion of the Administrator if it determines that grounds exist for termination. Grounds may include, but are not limited to: (1) the failure of the out-of-state attorney to have or maintain qualifications required under this rule; (2) the conduct of the attorney inconsistent with Rule 5.5 or other rules of the Illinois Rules of Professional Conduct, the Supreme Court Rules on Admission and Discipline of Attorneys or other rules of the Supreme Court, or other Illinois law and practices that pertain to the proceeding; (3) the conduct of the attorney in the proceeding; (4) the absence of an Illinois attorney who is associated with the out-of-state lawyer as counsel, who has an appearance of record in the proceeding, and who participates actively in the proceeding pursuant to Rule 5.5(c)(1) of the Illinois Rules of Professional Conduct; (5) inaccuracies or omissions in the Statement; (6) the failure of the attorney or the associated Illinois lawyer to comply with requests of the Administrator for information; or SCt 708 (7) the failure of the attorney to pay the per-proceeding fee under this rule or to comply with registration requirements under Rule 756. (j) Disciplinary Authority. The out-of-state attorney shall be subject to the disciplinary and unauthorized practice of law authority of the Supreme Court. The Administrator may institute disciplinary or unauthorized practice of law investigations and proceedings related to the out-ofstate attorney. The Administrator may seek interim relief in the Supreme Court pursuant to the procedure set forth in Rule 774. The Administrator may also refer matters to the disciplinary authority of any other jurisdiction in which the attorney may be licensed. (Amended June 12, 1992, effective immediately; amended October 2, 2006, effective July 1, 2007; amended June 8, 2013, effective July 1, 2013.) RULE 708 Committee on Character and Fitness (a) At the November term in each year, the Supreme Court shall appoint a Committee on Character and Fitness in each of the judicial districts of this state, comprised of Illinois lawyers. In the First Judicial District the committee shall consist of no fewer than 30 members of the bar, and in the Second, Third, Fourth and Fifth Judicial Districts, each committee shall consist of no fewer than 10 members of the bar. Unless the Court specifies a shorter term, all members shall be appointed for staggered three-year terms and shall serve until their successors are duly appointed and qualified. No member may be appointed to more than three full consecutive terms. Vacancies for any cause shall be filled by appointment of the Court for the unexpired term. The Court shall appoint a chairperson and a vicechairperson for each committee. The chairperson may serve only one three-year term. The members of the Board of Admissions to the Bar shall be ex-officio members of the committees and are authorized to serve as members of hearing panels of any committee. (b) Pursuant to the Rules of Procedure for the Board of Admissions to the Bar and the Committees on Character and Fitness, the committee shall determine whether each law student registrant SCt

34 SCt 709 and applicant presently possesses good moral character and general fitness for admission to the practice of law. A registrant or applicant may be so recommended if the committee determines that his or her record of conduct demonstrates that he or she meets the essential eligibility requirements for the practice of law and justifies the trust of clients, adversaries, courts and others with respect to the professional duties owed to them. A record manifesting a failure to meet the essential eligibility requirements, including a deficiency in honesty, trustworthiness, diligence, or reliability of a registrant or applicant, may constitute a basis for denial of admission. (c) The essential eligibility requirements for the practice of law include the following: (1) the ability to learn, to recall what has been leaned, to reason, and to analyze; (2) the ability to communicate clearly and logically with clients, attorneys, courts, and others; (3) the ability to exercise good judgment in conducting one's professional business; (4) the ability to conduct oneself with a high degree of honesty, integrity, and trustworthiness in all professional relationships and with respect to all legal obligations; (5) the ability to conduct oneself with respect for and in accordance with the law and the Illinois Rules of Professional Conduct; (6) the ability to avoid acts that exhibit disregard for the health, safety, and welfare of others; (7) the ability to conduct oneself diligently and reliably in fulfilling all obligations to clients, attorneys, courts, creditors, and others; (8) the ability to use honesty and good judgment in financial dealings on behalf of oneself, clients, and others; (9) the ability to comply with deadlines and time constraints; and (10) the ability to conduct oneself properly and in a manner that engenders respect for the law and the profession. (d) If required by the Committee or its Rules of Procedure, each law student registrant and applicant shall appear before the committee of his or her district or some member thereof and shall furnish the committee such evidence of his or her good moral character and general fitness to practice law as in the opinion of the committee would justify his or her admission to the bar. (e) At all times prior to his or her admission to the bar of this state, each law student registrant and applicant is under a continuing duty to supplement and continue to report fully and completely to the Board of Admissions to the Bar and to the Committee on Character and Fitness all information required to be disclosed pursuant to any and all application documents and such further inquiries prescribed by the Board and the Committee. (f) If the committee is of the opinion that the law student registrant or applicant is of good moral character and general fitness to practice law, it shall so certify to the Board of Admissions to the Bar, and the Board shall transmit such certification to the Court together with any additional information or recommendation the Board deems appropriate when all other admission requirements have been met. If the committee is not of that opinion, it shall file with the Board of Admissions to the Bar a statement that it cannot so certify, together with a report of its findings and conclusions. (g) A law student registrant or applicant who has availed himself or herself of his or her full hearing rights before the Committee on Character and Fitness and who deems himself or herself aggrieved by the determination of the committee may, on notice to the committee by service upon the Director of Administration for the Board of Admissions in Springfield, petition the Supreme Court for review within 35 days after service of the Committee s decision upon the law student registrant or applicant, and, unless extended for good cause shown, the Committee shall have 28 days to respond. The director shall file the record of the hearing with the Supreme Court at the time that the response of the Committee is filed. (Amended effective November 15, 1971, and October 2, 1972; amended April 10, 1987, effective August 1, 1987; amended June 12, 1992, effective July 1, 1992; amended April 4, 1995, effective immediately; amended November 22, 2000, effective December 1, 2000; amended December 6, 2001, effective immediately; amended October 2, 2006, effective July 1, 2007.) SCt

35 RULE 709 Power to Make Rules, Conduct Investigations, and Subpoena Witnesses (a) Subject to the approval of the Supreme Court, the Board of Admissions to the Bar and the Committee on Character and Fitness shall have power to make, adopt, and alter rules not inconsistent with this rule, for the proper performance of their respective functions. (b) The Board of Admissions to the Bar and the Committee on Character and Fitness for each judicial district are hereby respectively constituted bodies of commissioners of this Court, who are hereby empowered and charged to receive and entertain complaints, to make inquiries and investigations, and to take proof from time to time as may be necessary, concerning applications for admission to the bar, examinations given by or under the supervision of the Board of Admissions to the Bar, and the good moral character and general fitness to practice law of law student registrants and applicants for admission. They may call to their assistance in such inquiries other members of the bar and make all necessary rules and regulations concerning the conduct of such inquiries and investigations, and take the testimony of witnesses. The hearings before the commissioners shall be private unless any law student registrant or applicant concerned shall request that they be public. Upon application by the commissioners, the Clerk of the Supreme Court shall issue subpoenas ad testificandum, subpoenas duces tecum, or dedimus potestatem to take depositions. Witnesses shall be sworn by a commissioner or any person authorized by law to administer oaths. All testimony shall be taken under oath, transcribed, and transmitted to the court, if requested. The commissioners shall report to the Supreme Court the failure or refusal of any person to attend and testify in response to a subpoena. (Amended effective November 15, 1971, and October 2, 1972; amended May 28, 1982, effective July 1, 1982; amended June 12, 1992, effective July 1, 1992; amended December 6, 2001, effective immediately.) SCt 709 RULE 710 Immunity Any person who communicates information concerning a law student registrant or an applicant for admission to the Illinois bar to any member of the Illinois Board of Admissions to the Bar or to any member of the Character and Fitness Committees or to the Director of Administration, administrators, staff, investigators, agents, or attorneys of the Board or such Committees shall be immune from all civil liability which, except for this rule, might result from such communication. The grant of immunity provided by this rule shall apply only to those communications made by such persons to any member of the Illinois Board of Admissions to the Bar or to any member of the Character and Fitness Committees or to the Director of Administration, administrators, staff, investigators, agents, or attorneys of the Board or such Committees. (Adopted April 4, 1995, effective immediately.) RULE 711 Representation by Supervised Senior Law Students or Graduates (a) Eligibility. A student in a law school approved by the American Bar Association may be certified by the dean of the school to be eligible to perform the services described in paragraph (c) of this rule, if he/she satisfies the following requirements: (1) He/She must have received credit for work representing at least one-half of the total hourly credits required for graduation from the law school. (2) He/She must be a student in good academic standing, and be eligible under the school's criteria to undertake the activities authorized herein. A graduate of a law school approved by the American Bar Association who (i) has not yet had an opportunity to take the examinations provided for in Rule 704, (ii) has taken the examinations provided for in Rule 704, but not yet received notification of the results of either examination, or (iii) has taken and passed both examinations provided for in Rule 704, but has not yet been sworn as a member of the Illinois bar may, if the dean of that law school has no objection, be authorized by the Administrative Director of the Illinois Courts to perform the services described in paragraph (c) of this rule. SCt

36 SCt 711 For purposes of this rule, a law school graduate is defined as any individual not yet licensed to practice law in any jurisdiction. (b) Agencies through Which Services must be Performed. The services authorized by this rule may only be carried on in the course of the student's or graduate's work with one or more of the following organizations or programs: (1) a legal aid bureau, legal assistance program, organization, or clinic chartered by the State of Illinois or approved by a law school approved by the American Bar Association; (2) the office of the Public Defender; or (3) a law office of the State or any of its subdivisions. (c) Services Permitted. Under the supervision of a member of the bar of this State, and with the written consent of the person on whose behalf he/she is acting, an eligible law student or graduate may render the following services: (1) He/She may counsel and advise clients, negotiate in the settlement of claims, represent clients in mediation and other nonlitigation matters, and engage in the preparation and drafting of legal instruments. (2) He/She may appear in the trial courts, courts of review and administrative tribunals of this State, including court-annexed arbitration and mediation, subject to the following qualifications: (i) Written consent to representation of the person on whose behalf the law student or graduate is acting shall be filed in the case and brought to the attention of the judge or presiding officer. (ii) Appearances, pleadings, motions, and other documents to be filed with the court may be prepared by the student or graduate and may be signed by him with the accompanying designation Senior Law Student or Law Graduate but must also be signed by the supervising member of the bar. (iii) In criminal cases, in which the penalty may be imprisonment, in proceedings challenging sentences of imprisonment, and in civil or criminal contempt proceedings, the student or graduate may participate in pretrial, trial, and post-trial proceedings as an assistant of the supervising member of the bar, who shall be present and responsible for the conduct of the proceedings. (iv) In all other civil and criminal cases in the trial courts or administrative tribunals, the student or graduate may conduct all pretrial, trial, and posttrial proceedings, and the supervising member of the bar need not be present. (v) In matters before courts of review, the law student or graduate may prepare briefs, excerpts from the record, abstracts, and other documents filed in courts of review of the State, which may set forth the name of the student or graduate with the accompanying designation Senior Law Student or Law Graduate but must be filed in the name of the supervising member of the bar. Upon motion by the supervising member of the bar, the senior law student or law graduate may request authorization to argue the matter before the court of review. If the law student or law graduate is permitted to argue, the supervising member of the bar must be present and responsible for the conduct of the hearing. (d) Compensation. A student or graduate rendering services authorized by this rule shall not request or accept any compensation from the person for whom he/she renders the services, but may receive compensation from an agency described in paragraph (b). (e) Certification and Authorization (1) Upon request of a student or the appropriate organization, the dean of the law school in which the student is in attendance may, if he/she finds that the student meets the requirements stated in paragraph (a) of this rule, file with the Administrative Director a certificate so stating. Upon the filing of the certificate and until it is withdrawn or terminated the student is eligible to render the services described in paragraph (c) of this rule. The Administrative Director shall au- SCt

37 thorize, upon review and approval of the completed application of an eligible student as defined in paragraph (a) and the certification as described in paragraph (e), the issuance of the temporary license. No services that are permitted under paragraph (c) shall be performed prior to the issuance of a temporary license. (2) Unless otherwise provided by the Administrative Director for good cause shown, or unless sooner withdrawn or terminated, the certificate shall remain in effect until the expiration of 24 months after it is filed, or until the announcement of the results of the first bar examination following the student's graduation, whichever is earlier. The certificate of a student who passes the examination shall continue in effect until he/she is admitted to the bar. (3) The certificate may be withdrawn by the dean at any time, without prior notice, hearing, or showing of cause, by the mailing of a notice to that effect to the Administrative Director and copies of the notice to the student and to the agencies to which the student had been assigned. (4) The certificate may be terminated by this court at any time without prior notice, hearing, or showing of cause. Notice of the termination may be filed with the Administrative Director, who shall notify the student and the agencies to which the student had been assigned. (f) Application by Law Graduate. A law school graduate who wishes to be authorized to perform services described in paragraph (c) of this rule shall apply directly to the Administrative Director, with a copy to the dean of the law school from which he/she graduated. (Amended effective May 27, 1969; amended July 1, 1985, effective August 1, 1985; amended July 3, 1986, effective August 1, 1986; amended June 19, 1989, effective August 1, 1989; amended June 12, 1992, effective July 1, 1992; amended October 10, 2001, effective immediately; amended December 5, 2003, effective immediately; amended February 10, 2006, effective immediately; amended June 18, 2013, effective July 1, 2013.) SCt 712 Committee Comments (June 18, 2013) This rule was amended effective July 1, 2013, to clarify that students and law graduates may perform nonlitigation legal services under this rule. Nothing in this rule should be construed to require law students or law graduates to be certified under this rule for work, including but not limited to transactional, pretrial, and policy work, that properly may be performed by a law student or other nonlawyer under Rule 5.3 of the Illinois Rules of Professional Conduct. Committee Comments (July 1, 1985) This rule was amended, effective August 1, 1985, to allow the Administrative Director of the Illinois Courts to allow certain graduates of approved law schools to perform services under this rule pending their first opportunity to sit for the bar examination and to allow the Administrative Director, upon good cause shown, to extend the termination date of a certificate beyond the period prescribed by the rule. Good cause shown would ordinarily be limited to evidence that the licensee was unable to sit for the first bar examination offered following his graduation because of illness, a death in his family, military obligation, etc. RULE 712 Licensing of Foreign Legal Consultants Without Examination (a) General Regulation. In its discretion the Supreme Court may license to practice as a foreign legal consultant on foreign and international law, without examination, an applicant who: (1) has been admitted to practice (or has obtained the equivalent of such admission) in a foreign country, and has engaged in the practice of law of such country, and has been in good standing as an attorney or counselor at law (or the equivalent of either) in such country, for a period of not less than five of the seven years immediately preceding the date of his or her application, provided that admission as a notary or its equivalent in any foreign country shall not be deemed to be the equivalent of admission as an attorney or counselor at law; (2) possesses the good moral character and general fitness requisite for a member of the bar of this State; SCt

38 SCt 712 (3) possesses the requisite documentation evidencing compliance with the immigration laws of the United States; and (4) intends to practice as a legal consultant in the State of Illinois and to maintain an office there for in the State of Illinois. (b) Reciprocity. In considering whether to license an applicant under this rule, the Supreme Court may in its discretion take into account whether a member of the bar of the Supreme Court would have a reasonable and practical opportunity to establish an office for the giving of legal advice to clients in the applicant's country of admission (as referred to in paragraphs (c)(1) and (c)(5) of this rule), if there is pending with the Supreme Court a request to take this factor into account from a member of the bar of this court actively seeking to establish such an office in that country which raises a serious question as to the adequacy of the opportunity for such a member to establish such an office, or if the Supreme Court decides to do so on its own initiative. (c) Proof Required. An applicant to be licensed under this rule must file with the Supreme Court or its designee: (1) a certificate from the authority in such foreign country having final jurisdiction over professional discipline, certifying as to the applicant's admission to practice and the date thereof and as to his or her good standing as such attorney or counselor at law or the equivalent, together with a duly authenticated English translation of such certificate if it is not in English; (2) a letter of recommendation from one of the members of the executive body of such authority, or from one of the judges of the highest law court or court of original jurisdiction of such foreign country, together with a duly authenticated English translation of such letter if it is not in English; (3) evidence of his or her citizenship, educational and professional qualifications, period of actual practice in such foreign country and age; (4) the affidavits of reputable persons as evidence of the applicant's good moral character and general fitness, substantially as required by Rule 708; (5) a summary of the laws and customs of such foreign country that relate to the opportunity afforded to members of the bar of the Supreme Court to establish offices for the giving of legal advice to clients in such foreign country; and (6) a completed character and fitness registration application in the form prescribed by the Board of Admissions to the Bar and such other evidence of character, qualification and fitness as the Supreme Court may from time to time require and compliance with the requirements of this subsection. (d) Waiver. Upon a showing that strict compliance with the provisions of paragraph (c)(1) or (c)(2) of this rule would cause the applicant hardship, the Supreme Court may in its discretion waive or vary the application of such provisions and permit the applicant to furnish other evidence in lieu thereof. (e) Right to Practice and Limitations on Scope of Practice. A person licensed as a foreign legal consultant under this rule may render legal services and give professional advice within the State only on the law of the foreign country where the foreign legal consultant is admitted to practice. A foreign legal consultant in giving such advice shall not quote from or summarize advice concerning the law of this State (or of any other jurisdiction) which has been rendered by an attorney at law duly licensed under the law of the State of Illinois (or of any other jurisdiction, domestic or foreign). A licensed foreign legal consultant shall not: (1) appear for a person other than himself or herself as attorney in any court, or before any judicial officer, or before any administrative agency, in this State (other than upon admission in isolated cases pursuant to Rule 707) or prepare pleadings or any other papers or issue subpoenas in any action or proceeding brought in any such court or before any such judicial officer, or before any such administrative agency; (2) prepare any deed, mortgage, assignment, discharge, lease or any other SCt

39 instrument affecting real estate located in the United States of America; (3) prepare any will, codicil or trust instrument affecting the disposition after death of any property located in the United States of America and owned by a citizen thereof; (4) prepare any instrument relating to the administration of decedent's estate in the United States of America; (5) prepare any instrument or other paper which relates to the marital relations, rights or duties of a resident of the United States of America or the custody or care of the children of such a resident; (6) render professional legal advice with respect to a personal injury occurring within the United States; (7) render professional legal advice with respect to United States immigration laws, United States customs laws or United States trade laws; (8) render professional legal advice on or under the law of the State of Illinois or of the United States or of any state, territory or possession thereof or of the District of Columbia or of any other jurisdiction (domestic or foreign) in which such person is not authorized to practice law (whether rendered incident to the preparation of legal instruments or otherwise); (9) directly, or through a representative, propose, recommend or solicit employment of himself or herself, his or her partner, or his or her associate for pecuniary gain or other benefit with respect to any matter not within the scope of practice authorized by this rule; (10) use any title other than `foreign legal consultant' and affirmatively state in conjunction therewith the name of the foreign country in which he or she is admitted to practice (although he or she may additionally identify the name of the foreign or domestic firm with which he or she is associated); or (11) in any way hold himself or herself out as an attorney licensed in Illinois or as an attorney licensed in any United States jurisdiction. SCt 712 (f) Disciplinary Provisions. Every person licensed to practice as a foreign legal consultant under this rule shall execute and file with the Illinois Attorney Registration and Disciplinary Commission, in such form and manner as the Supreme Court may prescribe: (1) the foreign legal consultant's written commitment to observe the Rules of Professional Conduct, as adopted by the Illinois Supreme Court and as it may be amended from time to time, to the extent applicable to the legal services authorized by subparagraph (e) of this rule; (2) a duly acknowledged instrument, in writing, setting forth the foreign legal consultant's address in this State and designating the Clerk of the Supreme Court as the foreign legal consultant's agent upon whom process may be served, with like effect as if served personally upon the foreign legal consultant, in any action or proceeding thereafter brought against the foreign legal consultant and arising out of or based upon any legal services rendered or offered to be rendered by the foreign legal consultant within or to residents of this State, whenever after due diligence service cannot be made upon the foreign legal consultant at such address or at such new address in this State as he or she shall have filed in the office of the Clerk of the Supreme Court by means of a duly acknowledged supplemental instrument in writing; and (3) appropriate evidence of professional liability insurance or other proof of financial responsibility, in such form and amount as the Supreme Court may prescribe, to assure his or her proper professional conduct and responsibility. (g) Service of Process. Service of process on the Clerk of the Supreme Court, pursuant to the designation filed as required by Rule 712(f)(2) above, shall be made by personally delivering to and leaving with such clerk, or with a deputy or assistant authorized by the foreign legal consultant to receive such service, at his or her office, duplicate copies of such process together with a fee of $10. Service of process shall be complete SCt

40 SCt 713 when such clerk has been so served. Such clerk shall promptly send one of such copies to the foreign legal consultant to whom the process is directed, by certified mail, return receipt requested, addressed to such foreign legal consultant at his or her address specified by the foreign legal consultant as aforesaid. (h) Separate Authority. This rule shall not be deemed to limit or otherwise affect the provisions of Rule 704. (i) Unauthorized Practice of Law. Any person who is licensed under the provisions of this rule shall not be deemed to have a license to perform legal services prohibited by Rule 712(e) hereof. Any person licensed hereunder who violates the provisions of Rule 712(e) is engaged in the unauthorized practice of law and may be held in contempt of the court. Such person may also be subject to disciplinary proceedings pursuant to Rule 777 and the penalties imposed by section 32 5 of the Criminal Code of 1961, as amended, and section 1 of the Attorney Act (705 ILCS 205/1). (Adopted December 7, 1990, effective immediately; amended December 6, 2001, effective immediately; amended May 30, 2008, effective immediately.) RULE 713 Applications for Licensing of Foreign Legal Consultants (a) Referral to Committee on Character and Fitness (1) The Committee on Character and Fitness of the judicial district in which any applicant for a license (pursuant to Rule 712) to practice as a foreign legal consultant resides shall pass upon his or her good moral character and general fitness to practice as a foreign legal consultant. The applicant shall furnish the committee with copies of the affidavits referred to in paragraphs (b)(3), (b)(4) and (b)(5) hereof. Each applicant for a license to practice as a foreign legal consultant shall appear before the committee of his district or some member thereof and shall furnish the committee such evidence of his or her good moral character and general fitness to practice as a foreign legal consultant as in the opinion of the committee would justify his or her being licensed as a foreign legal consultant. (2) Unless otherwise ordered by the Supreme Court, no license to practice as a foreign legal consultant shall be granted without a certificate, from the Committee on Character and Fitness for the judicial district in which the applicant resides, certifying that the committee has found that the applicant is of good moral character and general fitness to practice as a foreign legal consultant. (b) Documents Affidavits and Other Proof Required. Every applicant for a license to practice as a foreign legal consultant shall file the following additional papers with his or her application: (1) a certificate from the authority having final jurisdiction over professional discipline in the foreign country in which the applicant was admitted to practice, which shall be signed by a responsible official or one of the members of the executive body of such authority and shall be attested under the hand and seal, if any, of the clerk of such authority, and which shall certify: (a) as to the authority's jurisdiction in such matters; (b) as to the applicant's admission to practice in such foreign country and the date thereof and as to his or her good standing as an attorney or counselor at law or the equivalent therein; and (c) as to whether any charge or complaint has ever been filed against the applicant with such authority, and, if so, the substance of each such charge or complaint and the disposition thereof; (2) a letter of recommendation from one of the members of the executive body of such authority or from one of the judges of the highest law court or court of general original jurisdiction of such foreign country, certifying to the applicant's professional qualifications, together with a certificate under the hand and seal, if any, of the clerk of such authority or of such court, as the case may be, attesting to the office held by the SCt

41 person signing the letter and the genuineness of his signature; (3) affidavits as to the applicant's good moral character and general fitness to practice as a foreign legal consultant from three reputable persons residing in this State and not related to the applicant, two of whom shall be practicing Illinois attorneys; (4) affidavits from two attorneys or counselors at law or the equivalent admitted in and practicing in such foreign country, stating the nature and extent of their acquaintance with the applicant and their personal knowledge as to the nature, character and extent of the applicant's practice, and as to the applicant's good standing as an attorney or counselor at law or the equivalent in such foreign country, and the duration and continuity of such practice; (5) the National Conference of Bar Examiners questionnaire and affidavit; (6) documentation in duly authenticated form evidencing that the applicant is lawfully entitled to reside and be employed in the United States of America pursuant to the immigration laws thereof; (7) such additional evidence as the applicant may see fit to submit with respect to his or her educational and professional qualifications and his or her good moral character and general fitness to practice as a foreign legal consultant; (8) a duly authenticated English translation of every paper submitted by the applicant which is not in English; and (9) a duly acknowledged instrument designating the Clerk of the Supreme Court the applicant's agent for service of process as provided in Rule 712(f)(2). (c) University and Law School Certificates. A certificate shall be submitted from each university and law school attended by the applicant, setting forth the information required by forms which shall be provided to the applicant for that purpose. (d) Exceptional Situations. In the event that the applicant is unable to comply strictly with any of the foregoing requirements, the applicant shall SCt 713 set forth the reasons for such inability in an affidavit, together with a statement showing in detail the efforts made to fulfill such requirements. (e) Authority of Committee on Character and Fitness to Require Additional Proof. The Committee on Character and Fitness may in any case require the applicant to submit such additional proof or information as it may deem appropriate. (f) Filing. Every application for a license as a foreign legal consultant, together with all the papers submitted thereon, shall upon its final disposition be filed in the office of the Clerk of the Supreme Court. (g) Fees of Applicants. Each applicant for a license to practice as a foreign legal consultant on foreign or international law shall pay in advance a fee of $800. All fees shall be paid to the treasurer of the Board of Admissions to the Bar to be held by the treasurer subject to the order of the court. (h) Undertaking. Prior to taking custody of any money, securities (other than unendorsed securities in registered form), negotiable instruments, bullion, precious stones or other valuables, in the course of his or her practice as a foreign legal consultant, for or on behalf of any client domiciled or residing in the United States, every person licensed to practice as a foreign legal consultant shall obtain, and shall maintain in effect for the duration of such custody an undertaking issued by a duly authorized surety company, and approved by a justice of the Supreme Court, to assure the faithful and fair discharge of his or her duties and obligations arising from such custody. The undertaking shall be in an amount not less than the amount of any such money, or the fair market value of any such property other than money, of which the foreign legal consultant shall have custody, except that the Supreme Court may in any case in its discretion for good cause direct that such undertaking shall be in a greater or lesser amount. The undertaking or a duplicate original thereof shall be promptly filed by the foreign legal consultant with the Clerk of the Supreme Court. (Adopted December 7, 1990, effective immediately; amended June 12, 1992, effective July 1, 1992; amended December 6, 2001, effective immediately.) SCt

42 SCt 714 RULE 714 Reserved RULE 715 Admission of Graduates of Foreign Law Schools Any person who has received his or her legal education and law degree in a foreign country may make application to the Board of Admissions to the Bar for admission to the bar upon academic qualification examination upon the following conditions: (a) The applicant has been licensed to practice law in the foreign country in which the law degree was conferred and/or in the highest court of law in any state or territory of the United States or the District of Columbia and is in good standing as an attorney or counselor at law (or the equivalent of either) in that country or other jurisdiction where admitted to practice. (b) The applicant has been actively and continuously engaged in the practice of law under such license or licenses for at least five of the seven years immediately prior to making application. (c) The Board has determined that the quality of the applicant s preliminary, college and legal education is acceptable for admission to the bar of this state based upon its review and consideration of any matters deemed relevant by the Board including, but not limited to, the jurisprudence of the country in which the applicant received his or her education and training, the curriculum of the law schools attended and the course of studies pursued by the applicant, accreditation of the law schools attended by the applicant by competent accrediting authorities in the foreign country where situated, post-graduate studies and degrees earned by the applicant in the foreign country and in the United States, and the applicant s success on bar examinations in other jurisdictions in this country. Each applicant shall submit proofs and documentation as the Board may require. (d) The applicant has achieved a passing score as determined by the Board on the full academic qualification examination. (e) The applicant has achieved a passing score as determined by the Board on the Multistate Professional Responsibility Examination in Illinois or in any other jurisdiction in which it was administered. (f) The applicant meets the character and fitness standards in Illinois and has been so certified to the Board by the Committee on Character and Fitness pursuant to Rule 708. (g) The applicant has filed the requisite character and fitness registration and bar examination applications and has paid the fees there for in accordance with Rule 706. (Adopted October 4, 2002, effective January 1, 2003.) RULE 716 Limited Admission of House Counsel A person who, as determined by the Board of Admissions to the Bar, has been licensed to practice in the highest court of law in any United States state, territory, or the District of Columbia may receive a limited license to practice law in this state when the lawyer is employed in Illinois as house counsel exclusively for a single corporation, partnership, association or other legal entity (as well as any parent, subsidiary or affiliate thereof), the lawful business of which consists of activities other than the practice of law or the provision of legal services upon the following conditions: (a) The applicant meets the educational requirements of Rule 703; (b) The applicant meets Illinois character and fitness requirements and has been certified by the Committee on Character and Fitness; (c) The applicant has passed the Multistate Professional Responsibility Exam in Illinois or in any jurisdiction in which it was administered; (d) The applicant is in good disciplinary standing before the highest court of every jurisdiction in which ever admitted and is at the time of application on active status in at least one such jurisdiction; (e) The applicant has paid the fee for limited admission of house counsel under Rule 706. (f) Application requirements. To apply for the limited license, the applicant must file with the Board of Admissions to the Bar the following: (1) A completed application for the limited license in the form prescribed by the Board; SCt

43 (2) A duly authorized and executed certification by applicant's employer that: (A) The employer is not engaged in the practice of law or the rendering of legal services, whether for a fee or otherotherwise; (B) The employer is duly qualified to do business under the laws of its organization and the laws of Illinois; (C) The applicant works exclusively as an employee of said employer for the purpose of providing legal services to the employer at the date of his or her application for licensure; and (D) The employer will promptly notify the Clerk of the Supreme Court of the termination of the applicant's employment. (3) Such other affidavits, proofs and documents as may be prescribed by the Board. (g) Authority and Limitations. A lawyer licensed and employed as provided by this Rule has the authority to act on behalf of his or her employer for all purposes as if licensed in Illinois. The lawyer may not act as counsel for the employer until the application is accepted and approved by the Court. A lawyer licensed under this rule shall not offer legal services or advice to the public or in any manner hold himself or herself out to be engaged or authorized to engage in the practice of law, except such lawyer may provide voluntary pro bono public services as provided in Rule 756(j). (h) Duration and Termination of License. The license and authorization to perform legal services under this rule shall terminate upon the earliest of the following events: (1) The lawyer is admitted to the general practice of law under any other rule of this Court. (2) The lawyer ceases to be employed as house counsel for the employer listed on his or her initial application for licensure under this rule; provided, however, that if such lawyer, within 120 days of ceasing to be so employed, becomes employed by another employer and such employment meets all requirements of this Rule, his or her license SCt 716 shall remain in effect, if within said 120-day period there is filed with the Clerk of the Supreme Court: (A) written notification by the lawyer stating the date on which the prior employment terminated, identification of the new employer and the date on which the new employment commenced; (B) certification by the former employer that the termination of the employment was not based upon the lawyers character and fitness or failure to comply with this rule; and (C) the certification specified in subparagraph (f)(2) of this rule duly executed by the new employer. If the employment of the lawyer shall cease with no subsequent employment within 120 days thereafter, the lawyer shall promptly notify the Clerk of the Supreme Court in writing of the date of termination of the employment, and shall not be authorized to represent any single corporation, partnership, association or other legal entity (or any parent, subsidiary or affiliate thereof). (3) The lawyer is suspended or disbarred from practice in any jurisdiction or any court or agency before which the lawyer is admitted. (4) The lawyer fails to maintain active status in at least one jurisdiction. (i) Annual Registration and MCLE. Beginning with the year in which a limited license to practice law under this rule is granted and continuing for each subsequent year in which house counsel continues to practice law in Illinois under the limited license, house counsel must register with the Attorney Registration and Disciplinary Commission and pay the fee for active lawyers set forth in Rule 756 and fully comply with all MCLE requirements for active lawyers set forth in Rule 790 et seq. (j) Discipline. A lawyer licensed under this rule shall be subject to the jurisdiction of the Court for disciplinary purposes to the same extent as all other lawyers licensed to practice law in this state. (k) Credit toward Admission on Motion. The period of time a lawyer practices law while licensed under this rule may be counted toward SCt

44 SCt 717 eligibility for admission on motion, provided all other requirements of Rule 705 are met. (l) Newly Employed House Counsel. A lawyer who is newly employed as house counsel in Illinois shall not be deemed to have engaged in the unauthorized practice of law in Illinois prior to licensure under this rule if application for the license is made within 90 days of the commencement of such employment. (Adopted February 11, 2004, effective July 1, 2004; amended March 26, 2008, effective July 1, 2008; amended October 1, 2010, effective January 1, 2011; amended December 9, 2011, effective July 1, 2012.) RULE 717 Limited Admission of Legal Service Program Lawyers (a) Eligibility. A lawyer admitted to the practice of law in another state or the District of Columbia who meets the educational requirements of Rule 703 may receive a limited license to practice law in this state when the lawyer is employed in Illinois for an organized legal service, public defender or law school clinical program providing legal assistance to indigent persons. (b) Application Requirements. To qualify for the license the applicant must file with the Board of Admissions to the Bar the following: (1) A completed application for the limited license and a completed character and fitness registration application in the form prescribed by the Board. (2) A certificate of good standing from the highest court of each jurisdiction of admission. (3) A certificate from the disciplinary authority of each jurisdiction of admission which: (a) states that the applicant has not been suspended, disbarred or disciplined and that no charges of professional misconduct are pending; or (b) identifies any suspensions, disbarments, or disciplinary sanctions and any pending charges. (4) A duly authorized and executed certification by the applicant's employer that: (a) it is engaged in the practice of law for the rendering of legal services to indigent persons; (b) it is duly qualified to do business under the laws of its organization and the laws of Illinois; (c) the applicant will work exclusively as an employee of said employer, noting the date employment is expected to commence; and (d) it will promptly notify the Clerk of the Supreme Court of the termination of the applicant's employment. (5) Such other affidavits, proofs and documentation as may be prescribed by the Board. (6) The requisite fees in accordance with Rule 706. (c) Character and Fitness Approval. Each applicant for a limited license under this rule must receive certification of good moral character and general fitness to practice law by the Committee on Character and Fitness in accordance with the provisions of Rule 708. (d) Certification by the Board. In the event the Board of Admissions to the Bar shall find that the applicant meets the requirements of this rule and has received from the Committee on Character and Fitness its certification of good moral character and general fitness to practice law, the Board shall certify to the Court that such applicant is qualified for licensure. (e) Limitation of Practice. A lawyer while in the employ of an employer described in subparagraph (a) of this rule may perform legal services in this state solely on behalf of such employer and the indigent clients represented by such employer. In criminal cases classified as felonies, the lawyer may participate in the proceedings as an assistant of a supervising member of the bar who shall be present and responsible for the conduct of the proceedings. (f) Duration and Termination of License. The license and authorization to perform legal services under this rule shall terminate upon the earliest of the following events: (1) Eighteen months after admission to practice under this rule. SCt

45 (2) The lawyer is admitted to the general practice of law under any other rule of this Court. (3) The lawyer ceases to be employed for the employer listed on his or her initial application for licensure under this rule. (4) Withdrawal of an employer's certification filed pursuant to subparagraph (b)(4) of this rule. An employer may withdraw certification at any time without cause being stated. (g) Annual Registration. Once the Court has conferred a limited license to perform legal services under this rule, the lawyer must register with the Attorney Registration and Disciplinary Commission and pay the fee for active lawyers set forth in Rule 756 for the year in which the license is conferred and for any subsequent year into which the limited license extends. (h) Discipline. All lawyers licensed under this rule shall be subject to the jurisdiction of the Court for disciplinary purposes to the same extent as all other lawyers licensed to practice law in this state. (i) No Credit Toward Admission on Motion. The period of time a lawyer practices law while licensed under this rule shall not be counted toward his or her eligibility for admission on motion under Rule 705. (Adopted February 11, 2004, effective July 1, 2004.) RULE 718 Provision of Legal Services Following Determination of Major Disaster (a) Determination of existence of major disaster. Solely for purposes of this rule, this Court shall determine when an emergency affecting the justice system, as a result of a natural or other major disaster has occurred. (b) Temporary practice in this jurisdiction following major disaster. Following the determination of an emergency affecting the justice system in this jurisdiction pursuant to paragraph (a) of this rule, or a determination that persons displaced by a major disaster in another jurisdiction and residing in this jurisdiction are in need of pro bono services and the assistance of lawyers from outside of this jurisdiction is required to SCt 718 help provide such assistance, a lawyer authorized to practice law in another United States jurisdiction, and not disbarred, suspended from practice or otherwise restricted from practice in any jurisdiction, may provide legal services in this jurisdiction on a temporary basis. Such legal services must be provided on a pro bono basis without compensation, expectation of compensation or other direct or indirect pecuniary gain to the lawyer. Such legal services shall be assigned and supervised through an established not-forprofit bar association, pro bono program or legal services program or through such organization(s) specifically designated by this Court. (c) Temporary practice in this jurisdiction following major disaster in another jurisdiction. Following the determination of a major disaster in another United States jurisdiction, a lawyer who is authorized to practice law and who principally practices in that affected jurisdiction, and who is not disbarred, suspended from practice or otherwise restricted from practice in any jurisdiction, may provide legal services in this jurisdiction on a temporary basis. Those legal services must arise out of and be reasonably related to that lawyer s practice of law in the jurisdiction, or area of such other jurisdiction, where the major disaster occurred. (d) Duration of authority for temporary practice. The authority to practice law in this jurisdiction granted by paragraph (b) of this rule shall end when this Court determines that the conditions caused by the major disaster in this jurisdiction have ended except that a lawyer then representing clients in this jurisdiction pursuant to paragraph (b) is authorized to continue the provision of legal services for such time as is reasonably necessary to complete the representation, but the lawyer shall not thereafter accept new clients. The authority to practice law in this jurisdiction granted by paragraph (c) of this rule shall end 60 days after this Court declares that the conditions caused by the major disaster in the affected jurisdiction have ended. (e) Legal services in proceedings in Illinois. The authority granted by this rule permits the provision of legal services in proceedings within Illinois only as follows: SCt

46 SCt 718 (1) by permission under Rule 707; or (2) if this Court, in any determination made under paragraph (a), grants blanket permission to provide legal services in all or designated proceedings in this jurisdiction to lawyers providing legal services pursuant to paragraph (b). (f) Disciplinary authority and registration requirement. Lawyers providing legal services in this jurisdiction pursuant to paragraphs (b) or (c) are subject to this Court s disciplinary authority and the Rules of Professional Conduct of this jurisdiction as provided in Rule 8.5 of the Rules of Professional Conduct. Lawyers providing legal services in this jurisdiction under paragraphs (b) or (c) shall, within 30 days from the commencement of the provision of legal services, file a registration statement with the Clerk of this Court, unless all of the lawyer s legal services authorized under this rule are also permitted under Rule 707, in which case the attorney need only register annually with the ARDC. The registration statement shall be in a form prescribed by this Court. Any lawyer who provides legal services pursuant to this rule shall not be considered to be engaged in the unlawful practice of law in this jurisdiction. (g) Notification to clients. Lawyers authorized to practice law in another United States jurisdiction who provide legal services pursuant to this rule shall inform clients in this jurisdiction of the jurisdiction in which they are authorized to practice law, any limits of that authorization, and that they are not authorized to practice law in this jurisdiction except as permitted by this rule. They shall not state or imply to any person that they are otherwise authorized to practice law in this jurisdiction. (Adopted April 4, 2012, effective immediately; amended June 18, 2013, effective July 1, 2013.) Committee Comments (April 4, 2012) [1] A major disaster in this or another jurisdiction may cause an emergency affecting the justice system with respect to the provision of legal services for a sustained period of time interfering with the ability of lawyers admitted and practicing in the affected jurisdiction to continue to represent clients until the disaster has ended. When this happens, lawyers from SCt the affected jurisdiction may need to provide legal services to their clients, on a temporary basis, from an office outside their home jurisdiction. In addition, lawyers in an unaffected jurisdiction may be willing to serve residents of the affected jurisdiction who have unmet legal needs as a result of the disaster or, though independent of the disaster, whose legal needs temporarily are unmet because of disruption to the practices of local lawyers. Lawyers from unaffected jurisdictions may offer to provide these legal services either by traveling to the affected jurisdiction or from their own offices or both, provided the legal services are provided on a pro bono basis through an authorized not-for-profit entity or such other organization(s) specifically designated by this Court. A major disaster includes, for example, a hurricane, earthquake, flood, wildfire, tornado, public health emergency or an event caused by terrorists or acts of war. [2] Under paragraph (a), this Court shall determine whether a major disaster causing an emergency affecting the justice system has occurred in this jurisdiction, or in a part of this jurisdiction, for purposes of triggering paragraph (b) of this rule. This Court may, for example, determine that the entirety of this jurisdiction has suffered a disruption in the provision of legal services or that only certain areas have suffered such an event. The authority granted by paragraph (b) shall extend only to lawyers authorized to practice law and not disbarred, suspended from practice or otherwise restricted from practice in any other manner in any other jurisdiction. [3] Paragraph (b) permits lawyers authorized to practice law in an unaffected jurisdiction, and not disbarred, suspended from practice or otherwise restricted from practicing law in any other manner in any other jurisdiction, to provide pro bono legal services to residents of the affected jurisdiction following determination of an emergency caused by a major disaster; notwithstanding that they are not otherwise authorized to practice law in the affected jurisdiction. Other restrictions on a lawyer s license to practice law that would prohibit that lawyer from providing legal services pursuant to this rule include, but are not limited to, probation, inactive status, disability inactive status or a nondisciplinary administrative suspension for failure to complete continuing legal education or other requirements. Lawyers on probation may be subject to monitoring and specific limitations on their practices. Lawyers on inactive status, despite being characterized in many jurisdictions as being in good standing, and lawyers on disability inactive status are not permitted to practice law. Public protection war-

47 rants exclusion of these lawyers from the authority to provide legal services as defined in this rule. Lawyers permitted to provide legal services pursuant to this rule must do so without fee or other compensation, or expectation thereof. Their service must be provided through an established not-for-profit organization that is authorized to provide legal services either in its own name or that provides representation of clients through employed or cooperating lawyers. Alternatively, this court may instead designate other specific organization(s) through which these legal services may be rendered. Under paragraph (b), an emeritus lawyer from another United States jurisdiction may provide pro bono legal services on a temporary basis in this jurisdiction provided that the emeritus lawyer is authorized to provide pro bono legal services in that jurisdiction pursuant to that jurisdiction s emeritus or pro bono practice rule. Lawyers may also be authorized to provide legal services in this jurisdiction on a temporary basis under Rule 5.5(c) of the Illinois Rules of Professional Conduct. [4] Lawyers authorized to practice law in another jurisdiction, who principally practice in the area of such other jurisdiction determined by this Court to have suffered a major disaster, and whose practices are disrupted by a major disaster there, and who are not disbarred, suspended from practice or otherwise restricted from practicing law in any other manner in any other jurisdiction, are authorized under paragraph (c) to provide legal services on a temporary basis in this jurisdiction. Those legal services must arise out of and be reasonably related to the lawyer s practice of law in the affected jurisdiction. For purposes of this rule, the determination of a major disaster in another jurisdiction should first be made by the highest court of appellate jurisdiction in that jurisdiction. For the meaning of arise out of and reasonably related to, see Rule 5.5 Comment [14] of the Illinois Rules of Professional Conduct. [5] Emergency conditions created by major disasters end, and when they do, the authority created by paragraphs (b) and (c) also ends with appropriate notice to enable lawyers to plan and to complete pending legal matters. Under paragraph (d), this Court determines when those conditions end only for purposes of this rule. The authority granted under paragraph (b) shall end upon such determination except that lawyers assisting residents of this jurisdiction under paragraph (b) may continue to do so for such longer period as is reasonably necessary to complete the representation. The authority created by paragraph (c) will end 60 SCt 719 days after this Court makes such a determination with regard to an affected jurisdiction. [6] Paragraphs (b) and (c) do not authorize lawyers to appear in the courts of this jurisdiction. Court appearances are subject to the pro hac vice admission rules of the particular court. This Court may, in a determination made under paragraph (e)(2), include authorization for lawyers who provide legal services in this jurisdiction under paragraph (b) to appear in all or designated courts of this jurisdiction without need for such pro hac vice admission. If such an authorization is included, any pro hac vice admission fees shall be waived. A lawyer who has appeared in the courts of this jurisdiction pursuant to paragraph (e) may continue to appear in any such matter notwithstanding a declaration under paragraph (d) that the conditions created by major disaster have ended. Furthermore, withdrawal from a court appearance is subject to Rule 1.16 of the Illinois Rules of Professional Conduct. [7] Authorization to practice law as a foreign legal consultant or in-house counsel in a United States jurisdiction offers lawyers a limited scope of permitted practice and may therefore restrict that person s ability to provide legal services under this rule. RULE 719 Admission of Military Spouse Attorneys From Other Jurisdictions (a) Eligibility. A lawyer admitted to the practice of law in another state or the District of Columbia who meets the educational requirements of Rule 703 may receive a license to practice law in this state if the lawyer is: (1) identified by the Department of Defense (or, for the Coast Guard when it is not operating as a service in the Navy, by the Department of Homeland Security) as the spouse of a service member of the United States Uniformed Services; and/or is a party to a civil union with a service member pursuant to the Illinois Religious Freedom Protection and Civil Union Act; and (2) is residing or intends, within the next six months, to be residing in Illinois due to the service member s military orders for a permanent change of station to the State of Illinois. (b) Application Requirements. To qualify for the license the applicant must file with the Board of Admissions to the Bar the following: SCt

48 SCt 720 (1) a completed application for license and a completed character and fitness registration application in the form prescribed by the Board; (2) a certificate of good standing from the highest court of each jurisdiction of admission; (3) a certificate from the disciplinary authority of each jurisdiction of admission which: (a) states that the applicant has not been suspended, disbarred or disciplined and that no charges of professional misconduct are pending; or (b) identifies any suspensions, disbarments, or disciplinary sanctions and any pending charges; (4) a copy of the service member s military orders reflecting a permanent change of station to a military installation in Illinois; and (5) such other affidavits, proofs and documentation as may be prescribed by the Board. (c) Fee Waiver. The requisite fees in accordance with Rule 706 will be waived for all lawyers complying with the requirements of Rule 719. (d) Character and Fitness Approval. Each applicant for a license under this rule must receive certification of good moral character and general fitness to practice law by the Committee on Character and Fitness in accordance with the provisions of Rule 708. (e) Certification by the Board. In the event the Board of Admissions to the Bar shall find that the applicant meets the requirements of this rule and has received from the Committee on Character and Fitness its certification of good moral character and general fitness to practice law, the Board shall certify to the Court that such applicant is qualified for licensure. (f) Duration and Termination of License. The license and authorization to perform legal services under this rule shall be limited by the earliest of the following events: (1) the service member is no longer a member of the United States Uniformed Services; (2) the military spouse attorney is no longer married to the service member; (3) a change in the service member s military orders reflecting a permanent change of station to a military installation other than Illinois, except that if the service member has been assigned to an unaccompanied or remote assignment with no dependants authorized, the military spouse attorney may continue to practice pursuant to the provisions of this rule until the service member is assigned to a location with dependants authorized; or (4) the lawyer is admitted to the general practice of law under any other rule of this Court. In the event that any of the events listed in subparagraph (f)(1)-(3) occur, the attorney licensed under this rule shall notify the clerk of the Supreme Court of the event in writing within one year of the date upon which the event occurs and upon such notification, the license and authorization to perform services under this rule shall be terminated. (g) Annual Registration. Once the Court has conferred a license to perform legal services under this rule, the lawyer must register with the Attorney Registration and Disciplinary Commission and pay the fee for active lawyers set forth in Rule 756 for the year in which the license is conferred and for any subsequent year into which the license extends. (h) Discipline. All lawyers licensed under this rule shall be subject to the jurisdiction of the Court for disciplinary purposes to the same extent as all other lawyers licensed to practice law in this state. (i) Credit Toward Admission on Motion. The period of time a lawyer practices law while licensed under this rule shall be counted toward his or her eligibility for admission on motion under Rule 705. (Adopted June 18, 2013, effective July 1, 2013.) RULE 720 Reserved SCt

49 Part A-1. Practice Of Law RULE 721 Professional Service Corporations, Professional Associations, Limited Liability Companies, and Registered Limited Liability Partnerships for the Practice of Law (a) Professional service corporations formed under the Professional Service Corporation Act (805 ILCS 10/1 et seq.), professional associations organized under the Professional Association Act (805 ILCS 305/0.01 et seq.), limited liability companies organized under the Limited Liability Company Act (805 ILCS 180/1 1 et seq.), or registered limited liability partnerships organized under the Uniform Partnership Act (1997) (805 ILCS 206/100 et seq.), or professional corporations, professional associations, limited liability companies, or registered limited liability partnerships formed under similar provisions of successor Acts to any of the foregoing legislation or under similar statutes of other states or jurisdictions of the United States, may engage in the practice of law in Illinois provided that (1) each natural person shall be licensed to practice law who is (A) a shareholder, officer, or director of the corporation (except the secretary of the corporation), member of the association, member (or manager, if any) of the limited liability company, or partner of the registered limited liability partnership, (B) a shareholder, officer, or director of a corporation (except the secretary of the corporation), member of an association, member (or manager, if any) of a limited liability company, or partner of a registered limited liability partnership that itself is a shareholder of a corporation, member of an association, member (or manager, if any) of a limited liability company, or partner of a registered limited liability partnership engaged in the practice of law, or (C) engaged in the practice of law and an employee of any such corporation, association, limited liability company, or registered limited liability partnership; and SCt 721 (2) one or more persons shall be members of the bar of Illinois, and engaged in the practice of law in Illinois, who are either (A) shareholders of the corporation, members of the association or limited liability company, or partners of the registered limited liability partnership permitted to engage in the practice of law in Illinois hereunder, or (B) shareholders of a corporation, members of an association or limited liability company, or partners in a registered limited liability partnership permitted to engage in the practice of law in Illinois hereunder that itself is a shareholder of the corporation, member of the association or limited liability company, or partner of the registered limited liability partnership permitted to engage in the practice of law in Illinois hereunder; and (3) the corporation, association, limited liability company, or registered limited liability partnership shall do nothing which, if done by an individual attorney, would violate the standards of professional conduct applicable to attorneys licensed by this court; and (4) no natural person shall be permitted to practice law in Illinois who is a shareholder, officer, director of the corporation, member of the association, member (or manager, if any) of the limited liability company, or partner of the registered limited liability partnership, or an employee of the corporation, association, limited liability company, or registered limited liability partnership, unless that person is either a member of the bar in Illinois or specially admitted by court order to practice in Illinois. (b) This rule does not diminish or change the obligation of each attorney engaged in the practice of law in behalf of the corporation, association, limited liability company, or registered limited liability partnership to conduct himself or herself in accordance with the standards of professional conduct applicable to attorneys licensed by this court. Any attorney who by act or omission causes the corporation, association, limited liability company, or registered limited liability partnership to act in a way which violates standards of professional conduct, SCt

50 SCt 721 including any provision of this rule, is personally responsible for such act or omission and is subject to discipline there for. Any violation of this rule by the corporation, association, limited liability company, or registered limited liability partnership is a ground for the court to terminate or suspend the right of the corporation, association, limited liability company, or registered limited liability partnership to practice law or otherwise to discipline it. (c) No corporation, association, limited liability company, or registered limited liability partnership shall engage in the practice of law in Illinois, or open or maintain an establishment for that purpose in Illinois, without a certificate of registration issued by this court. (d) Unless the corporation, association, limited liability company, or registered limited liability partnership maintains minimum insurance or proof of financial responsibility in accordance with Rule 722, the articles of incorporation or association or organization, or the partnership agreement, shall provide, and in any event the shareholders of the corporation, members of the association or limited liability company, or partners of the registered limited liability partnership shall be deemed to agree by virtue of becoming shareholders, members, or partners, that all shareholders, members, or partners shall be jointly and severally liable for the acts, errors, and omissions of the shareholders, members, or partners, and other employees of the corporation, association, limited liability company, or registered limited liability partnership, arising out of the performance of professional services by the corporation, association, limited liability company, or registered limited liability partnership while they are shareholders, members, or partners. (e) An application for registration shall be in writing signed by an authorized shareholder of the corporation, member of the association or limited liability company, or partner of the registered limited liability partnership, and filed with the clerk of this court with a fee of $50. The application shall contain the following: (1) the name and street address of the corporation, association, limited liability company, or registered limited liability partnership in the State of Illinois; (2) the statute under which it is formed; (3) the names and addresses of the shareholders of the corporation, members of the association or limited liability company, or partners of the registered limited liability partnership; (4) a statement of whether the corporation, association, limited liability company, or registered limited liability partnership is on a calendar or fiscal year basis and if fiscal, the closing date; (5) a statement that each shareholder, officer, and director of the corporation (except the secretary of the corporation), each member of the association, each member (and each manager, if any) of the limited liability company, or each partner of the registered limited liability partnership is a member of the bar of each jurisdiction in which such person practices law and that no disciplinary action is pending against any of them; and (6) such other information and documents as the court may from time to time require. (f) A certificate of registration shall continue in effect until it is suspended or revoked, subject, however, to renewal annually on or before January 31 of each year. The application for renewal shall contain the information itemized in paragraph (e) of this rule and be signed by an authorized shareholder, member, or partner and filed with the clerk of this court with a fee of $40. No certificate is assignable. (g) Nothing in this rule modifies the attorneyclient privilege. (h) To the extent that the provisions of this rule or Rule 722 are inconsistent with any provisions of the Professional Service Corporation Act, the Professional Association Act, the Limited Liability Company Act, or the Uniform Partnership Act, such provisions of said acts shall have no application. (Effective March 18, 1969; amended October 21, 1969, effective November 15, 1969; amended October 1, 1976, effective November 15, 1976; amended February 19, 1982, effective April 1, 1982; amended October 9, 1984, effective November 1, 1984; amended February 5, 1997, effective March 1, 1997; amended April 1, 2003, effective July 1, SCt

51 2003; amended May 20, 2008, effective immediately; amended September 30, 2009, effective immediately.) Commentary (Revised December 5, 2003) As amended, Rule 721: (i) includes registered limited liability partnerships among the kinds of entities that may engage in the practice of law in Illinois; (ii) facilitates registration and renewal by permitting a single authorized member of such law firms to execute the application for registration or renewal; and (iii) clarifies that a corporation, association, limited liability company, or registered limited liability partnership formed under the laws of this state or similar statutes of other states or jurisdictions of the United States can itself be a shareholder of a corporation, member of an association or limited liability company, or partner of a registered limited liability partnership that is registered under the rule. RULE 722 Limited Liability Legal Practice (a) For purposes of this rule: (1) Limited liability entity means a corporation, association, limited liability company, or registered limited liability partnership engaged in the practice of law in Illinois pursuant to Rule 721. (2) Owner means a shareholder, member, manager, or partner of a limited liability entity. (3) Wrongful conduct means acts, errors, or omissions in the performance of professional services by any owners or employees of a limited liability entity while they were affiliated with that entity. (b) The liability, if any, of owners of a limited liability entity, for a claim asserted against the limited liability entity or any of its owners or employees arising out of wrongful conduct, shall be determined by the provisions of the statute under which the limited liability entity is organized if that entity maintains minimum insurance or proof of financial responsibility, as follows: (1) Minimum insurance means a professional liability insurance policy applicable to a limited liability entity, and any of its owners or employees, for wrongful conduct. Such insurance shall exist, in one or more policies, with respect to claims asserted during an annual policy period due to alleged wrongful conduct occurring during the policy SCt 722 period and the previous six years. Such policies shall have a minimum amount of insurinsurance of $100,000 per claim and $250,000 annual aggregate, times the number of lawyers in the firm at the beginning of the annual policy period, provided that the firm's insurance need not exceed $5,000,000 per claim and $10,000,000 annual aggregate. Evidence of any such minimum insurance shall be provided with each application for registration or renewal pursuant to Rule 721 by means of an affidavit or a verification by certification under section of the Code of Civil Procedure of an authorized shareholder, member, or partner that his or her firm maintains the minimum insurance required by this rule. For purposes of Rules 721(d) and 722, the minimum amount of insurance required shall not be affected: (A) by any exceptions or exclusions from coverage that are customary with respect to lawyers professional liability insurance policies; (B) if, with respect to a particular claim, the limited liability entity fails to maintain insurance for wrongful conduct occurring before the annual policy period, so long as insurance coverage in the amount specified in this rule exists with respect to the claim in question; or (C) if, during an annual policy period, the per claim or annual aggregate limits are exceeded by the amounts of any claims, judgments, or settlements. If evidence of insurance is provided with a registration or renewal application pursuant to Rule 721 and it is ultimately determined that the limited liability entity failed to maintain minimum insurance during the period covered by that registration or renewal, unless such failure is fraudulent or willful the joint and several liability of the owners for a claim arising out of wrongful conduct shall be limited to the minimum per claim amount of insurance applicable to the limited liability entity under this rule. (2) Owners of a limited liability entity that has obtained minimum insurance shall be jointly and severally liable, up to the amount of the deductible or retention, for any SCt

52 SCt 723 claims arising out of wrongful conduct unless the limited liability entity has also provided proof of financial responsibility in a sum no less than the amount of the deductible or retention. (3) Proof of financial responsibility means funds that are specifically designated and segregated for the satisfaction of any judgments against a limited liability entity, and any of its owners or employees, entered by or registered in any court of competent jurisdiction in Illinois, arising out of wrongful conduct. At the beginning of an annual period covered by a certificate of registration pursuant to Rule 721, such funds shall be in a sum no less than the minimum required annual aggregate for minimum insurance by that limited liability entity, unless the proof of financial responsibility is provided solely to apply to the deductible or retention pertaining to the applicable minimum insurance, in which case the funds shall be no less than the amount of the deductible or retention. During the annual period covered by a certificate of registration pursuant to Rule 721, such funds may be used only to satisfy any judgments against the limited liability entity, and any of its owners or employees, entered by or registered in any court of competent jurisdiction in Illinois, arising out of wrongful conduct. Such funds may be in any of the following forms: (A) deposit in trust or in bank escrow of cash, bank certificates of deposit, or United States Treasury obligations; (B) a bank letter of credit, or (C) a surety bond. Evidence of any such proof of financial responsibility shall be provided with each application for registration or renewal pursuant to Rule 721 by means of an affidavit or verification by certification under section of the Code of Civil Procedure of an authorized shareholder, member, or partner that his or her firm maintains the funds required by this rule. Otherwise minimum proof of financial responsibility remains minimum, for purposes of this rule, if the individual or combined amount of any judgments during the annual period covered SCt by the certificate of registration exceeds the amount of the segregated funds. (4) If a limited liability entity maintains minimum insurance or proof of financial responsibility at the time that a bankruptcy case is commenced with respect to that entity, it shall be deemed to do so with respect to claims asserted after the commencement of the bankruptcy case. (c) Nothing in this rule or any law under which a limited liability entity is organized shall relieve any lawyer from personal liability for claims arising out of acts, errors, or omissions in the performance of professional services by the lawyer or any person under the lawyer's direct supervision and control. (Adopted April 1, 2003, effective July 1, 2003; amended March 15, 2004, effective immediately.) Commentary (April 1, 2003) Rule 721 imposes joint and several liability on lawyers with an ownership interest in law firms organized under statutes that purport to limit vicarious liability, for claims arising out of the performance of professional services by any firm lawyers or employees, unless the firm maintains minimum insurance or proof of financial responsibility in accordance with Rule 722. For lawyers with an ownership interest in such firms to obtain the limited liability authorized by statute, Rule 722 imposes additional obligations, beyond any statutory requirements, to provide sufficient professional liability insurance or other funds to protect clients with such claims. Rules 721 and 722 do not reduce lawyers' liability for their own professional conduct or that of persons under their direct supervision and control. Nor do these rules affect lawyers' ethical responsibilities for their own conduct, or that of their law firm or their firm's lawyers or employees, under Rules 5.1, 5.2, or 5.3 of the Rules of Professional Conduct. RULES 723 through 729 Reserved RULE 730 Group Legal Services No attorney shall participate in a plan which provides group legal services in this State unless the plan has been registered as hereinafter set forth: (a) The plan shall be registered in the office of the Administrator of the Attorney Registration and Disciplinary Commission within 15 days of

53 the effective date of the plan on forms supplied by the Administrator; (b) Amendments to any plan for group legal services and to any other documents required to be filed upon registration of a plan, made subsequent to the registration of the plan, shall be filed in the office of the Administrator no later than 30 days after the adoption of the amendment; (c) The Administrator shall maintain an index of the plans registered pursuant to this rule. All documents filed in compliance with this rule shall be deemed public documents and shall be available for public inspection during normal business hours; (d) Neither the Commission nor the Administrator shall approve or disapprove of any plan for group legal services or render any legal opinion regarding any plan. The registration of any plan under this rule shall not be construed to indicate approval or disapproval of the plan; (e) Plans existing on the effective date of this order shall be registered on or before June 1, 1977; (f) Subsequent to initial registration, all such plans shall be registered annually on or before July 1 on forms supplied by the Administrator. Plans initially registered prior to July 1, 1977, need not be registered again until July 1, (Adopted April 21, 1977, effective May 1, 1977; amended September 28, 1994, effective October 1, 1994.) RULES 731 through 750 Reserved Part B. Registration And Discipline Of Attorneys RULE 751 Attorney Registration and Disciplinary Commission (a) Authority of the Commission. The registration of, and disciplinary proceedings affecting, members of the Illinois bar, and unauthorized practice of law proceedings instituted under the authority of Rule 752(a), shall be under the administrative supervision of an Attorney Registration and Disciplinary Commission. Any lawyer admitted in another United States jurisdiction who provides legal services on a temporary basis in Illinois pursuant to Rule 5.5 of the Illinois Rules of Professional Conduct shall be subject to the administrative supervision of the SCt 731 Attorney Registration and Disciplinary Commission to the same extent as a lawyer licensed to practice law in this state. The authority granted in this paragraph to the Attorney Registration and Disciplinary Commission related to the unauthorized practice of law proceedings shall be independent of that granted by statute, regulation, or other legal authority to any governmental agency, entity, or individual to pursue action relating to the unauthorized practice of law, including but not limited to any action by the Illinois Attorney General or State's Attorney, or any action filed pursuant to the Illinois Attorney Act, 705 ILCS 205/1. (b) Membership and Terms. The Commission shall consist of four members of the Illinois bar and three nonlawyers appointed by the Supreme Court. One member shall be designated by the court as chairperson and one member shall be designated by the court as vice-chairperson. Unless the court specifies a shorter term, all members shall be appointed for three-year terms and shall serve until their successors are appointed. Any member of the Commission may be removed by the court at any time, without cause. (c) Compensation. None of the members of the Commission shall receive compensation for serving as such, but all members shall be reimbursed for their necessary expenses. (d) Quorum. Four members of the Commission shall constitute a quorum for the transaction of business. The concurrence of four members shall be required for all action taken by the Commission. (e) Duties. The Commission shall have the following duties: (1) to appoint, with the approval of the Supreme Court, an administrator to serve as the principal executive officer of the registration and disciplinary system. The Administrator shall receive such compensation as the Commission authorizes from time to time; (2) to make rules for disciplinary and unauthorized practice of law proceedings not inconsistent with the rules of this court; (3) to supervise the activities of the Administrator; supervision of the Administrator SCt

54 SCt SCt 752 shall include review, after the fact, of representative samples of investigative matters concluded by the Administrator without reference to the Inquiry Board; (4) to authorize the Administrator to hire attorneys, investigators and clerical personnel and to set the salaries of such persons; (5) to appoint from time to time, as it may deem appropriate, members of the bar to serve as commissioners in addition to those provided for in Rule 753; (6) to collect and administer the disciplinary fund provided for in Rule 756, to collect and remit to the Lawyers Assistance Program Fund the fee described in Rule 756(a)(1) and the Lawyers Assistance Program Act (30 ILCS 105/5.570), to collect and remit to the Lawyers Trust Fund the fee described in Rule 756(a)(1), to collect and remit to the Supreme Court Commission on Professionalism the fee described in Rule 756(a)(1) and, on or before April 30 of each year, file with the court an accounting of the monies received and expended for disciplinary activities and fees remitted to the Lawyers Assistance Program Fund, the Lawyers Trust Fund, and the Supreme Court Commission on Professionalism, and a report of such activities for the previous calendar year, which shall be published by the court, and there shall be an independent annual audit of the disciplinary fund as directed by the court, the expenses of which shall be paid out of the fund; (7) to submit an annual report to the court evaluating the effectiveness of the registration and disciplinary system and recommending any changes it deems desirable; and (8) to develop a comprehensive orientation program for new members of the Inquiry Board and implement that program. (Adopted January 25, 1973, effective February 1, 1973; amended effective May 17, 1973, April 1, 1974, and May 21, 1975; amended August 9, 1983, effective October 1, 1983; amended April 10, 1987, effective August 1, 1987; amended June 4, 1987, effective immediately; amended March 17, 1988, effective immediately; amended October 13, 1989, effective immediately; amended October 4, 2002, effective immediately; amended September 29, 2005, effective immediately; amended July 1, 2009, effective January 1, 2010; amended December 7, 2011, effective immediately; amended January 17, 2013, effective immediately.) RULE 752 Administrator Subject to the supervision of the Commission, the Administrator shall: (a) On his own motion, on the recommendation of an Inquiry Board or at the instance of an aggrieved party, investigate conduct of attorneys licensed in Illinois and attorneys admitted in another United States jurisdiction who provide legal services on a temporary basis in Illinois pursuant to Rule 5.5 of the Illinois Rules of Professional Conduct, whose conduct tends to defeat the administration of justice or to bring the courts or the legal profession into disrepute, and investigate allegations of the unauthorized practice of law, including investigations involving disbarred lawyers and other persons, entities, or associations that are not authorized to practice law by this court. (b) Assist each Inquiry Board in its investigations and prosecute disciplinary cases before the Hearing Boards, the Review Board and the court and prosecute unauthorized practice of law proceedings pursuant to Rule 779; (c) Employ at such compensation as may be authorized by the Commission, such investigative, clerical and legal personnel as may be necessary for the efficient conduct of his office; (d) Discharge any such personnel whose performance is unsatisfactory to him; and (e) Maintain such records, make such reports and perform such other duties as may be prescribed by the Commission from time to time. (Adopted January 25, 1973, effective February 1, 1973; amended effective May 17, 1973, and April 1, 1974; amended March 17, 1988, effective immediately; amended December 7, 2011, effective immediately.) RULE 753 Inquiry, Hearing and Review Boards (a) Inquiry Board (1) There shall be an Inquiry Board. It shall consist of members of the bar of Illinois and nonlawyers appointed by the Commission to serve annual terms as commissioners of the court. Nonlawyer members shall be appointed to the Board in a ratio of two law-

55 yers for each nonlawyer. The Commission may appoint as many members of the Board as it deems necessary to carry on the work of the Board. (2) The Board shall inquire into and investigate matters referred to it by the Administrator. The Board may also initiate investigations on its own motion and may refer matters to the Administrator for investigation. (3) After investigation and consideration, the Board shall dispose of matters before it by voting to dismiss the charge, to close an investigation, to file a complaint with the Hearing Board, or to institute unauthorized practice of law proceedings. (4) The Board may act in panels. Each panel shall consist of two lawyers and one nonlawyer as designated by the Commission. The Commission shall designate one of the members of each panel as chairman. The majority of a panel shall constitute a quorum and the concurrence of a majority shall be necessary to a decision. (b) Filing a Complaint. A disciplinary complaint voted by the Inquiry Board shall be prepared by the Administrator and filed with the Hearing Board. The complaint shall reasonably inform the attorney of the acts of misconduct he is alleged to have committed. (c) Hearing Board (1) There shall be a Hearing Board. It shall consist of members of the bar of Illinois and nonlawyers appointed by the Commission to serve annual terms as commissioners of the court. Members shall be appointed to the Board in a ratio of two lawyers for each nonlawyer. (2) The Hearing Board may act in panels of not less than three members each, as designated by the Commission. The Commission shall also designate one of the lawyer members of each panel as chairperson. The majority of a panel shall constitute a quorum and the concurrence of a majority shall be necessary to a decision. In the absence of the chairperson of a panel at a SCt 753 hearing, the lawyer member present shall serve as acting chairperson. (3) The hearing panels shall conduct hearings on complaints filed with the Board and on petitions referred to the Board. The panel shall make findings of fact and conclusions of fact and law, together with a recommendation for discipline, dismissal of the complaint or petition, or nondisciplinary disposition. The Hearing Board may order that it will administer a reprimand to the respondent in lieu of recommending disciplinary action by the court. (4) The scheduling of matters before the Board shall be in accordance with Commission rules. (5) Proceedings before the Board, including discovery practice, shall be in accordance with the Code of Civil Procedure and the rules of the Supreme Court as modified by rules promulgated by the Commission pursuant to Supreme Court Rule 751(a). Information regarding prior discipline of a respondent will not be divulged to a hearing panel until after there has been a finding of misconduct, unless that information would be admissible for reasons other than to show a propensity to commit the misconduct in question. (6) Except as otherwise expressly provided in these rules, the standard of proof in all hearings shall be clear and convincing evidence. (d) Review of Hearing Board Reports (1) Review Board. There shall be a nine-member Review Board which shall be appointed by the court. Appointments shall be for a term of three years or until a successor is appointed. Appointments to the Review Board shall be staggered, so that the terms of three members are scheduled to expire each year. No member shall be appointed for more than three consecutive three-year terms. One member shall be designated by the court as chairperson. The Review Board shall function in panels of three, presided over by the most senior member of the panel. The concurrence of two SCt

56 SCt 753 members of a panel shall be necessary to a decision. (2) Exceptions; Agreed Matters. Reports of the Hearing Board shall be docketed with the Review Board upon the filing of a notice of exceptions by either party. The respondent or the Administrator may file exceptions to the report of the Hearing Board with the Review Board within 21 days of the filing of the report in the Commission. If neither the respondent nor the Administrator files a notice of exceptions to the Hearing Board report, and the report recommends action by the court, the clerk of the Attorney Registration and Disciplinary Commission shall submit the report of the Hearing Board to the court as an agreed matter. Upon the submission of any matter as an agreed matter, the clerk of the Commission shall give notice to the parties of that submission. Within 21 days after submission of the report to the court, the Administrator shall file a motion to approve and confirm the report of the Hearing Board. No response to this motion shall be filed unless ordered by the court on its own motion or pursuant to a motion for leave to respond. Upon receipt of the motion to approve and confirm, the court may enter a final order as recommended by the Hearing Board or as otherwise determined by the court, order briefs or oral argument or both, or remand the matter with directions to the Hearing Board or the Review Board. (3) Action by the Review Board. The Review Board may approve the findings of the Hearing Board, may reject or modify such findings as it determines are against the manifest weight of the evidence, may make such additional findings as are established by clear and convincing evidence, may approve, reject or modify the recommendations, may remand the proceeding for further action or may dismiss the proceeding. The Review Board may order that it will administer a reprimand to the respondent in lieu of recommending disciplinary action by the court. A copy of the report or order of the Review Board shall be served on the respondent and the Administrator. (e) Review of Review Board Reports (1) Petition for Leave to File Exceptions. Reports or orders of the Review Board shall be reviewed by the court only upon leave granted by the court or upon the court s own motion. Either party may petition the court for leave to file exceptions to the order or report of the Review Board. The petition shall be filed within 35 days of the filing of the order or report in the Commission. The Supreme Court, or a justice thereof, on motion supported by affidavit or verification by certification under section of the Code of Civil Procedure may extend the time for petitioning for leave to file exceptions, but such motions are not favored and will be allowed only in the most extreme and compelling circumstances.(see Rule 361.) (2) Grounds for Petition for Leave to File Exceptions. Whether a petition for leave to file exceptions will be granted is a matter of sound judicial discretion. The following, while neither controlling nor fully measuring the court's discretion, indicate the character of the reasons which will be considered; the general importance of the question presented; the existence of a conflict between the report of the Review Board and prior decisions of the court; and the existence of a substantial disparity between the discipline recommended and discipline imposed in similar cases. (3) Contents of Petition for Leave to File Exceptions. The petition for leave to file exceptions shall contain, in the following order: (a) a request for leave to file exceptions; (b) a statement of the date upon which the report of the Review Board was filed; (c) a statement of the points relied upon for rejection of the report of the Review Board; (d) a fair and accurate statement of the facts, which shall contain the facts neces- SCt

57 sary to an understanding of the case, without argument or comment, with appropriate references to the record by transcript page and exhibit number; (e) a short argument (including appropriate authorities) stating why review by the Supreme Court is warranted and why the decision of the Review Board should be rejected; and (f) a copy of the reports of the Hearing and Review Boards and proposed exceptions shall be appended to the petition. The petition shall otherwise be prepared, served, and filed in accordance with requirements for briefs as set forth in Rule 341. (4) Answer. The opposing party need not but may file an answer, with proof of service, within 14 days after the expiration of the time for the filing of the petition. The Supreme Court, or a justice thereof, on motion supported by affidavit or verification by certification under section of the Code of Civil Procedure may extend the time for filing an answer, but such motions are not favored and will be allowed only in the most extreme and compelling circumstances.(see Rule 361.) An answer shall set forth reasons why the petition should not be granted, and shall conform, to the extent appropriate, to the form specified in this rule for the petition, omitting the first four items set forth in paragraph (3) except to the extent that correction of the petition is considered necessary. The answer shall otherwise be prepared, served, and filed in accordance with the requirements for briefs as set forth in Rule 341. No reply to the answer shall be filed. (5) Ruling on Petition. (a) If the court allows exceptions to an order or report of the Review Board, it may: 1. enter a final order as recommended by the Review Board or as otherwise determined by the court; 2. enter an order remanding the matter with directions to the Hearing Board or the Review Board; or SCt accept the matter for further consideration. If the case is accepted for further consideration, the clerk of the Attorney Registration and Disciplinary Commission shall transmit the record of the case to the court. Either party may assert error in any ruling, action, conclusion or recommendation of the Review Board without regard to whether the party filed exceptions. The petition for leave to file exceptions allowed by the court shall stand as the brief of the appellant. Remaining briefs shall be prepared, filed, and served in compliance with Rules 341 and 343. The parties shall not be entitled to oral argument before the court as of right. Oral argument may be requested in accordance with Rule 352. (b) If the court denies leave to file exceptions, it may: 1. enter a final order as recommended by the Review Board or as otherwise determined by the court; or 2. enter an order remanding the matter with directions to the Hearing Board or the Review Board. (6) Agreed Matters. If a petition for leave to file exceptions is not timely filed and if the report of the Review Board recommends action by the court, the clerk of the Attorney Registration and Disciplinary Commission shall submit the report of the Review Board together with a copy of the report of the Hearing Board to the court as an agreed matter. Upon the submission of any matter as an agreed matter, the clerk of the Commission shall give notice to the parties of that submission. Within 21 days after submission of the report to the court, the Administrator shall file a motion to approve and confirm the report of the Review Board. No response to this motion shall be filed unless ordered by the court on its own motion or pursuant to a motion for leave to respond. Upon receipt of the motion to approve and confirm, the court may enter a final order of discipline as recommended or as otherwise determined by the court, order briefs or oral argument or both, or remand the matter with SCt

58 SCt 754 directions to the Hearing Board or the Review Board. (7) Finality of Review Board Decision. If exceptions are not filed and the order or report of the Review Board does not recommend disciplinary action by the court, the order or report of the Review Board shall be final. (f) Duty of Respondent or Petitioner. It shall be the duty of the respondent or petitioner who is the subject of any investigation or proceeding contemplated by these rules to appear at any hearing at which his presence is required or requested. Failure to comply, without good cause shown, may be considered as a separate ground for the imposition of discipline or denial of a petition. (Adopted January 25, 1973, effective February 1, 1973; amended effective May 17, 1973, April 1, 1974, and May 21, 1975; amended October 1, 1976, effective November 15, 1976; amended August 9, 1983, effective October 1, 1983; amended July 1, 1985, effective August 1, 1985; amended October 13, 1989, effective immediately; amended October 16, 1990, effective November 1, 1990; amended May 26, 1993, effective immediately, amended October 15, 1993, effective immediately; amended December 30, 1993, effective January 1, 1994; amended February 2, 1994, effective immediately; amended December 1, 1995, effective immediately; amended June 29, 2006, effective September 1, 2006; amended December 7, 2011, effective immediately.) RULE 754 Subpoena Power (a) Power to Take Evidence. The Administrator, the Inquiry Board and the Hearing Board are empowered to take evidence of respondents, petitioners and any other attorneys or persons who may have knowledge of the pertinent facts concerning any matter which is the subject of an investigation or hearing. (b) Issuance of Subpoenas. The Clerk of the Court shall issue a subpoena ad testificandum or a subpoena duces tecum as provided below: (1) upon request of the Administrator related to an investigation conducted pursuant to Rules 752, 753, 759, 767, 779, or 780 or related to a deposition or hearing before the Hearing Board; the Administrator may use a subpoena in an investigation conducted pursuant to Rule 753 until such time as a complaint is filed with the Hearing Board; (2) upon request of the Inquiry or Hearing Board related to a proceeding pending before the Board; (3) upon request of the respondent or the petitioner related to a deposition or hearing before the Hearing Board; or (4) upon request of the Administrator related to the investigation or review of a Client Protection Claim. (c) Fees and Costs. Respondents and petitioners shall not be entitled to a witness fee or reimbursement for costs to comply with any subpoena issued pursuant to this rule. All other persons shall be entitled to payment for fees, mileage and other costs as provided by law. Such payments shall be made by the Commission for a subpoena issued at the instance of the Administrator, the Inquiry Board or the Hearing Board. Such payments shall be made by the respondent or the petitioner for a subpoena issued at his instance. (d) Judicial Review. A motion to quash a subpoena issued pursuant to this rule shall be filed with the court. Any person who fails or refuses to comply with a subpoena may be held in contempt of the court. (e) Enforcement. A petition for rule to show cause why a person should not be held in contempt for failure or refusal to comply with a subpoena issued pursuant to this rule shall be filed with the court. Unless the court orders otherwise, the petition shall be referred to the chief judge of the circuit court of Cook County or Sangamon County or any other judge of those circuits designated by the chief judge. The designated judge shall be empowered to entertain petitions, hear evidence, and enter orders compelling compliance with subpoenas issued pursuant to this rule. When a petition is referred to the circuit court, the following procedures should be followed: (1) The Clerk of the Supreme Court shall forward a copy of the petition for rule to show cause to the designated judge of the circuit court and, at the same time, shall send notice to the party who filed the petition and all persons upon whom the petition was served that the matter has been referred to the SCt

59 circuit court. The notice shall name the judge to whom the matter has been referred and state the courthouse at which proceedings pertaining to the petition will be heard. (2) Any answer to the petition or other responsive pleading shall be filed with the Clerk of the Supreme Court and a copy of such answer or other pleading shall be delivered to the judge to whom the matter has been referred by mailing or hand delivering the copy to the chambers of the designated judge. The proof of service for such answer or other responsive pleading shall state that delivery to the designated judge was made in accordance with this rule. (3) Proceedings on the petition before the designated judge, including scheduling of hearings and time for serving notices of hearing, shall be governed by the rules of the circuit court in which the designated judge sits, unless otherwise ordered by the judge. (4) The designated judge may enter any order available to the circuit court in the exercise of its authority to enforce subpoenas, including orders for confinement or fines. If the judge finds an attorney in contempt for failure to comply with a subpoena issued pursuant to this rule, in addition to entertaining any other order, the judge may also recommend that the court suspend the attorney from the practice of law in this State until the attorney complies with the subpoena. Upon issuance of such a recommendation by the designated judge, the Administrator shall file with the Clerk of the Supreme Court a petition seeking implementation of the recommendation of suspension. (Adopted January 25, 1973, effective February 1, 1973; amended May 21, 1975; amended June 12, 1987, effective August 1, 1987; amended November 29, 1990, effective December 1, 1990; amended March 28, 1994, effective immediately; amended April 1, 1994, effective immediately; amended December 7, 2011, effective immediately.) RULE 755 Assistance of Members of the Bar, Rule Making Power of Boards (a) Assistance of Bar. The Commission and the inquiry, hearing and review boards may call to their assistance other members of the bar. SCt 755 (b) Supplementary Rules. Subject to the approval of the Commission, the inquiry, hearing and review boards may make supplementary rules concerning the procedures before the respective boards. (Adopted January 25, 1973, effective February 1, 1973; amended August 9, 1983, effective October 1, 1983.) RULE 756 Registration and Fees (a) Except as hereinafter provided, every attorney admitted to practice law in this state shall register and pay an annual registration fee to the Commission on or before the first day of January. Every out-of-state attorney permitted to appear and provide legal services in a proceeding pursuant to Rule 707 shall register for each year in which the attorney has such an appearance of record in one or more proceedings. Except as provided below, all fees and penalties shall be retained as a part of the disciplinary fund. The following schedule shall apply beginning with registration for 2013 and until further order of the court: (1) No registration fee is required of an attorney admitted to the bar less than one year before the first day of January for which the registration fee is due; an attorney admitted to the bar for more than one year but less than three years before the first day of January for which the registration fee is due shall pay an annual registration fee of $105; an out-of-state attorney permitted to appear and provide legal services pursuant to Rule 707 shall pay a registration fee of $105 for each year in which the attorney s appearance is of record in one or more such proceedings if a per-proceeding fee is required in any such proceeding under Rule 707(f); an attorney admitted to the bar for more than three years before the first day of January for which the registration fee is due shall pay an annual registration fee of $342, out of which $7 shall be remitted to the Lawyers Assistance Program Fund, $95 shall be remitted to the Lawyers Trust Fund, $15 shall be remitted to the Supreme Court Commission on Professionalism, and $25 shall be remitted to the Client Protection Program Trust Fund. For purposes of this rule, the time shall be com- SCt

60 SCt 756 puted from the date of the attorney s initial admission to practice in any jurisdiction in the United States. (2) An attorney in the Armed Forces of the United States shall be exempt from paying a registration fee until the first day of January following discharge. (3) An attorney who has reached the age of 75 years shall be excused from the further payment of registration fees. (4) No registration fee is required of any attorney during the period he or she is serving in one of the following offices in the judicial branch: (A) in the office of justice, judge, associate judge or magistrate of a court of the United States of America or the State of Illinois; or (B) in the office of judicial law clerk, administrative assistant, secretary or assistant secretary to such a justice, judge, associate judge or magistrate, or in any other office included within the Supreme Court budget that assists the Supreme Court in its adjudicative responsibilities, provided that the exemption applies only if the attorney is prohibited by the terms of his or her employment from actively engaging in the practice of law. (5) An attorney may advise the Administrator in writing that he or she desires to assume inactive status and, thereafter, register as an inactive status attorney. The annual registration fee for an inactive status attorney shall be $105. Upon such registration, the attorney shall be placed upon inactive status and shall no longer be eligible to practice law or hold himself or herself out as being authorized to practice law in this state, except as is provided in paragraph (j) of this rule. An attorney who is on the master roll as an inactive status attorney may advise the Administrator in writing that he or she desires to resume the practice of law, and thereafter register as active upon payment of the registration fee required under this rule and submission of verification from the Director of MCLE that he or she has complied with MCLE requirements as set forth in Rule 790 et seq. If the attorney returns from inactive status after having paid the inactive status fee for the year, the attorney shall pay the difference between the inactive status registration fee and the registration fee required under paragraphs (a)(1) through (a)(4) of this rule. Inactive status under this rule does not include inactive disability status as described in Rules 757 and 758. Any lawyer on inactive disability status is not required to pay an annual fee. (6) An attorney may advise the Administrator in writing that he or she desires to assume retirement status and, thereafter, register as a retired attorney. Upon such registration, the attorney shall be placed upon retirement status and shall no longer be eligible to practice law or hold himself or herself out as being authorized to practice law in this state, except as is provided in paragraph (j) of this rule. The retired attorney is relieved thereafter from the annual obligation to register and pay the registration fee. A retired attorney may advise the Administrator in writing that he or she desires to register as an active or inactive status lawyer and, thereafter so register upon payment of the fee required for the current year for that registration status, plus the annual registration fee that the attorney would have been required to pay if registered as active for each of the years during which the attorney was on retirement status. If the lawyer seeks to register as active, he or she must also submit, as part of registering, verification from the Director of MCLE of the lawyer s compliance with MCLE requirements as set forth in Rule 790 et seq. (7) An attorney who is on voluntary inactive status pursuant to former Rule 770 who wishes to register for any year after 1999 shall file a petition for restoration under Rule 759. If the petition is granted, the attorney shall advise the Administrator in writing whether he or she wishes to register as active, inactive or retired, and shall pay the fee required for that status for the year in which the SCt

61 restoration order is entered. Any such attorney who petitions for restoration after December 31, 2000, shall pay a sum equal to the annual registration fees that the attorney would have been required to pay for each full year after 1999 during which the attorney remained on Rule 770 inactive status without payment of a fee. (8) Upon written application and for good cause shown, the Administrator may excuse the payment of any registration fee in any case in which payment thereof will cause undue hardship to the attorney. (9) Permanent Retirement Status. An attorney may file a petition with the court requesting that he or she be placed on permanent retirement status. All of the provisions of retirement status enumerated in Rule 756(a)(6) shall apply, except that an attorney who is granted permanent retirement status may not thereafter change his or her registration designation to active or inactive status, petition for reinstatement pursuant to Rule 767, or provide pro bono services as otherwise allowed under paragraph (j) of this rule. (A) The petition for permanent retirement status must be accompanied by a consent from the Administrator, consenting to permanent retirement status. If the petition is not accompanied by a consent from the Administrator, it shall be denied. (B) An attorney shall not be permitted to assume permanent retirement status if: 1. there is a pending disciplinary proceeding against the attorney before the Hearing Board or a complaint has been voted against the attorney by the Inquiry Board; 2. there is a pending investigation against the attorney that involves: a. an allegation that the attorney converted funds or misappropriated funds or property of a client or third party; b. an allegation that the attorney engaged in criminal conduct SCt 756 that reflects adversely on the attorney s honesty; or c. the alleged conduct resulted in or is likely to result in actual prejudice (loss of money, legal rights, or valuable property rights) to a client or other person, unless restitution has been made; or 3. the attorney retains an active license to practice law in jurisdictions other than the State of Illinois. (C) If permanent retirement status is granted, the Administrator and/or the Inquiry Board shall close any pending disciplinary investigation of the attorney. The Administrator may resume such investigations pursuant to Commission Rule 54 and may initiate additional investigations and proceedings of the attorney as circumstances warrant. (b) The Master Roll. The Administrator shall prepare a master roll of attorneys consisting of the names of attorneys who have registered and have paid or are exempt from paying the registration fee. The Administrator shall maintain the master roll in a current status. At all times a copy of the master roll shall be on file in the office of the clerk of the court. An attorney who is not listed on the master roll is not entitled to practice law or to hold himself or herself out as authorized to practice law in this State. An attorney listed on the master roll as on inactive or retirement status shall not be entitled to practice law or to hold himself or herself out as authorized to practice law in Illinois, except as is provided in paragraph (j) of this rule. (c) Notice of Registration. On or before the first day of November of each year the Administrator shall mail to each attorney on the master roll a notice that annual registration is required on or before the first day of January of the following year. It is the responsibility of each attorney on the master roll to notify the Administrator of any change of address within 30 days of the change. Failure to receive the notice from the Administrator shall not constitute an excuse for failure to register. SCt

62 SCt 756 (d) Disclosure of Trust Accounts. As part of registering under this rule, each lawyer shall identify any and all accounts maintained by the lawyer during the preceding 12 months to hold property of clients or third persons in the lawyer s possession in connection with a representation, as required under Rule 1.15(a) of the Illinois Rules of Professional Conduct, by providing the account name, account number and financial institution for each account. For each account, the lawyer shall also indicate whether each account is an IOLTA account, as defined in Rule 1.15(i)(2) of the Illinois Rules of Professional Conduct. If a lawyer does not maintain a trust account, the lawyer shall state the reason why no such account is required. (e) Disclosure of Malpractice Insurance. As part of registering under this rule, each lawyer shall disclose whether the lawyer has malpractice insurance on the date of the registration, and if so, shall disclose the dates of coverage for the policy. The Administrator may conduct random audits to assure the accuracy of information reported. Each lawyer shall maintain, for a period of seven years from the date the coverage is reported, documentation showing the name of the insurer, the policy number, the amount of coverage and the term of the policy, and shall produce such documentation upon the Administrator s request. The requirements of this subsection shall not apply to attorneys serving in the office of justice, judge, associate judge or magistrate as defined in subparagraph (a)(4) of this rule on the date of registration. (f) Disclosure of Voluntary Pro Bono Service. As part of registering under this rule, each lawyer shall report the approximate amount of his or her pro bono legal service and the amount of qualified monetary contributions made during the preceding 12 months. (1) Pro bono legal service includes the delivery of legal services or the provision of training without charge or expectation of a fee, as defined in the following subparagraphs: (a) legal services rendered to a person of limited means; (b) legal services to charitable, religious, civic, community, governmental or educational organizations in matters designed to address the needs of persons of limited means; (c) legal services to charitable, religious, civic, or community organizations in matters in furtherance of their organizational purposes; and (d) training intended to benefit legal service organizations or lawyers who provide pro bono services. In a fee case, a lawyer s billable hours may be deemed pro bono when the client and lawyer agree that further services will be provided voluntarily. Legal services for which payment was expected, but is uncollectible, do not qualify as pro bono legal service. (2) Pro bono legal service to persons of limited means refers not only to those persons whose household incomes are below the federal poverty standard, but also to those persons frequently referred to as the working poor. Lawyers providing pro bono legal service need not undertake an investigation to determine client eligibility. Rather, a good-faith determination by the lawyer of client eligibility is sufficient. (3) Qualified monetary contribution means a financial contribution to an organization as enumerated in subparagraph (1)(b) which provides legal services to persons of limited means or which contributes financial support to such an organization. (4) As part of the lawyer s annual registration fee statement, the report required by subsection (f) shall be made by answering the following questions: (a) Did you, within the past 12 months, provide any pro bono legal services as described in subparagraphs (1) through (4) below? Yes No If no, are you prohibited from providing legal services because of your employment? Yes No If yes, identify the approximate number of hours provided in each of the following catego- SCt

63 ries where the service was provided without charge or expectation of a fee: (5) (1) hours of legal services to a person/persons of limited means; (6) (2) hours of legal services to charitable, religious, civic, community, governmental or educational organizations in matters designed to address the needs of persons of limited means; (7) (3) hours of legal services to charitable, religious, civic or community organizations in furtherance of their organizational purposes; and (8) (4) hours providing training intended to benefit legal service organizations or lawyers who provide pro bono services. Legal services for which payment was expected, but is not collectible, do not qualify as pro bono services and should not be included. (a) Have you made a monetary contribution to an organization which provides legal services to persons of limited means or which contributes financial support to such organization? Yes No If yes, approximate amount: $. (5) Information provided pursuant to this subsection (f) shall be deemed confidential pursuant to the provisions of Rule 766, but the Commission may report such information in the aggregate. (g) Removal from the Master Roll. On February 1 of each year the Administrator shall remove from the master roll the name of any person who has not registered for that year. A lawyer will be deemed not registered for the year if the lawyer has failed to provide trust account information required by paragraph (d) of this rule or if the lawyer has failed to provide information concerning malpractice coverage required by paragraph (e) or information on voluntary pro bono service required by paragraph (f) of this rule. Any person whose name is not on the master roll and who practices law or who holds himself or herself out as being authorized to practice law in this State is engaged in the unauthorized practice of law and may also be held in contempt of the court. SCt 756 (h) Reinstatement to the Master Roll. An attorney whose name has been removed from the master roll solely for failure to register and pay the registration fee may be reinstated as a matter of course upon registering and paying the registration fee prescribed for the period of his suspension, plus the sum of $25 per month for each month that such registration fee is delinquent. (i) No Effect on Disciplinary Proceedings. The provisions of this rule pertaining to registration status shall not bar, limit or stay any disciplinary investigations or proceedings against an attorney except to the extent provided in Rule 756(a)(9) regarding permanent retirement status. (j) Pro bono Authorization for Inactive and Retired Status Attorneys and House Counsel. (1) Authorization to Provide Pro Bono Services An attorney who is registered as inactive or retired under Rule 756(a)(5) or (a)(6), or an attorney who is admitted in another state and is not disbarred or otherwise suspended from practice in any jurisdiction shall be authorized to provide pro bono legal services under the following circumstances: (a) without charge or an expectation of a fee by the attorney; (b) to persons of limited means or to organizations, as defined in paragraph (f) of this rule; and (c) under the auspices of a sponsoring entity, which must be a not-for-profit legal services organization, governmental entity, law school clinical program, or bar association providing pro bono legal services as defined in paragraph (f)(1) of this rule. (2) Duties of Sponsoring Entities. In order to qualify as a sponsoring entity, an organization must submit to the Administrator an application identifying the nature of the organization as one described in section (j)(1)(c) of this rule and describing any program for providing pro bono services which the entity sponsors and in which retired or inactive lawyers or house counsel may participate. In the application, a responsible SCt

64 SCt 756 attorney shall verify that the program will provide appropriate training and support and malpractice insurance for volunteers and that the sponsoring entity will notify the Administrator as soon as any attorney authorized to provide services under this rule has ended his or her participation in the program. The organization is required to provide malpractice insurance coverage for any retired or inactive lawyers or house counsel participating in the program. To continue to qualify under this rule, a sponsoring entity shall be required to submit an annual statement verifying the continuation of any programs and describing any changes in programs in which retired or inactive lawyers or house counsel may participate. (3) Procedure for Attorneys Seeking Authorization to Provide Pro Bono Services. An attorney admitted in Illinois who is registered as inactive or retired, or an attorney who is admitted in another state but not Illinois, who seeks to provide pro bono services under this rule shall submit a statement to the Administrator so indicating, along with a verification from a sponsoring entity or entities that the attorney will be participating in a pro bono program under the auspices of that entity. An attorney who is seeking authorization based on admission in another state shall also disclose all other state admissions and whether the attorney is the subject of any disbarment or suspension orders in any jurisdiction. The attorney s statement shall include the attorney s agreement that he or she will participate in any training required by the sponsoring entity and that he or she will notify the Administrator within 30 days of ending his or her participation in a pro bono program. Upon receiving the attorney s statement and the entity s verification, the Administrator shall cause the master roll to reflect that the attorney is authorized to provide pro bono services. That authorization shall continue until the end of the calendar year in which the statement and verification are submitted, unless the lawyer or the sponsoring entity sends notice to the SCt Administrator that the program or the lawyer s participation in the program has ended. (4) Renewal of Authorization. Renewal of Authorization. An attorney who has been authorized to provide pro bono services under this rule may renew the authorization on an annual basis by submitting a statement that he or she continues to participate in a qualifying program, along with verification from the sponsoring entity that the attorney continues to participate in such a program under the entity s auspices and that the attorney has taken part in any training required by the program. An attorney who is seeking renewal based on admission in another state shall also affirm that the attorney is not the subject of any disbarment or suspension orders in any jurisdiction. (5) Annual Registration for Attorneys on Retired Status. Notwithstanding the provisions of Rule 756(a)(6), a retired status attorney who seeks to provide pro bono services under this rule must register on an annual basis, but is not required to pay a registration fee. (6) MCLE Exemption. The provisions of Rule 791 exempting attorneys from MCLE requirements by reason of being registered as inactive or retired shall apply to inactive or retired status attorneys authorized to provide pro bono services under this rule, except that such attorneys shall participate in training to the extent required by the sponsoring entity. (7) Disciplinary Authority. Lawyers admitted in another state who are providing legal services in this jurisdiction pursuant to this paragraph are subject to this Court s disciplinary authority and the Rules of Professional Conduct of this jurisdiction, as provided in Rule 8.5 of the Rules of Professional Conduct of Any lawyer who provides legal services pursuant to this rule shall not be considered to be engaged in the unlawful practice of law in this jurisdiction. (Adopted January 25, 1973, effective February 1, 1973; amended effective May 17, 1973, April 1, 1974, and February 17, 1977; amended August 9, 1983, effective October 1, 1983; amended April 27, 1984, and June 1, 1984, effective

65 July 1, 1984; amended July 1, 1985, effective August 1, 1985; amended effective November 1, 1986; amended December 1, 1988, effective December 1, 1988; amended November 20, 1991, effective immediately; amended June 29, 1999, effective November 1, 1999; amended July 6, 2000, effective November 1, 2000; amended July 26, 2001, effective immediately; amended October 4, 2002, effective immediately; amended June 15, 2004, effective October 1, 2004; amended May 23, 2005, effective immediately; amended September 29, 2005, effective immediately; amended June 14, 2006, effective immediately; amended September 14, 2006, effective immediately; amended March 26, 2008, effective July 1, 2008; amended July 29, 2011, effective September 1, 2011; amended June 5, 2012, eff. immediately; amended June 21, 2012, eff. immediately; amended November 28, 2012, eff. immediately; amended June 18, 2013, eff. July 1, 2013.) Committee Comments (April 8, 2013) Paragraph (j) is not intended to apply to attorneys who are otherwise authorized to provide pro bono service in Illinois, including house counsel admitted under Rule 716. Committee Comment (June 14, 2006) Paragraph (f) is derived from the findings of the Special Supreme Court Committee on pro bono Publico Legal Service. The Special Committee recognized the vast unmet and burgeoning legal needs of persons of limited means in Illinois, and the unique role that lawyers play in providing greater access to these critical legal services. Therefore, the rule is established to serve as an annual reminder to the lawyers of Illinois that pro bono legal service is an integral part of a lawyer s professionalism. Through this annual reminder, the primary intended goal is to increase the delivery of legal services directly to persons of limited means in paragraph (f)(1)(a). While the provision of legal services as defined in the other categories is laudable and beneficial to local communities and various organizations, the vast unmet need calls out for increased direct legal services to persons of limited means and support of the organizational infrastructure providing those legal services. Paragraph (f) is not intended to impose upon lawyers a mandatory duty to provide pro bono service but, rather, is intended to impose a mandatory reporting requirement. The rule was drafted to encompass a broad spectrum of pro bono legal opportunities, including not only traditional services, but also training and monetary contributions. Paragraph (f)(4)(b). Certain lawyers are prohibited from performing legal services by constitutional, SCt 757 statutory, rule, or other regulatory prohibitions. Members of the legal profession who fall into these exempt categories are encouraged to make a financial contribution to support the provision of legal services to persons of limited means. They are also encouraged to participate in training programs for volunteer attorneys. Committee Comments (April 27, 1984) Subparagraph (d) was amended in 1984 to change from April 1 to February 1 the date on which the Administrator will remove from the master roll persons who have not registered. In 1984 paragraph headings were added to subparagraphs (c), (d) and (e). RULE 757 Transfer to Disability Inactive Status upon Involuntary Commitment or upon Judicial Determination of Legal Disability Because of Mental Condition If an attorney admitted to practice in this State has been, because of mental condition, judicially declared to be a person under legal disability or in need of mental treatment, or has been involuntarily committed to a hospital on such grounds, the Court shall enter an order transferring that attorney to disability inactive status until the further order of the court. Any disciplinary proceeding which may be pending against the attorney shall be stayed while he is on disability inactive status. No attorney transferred to disability inactive status may engage in the practice of law until restored to active status by order of the Court. (Adopted March 30, 1973, effective April 1, 1973; title amended September 8, 1975, effective October 1, 1975; amended May 28, 1982, effective July 1, 1982; amended June 29, 1999, effective November 1, 1999.) RULE 758 Mental Disability or Addiction to Drugs or Intoxicants (a) Petition. If the Inquiry Board has reason to believe that an attorney admitted to practice in this State is incapacitated from continuing to practice law by reason of mental infirmity, mental disorder, or addiction to drugs or intoxicants, the Administrator shall file a petition with the Hearing Board requesting a hearing to determine whether the attorney is incapacitated and should be transferred to disability inactive status pending SCt

66 SCt 759 the removal of the disability, or be permitted to continue to practice law subject to conditions imposed by the court. (b) Hearing and Review Procedure. The hearing and review procedure shall be the same as provided in Rule 753 for disciplinary cases. The Administrator and the attorney may consent to a transfer to disability inactive status under the procedure set forth in Rule 762(a). (c) Transfer to Disability Inactive Status. If the court determines that the attorney is incapacitated from continuing to practice law, the court shall enter an order transferring the attorney to disability inactive status until further order of the court. The court may impose reasonable conditions upon an attorney's continued practice of law warranted by the circumstances. (d) Stay of Disciplinary Proceedings. Disciplinary proceedings pending against the attorney shall be stayed while the attorney is on disability inactive status. (e) Practice of Law Prohibited. No attorney transferred to disability inactive status may engage in the practice of law until restored to active status by order of the court. (Adopted March 30, 1973, effective April 1, 1973; title amended September 8, 1975, effective October 1, 1975; amended June 1, 1984, effective July 1, 1984; amended October 16, 1990, effective November 1, 1990; amended June 29, 1999, effective November 1, 1999.) RULE 759 Restoration to Active Status (a) Petition. An attorney transferred to disability inactive status under the provisions of Rule 757, 758, or, prior to November 1, 1999, pursuant to Rule 770 may file a petition with the court for restoration to active status. The petition must be accompanied by verification from the Director of MCLE that the attorney has complied with MCLE requirements as set forth in Rule 790 et seq. A copy of the petition shall be served on the Administrator, who shall have 21 days to answer the petition. If the Administrator consents or fails to file exceptions in the answer to the petition, the court may order that the petitioner be restored to active status without a hearing. If the Administrator excepts to the petition in the answer, the petition and answer of the Administrator shall be referred to the Hearing Board which shall hear the matter. (b) Hearing and Review Procedure. The hearing and review procedure shall be the same as provided in Rule 753 for disciplinary cases. (c) Disposition. The court may impose reasonable conditions upon an attorney's restoration to active status as may be warranted by the circumstances. A restoration ordered under this rule shall be effective seven days after entry of the court s order allowing the petition provided that the petitioner produces to the Administrator within the seven days verification from the Director of MCLE that the attorney has complied with MCLE requirements as set forth in Rule 790 et seq. (d) Resumption of Disciplinary Proceedings. If an attorney is restored to active status, disciplinary proceedings pending against the attorney may be resumed. (Adopted March 30, 1973, effective April 1, 1973; amended September 8, 1975, effective October 1, 1975; amended June 1, 1984, effective July 1, 1984; amended October 16, 1990, effective November 1, 1990; amended June 29, 1999, effective November 1, 1999; amended September 29, 2005, effective immediately.) RULE 760 Appointment of Medical Experts (1) In any proceeding under Rule 757, 758, or 759 upon motion of the Administrator or the attorney, the Court may order a mental or physical examination of the attorney. Such examination shall be conducted by a member of a panel of physicians chosen for their special qualifications by the Administrative Office of the Illinois Courts. (2) The examining physician shall prepare a report of his examination and copies of the report shall be given to the Court, the Hearing Board, the Administrator, and the attorney. (3) The Administrator, the attorney or the Hearing Board may call the examining physician to testify. A physician so called shall be subject to cross-examination. (4) The cost of the examination and the witness fees of the physician if called to testify, shall be paid from the Disciplinary Fund. (Adopted March 30, 1973, effective April 1, 1973; amended September 8, 1975, effective October 1, 1975; SCt

67 amended March 19, 1997, effective April 15, 1997; amended December 16, 2010, effective immediately.) RULE 761 Conviction of Crime (a) Notification. It is the duty of an attorney admitted in this State who is convicted in any court of a felony or misdemeanor to notify the Administrator of the conviction in writing within 30 days of the entry of the judgment of conviction. The notification is required: (1) Whether the conviction results from a plea of guilty or of nolo contendere or from a judgment after trial; and (2) Regardless of the pendency of an appeal or other post-conviction proceeding. (b) Conviction of Crime Involving Moral Turpitude. If an attorney is convicted of a crime involving fraud or moral turpitude, the Administrator shall file a petition with the court alleging the fact of such conviction and praying that the attorney be suspended from the practice of law until further order of the court. A certified copy of the judgment of conviction shall be attached to the petition and shall be prima facie evidence of the fact that the attorney was convicted of the crime charged. Upon receipt of the petition the court shall issue a rule to show cause why the attorney should not be suspended from the practice of law until the further order of the court. After consideration of the petition and the answer to the rule to show cause, the court may enter an order, effective immediately, suspending the attorney from the practice of law until the further order of the court. (c) Conviction of Crime Not Involving Moral Turpitude. If an attorney is convicted of a crime that does not involve fraud or moral turpitude, the Administrator shall refer the matter to the Inquiry Board. (d) Hearing. Where an attorney has been convicted of a crime involving fraud or moral turpitude, a hearing shall be conducted before the Hearing Board to determine whether the crime warrants discipline, and, if so, the extent thereof. (1) If the attorney has not appealed from the conviction, the Administrator shall file a complaint with the Hearing Board alleging the fact of the conviction. SCt 761 (2) If the attorney has appealed from the conviction, the hearing shall be delayed until completion of the appellate process unless the attorney requests otherwise. If after the completion of the appellate process the conviction has not been reversed, the attorney shall notify the Administrator within 30 days of the mandate being filed in the trial court that the conviction was affirmed. Upon becoming aware that the conviction has been affirmed, the Administrator shall file a complaint with the Hearing Board as described in (1) above. (e) Time of Hearing. Hearings pursuant to this rule shall commence within 60 days after the complaint is filed. (f) Proof of Conviction. In any hearing conducted pursuant to this rule, proof of conviction is conclusive of the attorney's guilt of the crime. (g) Hearing and Review Procedure. The hearing and review procedure shall be the same as provided in Rule 753 for disciplinary cases. (Adopted March 30, 1973, effective April 1, 1973; amended July 16, 1973; amended September 8, 1975, effective October 1, 1975; amended August 9, 1983, effective October 1, 1983; amended June 1, 1984, effective July 1, 1984.) RULE 762 Disbarment and Other Discipline on Consent (a) Disbarment on Consent. If, while any charge of misconduct is under investigation or pending against him before the Inquiry Board, Hearing Board or Review Board, an attorney files with the court a motion to strike his name from the roll of attorneys admitted to practice law in this State, the Clerk of the Court shall immediately file with the Administrator a copy of the motion. Within 21 days thereafter the Administrator shall file with the court and serve upon the attorney respondent a statement of charges which shall set forth a description of the evidence which would be presented against the attorney respondent if the cause proceeded to hearing and the findings of misconduct which that evidence would support. Within 14 days after the statement of charges is filed with the court, the SCt

68 SCt 763 attorney respondent shall file with the court his affidavit stating that: (1) he has received a copy of the statement of charges; (2) if the cause proceeded to a hearing, the Administrator would present the evidence described in the statement of charges, and that evidence would clearly and convincingly establish the facts and conclusions of misconduct set forth in the statement of charges; except that in cases where the charges are based upon a judgment of conviction of a crime, it shall be sufficient that the attorney respondent state that if the matter proceeded to hearing, the judgment of conviction would be offered into evidence and would constitute conclusive evidence of his guilt of the crime for purposes of disciplinary proceedings; (3) his motion is freely and voluntarily made; and (4) he understands the nature and consequences of his motion. If the attorney respondent fails to file the required affidavit within the 14-day period provided above, or in the event the affidavit does not contain the statements required by subparagraphs (1), (2), (3) and (4) above, the court may deny the attorney's motion to strike his name from the roll of attorneys admitted to practice law in this State. If the court allows the motion, the facts and conclusions of misconduct set forth in the Administrator's statement of charges shall be deemed established and conclusive in any future disciplinary proceedings related to the attorney, including any proceedings under Rule 767. (b) Other Discipline on Consent (1) Petition. The Administrator and respondent may submit a proceeding to the court as an agreed matter by way of petition to impose discipline on consent under the following circumstances: (a) during the pendency of a proceeding before the court; or (b) during the pendency of a proceeding before the Review, Hearing or Inquiry Boards and with the approval of the board before which the proceeding is pending. (2) Content of Petition. The petition shall be prepared by the Administrator and shall set forth the misconduct and a recommendation for discipline. (3) Affidavit. Attached to the petition shall be an affidavit executed by the attorney stating that: (a) he has read the petition; (b) the assertions in the petition are true and complete; (c) he joins in the petition freely and voluntarily; and (d) he understands the nature and consequences of the petition. The affidavit may recite any other facts which the attorney wishes to present to the court in mitigation. (4) Submission to Court. The Administrator shall file the petition and affidavit with the Clerk of the court. The Clerk shall submit the matter to the court as an agreed matter. (5) Action on Petition. The court may allow the petition and impose the discipline recommended in the petition. Otherwise, the court shall deny the petition. If the petition is denied, the proceeding will resume as if no petition had been submitted. No admission in the petition may be used against the respondent. If the proceeding resumes before the Inquiry or Hearing Board, the proceeding will be assigned to a different panel of the Board. (Adopted March 30, 1973, effective April 1, 1973; amended May 21, 1975; amended October 13, 1989, effective immediately; amended January 5, 1993.) RULE 763 Reciprocal Disciplinary Action If an attorney licensed to practice law in this State and another State is disciplined in the foreign State, he may be subjected to the same or comparable discipline in this State, upon proof of the order of the foreign State imposing the discipline. The Administrator shall initiate proceedings under this rule by filing a petition with the Court, to which a certified copy of the order of the foreign State is attached, together with proof of service upon the attorney. Within 21 days after SCt

69 service of a copy of the petition upon him the attorney may request in writing a hearing on the petition. If the court allows the request for a hearing, the hearing shall be held before the Hearing Board no less than 14 days after notice thereof is given to the attorney respondent and the Administrator. At the hearing the attorney may be heard only on the issues as to (1) whether or not the order of the foreign State was entered; (2) whether it applies to the attorney; (3) whether it remains in full force and effect; (4) whether the procedure in the foreign State resulting in the order was so lacking in notice or opportunity to be heard as to constitute a deprivation of due process of law; and (5) whether the conduct of the attorney warrants substantially less discipline in this State. If an attorney is suspended or disbarred in this State pursuant to this rule, the reinstatement in this State shall be governed by the provisions of Rule 767. Nothing in this rule shall prohibit the institution of independent disciplinary proceedings in this State against any attorney based upon his conduct in another State, and, in the event the Administrator elects to proceed independently, any discipline imposed in this State shall not be limited to the discipline ordered by a foreign State. (Adopted March 30, 1973, effective April 1, 1973; amended September 21, 1994, effective October 1, 1994.) RULE 764 Duties of a Disciplined Attorney and Attorneys Affiliated with Disciplined Attorney An attorney who is disbarred, disbarred on consent, or suspended for six months or more shall comply with each of the following requirements. Compliance with each requirement shall be a condition to the reinstatement of the disciplined attorney. Failure to comply shall constitute contempt of court. Any and all attorneys who are affiliated with the disciplined attorney as a partner or associate shall take reasonable action necessary to insure that the disciplined attorney complies with the provisions of paragraphs (a), (b), (c), (d), and (e) below. Within 35 days of the effective date of the order of discipline, each affiliated attorney or a SCt 764 representative thereof shall file with the Clerk of the Supreme Court and serve upon the Administrator a certification setting forth in detail the actions taken to insure compliance with paragraphs (a), (b), (c), (d), and (e) below. (a) Maintenance of Records. The disciplined attorney shall maintain: (1) files, documents, and other records relating to any matter which was the subject of a disciplinary investigation or proceeding; (2) files, documents, and other records relating to any and all terminated matters in which the disciplined attorney represented a client at any time prior to the imposition of discipline; (3) files, documents, and other records of pending matters in which the disciplined attorney had some responsibility on the date of, or represented a client during the year prior to, the imposition of discipline; (4) all financial records related to the disciplined attorney's practice of law during the seven years preceding the imposition of discipline, including but not limited to bank statements, time and billing records, checks, check stubs, journals, ledgers, audits, financial statements, tax returns and tax reports; and (5) all records related to compliance with this rule. (b) Withdrawal from Law Office and Removal of Indicia as Lawyer. Upon entry of the final order of discipline, the disciplined attorney shall not maintain a presence or occupy an office where the practice of law is conducted. The disciplined attorney shall take such action necessary to cause the removal of any indicia of the disciplined attorney as lawyer, counselor at law, legal assistant, legal clerk, or similar title. (c) Notification to Clients. Within 21 days after the entry of the final order of discipline, the disciplined attorney shall notify, by certified mail, return receipt requested, all clients whom the disciplined attorney represented on the date of the imposition of discipline, of the following: (1) the action taken by the Supreme Court; SCt

70 SCt 764 (2) that the disciplined attorney may not continue to represent them during the period of discipline; (3) that they have the right to retain another attorney; (4) and (5) that their files, documents, and other records are available to them, designating the place where they are available. (d) List of Clients. Within 21 days after the effective date of an order of discipline, the disciplined attorney shall file with the Clerk of the Supreme Court and serve upon the Administrator an alphabetical list of the names, addresses, telephone numbers and file numbers of all clients whom the disciplined attorney represented on the date of, or during the year prior to, the imposition of discipline. At the same time, the disciplined attorney shall serve upon the Administrator a copy of each notification served pursuant to paragraph (c) above. (e) Notification to Courts. Within 21 days of the effective date of the order of discipline, the disciplined attorney shall file a notice before the court in all pending matters in which the disciplined attorney is counsel of record and request withdrawal of his appearance. The notice shall advise the court of the action taken by the Supreme Court. The notice shall be served upon the disciplined attorney's former client and all other parties who have entered an appearance. (f) Notification to Others. Within 21 days of the effective date of the order of discipline, the disciplined attorney shall, by certified mail, return receipt requested, notify the following of the action taken by the Supreme Court and his inability, during the period of discipline, to practice law in the State of Illinois: (1) all attorneys with whom the disciplined attorney was associated in the practice of law on the effective date of the order of discipline; (2) all attorneys of record in matters in which the disciplined attorney represented a client on the effective date of the order of discipline; (3) all parties not represented by an attorney in matters in which the disciplined attorney represented a client on the effective date of the order of discipline; (4) all other jurisdictions in which the disciplined attorney is licensed to practice law; (5) all governmental agencies before which the disciplined attorney is entitled to represent a person. (g) Affidavit of Disciplined Attorney. Within 35 days after the effective date of an order of discipline, the disciplined attorney shall file with the Clerk of the Supreme Court and serve upon the Administrator an affidavit stating: (1) the action the disciplined attorney has taken to comply with the order of discipline; (2) the action the disciplined attorney has taken to comply with this rule; (3) the arrangements made to maintain the files and other records specified in paragraph (a) above; (4) the address and telephone number at which subsequent communications may be directed to him; and (5) the identity and address of all other State, Federal, and administrative jurisdictions to which the disciplined attorney is admitted to practice law. (h) Compensation Arising from Former Law Practice. Provided that the disciplined attorney complies with the provisions of this rule, the disciplined attorney may receive compensation on a quantum meruit basis for legal services rendered prior to the effective date of the order of discipline. The disciplined attorney may not receive any compensation related to the referral of a legal matter to an attorney or attributed to the good will of his former law office. (1) Matters in which Legal Proceedings Instituted. The disciplined attorney shall not receive any compensation regarding a matter in which a legal proceeding was instituted at any time prior to the imposition of discipline without first receiving approval of the tribunal. (2) Other Aspects of Former Law Office. The disciplined attorney shall not receive any compensation related to any agreement, sale, assignment or transfer of any aspect of the disciplined attorney's former law office with- SCt

71 out first receiving the approval of the Supreme Court. Prior to entering into any such transaction, the disciplined attorney shall file a petition in the Supreme Court and serve a copy upon the administrator. The petition shall disclose fully the transaction contemplated, shall attach any and all related proposed agreements and documents, and shall request approval of the transaction. The Administrator shall answer or otherwise plead to the petition within 28 days of service of the petition on the Administrator. If the Supreme Court determines that an evidentiary hearing is necessary, it may refer the matter to the circuit court for hearing. (i) Change of Address or Telephone Number. Within 35 days of any change of the disciplined attorney's address or telephone number during the period of discipline, the disciplined attorney shall notify the Administrator of the change. (j) Modification of Requirements. On its own motion or at the request of the Administrator or respondent, the Supreme Court may modify any of the above requirements. (Adopted March 30, 1973, effective April 1, 1973; amended October 20, 1989, effective November 1, 1989; amended August 27, 1990, effective immediately.) RULE 765 Service (a) Method of Service. Service of any notice, complaint, petition, subpoena, pleading or document in proceedings under these rules may be made in any manner authorized by the Code of Civil Procedure or Rules of this court or by delivery of any such notice, complaint, petition, subpoena, pleading, or document to the address listed on the master roll for the attorney. (b) Substitute Service. The failure of any attorney to provide the Administrator with a registration address shall be deemed an appointment by such attorney of the clerk of the Illinois Supreme Court to be the attorney's agent upon whom may be served any notice, complaint, petition, subpoena, pleading or other document under these rules. Service upon the clerk may be made by filing the document with the Clerk of the Supreme Court, together with an affidavit setting forth facts showing that, upon inquiry as full as SCt 765 circumstances permit, the attorney cannot be located, and by mailing the documents by certified mail, proper postage prepaid, return receipt requested, to the last known address of the attorney. (Adopted March 30, 1973, effective April 1, 1973; amended May 21, 1975; amended May 28, 1982, effective July 1, 1982; amended October 16, 1990, effective November 1, 1990.) Committee Comments In 1990, Rule 765 was revised to provide for service of notices, pleadings and other documents by lawful means other than personal service on an attorney, and for appointment of the Clerk of the Supreme Court as the agent of any attorney who fails to provide the Administrator with a registration address. These revisions will reduce the expenses incurred in personally serving hundreds of documents, such as notices, complaints, petitions, subpoenas and rules to show cause, and the delays which result from locating and perfecting service on attorneys who attempt to avoid service. Because the revised rule allows for service to be perfected by delivery of an item to a registration address, resources presently committed to serving recalcitrant attorneys could be devoted to conducting investigations and reducing unnecessary delay in processing charges. Additionally, the revised rule allows for service to be obtained on attorneys who fail to register or who fail to give the Administrator a registration address by filing documents with the Clerk of the Supreme Court. The revision is modeled, in part, on the Illinois Vehicle Code, which provides that use of a vehicle on Illinois roads constitutes consent to the appointment of the Secretary of State as an agent for the service of process (see Ill.Rev.Stat. 1989, ch. 95 1/2, par ), and in part on similar rules in use in Indiana and Ohio (Indiana Admissions and Discipline Rule 23, par. 12; Ohio Grievance Rule 5; see Matter of Carmody (Ind. 1987), 513 N.E.2d 649; Columbus Bar Association v. Gross (1982), 2 Ohio St. 3d 5, 441 N.E.2d 570; see also Bell Federal Savings & Loan Association v. Horton (1978), 59 Ill. App.3d 923, 376 N.E.2d 1029). RULE 766 Confidentiality and Privacy (a) Public Proceedings. Proceedings under Rules 751 through 780 shall be public with the exception of the following matters, which shall be private and confidential: (1) investigations conducted by the Administrator; (2) proceedings before the Inquiry Board; SCt

72 SCt 767 (3) proceedings pursuant to Rule 753 before the Hearing Board prior to the service of a complaint upon the respondent; (4) information pursuant to which a board or the court has issued a protective order; (5) deliberations of the Hearing Board, the Review Board and the court; (6) proceedings before the Hearing and Review Boards pursuant to Rule 758; (7) proceedings pursuant to Rule 760; (8) deliberations of the Commission and minutes of Commission meetings; (9) deliberations related to a claim submitted under the Client Protection Program; (10) information concerning trust accounts provided by lawyers as part of the annual registration pursuant to Rule 756(d); and (11) information concerning pro bono services and monetary contributions in support of pro bono services provided by lawyers as part of the annual registration pursuant to Rule 756(f). (b) Disclosures of Confidential Information. (1) Public Information of Misconduct. Where there is public information of allegations which, if true, could result in discipline, the Administrator, with the approval of the court or a member thereof, and in the interest of the public and the legal profession, may disclose whether the matter is being investigated. (2) Disclosures in the Interest of Justice. In the interests of justice and on such terms it deems appropriate the court or a member thereof may authorize the Administrator to produce, disclose, release, inform, report or testify to any information, reports, investigations, documents, evidence or transcripts in the Administrator's possession. (3) Referral To Lawyers Assistance Program. When an investigation by the Administrator reveals reasonable cause to believe that a respondent is or may be addicted to alcohol or other chemicals, is or may be abusing the use of alcohol or other chemicals, or is or may be experiencing a mental health condition or other problem that is impairing the respondent s ability to practice law, the information giving rise to this belief may be communicated to the Lawyers Assistance Program, Inc., or comparable organization designed to assist lawyers with substance abuse or mental health problems. (Adopted March 30, 1973, effective April 1, 1973; amended April 1, 1974; amended October 1, 1976, effective November 15, 1976; amended June 1, 1984, effective July 1, 1984; amended October 13, 1989, effective immediately; amended March 28, 1994, effective immediately; amended November 19, 2004, effective January 1, 2005; amended March 29, 2006, effective immediately; amended June 14, 2006, effective immediately.) RULE 767 Reinstatement (a) Petition. An attorney who has been disbarred, disbarred on consent or suspended until further order of the court may file his verified petition with the Clerk of the Court seeking to be reinstated to the roll of attorneys admitted to practice law in this State. No petition shall be filed within a period of five years after the date of an order of disbarment, three years after the date of an order allowing disbarment on consent, two years after the date of an order denying a petition for reinstatement, or one year after an order allowing the petition for reinstatement to be withdrawn. No petition for reinstatement shall be filed by an attorney suspended for a specified period and until further order of the court, until the specified period of time has elapsed. The petition shall include the information specified by Commission rule. (b) Presentation of Petition. An attorney who has been disbarred, disbarred on consent or suspended until further order of the court may present to the Administrator a copy of the petition he proposes to file with the clerk within 120 days prior to the date on which the petition may be filed. (c) Costs. The petition shall be accompanied by a receipt showing payment to the Commission of a $500 deposit to be applied against the costs, as defined in Rule 773, necessary to the investigation, hearing and review of the petition. If the costs exceed the amount of the deposit, the petitioner shall pay the excess at the conclusion of the matter pursuant to the procedures of Rule 773. If SCt

73 the deposit exceeds the costs, the excess shall be refunded to the petitioner. (d) Notice of Petition. The Administrator shall give notice to the following: (1) The chief judge of each circuit in which the petitioner maintained an office or engaged in the practice of law; (2) The president of each local or county bar association in each county in which the petitioner maintained an office or engaged in the practice of law. (e) Form of Notice. The notice shall be in substantially the following form: NOTICE OF PETITION FOR REINSTATEMENT AS ATTORNEY, who was licensed to practice law in the State of Illinois on and who was (suspended from the practice of law on ) (disbarred on ), has filed (has stated his intention to file) in the Supreme Court of Illinois a petition for readmission to the practice of law in Illinois. A hearing on that petition will be held. Any person desiring to be heard or having relevant information may communicate with the Administrator of the Attorney Registration and Disciplinary Commission at (insert address and telephone number of Administrator's office concerned). (f) Factors to be Considered. The petition shall be referred to a hearing panel. The panel shall consider the following factors, and such other factors as the panel deems appropriate, in determining the petitioner's rehabilitation, present good character and current knowledge of the law: (1) the nature of the misconduct for which the petitioner was disciplined; (2) the maturity and experience of the petitioner at the time discipline was imposed; (3) whether the petitioner recognizes the nature and seriousness of the misconduct; (4) when applicable, whether petitioner has made restitution; (5) the petitioner's conduct since discipline was imposed; and (6) the petitioner's candor and forthrightness in presenting evidence in support of the petition. SCt 768 (g) Report of Hearing Panel. The hearing panel shall make a report of its findings and recommendations. A copy of the report shall be served upon the petitioner and upon the Administrator. (h) Hearing and Review Procedure. The hearing and review procedure shall be the same as provided in Rule 753 for disciplinary cases. (Adopted March 30, 1973, effective April 1, 1973; amended September 8, 1975, effective October 1, 1975; amended effective February 17, 1977; amended May 26, 1978, effective July 1, 1978; amended August 9, 1983, effective October 1, 1983; amended June 1, 1984, effective July 1, 1984; amended May 23, 2005, effective immediately.) Commentary (May 23, 2005) Paragraph (c) is amended to provide that the procedures of Rule 773 to recover costs are applicable in all respects to a reinstatement proceeding. RULE 768 Notification of Disciplinary Action Upon the date on which an order of this Court disbarring or suspending an attorney, or transferring him to disability inactive status becomes final, the clerk shall forthwith mail a copy of the order to the attorney, the Presiding Judge of each of the Illinois Appellate Court Districts, the Chief Judge of each of the Judicial Circuits of Illinois, the Chief Judge of each of the United States District Courts in Illinois, and the Chief Judge of the United States Court of Appeals for the Seventh Circuit. (Adopted March 30, 1973; effective April 1, 1973; amended June 29, 1999, effective November 1, 1999.) RULE 769 Maintenance of Records It shall be the duty of every attorney to maintain originals, copies or computer-generated images of the following: (1) records which identify the name and last known address of each of the attorney's clients and which reflect whether the representation of the client is ongoing or concluded; and (2) all financial records related to the attorney's practice, for a period of not less than seven years, including but not limited to bank statements, time and billing records, checks, check stubs, journals, ledgers, audits, financial statements, tax returns and tax reports. SCt

74 SCt 770 (Adopted October 20, 1989, effective November 1, 1989; amended July 18, 1990, effective August 1, 1990 Adopted December 2, 1986, effective January 1, 1987; amended June 12, 1987, effective August 1, 1987; amended November 25, 1987, effective November 25, 1987; amended August 6, 1993, effective immediately; amended October 15, 1993, effective immediately; amended March 26, 2001, effective immediately; amended April 1, 2003, effective immediately.) Committee Comment (April 1, 2003) This amendment gives attorneys the option of maintaining records in forms that save space and reduce cost without increasing the risk of premature destruction. For example, CDs and DVDs have a normal life exceeding seven years, so an attorney might use them to maintain financial records. At present, however, floppy disks, tapes, hard drives, zip drives, and other magnetic media have insufficient normal life to meet the requirements of this rule. RULE 770 Types of Discipline Conduct of attorneys which violates the Rules of Professional Conduct contained in article VIII of these rules or which tends to defeat the administration of justice or to bring the courts or the legal profession into disrepute shall be grounds for discipline by the court. Discipline may be: (a) disbarment; (b) disbarment on consent; (c) suspension for a specified period and until further order of court; (d) suspension for a specified period of time; (e) suspension until further order of the court; (f) suspension for a specified period of time or until further order of the court with probation; or (g) censure; (h) reprimand by the court, the Review Board or a hearing panel. (Adopted May 26, 1978, effective July 1, 1978; amended June 3, 1980, effective July 1, 1980; amended August 9, 1983, effective October 1, 1983; amended October 13, 1989, effective immediately; amended and renumbered March 23, 2004, effective April 1, 2004.) Commentary (March 23, 2004) Effective April 1, 2004, former Rule 771 ( Types of Discipline ) was renumbered as Rule 770 and a new Rule 771 ( Finality of Orders and Effective Date of Discipline ) was adopted. RULE 771 Finality of Orders and Effective Date of Discipline (a) Finality. All orders imposing discipline pursuant to these rules, except orders entered in cases that were accepted by the court for further consideration pursuant to Rule 753(e)(5)(a)(iii), are final when filed by the clerk of the court, and the mandates in all such cases shall issue at the time the orders are filed. No petition for rehearing pursuant to Rule 367 may be filed in such a case, nor will any motion or other paper submitted after an order is filed automatically stay or recall the court s mandate. The finality of orders imposing discipline entered in cases accepted by the court further consideration pursuant to Rule 753(e)(5)(a)(iii) shall be governed by Rules 367 and 368. (b) Effective Date. Unless otherwise ordered by the court or unless governed by Rules 367 and 368, all orders of discipline are effective when filed by the clerk of the court, except that orders of suspension for a specified period of time which do not continue until further order of court or any orders of suspension which are stayed, in part, by a period of probation become effective 21 days after the date they are filed by the clerk of the court. (c) Interim Suspension. Unless otherwise ordered by the court, all interim suspension orders imposed under Rule 761 or Rule 774 and all subsequent disciplinary orders entered while the lawyer is on interim suspension are effective when filed by the clerk of the court. (Adopted March 23, 2004, effective April 1, 2004.) Commentary (March 23, 2004) Effective April 1, 2004, a new Rule 771 ( Finality of Orders and Effective Date of Discipline ) was adopted and the former Rule 771 ( Types of Discipline ) was renumbered as Rule 770. RULE 772 Probation (a) Qualifications. The court may order that an attorney be placed on probation if the attorney has demonstrated that he: (1) can perform legal services and the continued practice of law will not cause the courts or profession to fall into disrepute; SCt

75 SCt 773 (2) is unlikely to harm the public during the period of rehabilitation and the necessary conditions of probation can be adequately supervised; (3) has a disability which is temporary or minor and does not require treatment and transfer to disability inactive status; and (4) is not guilty of acts warranting disbarment. (5) Probation shall be ordered for a specified period of time or until further order of the court in conjunction with a suspension which may be stayed in whole or in part. (b) Conditions. The order placing an attorney on probation shall state the conditions of probation. The conditions shall take into consideration the nature and circumstances of the misconduct and the history, character and condition of the attorney. The following conditions and such others as the court deems appropriate, may be imposed: (1) periodic reports to the Administrator; (2) supervision over trust accounts as the court may direct; (3) satisfactory completion of a course of study; (4) successful completion of the Multistate Professional Responsibility Examination; (5) restitution; (6) compliance with income tax laws and verification of such to the Administrator; (7) limitations on practice; (8) psychological counseling and treatment; (9) the abstinence from alcohol or drugs; and (10) the payment of disciplinary costs. (c) Administration. The Administrator shall be responsible for the supervision of attorneys placed on probation. Where appropriate, he may recommend to the court modification of the conditions and shall report to the court the probationer's failure to comply with the conditions of probation. Upon a showing of failure to comply with the conditions of probation, the court shall issue a rule to show cause why probation should not be revoked and the stay of suspension vacated. (Adopted August 9, 1983; effective October 1, 1983; amended June 29, 1999, effective November 1, 1999.) RULE 773 Costs (a) Costs Defined. Costs may include the following expenses reasonably and necessarily incurred by the Administrator in connection with the matter: witness fees; duplication of documents necessary to the prosecution of the case; travel expenses of witnesses; bank charges for producing records; expenses incurred in the physical or mental examination of a respondent attorney; fees of expert witnesses; and court reporting expenses except the cost of transcripts of proceedings before the hearing board or review board where the Administrator takes exception to the findings and recommendation of the hearing board or review board, which shall be paid by the Administrator unless the Administrator prevails, at least in part, before the reviewing board or this court, in which case the Administrator may include the transcript costs in the statement of costs subject to the limitations of section (c) of this rule. If both the Administrator and respondent take exception to the findings and recommendation of the hearing board or review board, the cost of the transcript may be taxed to the nonprevailing party. If the Administrator and the respondent each prevail in part, the Administrator may include the costs of transcripts in the statement of costs, subject to the limitations of section (c) of this rule. (b) Duty of Respondent. It is the duty of a respondent to reimburse the Commission for costs not to exceed $1,000 and for such additional amounts as the court may order on the motion of the Administrator for good cause shown, which may include (1) costs incurred in the investigation, hearing and review of matters brought pursuant to article VII of these rules which result in the imposition of discipline, (2) costs involved in the investigation of alleged violations of the terms and conditions of any such disciplinary order, when such violations are later proved, and (3) costs involved in any proceedings for the enforcement of any rule, judgment or order of this court which was made necessary by any act or SCt

76 SCt SCt 774 omission on the part of the respondent, (4) costs incurred to compel the appearance of respondent and to transcribe respondent's testimony, when the appearance followed respondent's failure to comply with a request from the Inquiry Board or Administrator to provide information concerning a matter under investigation, and (5) costs incurred to obtain copies of records from a financial institution, when the institution's production of the records followed respondent's failure to comply with a request from the Inquiry Board or the Administrator to provide those records. (c) Statement of Costs. After the imposition of discipline by the court, the Administrator shall prepare an itemized statement of costs, not to exceed $1,000, which shall be made a part of the record. A copy of the statement shall be served on the respondent. The Administrator may petition the court for costs reasonably and necessarily incurred by the administrator in excess of $1,000, which may be allowed for good cause shown. Costs up to $1,000 shall be paid by the respondent within 30 days of service of the statement. Costs in excess of $1,000 shall be paid by the respondent within 30 days of the order allowing the petition for excess costs. (d) Assessment of Costs. If the respondent contests the amount of the costs or fails to pay the costs within 30 days of service of the statement or order allowing excess costs, the Administrator may petition the court for an order and judgment assessing costs against the respondent and directing the respondent to pay the costs, in full or in part, to the Commission. Costs shall be paid by the respondent attorney within 30 days after the entry of the order and judgment assessing costs. Proceedings for the collection of costs assessed against the respondent attorney may be initiated by the Administrator on the order and judgment entered by the court. A petition for reinstatement pursuant to Rule 767 must be accompanied by a receipt verifying payment of any costs imposed in connection with prior disciplinary proceedings involving the petitioner. JUSTICE McMORROW dissents from this amendment of Rule 773. (Adopted August 9, 1983, effective October 1, 1983; amended June 1, 1984, effective July 1, 1984; amended February 21, 1986, effective August 1, 1986; amended October 13, 1989, effective immediately; amended October 5, 2000, effective November 1, 2000.) RULE 774 Interim Suspension (a) Grounds for Suspension. During the pendency of a criminal indictment, criminal information, disciplinary proceeding or disciplinary investigation, the court on its own motion, or on the Administrator's petition for a rule to show cause, may suspend an attorney from the practice of law until further order of the court. The petition shall allege: (1) The attorney-respondent has been formally charged with the commission of a crime which involves moral turpitude or reflects adversely upon his fitness to practice law, and there appears to be persuasive evidence to support the charge; or (2) A complaint has been voted by the Inquiry Board; the attorney-respondent has committed a violation of the Rules of Professional Conduct which involves fraud or moral turpitude or threatens irreparable injury to the public, his or her clients, or to the orderly administration of justice; and there appears to be persuasive evidence to support the charge. (b) Form and Service of Petition. The petition shall be verified or supported by affidavit or other evidence and shall be filed with the clerk. The petition shall be served personally upon the respondent. If the respondent is unavailable or respondent's whereabouts is unknown, the respondent shall be served by mailing a copy of the petition by ordinary mail to respondent's last address shown on the Master Roll. (c) Suspension Order and Conditions of Suspension. The court may make such orders and impose such conditions of the interim suspension as it deems necessary to protect the interests of the public and the orderly administration of justice, including but not limited to: (1) Notification to clients of the respondent's interim suspension; (2) Audit of the respondent's books, records, and accounts; (3) Appointment of a trustee to manage respondent's affairs; and

77 (4) Physical and mental examination of the respondent. (Adopted June 1, 1984, effective July 1, 1984; amended March 25, 1991, effective immediately.) RULE 775 Immunity Any person who submits a claim to the Client Protection Program or who communicates a complaint concerning an attorney or allegations regarding the unauthorized practice of law to the Attorney Registration and Disciplinary Commission, or its administrators, staff, investigators or any member of its boards, shall be immune from all civil liability which, except for this rule, might result from such communications or complaint. The grant of immunity provided by this rule shall apply only to those communications made by such persons to the Attorney Registration and Disciplinary Commission, its administrators, staff, investigators and members of its boards. (Adopted Oct. 13, 1989, effective immediately; amended, effective March 28, 1994; amended December 7, 2011, effective immediately.) RULE 776 Appointment of Receiver in Certain Cases (a) Appointment of Receiver. Where it comes to the attention of the circuit court in any judicial circuit from any source that a lawyer in the circuit is unable properly to discharge his responsibilities to his clients due to disability, disappearance or death, and that no partner, associate, executor or other responsible party capable of conducting the lawyer's affairs is known to exist, then, upon such showing, the presiding judge in the judicial circuit in which the lawyer maintained his practice, or the Supreme Court, may appoint an attorney from the same judicial circuit to serve as a receiver to perform certain duties hereafter enumerated. Notice of such appointment shall be made promptly to the Administrator of the Attorney Registration and Disciplinary Commission either at his Chicago or Springfield office, as appropriate. A copy of said notice shall be served on the affected attorney at his or her last known residence. (b) Duties of the Receiver. As expeditiously as possible, the receiver shall take custody of and make an inventory of the lawyer's files, notify the lawyer's clients in all pending cases as to the law- SCt 775 yer's disability, or inability to continue legal representation, and recommend prompt substitution of attorneys, take appropriate steps to sequester client funds of the lawyer, and to take whatever other action is indicated to protect the interests of the attorney, his clients, or other affected parties. A copy of the appointing order shall be served on the affected attorney at his or her last known residence address. (1) The attorney appointed to serve as receiver shall be designated from among members of the bar from the same judicial circuit who are not representing any party who is adverse to any known client of the disabled, absent or deceased lawyer, and who have no adverse interest or relationship with that lawyer or his estate which would affect the receiver's ability to perform the duties above enumerated. (2) An attorney appointed as receiver may decline the appointment for personal or professional reasons. If no available members of the bar from the same judicial circuit can properly serve as receiver as a result of personal or professional obligations, the Administrator of the Attorney Registration and Disciplinary Commission shall be appointed to serve as receiver. (3) Any objections by or on behalf of the disabled, absent, or deceased lawyer, or any other interested party to the appointment of or conduct by the receiver shall be raised and heard in the appointing court prior to or during the pendency of the receivership. (c) Effect of Appointment of Receiver. Where appropriate, a receiver appointed by the court pursuant to this rule may apply to the court for a stay of any applicable statute of limitation, or limitation on time for appeal; or to vacate or obtain relief from any judgment, for a period not to exceed 60 days. An application to the court setting forth reasons or such application shall constitute a pleading sufficient to toll any limitations period. For good cause shown, such stay may be extended for an additional 30 days. (d) Liability of Receiver. A receiver appointed pursuant to this rule shall: SCt

78 SCt 777 (1) not be regarded as having an attorneyclient relationship with the clients of the disabled, absent or deceased lawyer, except that the receiver shall be bound by the obligations of confidentiality imposed by the Rules of Professional Conduct with respect to information acquired as receiver; (2) have no liability to the clients of the disabled, absent or deceased lawyer except for injury to such clients caused by intentional, willful or gross neglect of duties as receiver; and (3) except as herein provided, be immune to separate suit brought by or on behalf of the disabled, absent, or deceased lawyer. (e) Compensation of the Receiver. (1) The receiver shall normally serve without compensation. (2) On application by the receiver, with notice to the Administrator of the Attorney Registration and Disciplinary Commission, and upon showing by the receiver that the nature of the receivership was extraordinary and that failure to award compensation would work substantial hardship on the receiver, the court may award reasonable compensation to the receiver to be paid out of the Disciplinary Fund, or any other fund that may be designated by the Supreme Court. In such event, compensation shall be awarded only to the extent that the efforts of the receiver have exceeded those normally required in an amount to be determined by the court. (f) Termination of Receivership. Upon completion of the receiver's duties as above enumerated, he shall file with the appointing court a final report with a copy thereof served upon the Administrator of the Attorney Registration and Disciplinary Commission. (Adopted October 20, 1989, effective November 1, 1989; amended March 25, 1991, effective immediately.) RULE 777 Registration of, and Disciplinary Proceedings Relating to Foreign Legal Consultants (a) Supervision and Control of Foreign Legal Consultants. The registration of, and disciplinary proceedings affecting, persons who SCt are licensed (pursuant to Rule 712) to practice as foreign legal consultants shall be subject to the Supreme Court rules (Rule 751 et seq.) and to the rules of the Attorney Registration and Disciplinary Commission relating to the registration and discipline of attorneys. As used in those rules, the terms attorney and attorney and counselor at law shall include foreign legal consultants except to the extent that those rules concern matters unrelated to the permissible activities of foreign legal consultants. (b) Issuance of Subpoenas by Clerk Relating to Investigation of Foreign Legal Consultants. Upon application by the Administrator or an Inquiry Board, disclosing that the Administrator or Inquiry Board is conducting an investigation of either professional misconduct on the part of a foreign legal consultant or the unlawful practice of law by a foreign legal consultant, or of a Hearing Board that it is conducting a hearing relating thereto, or upon application by a respondent, the clerk of this court shall be empowered to issue subpoenas for the attendance of witnesses and the production of books and papers before the Administrator or Inquiry Board or Hearing Board. (c) Issuance of Subpoenas by Clerk Relating to Investigation of Wrongfully Representing Himself as a Foreign Legal Consultant. Upon application by the Administrator or an Inquiry Board disclosing that it has reason to believe that a person, firm or corporation other than a foreign legal consultant is unlawfully practicing or assuming to practice law as a foreign legal consultant and that it is conducting an investigation thereof, or of a Hearing Board by any respondent the clerk of this court shall be empowered to issue subpoenas for the attendance of witnesses and production of books and papers before the Administrator or Inquiry Board or Hearing Board. (d) Taking Evidence. The Administrator or Inquiry Board conducting an investigation and any Hearing Board conducting a hearing pursuant to this rule is empowered to take and transcribe the evidence of witnesses, who shall be sworn by any person authorized by law to administer oaths.

79 (e) Disciplinary Procedure. Disciplinary proceedings and proceedings under Rules 757, 758, or 759 against any foreign legal consultant shall be initiated and conducted in the manner and by the same agencies as prescribed by law for such proceedings against those admitted as attorneys. (Adopted December 7, 1990, effective immediately; amended December 16, 2010, effective immediately.) RULE 778 Retention of Records by Administrator (a) Retention of Records. The Administrator is permitted to retain the record of investigation for all matters resulting in the imposition of discipline as defined by Rule 770 or, for investigations which have been stayed or deferred by the transfer of the attorney to disability inactive status, or for investigations that have resulted in the filing of unauthorized practice of law proceedings. (b) Expungement. The Administrator shall expunge the record of an investigation concluded by dismissal or closure by the Administrator or Inquiry Board three years after the disposition of the investigation, unless deferral of expunction is warranted under paragraph (c). Expungement shall consist of the Administrator's destruction of the investigative file and other related materials maintained by the Administrator relating to the attorney, including any computer record identifying the attorney as a subject of an investigation. (c) Deferral of Expungement of Investigative Materials. Expungement of an investigative file and all related materials under paragraph (b) shall be deferred until the passage of three years from the later of the following events: (1) the conclusion of any pending disciplinary or disability proceeding related to the attorney before the Hearing or Review Boards or the Court; or (2) the termination of any previously imposed sanction (including suspension, disbarment or probation) or the restoration of the attorney from disability inactive to active status; or (3) the termination of any permanent retirement status related to the attorney. SCt 778 (Adopted January 5, 1993, effective immediately; amended June 29, 1999, effective November 1, 1999; amended December 16, 2010, effective immediately; amended December 7, 2011, effective immediately; amended June 5, 2012, effective immediately.) RULE 779 Unauthorized Practice of Law Proceedings (a) Proceedings against Suspended Illinois Lawyers and Out of State Lawyers. Unauthorized practice of law proceedings authorized by the Inquiry Board against an Illinois attorney who is suspended or against a lawyer licensed in another jurisdiction in the United States shall be instituted by the Administrator by the filing of a disciplinary complaint before the Hearing Board, and the hearing and review procedure shall be governed by Rule 753. (b) Proceedings against Disbarred Illinois Lawyers and Unlicensed Persons. Unauthorized practice of law proceedings authorized by the Inquiry Board against an Illinois attorney who is disbarred or disbarred on consent or against a person, entity or association that is not licensed to practice law in any other United States jurisdiction may be brought by the Administrator as civil and/or contempt actions pursuant to the rules of this court, its inherent authority over the practice of law, or other laws of the State related to the unauthorized practice of law. Proceedings shall be commenced in the circuit court for the circuit in which venue would be proper under 735 ILCS 5/2-101, et seq., unless venue is fixed by a specific law governing the proceedings, in which case that venue provision controls. The circuit court is authorized to enter a final judgment disposing of the case. Appeals from that judgment are governed by Rule 301 of this court.. (Adopted December 7, 2011, effective immediately.) RULE 780 Client Protection Program (a) There is established under the auspices of the Attorney Registration and Disciplinary Commission a Client Protection Program to reimburse claimants from the Client Protection Program Trust Fund for losses caused by dishonest conduct committed by lawyers admitted to practice law in the State of Illinois. (b) The purpose of the Client Protection Program is to promote public confidence in the SCt

80 SCt 790 administration of justice and the integrity of the legal profession by reimbursing losses caused by the dishonest conduct of lawyers admitted and licensed to practice law in the courts of the State of Illinois occurring in the course of a lawyerclient or fiduciary relationship between the lawyer and the claimant. (c) Reimbursements of losses by the program shall be within the sole discretion of the Commission, and not a matter of right. No person shall have a right in the Program as a third party beneficiary or otherwise, either before or after the allowance of a claim. The determination of the Commission shall be final and shall not be subject to judicial review. (d) The Client Protection Program shall be funded by an annual assessment as provided in Rule 756. The Commission shall establish by rule the maximum amount which any one claimant may recover from the program and may establish the aggregate maximum which may be recovered because of the conduct of any one attorney. (e) A lawyer whose dishonest conduct results in reimbursement to a claimant shall be liable to the Program for restitution. Disciplinary orders imposing suspension or probation shall include a provision requiring the disciplined attorney to reimburse the Client Protection Program Trust Fund for any Client Protection payments arising from his or her conduct prior to the termination of the period of suspension or probation. Prior to filing a petition for reinstatement, a petitioner shall reimburse the Client Protection Program Trust Fund for all Client Protection payments arising from petitioner's conduct. The Petition must be accompanied by a statement from the Administrator indicating that all such payments have been made. (f) The Commission may make rules related to the investigation and consideration of a Client Protection claim. (Adopted March 28, 1994, effective immediately; amended September 14, 2006, effective immediately.) Part C. Minimum Continuing Legal Education Preamble The public contemplates that attorneys will maintain certain standards of professional competence throughout their careers in the practice of law. The following rules regarding Minimum Continuing Legal Education are intended to assure that those attorneys licensed to practice law in Illinois remain current regarding the requisite knowledge and skills necessary to fulfill the professional responsibilities and obligations of their respective practices and thereby improve the standards of the profession in general. RULE 790 Title and Purpose These rules shall be known as the Minimum Continuing Legal Education Rules ( Rules ). The purpose of the Rules is to establish a program for Minimum Continuing Legal Education ( MCLE ), which shall operate as an arm of the Supreme Court of Illinois. (Adopted September 29, 2005, effective immediately.) RULE 791 Persons Subject to MCLE Requirements (a) Scope and Exemptions. These Rules shall apply to every attorney admitted to practice law in the State of Illinois, except for the following persons, who shall be exempt from the Rules requirements: (1) All attorneys on inactive or retirement status pursuant to Supreme Court Rules 756(a)(5) or (a)(6), respectively, or on inactive status pursuant to the former Supreme Court Rule 770 or who have previously been placed on voluntarily removed status by the Attorney Registration and Disciplinary Commission ( ARDC ); (2) All attorneys on disability inactive status pursuant to Supreme Court Rules 757 or 758; (3) All attorneys serving in the office of justice, judge, associate judge, or magistrate of any federal or state court; (4) All attorneys serving in the office of judicial law clerk, administrative assistant, secretary, or assistant secretary to a justice, SCt

81 judge, associate judge or magistrate of any federal court or any court of the State of Illinois, or in any other office included within the Supreme Court budget that assists the Supreme Court in its adjudicative responsibilities, provided that the exemption applies only if the attorney is prohibited by the terms of his or her employment from actively engaging in the practice of law; (5) All attorneys licensed to practice law in Illinois who are on active duty in the Armed Forces of the United States, until their release from active military service and their return to the active practice of law; (6) An attorney otherwise subject to this rule is entitled to an exemption if the attorney meets all of these criteria: (i) the attorney is a member of the bar of another state which has a comparable minimum continuing legal education requirement or is licensed to practice law under a limited license issued by another state which has a comparable minimum continuing legal education requirement; (ii) the individual attorney s only or primary office is in that other state or, if the attorney has no office, the individual attorney s only or primary residence is in that state; (iii) the attorney is required by that state to complete credits to be in compliance with the continuing legal education requirements established by court rule or legislation in that state; and (iv) the attorney has appropriate proof that he or she is in full compliance with the continuing legal education requirements established by court rule or legislation in that state; and (7) In rare cases, upon a clear showing of good cause, the Minimum Continuing Legal Education Board ( Board ) may grant a temporary exemption to an attorney from the Minimum Continuing Legal Education ( MCLE ) requirements, or an extension of time in which to satisfy them. Good cause for an exemption or extension may exist in the event of illness, financial hardship, or other SCt 791 extraordinary or extenuating circumstances beyond the control of the attorney. Attorneys denied a temporary exemption or extension may request reconsideration of the initial decision made by the Director of MCLE ( Director ) by filing a request in a form approved by the Board (or a substantially similar form) no later than 30 days after the Director s initial decision. The Director shall decide the request for reconsideration within 30 days of its receipt, and promptly notify the attorney. If the Director denies the request, the attorney shall have 30 days from the date of that denial to submit an appeal to the full Board for consideration at its next scheduled Board meeting. Submission of a request for reconsideration or an appeal does not stay any MCLE compliance deadlines or MCLE fee payments. (b) Full Exemptions. An attorney shall be exempt from these Rules for an entire reporting period applicable to that attorney, if: (1) The attorney is exempt from these Rules pursuant to paragraphs (a)(1), (a)(2), (a)(3), (a)(4),(a)(5), or (a)(6), on the last day of that reporting period; or (2) The attorney is exempt from these Rules pursuant to paragraphs (a)(1), (a)(2), (a)(3), (a)(4), (a)(5), or (a)(6), for at least 365 days of that reporting period; or (3) The attorney receives a temporary exemption from the Board pursuant to paragraph (a)(7), for that reporting period. (c) Partial Exemptions. An attorney who is exempt from these Rules for more than 60, but less than 365, days of a two-year reporting period, and who is not exempt for the entire reporting period pursuant to paragraph (b), shall be required to earn one-half of the CLE activity hours that would otherwise be required pursuant to Rule 794(a) and (d). (d) Nonexemptions. An attorney who is exempt from these Rules for less than 61 days during a two-year reporting period, and who is not exempt for the entire reporting period pursuant to paragraph (b), shall be required to earn all of the CLE activity hours required pursuant to Rule 794(a) and (d). SCt

82 SCt 792 (e) Resuming Active Status. An attorney who was exempt from these Rules, pursuant to paragraphs (b)(1) or (b)(2), above, for the attorney s last completed reporting period because the attorney was on inactive, retirement or disability inactive status pursuant to Supreme Court Rules 756(a)(5) or (a)(6), 757 or 758, shall upon return to active status, have 24 months to complete the deferred CLE requirements, not to exceed two times the requirement for the current two-year reporting period, in addition to the CLE credit required for the current two-year reporting period. (f) Attorneys on Discipline Status. Paragraphs (f)(1) and (2) shall apply to attorneys on discipline status for reporting periods ending June 30, 2012, and thereafter. (1) Discipline Imposed Pursuant to Rule 770(a), (b), (c) and (e) (i) An attorney whose discipline is imposed pursuant to Rule 770(a), (b), (c) and (e) is not required to comply with the MCLE requirements for any reporting period in which the discipline is in effect. (ii) If the attorney is reinstated to the master roll by order of the Supreme Court ( Court ), the attorney must thereafter earn no less than 30 hours of MCLE credit and no more than 90 hours of MCLE credit which will be set by the MCLE Board based on the length of the attorney s discipline and whether credits need to be earned for the current reporting period. Those MCLE credits shall be earned and reported to the MCLE Board no later than 365 days after entry of the order reinstating the attorney to the master roll. The attorney shall contact the MCLE Board promptly after entry of the order reinstating the attorney to the master roll to establish the number of credits that need to be earned by the attorney. The attorney may apply any MCLE credits earned while the discipline imposed pursuant to Rule 770(a), (b), (c) or (e) was in effect. If the attorney does not earn the needed credits and report no later than 365 days after entry of the order reinstating the attorney to the master roll, the attorney shall pay a late fee, in an amount as set by the Board in the Court-approved fee schedule, and the attorney shall be referred to the ARDC pursuant to Rule 796(e). A reinstated attorney then needs to comply with the MCLE requirements for the two-year reporting period that begins after the attorney s reinstatement and all reporting periods thereafter. (2) Discipline Pursuant to Rule 770(d), (f), (g) and (h) An attorney whose discipline is imposed pursuant to Rule 770(d), (f), (g) and (h) is required to comply with the MCLE requirements for all reporting periods in which the discipline is in effect. (g) Foreign Legal Consultants. Beginning with the reporting period ending June 30, 2012 and thereafter, the MCLE Rules do not apply to foreign legal consultants licensed under Rule 712. (Adopted September 29, 2005, effective immediately; amended December 6, 2005, effective immediately; amended February 10, 2006, effective immediately; amended September 27, 2011, effective immediately; amended December 7, 2011, effective immediately; amended June 5, 2012, eff. Immediately.) RULE 792 The MCLE Board (a) Administration. The administration of the program for MCLE shall be under the supervision of the Minimum Continuing Legal Education Board ( Board ). (b) Selection of Members; Qualifications; Terms (1) The Board shall consist of nine members, appointed by the Supreme Court ( Court ). At least one member shall be a nonattorney and at least one member shall be a circuit court judge. The Executive Director of the Supreme Court Commission on Professionalism and the Administrator of the Attorney Registration and Disciplinary Commission shall serve as ex-officio members in addition to the nine members appointed by the Court but shall have no vote. (2) To be eligible for appointment to the Board, an attorney must have actively prac- SCt

83 ticed law in Illinois for a minimum of 10 years. (3) Three members, including the chairperson, shall initially be appointed to a threeyear term. Three members shall be appointed to an initial two-year term, and three members shall be appointed to an initial oneyear term. Thereafter, all members shall be appointed or re-appointed to three-year terms. (4) Board members shall be limited to serving three consecutive three-year terms. (5) No individual may be appointed to the Board who stands to gain financially, directly or indirectly, from accreditation or other decisions made by the Board. (6) Any member of the Board may be removed by the Court at any time, without cause. (7) Should a vacancy occur, the Court shall appoint a replacement to serve for the unexpired term of the member. (8) Board members shall serve without compensation, but shall be reimbursed for reasonable and necessary expenses incurred in performing their official duties, including reasonable travel costs to and from Board meetings. (9) The chairperson and vice-chairperson shall be designated by the Court. Other officers shall be elected by the members of the Board at the first meeting of each year. (c) Powers and Duties. The Board shall have the following powers and duties: (1) To recommend to the Court rules and regulations for MCLE not inconsistent with the rules of the Court and these Rules, including fees sufficient to ensure that the MCLE program is financially selfsupporting; to implement MCLE rules and regulations adopted by the Court; and to adopt forms necessary to insure attorneys compliance with the rules and regulations. (2) To meet at least twice a year, or more frequently as needed, either in person, by conference telephone communications, or by electronic means. Five members of the Board shall constitute a quorum for the SCt 792 transaction of business. A majority of the quorum present shall be required for any official action taken by the Board. (3) To accredit commercial and noncommercial continuing legal education ( CLE ) courses and activities, and to determine the number of hours to be awarded for attending such courses or participating in such activities. (4) To review applications for accreditation of those courses, activities or portions of either that are offered to fulfill the professional responsibility requirement in Rule 794(d)(1) for conformity with the accreditation standards and hours enumerated in Rule 795, exclusive of review as to substantive content. Those courses and activities determined to be in conformance shall be referred to the Supreme Court Commission on Professionalism for substantive review and approval as provided in Rules 799(c)(5) and (d)(6)(i). Professional responsibility courses or activities approved by both the Commission on Professionalism and the MCLE Board as specified in this subsection shall be eligible for accreditation by the MCLE Board. (5) To submit an annual report to the Court evaluating the effectiveness of the MCLE Rules and the quality of the CLE courses, and presenting the Board s recommendations, if any, for changes in the Rules or their implementation, a financial report for the previous fiscal year, and its recommendations for the new fiscal year. There shall be an independent annual audit of the MCLE fund as directed by the Court, the expenses of which shall be paid out of the fund. The audit shall be submitted as part of the annual report to the Court. (6) To coordinate its administrative responsibilities with the Attorney Registration and Disciplinary Commission ( ARDC ), and to reimburse expenses incurred by the ARDC attributable to enforcement of MCLE requirements. (7) To take all action reasonably necessary to implement, administer and enforce SCt

84 SCt 793 these rules and the decisions of the MCLE Director, staff and Board. (8) To establish policies and procedures for notification and reimbursement of course fees, if appropriate, in those instances where course accreditation is withheld or withdrawn. (d) Administration. The Board shall appoint, with the approval of the Supreme Court, a Director of MCLE ( Director ) to serve as the principal executive officer of the MCLE program. The Director, with the Board s authorization, will hire sufficient staff to administer the program. The Board will delegate to the Director and staff authority to conduct the business of the Board within the scope of this Rule, subject to review by the Board. The Director and staff shall be authorized to acquire or rent physical space, computer hardware and software systems and other items and services necessary to the administration of the MCLE program. (e) Funding. The MCLE program shall initially be funded in a manner to be determined by the Court. Thereafter, funding shall be derived solely from the fees charged to CLE providers and from late fees and reinstatement fees assessed to individual attorneys. This schedule of CLE provider fees, late fees, and reinstatement fees must be approved by the Court, and any reference in these Rules to a fee assessed or set by the Board means a fee based on the Court-approved fee schedule. The Board may elect to charge fees up to the amount approved by the Court and the Board may, as it deems appropriate, charge fees less than the amount approved by the Court. (Adopted September 29, 2005, effective immediately; amended December 6, 2005, effective immediately; amended June 5, 2007, effective immediately; amended November 23, 2009, effective December 1, 2009; amended September 27, 2011, effective immediately; amended January 17, 2013, effective immediately.) RULE 793 Requirement for Newly-Admitted Attorneys (a) Scope. Except as specified in paragraph (f), every Illinois attorney admitted to practice on or after October 1, 2011, must complete the requirement for newly-admitted attorneys described in paragraph (c). (b) Completion Deadline. The requirements established in paragraphs (c), (f) and (h) must be completed by the last day of the month that occurs one year after the newly-admitted attorney s admission to practice in Illinois. (c) Elements of the Requirement for Newly-Admitted Attorneys. The requirement for newly-admitted attorneys includes three elements: (1) A Basic Skills Course of no less than six hours covering topics such as practice techniques and procedures under the Illinois Rules of Professional Conduct, client communications, use of trust accounts, attorneys other obligations under the Court s Rules, required record keeping, professional responsibility topics (which may include professionalism, diversity issues, mental illness and addiction issues and civility) and may cover other rudimentary elements of practice. The Basic Skills Course must include at least six hours approved for professional responsibility credit. An attorney may satisfy this requirement by participating in a mentoring program approved by the Commission on Professionalism pursuant to Rule 795(d)(12); (2) At least nine additional hours of MCLE credit. These nine hours may include any number of hours approved for professional responsibility credit; and (3) Reporting to the MCLE Board as required by Rule (d) Exemption From Other Requirements. During this period, the newly admitted lawyer shall be exempt from the other MCLE requirements. A newly-admitted attorney may earn carryover credit as established by Rule 794(c)(2). (e) Initial Reporting Period. The newly admitted attorney s initial two-year reporting period for complying with the MCLE requirements contained in Rule 794 shall commence, following the deadline for the attorney to complete the newly-admitted attorney requirement, on the next July 1 of an even-numbered year for lawyers whose last names begin with a letter A through M, and on the next July 1 of an odd-numbered year for SCt

85 lawyers whose last names begin with a letter N through Z. (f) Prior Practice. (1) Attorneys admitted to the Illinois bar before October 1, 2011 The newly-admitted attorney requirements of Rule 793(c) do not apply to attorneys who are admitted in Illinois before October 1, 2011, and after practicing law in other states for a period of one year or more. Attorneys shall report this prior practice exemption to the MCLE Board under Rule 796. Thereafter, such attorneys will be subject to MCLE requirements under the appropriate schedule for each attorney. (2) Attorneys admitted to the Illinois bar on October 1, 2011, and thereafter The newly-admitted attorney requirements of Rule 793(c) do not apply to attorneys who: (i) were admitted in Illinois on October 1, 2011, and thereafter; and (ii) were admitted in Illinois after practicing law in other states for a period of at least one year in the three years immediately preceding admission in Illinois. Instead, such attorneys must complete 15 hours of MCLE credit (including four hours of professional responsibility credits) within one year of the attorney's admission to practice in Illinois. Such attorneys shall report compliance with this requirement to the MCLE Board under Rule 796. Thereafter, such attorneys will be subject to the MCLE requirements under the appropriate schedule for each attorney. (g) Approval. The Basic Skills Course shall be offered by CLE providers, including inhouse program providers, authorized by the MCLE Board after its approval of the provider s planned curriculum and after approval by the Commission on Professionalism of the professional responsibility credit. Courses shall be offered throughout the state and at reasonable cost. (h) Applicability to Attorneys Admitted after December 31, 2005, and before October 1, Attorneys admitted to practice after December 31, 2005, and before October 1, 2011, have the option of completing a Basic Skills Course totaling at least 15 actual hours of instruction as SCt 794 detailed under the prior Rule 793(c) or of satisfying the requirements of paragraph (c). (Adopted September 29, 2005, effective immediately; amended September 27, 2011, effective immediately.) RULE 794 Continuing Legal Education Requirement (a) Hours Required. Except as provided by Rules 791 or 793, every Illinois attorney subject to these Rules shall be required to complete 20 hours of CLE activity during the initial two-year reporting period (as determined on the basis of the lawyer s last name pursuant to paragraph (b), below) ending on June 30 of either 2008 or 2009, 24 hours of CLE activity during the two-year reporting period ending on June 30 of either 2010 or 2011, and 30 hours of CLE activity during all subsequent two-year reporting periods. (b) Reporting Period. The applicable twoyear reporting period shall begin on July 1 of even-numbered years for lawyers whose last names begin with the letters A through M, and on July 1 of odd-numbered years for lawyers whose last names begin with the letters N through Z. (c) Carryover of Hours (1) For attorneys with two-year reporting periods All CLE hours may be earned in one year or split in any manner between the two-year reporting period. (i) If an attorney earns more than the required CLE hours in the two-year reporting periods of July 1, 2006, through June 30, 2008, or July 1, 2007, through June 30, 2009, the attorney may carry over a maximum of 10 hours earned during that period to the next reporting period, except for professional responsibility credits referred to in paragraph (d). (ii) If an attorney earns more than the required CLE hours in the two-year reporting periods of July 1, 2008, through June 30, 2010, or July 1, 2009, through June 30, 2011, and all reporting periods thereafter, the attorney may carry over to the next reporting period a maximum of 10 hours, including hours approved for professional responsibility credit. Profes- SCt

86 SCt 795 sional responsibility credit carried over to the next reporting period may be used to meet the professional responsibility requirement of the next reporting period. (2) For newly-admitted attorneys subject to Rule 793 (i) For an attorney admitted to practice in Illinois on January 1, 2006, through June 30, 2009, such newly-admitted attorney may carry over to his or her first twoyear reporting period a maximum of 10 CLE hours (except for professional responsibility credits referred to in paragraph (d)) earned after completing the newly-admitted attorney requirement pursuant to Rule 793. (ii) For an attorney admitted to practice in Illinois on July 1, 2009, and thereafter, such newly-admitted attorney may carry over to his or her first two-year reporting period a maximum of 15 CLE hours earned in excess of those required by Rule 793(c) or Rule 793(f)(2) if those excess hours were earned after the attorney s admission to the Illinois bar and before the start of the attorney s first twoyear reporting period. Those carryover hours may include up to six hours approved for professional responsibility credit. Professional responsibility credit carried over to the next reporting period may be used to meet the professional responsibility requirement of the next reporting period. (3) An attorney, other than a newly admitted attorney, may carry over to his or her first two-year reporting period a maximum of 10 CLE activity hours (except for professional responsibility credits referred to in paragraph (d)) earned between January 1, 2006, and the beginning of that period. (d) Professional Responsibility Requirement (1) A minimum of four of the total hours required for the first two reporting periods must be in the area of professionalism, diversity issues, mental illness and addiction issues, civility, or legal ethics. Beginning with the reporting periods ending on June 30 of either 2012 or 2013, in which 30 hours of CLE are required, and for all subsequent reporting periods, a minimum of six of the total CLE hours required must be in such areas. (2) Such credit may be obtained either by: (i) Taking a separate CLE course or courses, or participating in other eligible CLE activity under these Rules, specifically devoted to professionalism, diversity issues, mental illness and addiction issues, civility, or legal ethics; or (ii) Taking a CLE course or courses, or participating in other eligible CLE activity under these Rules, a portion of which is specifically devoted to professionalism, diversity issues, mental illness and addiction issues, civility, or legal ethics credit. Only that portion of a course or activity specifically devoted to professionalism, diversity issues, mental illness and addiction issues, civility, or legal ethics shall receive CLE credit for the professional responsibility requirement of this paragraph. (Adopted September 29, 2005, effective immediately; amended October 1, 2010, effective immediately; amended September 27, 2011, effective immediately.) RULE 795 Accreditation Standards and Hours (a) Standards. Eligible CLE courses and activities shall satisfy the following standards: (1) The course or activity must have significant intellectual, educational or practical content, and its primary objective must be to increase each participant s professional competence as an attorney. (2) The course or activity must deal primarily with matters related to the practice of law. (3) The course or activity must be offered by a provider having substantial, recent experience in offering CLE or demonstrated ability to organize and effectively present CLE. Demonstrated ability arises partly from the extent to which individuals with legal training or educational experience are SCt

87 involved in the planning, instruction and supervision of the activity. (4) The course or activity itself must be conducted by an individual or group qualified by practical or academic experience. The course or activity, including the named advertised participants, must be conducted substantially as planned, subject to emergency withdrawals and alterations. (5) Thorough, high quality, readable and carefully prepared written materials should be made available to all participants at or before the time the course is presented, unless the absence of such materials is recognized as reasonable and approved by the Board. (6) Traditional CLE courses or activities shall be conducted in a physical setting conducive to learning. The course or activity may be presented by remote or satellite television transmission, telephone or videophone conference call, videotape, film, audio tape or over a computer network, so long as the Board approves the content and the provider, and finds that the method in question has interactivity as a key component. Such interactivity may be shown, for example, by the opportunity for the viewers or listeners to ask questions of the course faculty, in person, via telephone, or on-line; or through the availability of a qualified commentator to answer questions directly, electronically, or in writing; or through computer links to relevant cases, statutes, law review articles, or other sources. (7) The course or activity must consist of not less than one-half hour of actual instruction, unless the Board determines that a specific program of less than one-half hour warrants accreditation. (8) A list of the names of all participants for each course or activity shall be maintained by the provider for a period of at least three years. The provider shall issue a certificate, in written or electronic form, to each participant evincing his or her attendance. Such lists and certificates shall state the number of CLE hours, including professionalism, diversity issues, mental illness and SCt 795 addiction issues, civility, or legal ethics CLE hours, earned at that course or activity. (b) Accredited CLE Provider. The Board may extend presumptive approval to a provider for all of the CLE courses or activities presented by that provider each year that conform to paragraph (a) s Standards (1) through (8), upon written application to be an Accredited Continuing Legal Education Provider. Such accreditation shall constitute prior approval of all CLE courses offered by such providers. However, the Board may withhold accreditation or limit hours for any course found not to meet the standards, and may revoke accreditation for any organization which is found not to comply with standards. The Board shall assess an annual fee, over and above the fees assessed to the provider for each course, for the privilege of being an Accredited Continuing Legal Education Provider. (c) Accreditation of Individual Courses or Activities (1) Any provider not included in paragraph (b) desiring advance accreditation of an individual course or other activity shall apply to the Board by submitting a required application form, the course advance accreditation fee set by the Board, and supporting documentation no less than 45 days prior to the date for which the course or activity is scheduled. Documentation shall include a statement of the provider s intention to comply with the accreditation standards of this Rule, the written materials distributed or to be distributed to participants at the course or activity, if available, or a detailed outline of the proposed course or activity and list of instructors, and such further information as the Board shall request. The Board staff will advise the applicant in writing within 30 days of the receipt of the completed application of its approval or disapproval. (2) Providers denied approval of a course or activity shall promptly provide written notice of the Board s denial to all attorneys who requested Illinois MCLE credit for the course. Providers denied approval of a course or activity or individual attorneys who have SCt

88 SCt 795 attended such course or activity may request reconsideration of the Board s initial decision by filing a form approved by the Board no later than 30 days after the Board s initial decision. The Director shall consider the request within 30 days of its receipt, and promptly notify the provider and/or the individual attorney. If the Director denies the request, the provider shall have 30 days from the date of that denial to submit an appeal to the Board for consideration at the next scheduled Board meeting. Submission of a request for reconsideration or an appeal does not stay any MCLE submission deadlines or fee payments. (3) Providers who do not seek prior approval of their course or activity may apply for approval for the course or activity after its presentation by submitting an application provided by MCLE staff, the supporting documentation described above, and the accreditation fee set by the Board. (4) A list of the names of participants shall be maintained by the provider for a period of three years. The provider shall issue a certificate, in written or electronic form, to each participant evincing his or her attendance. Such lists and certificates shall state the number of CLE hours, including professionalism, diversity issues, mental illness and addiction issues, civility, or legal ethics CLE hours, earned at that course or activity. (5) An attorney may apply to the Illinois MCLE Board for accreditation of an individual out-of-state CLE course if the following provisions are satisfied: (i) the attorney participated in the course either in person or via live audio or video conference; (ii) (a) for a course held in person in a state with a comparable MCLE requirement, the course must be approved for MCLE credit by that state; or (b) for a course held in person in a state or the District of Columbia without a comparable MCLE requirement, the course must be approved for MCLE credit by at least one other state with a comparable MCLE requirement; or (c) for a course attended by live audio or video conference, the course must be approved for MCLE credit by at least one other state with a comparable MCLE requirement; and (iii) the course provider has chosen not to seek accreditation of the course for Illinois MCLE credit. (d) Nontraditional Courses or Activities. In addition to traditional CLE courses, the following courses or activities will receive CLE credit: (1) In-House Programs. Attendance at in-house seminars, courses, lectures or other CLE activity presented by law firms, corporate legal departments, governmental agencies or similar entities, either individually or in cooperation with other such entities, subject to the following conditions: (i) The CLE course or activity must meet the rules and regulations for any other CLE provider, as applicable. (ii) Specifically, the course or activity must have significant intellectual, educational or practical content, its primary objective must be to increase the participant s professional competence as an attorney, and it must deal primarily with matter related to the practice of law, professionalism, diversity issues, mental illness and addiction issues, civility or ethical obligations of attorneys. No credit will be afforded for discussions relating to the handling of specific cases, or issues relating to the management of a specific law firm, corporate law department, governmental agency or similar entity. (iii) The course or activity shall be submitted for approval on an individual course or activity basis rather than on a Presumptively Accredited Continuing Legal Education Provider basis. (iv) The application, including all written materials or an abstract thereof, should be filed with the Board at least 30 days prior to the date on which the course or activity is to be held in order for a prior determination of acceptability to be made. SCt

89 However, prior approval by the Board shall not be required. (v) Only courses or activities that have at least five attorney participants shall qualify for CLE credit. The attorneys need not be associated with the same firm, corporation or governmental agency. (vi) Experienced attorneys must contribute to the teaching, and efforts should be made to achieve a balance of in-house and outside instructors. (vii) The activity must be open to observation, without charge, by members of the Board or their designates. (viii) The activity must be scheduled at a time and location so as to be free of interruptions from telephone calls and other office matters. (ix) A list of the names of participants shall be maintained by the provider for a period of three years. The provider shall issue a certificate, in written or electronic form, to each participant evincing his or her attendance. Such lists and certificates shall state the number of CLE hours, including professionalism, diversity issues, mental illness and addiction issues, civility, or legal ethics CLE hours, earned at that activity. (x) The Board may impose a fee, similar to the fees assessed on traditional CLE providers, on the provider of an inhouse program for programs involving payments to the provider. (2) Law School Courses. Attendance at J.D. or graduate level law courses offered by American Bar Association ( ABA ) accredited law schools, subject to the following conditions: (i) Credit ordinarily is given only for courses taken after admission to practice in Illinois, but the Board may approve giving credit for courses taken prior to admission to practice in Illinois if giving credit will advance CLE objectives. (ii) Credit towards MCLE requirements shall be for the actual number of class hours attended, but the maximum SCt 795 number of credits that may be earned during any two-year reporting period by attending courses offered by ABA accredited law schools shall be the minimum number of CLE hours required by Rules 794(a) and (d). (iii) The attorney must comply with registration procedures of the law school, including the payment of tuition. (iv) The course need not be taken for law school credit towards a degree; auditing a course is permitted. However, the attorney must comply with all law school rules for attendance, participation and examination, if any, to receive CLE credit. (v) The law school shall give each attorney a written certification evincing that the attorney has complied with requirements for the course and attended sufficient classes to justify the awarding of course credit if the attorney were taking the course for credit. (3) Bar Association Meetings. Attendance at bar association or professional association meetings at which substantive law, matters of practice, professionalism, diversity issues, mental illness and addiction issues, civility, or legal ethics are discussed, subject to the requirements for CLE credit defined in paragraphs (a)(1) through (a)(2) above. The bar or professional association shall maintain a list of the names of all attendees at each meeting for a period of three years and shall issue a certificate, in written or electronic form, to each participant evincing his or her attendance. Such lists and certificates shall state the number of CLE hours, including professionalism, diversity issues, mental illness and addiction issues, civility, or legal ethics CLE hours, earned at that meeting. (4) Cross-Disciplinary Programs. Attendance at courses or activities that cross academic lines, such as accounting-tax seminars or medical-legal seminars, may be considered by the Board for full or partial credit. Purely nonlegal subjects, such as personal financial planning, shall not be counted SCt

90 SCt 795 towards CLE credit. Any mixed-audience courses or activities may receive credit only for sessions deemed appropriate for CLE purposes. (5) Teaching Continuing Legal Education Courses. Teaching at CLE courses or activities during the two-year reporting term, subject to the following: (i) Credit may be earned for teaching in an approved CLE course or activity. Presentations shall be counted at the full hour or fraction thereof for the initial presentation; a repeat presentation of the same material shall be counted at onehalf; no further hours may be earned for additional presentations of the same material. (ii) Time spent in preparation for a presentation at an approved CLE activity shall be counted at six times the actual presentation time. (iii) Authorship or coauthorship of written materials for approved CLE activities shall qualify for CLE credit on the basis of actual preparation time, but subject to receiving no more than 10 hours of credit in any two-year reporting period. (6) Part-Time Teaching of Law Courses. Teaching at an ABA-accredited law school, or teaching a law course at a university, college, or community college, subject to the following: (i) Teaching credit may be earned for teaching law courses offered for credit toward a degree at a law school accredited by the ABA, but only by lawyers who are not employed full-time by a law school. Full-time law teachers who choose to maintain their licenses to practice law are fully subject to the MCLE requirements established herein, and may not earn any credits by their ordinary teaching assignments. Presentations shall be counted at the full hour or fraction thereof for the initial presentation; a repeat presentation of the same material shall be counted at onehalf; no further hours may be earned for additional presentations of the same material. Teaching credit may be earned by appearing as a guest instructor, moderator, or participant in a law school class for a presentation which meets the overall guidelines for CLE courses or activities, as well as for serving as a judge at a law school moot court argument. Time spent in preparation for an eligible law school activity shall be counted at three times the actual presentation time. Appearing as a guest speaker before a law school assembly or group shall not count toward CLE credit. (ii) Teaching credit may be earned for teaching law courses at a university, college, or community college by lawyers who are not full-time teachers if the teaching involves significant intellectual, educational or practical content, such as a civil procedure course taught to paralegal students or a commercial law course taught to business students. Presentations shall be counted at the full hour or fraction thereof for the initial presentation; a repeat presentation of the same material shall be counted at one-half; no further hours may be earned for additional presentations of the same material. (7) Legal Scholarship. Writing law books and law review articles, subject to the following: (i) An attorney may earn credit for legal textbooks, casebooks, treatises and other scholarly legal books written by the attorney that are published during the twoyear reporting period. (ii) An attorney may earn credit for writing law-related articles in responsible legal journals or other legal sources, published during the two-year reporting period, that deal primarily with matters related to the practice of law, professionalism, diversity issues, mental illness and addiction issues, civility, or ethical obligations of attorneys. Republication of any article shall receive no additional CLE credits unless the author made substantial revisions or additions. SCt

91 (iii) An attorney may earn credit towards MCLE requirements for the actual number of hours spent researching and writing, but the maximum number of credits that may be earned during any two-year reporting period on a single publication shall be one-half the minimum number of CLE hours required by Rules 794(a) and (d). Credit is accrued when the eligible book or article is published, regardless whether the work in question was performed in the then-current twoyear reporting period. To receive CLE credit, the attorney shall maintain contemporaneous records evincing the number of hours spent on a publication. (8) Pro Bono Training. Attendance at courses or activities designed to train lawyers who have agreed to provide pro bono services shall earn CLE credit to the same extent as other courses and seminars. (9) Bar Review Courses. Attendance at bar review courses before admission to the Illinois Bar shall not be used for CLE credit. (10) Reading Legal Materials. No credit shall be earned by reading advance sheets, newspapers, law reviews, books, cases, statutes, newsletters or other such sources. (11) Activity of Lawyer-to-Lawyer Mentoring. Lawyers completing a comprehensive year-long structured mentoring program, as either a mentor or mentee, may earn credit equal to the minimum professional responsibility credit during the two-year reporting period of completion, provided that the mentoring plan is preapproved by the Commission on Professionalism, the completion is attested to by both mentor and mentee, and completion occurs during the first three years of the mentee s practice in Illinois. For reporting periods ending in 2011 or earlier, the maximum number of professional responsibility credit hours shall be four. Beginning with the reporting periods ending on June 30 of either 2012 or 2013, in which 30 hours of CLE are required, the maximum number of credit hours available shall be six. SCt 795 (e) Credit Hour Guidelines. Hours of CLE credit will be determined under the following guidelines: (1) Sixty minutes shall equal one hour of credit. Partial credit shall be earned for qualified activities of less than 60 minutes duration. (2) The following are not counted for credit: (i) coffee breaks; (ii) introductory and closing remarks; (iii) keynote speeches; (iv) lunches and dinners; (v) other breaks; and (v) business meetings. (3) Question and answer periods are counted toward credit. (4) Lectures or panel discussions occurring during breakfast, luncheon, or dinner sessions of bar association committees may be awarded credit. (5) Credits are determined by the following formula: Total minutes of approved activity minus minutes for breaks (as described in paragraph (e)(2)) divided by 60 equals maximum CLE credit allowed. (6) Credits merely reflect the maximum that may be earned. Only actual attendance or participation earns credit. (f) Financial Hardship Policy. The provider shall have available a financial hardship policy for attorneys who wish to attend its courses, but for whom the cost of such courses would be a financial hardship. Such policy may be in the form of scholarships, waivers of course fees, reduced course fees, or discounts. Upon request by the Board, the provider must produce the detailed financial hardship policy. The Board may require, on good cause shown, a provider to set aside without cost, or at reduced cost, a reasonable number of places in the course for those attorneys determined by the Board to have good cause to attend the course for reduced or no cost. (Adopted September 29, 2005, effective immediately; amended October 4, 2007, effective immediately; amended October 12, 2010, effective immediately; amended Septembe 27, 2011; effective immediately; amended February 6, 2013, effective immediately.) SCt

92 SCt 796 RULE 796 Enforcement of MCLE Requirements (a) Reporting Compliance. (1) On or before the first day of the month preceding the end of an attorney s newly-admitted attorney requirement reporting period or two-year reporting period, the Director shall mail the attorney, at a mailing address maintained by the ARDC, a certification, to be completed by the attorney, stating whether, with respect to that reporting period, the attorney either has complied with these Rules, has not complied with these Rules, or is exempt from these Rules. A certification need not be sent to an attorney known by the Director to be fully exempt from these Rules pursuant to Rule 791(b) or to an attorney who has already been removed from the master roll of attorneys due to the attorney s failure to comply with the MCLE requirements for two consecutive reporting periods or more. (2) Every Illinois attorney who is either subject to these Rules or who receives an MCLE certification shall complete, sign and submit the certification to the Board within 31 days after the end of the attorney s reporting period. It is the responsibility of each attorney on the master roll to notify the ARDC of any change of address. Failure to receive an MCLE certification shall not constitute an excuse for failure to file the certification. (b) Failure to Report Compliance. Attorneys who fail to submit an MCLE certification that is received by the MCLE Board within 45 days after the end of their reporting period, or who file a certification that is received by the MCLE Board within 45 days after the end of their reporting period stating that they have not complied with these Rules during the reporting period, shall be mailed a notice by the Director to inform them of their noncompliance. Attorneys shall be given 61 additional days from the original certification due date provided in Rule 796(a)(2) to achieve compliance and file a certification stating that they have complied with these Rules or are exempt. The Director shall not send SCt a notice of noncompliance to attorneys whom the Director knows, based on the status of the attorneys licenses as inactive, retirement, disability inactive, judicial or military with the ARDC, are fully exempt from these Rules. (c) Grace Period. Attorneys given additional time pursuant to paragraph (b) to comply with the requirements of these Rules may use that grace period to attain the adequate number of hours for compliance. Credit hours earned during a grace period may be counted toward compliance with the previous reporting period requirement, and hours in excess of the requirement may be used to meet the current reporting period s requirement. No attorney may receive more than one grace period with respect to the same reporting period, and the grace period shall not be extended if the Director fails to send, or the attorney fails to receive, a notice pursuant to paragraph (b). (d) Late Fees. (1) (1) Attorneys who are not fully exempt under Rule 791(a)(1), (2), (3) or (5) and who, for whatever reason, fail to complete, sign and submit to the Board an MCLE certification that is received by the Board within 45 days after the end of their reporting period, and who are sent a notice of noncompliance from the Director pursuant to paragraph (b), shall pay a late fee, in an amount to be set by the Board. The Director shall not assess a late fee to an attorney whom the Director knows, based on the status of the attorney s license as inactive, retirement, disability inactive, judicial or military with the ARDC, are fully exempt from these Rules. (2) (2) Attorneys who submit an MCLE certification to the Board who were not sent a notice of noncompliance from the Director pursuant to paragraph (b), but who certify that they failed to comply with these Rules during the applicable reporting period, shall pay a late fee, in an amount to be set by the Board that is less than the late fee imposed pursuant to paragraph (d)(1). (e) Failure to Comply or Failure to Report. The Director shall refer to the ARDC the names

93 of attorneys who were mailed a notice of noncompliance and who, by the end of their grace periods, failed either: (1) to comply or to report compliance with the requirements of these Rules to the MCLE Board; or (2) to report an exemption from the requirements of these Rules to the MCLE Board. The Director shall also refer to the ARDC the names of attorneys who, by the end of their grace period, failed to pay any outstanding MCLE fee. The ARDC shall then send notice to any such attorneys that they will be removed from the master roll on the date specified in the notice, which shall be no sooner than 21 days from the date of the notice, because of their failure to comply or report compliance, failure to report an exemption, or failure to pay an outstanding MCLE fee. The ARDC shall remove such attorneys from the master roll of attorneys on the date specified in the notice unless the Director certifies before that date that an attorney has complied. Such removal is not a disciplinary sanction. (f) Recordkeeping and Audits. (1) Each attorney subject to these Rules shall maintain, for three years after the end of the relevant reporting period, certificates of attendance received pursuant to Rules 795(a)(8), (c)(4), (d)(1)(ix), (d)(2)(v), (d)(3), as well as sufficient documentation necessary to corroborate CLE activity hours earned pursuant to Rules 795(d)(4) through (d)(9). (2) The Board may conduct a reasonable number of audits, under a plan approved by the Court. At least some of these audits shall be randomly selected, to determine the accuracy of attorneys certifications of compliance or exemption. With respect to audits that are not randomly selected, in choosing subjects for those audits the Board shall give increased consideration to attorneys who assumed inactive or retirement status under Supreme Court Rule 756(a)(5) or (a)(6), and were thereby fully or partially exempt from these Rules pursuant to Rule 791(b) or (c), and who subsequently resumed active status. (3) The ARDC may investigate an attorney s compliance with these Rules only upon SCt 796 referral from the Director; the ARDC will not investigate an attorney s compliance with these Rules as part of its other investigations. When the Director refers a matter to the ARDC, the investigation, and any resulting prosecution, shall be conducted in accordance with the rules pertaining to ARDC proceedings. (g) Audits That Reveal an Inaccurate Certification. (1) If an audit conducted pursuant to paragraph (f)(2) reveals that the attorney was not in compliance with or exempt from these Rules for any reporting period for which the attorney had filed a certification of compliance or exemption, the Director shall provide the attorney with written notice containing: (i) the results of the audit, specifying each aspect of the Rules with which the attorney did not comply or the reason why the attorney is not exempt; (ii) a summary of the basis of that determination; and (iii) a deadline, which shall be at least 30 days from the date of the notice, for the attorney to file a written response if the attorney objects to any of the contents of the notice. (2) After considering any response from the attorney, if the Board determines that the attorney filed an inaccurate certification, the attorney shall be given 60 days in which to file an amended certification, together with all documentation specified in paragraph (f)(1), demonstrating full compliance with the applicable MCLE requirements. The attorney also shall pay a late fee in an amount to be set by the Board. The assessment of a late fee is not a disciplinary sanction. (3) If the results of the audit suggest that the attorney willfully filed a false certification, the Board through its Director shall provide that information to the ARDC. (h) Reinstatement. An attorney who has been removed from the master roll due to noncompliance with these Rules may be reinstated by the ARDC, upon recommendation of the Board. Such recommendation may be made only after the removed attorney files a certification which the Board determines shows full compliance with SCt

94 SCt 797 the applicable MCLE requirements for each reporting period for which the attorney was removed from the master roll due to MCLE noncompliance. To be reinstated, the attorney shall pay a reinstatement fee for each reporting period for which the attorney was removed from the master roll due to MCLE noncompliance with the request, in an amount to be set by the Board. The Board may elect to cap the total amount of the reinstatement fee when an attorney has been removed from the master roll due to MCLE noncompliance in more than six consecutive reporting periods. The attorney must also meet any further conditions and pay any additional fees as may be required by Rule 756. The removed attorney may attain the necessary credit hours during the period of removal to meet the requirements for the years of noncompliance. Excess hours earned during the period of removal, however, may not be counted towards meeting the current or future reporting periods requirements. (Adopted September 29, 2005, effective immediately; amended October 5, 3006, effective immediately; amended September 27, 2011; effective immediately.) RULE 797 Confidentiality All files, records and proceedings of the Board must be kept confidential, and may not be disclosed except (a) in furtherance of the duties of the Board, (b) upon written request and consent of the persons affected, (c) pursuant to a proper subpoena duces tecum, or (d) as ordered by a court of competent jurisdiction. (Adopted September 29, 2005, effective immediately; amended October 5, 2006, effective immediately.) RULE 798 Reserved Part D. Commission On Professionalism RULE 799 Supreme Court Commission on Professionalism (a) Purpose. The Supreme Court Commission on Professionalism is hereby established in order to promote among the lawyers and judges of Illinois principles of integrity, professionalism and civility; to foster commitment to the elimination of bias and divisiveness within the legal and judicial systems; and to ensure that those systems provide equitable, effective and efficient resolution of problems and disputes for the people of Illinois. (b) Membership and Terms. (1) The Court shall appoint 14 members to the Commission, one of whom shall be designated the Chair and one of whom shall be designated the Vice-Chair. The Director of the Minimum Continuing Legal Education Program and the Administrator of the Attorney Registration and Disciplinary Commission shall serve as ex-officio members in addition to the 14 members appointed by the Court but shall have no vote. (2) In addition to the members described above, the Chief Justice may invite to serve on the Commission a judge of the United States District Courts located in Illinois. (3) The appointed members of the Commission shall be selected with regard to their reputations for professionalism, and for their past contributions to the bar and to their communities, to the extent feasible, the appointees should reflect a diversity of geography, practice areas, race, ethnicity, and gender. (4) Members of the Commission shall be appointed for terms of three years, except that in making initial appointments to the Commission, the Court may limit appointments to ensure that the terms of the Commission s members are staggered, so that no more than one third of the members terms expire in any given year. (5) None of the members of the Commission shall receive compensation for their service, but all members shall be reimbursed for their necessary expenses. (c) Duties. The Commission s duties shall include: (1) Creating and promoting an awareness of professionalism by all members of the Illinois bar and bench; (2) Gathering and maintaining information to serve as a resource on professionalism for lawyers, judges, court personnel, and members of the public; (3) Developing public statements on principles of ethical and professional SCt

95 responsibility for distribution to the bench and bar for purposes of encouraging, guiding and assisting individual lawyers, law firms and bar associations on the ethical and professional tenets of the profession; (4) Assisting CLE providers with the development of courses and activities offered to fulfill the professional responsibility requirement for minimum continuing legal education under Rule 794(d)(1); (5) Determining and publishing criteria for, monitoring, coordinating, and approving, courses and activities offered to fulfill the professional responsibility requirement for minimum continuing legal education under Rule 794(d)(1); (6) Reviewing and approving the content of courses and activities offered to fulfill the professional responsibility requirement for minimum continuing legal education under Rule 794(d)(1) and forwarding the Commission s determination to the Minimum Continuing Legal Education (MCLE) Board; (7) Monitoring activities related to professionalism outside the State of Illinois; (8) Collaborating with law schools in the development and presentation of professionalism programs for law student orientation and other events as coordinated with law school faculty; (9) Facilitating cooperation among practitioners, bar associations, law schools, courts, civic and lay organizations and others in addressing matters of professionalism, ethics, and public understanding of the legal profession; and (10) Recommending to the Court other methods and means of improving the profession and accomplishing the purposes of this Commission. The Commission shall have no authority to impose discipline upon any member of the Illinois bar or bench, or to exercise any duties or responsibilities belonging to either the Judicial Inquiry Board, the Attorney Registration and Disciplinary Commission, the Board of Admissions to the Bar, or the MCLE Board. SCt 799 (d) Administration (1) The Commission shall have the authority to appoint, with the approval of the Supreme Court, an Executive Director, who shall be an attorney who is an active member in good standing of the Illinois bar. The Executive Director shall have the authority to hire such additional staff as necessary to perform the Commission s responsibilities. (2) The Commission shall meet at least twice a year and at other times at the call of the Chair. A majority of its members shall constitute a quorum for any action. Meetings may be held at any place within the state and may also be held by means of telecommunication that permits reasonably accurate and contemporaneous participation by the members attending by such means. (3) The Chair may appoint committees of members and assign them to such responsibilities, consistent with the purposes, powers and duties of the Commission, as the Chair may deem appropriate. (4) The Commission shall file annually with the Court an accounting of the monies received and expended for its activities, and there shall be an annual independent audit of the funds as directed by the court, the expenses of which shall be paid out of the fund. (5) The Commission shall submit an annual report to the Court describing and evaluating the effectiveness of its activities. (6) Approving CLE Programs. (i) The Commission shall receive from the MCLE Board applications for accreditation of those courses and activities offered to fulfill the professional responsibility requirement for minimum continuing legal education under Rule 794(d)(1). The Commission shall establish procedures for approval of such courses or activities consistent with the criteria published under paragraph (c)(5) of this rule. Professional responsibility courses and activities, the content of which is approved by the Commission, shall be forwarded to the MCLE Board for accreditation. Absent Commission ap- SCt

96 SCt 799 proval, such courses and activities are not eligible for CLE accreditation. The Commission shall complete its review as expeditiously as possible and with regard to the applicable time lines contained in Rule 795 (ii) Providers that have been designated Accredited Continuing Legal Education Providers under Rule 795(b) must, in addition to that accreditation, obtain Commission approval of any course or activity offered to fulfill the professional responsibility requirement of Rule 794(d)(1), but will not be required to pay an accreditation fee in addition to the fee the provider has paid to the Minimum Continuing Legal Education Board. (e) Funding. The Commission shall be funded by an annual assessment as provided in Rule 756. (Adopted September 29, 2005, effective immediately; amended December 6, 2005, effective immediately; amended June 5, 2007, effective immediately; amended September 27, 2011, effective immediately; amended June 5, 2012, eff. immediately; amended January 18, 2013, effective immediately.) SCt

97 SUPREME COURT OF ILLINOIS RULES OF PROFESSIONAL CONDUCT OF 2010 Preamble: A Lawyer s Responsibilities [1] A lawyer, as a member of the legal profession, is a representative of clients, an officer of the legal system and a public citizen having special responsibility for the quality of justice. [2] As a representative of clients, a lawyer performs various functions. As advisor, a lawyer provides a client with an informed understanding of the client s legal rights and obligations and explains their practical implications. As advocate, a lawyer zealously asserts the client s position under the rules of the adversary system. As negotiator, a lawyer seeks a result advantageous to the client but consistent with requirements of honest dealings with others. As an evaluator, a lawyer acts by examining a client s legal affairs and reporting about them to the client or to others. [3] In addition to these representational functions, a lawyer may serve as a third-party neutral, a nonrepresentational role helping the parties to resolve a dispute or other matter. Some of these Rules apply directly to lawyers who are or have served as third-party neutrals. See, e.g., Rules 1.12 and 2.4. In addition, there are Rules that apply to lawyers who are not active in the practice of law or to practicing lawyers even when they are acting in a nonprofessional capacity. For example, a lawyer who commits fraud in the conduct of a business is subject to discipline for engaging in conduct involving dishonesty, fraud, deceit or misrepresentation. See Rule 8.4. [4] In all professional functions a lawyer should be competent, prompt and diligent. A lawyer should maintain communication with a client concerning the representation. A lawyer should keep in confidence information relating to representation of a client except so far as disclosure is required or permitted by the Rules of Professional Conduct or other law. [5] A lawyer s conduct should conform to the requirements of the law, both in professional service to clients and in the lawyer s business and Preamble personal affairs. A lawyer should use the law s procedures only for legitimate purposes and not to harass or intimidate others. A lawyer should demonstrate respect for the legal system and for those who serve it, including judges, other lawyers and public officials. While it is a lawyer s duty, when necessary, to challenge the rectitude of official action, it is also a lawyer s duty to uphold legal process. [6] As a public citizen, a lawyer should seek improvement of the law, access to the legal system, the administration of justice and the quality of service rendered by the legal profession. As a member of a learned profession, a lawyer should cultivate knowledge of the law beyond its use for clients, employ that knowledge in reform of the law and work to strengthen legal education. In addition, a lawyer should further the public s understanding of and confidence in the rule of law and the justice system because legal institutions in a constitutional democracy depend on popular participation and support to maintain their authority. [6A] It is also 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. To help monitor and quantify the extent of these activities, and to encourage an increase in the delivery of legal services to persons of limited means, Illinois Supreme Court Rule 756(f) requires disclosure with each lawyer s annual registration with the Illinois Attorney Regis- Preamble 87

98 Preamble tration and Disciplinary Commission of the approximate amount of his or her pro bono legal service and the approximate amount of qualified monetary contributions. See also Committee Comment (June 14, 2006) to Illinois Supreme Court Rule 756(f). [6B] The absence from the Illinois Rules of a counterpart to ABA Model Rule 6.1 regarding pro bono and public service should not be interpreted as limiting the responsibility of lawyers to render uncompensated service in the public interest. Rather, the rationale is that this responsibility is not appropriate for disciplinary rules because it is not possible to articulate an appropriate disciplinary standard regarding pro bono and public service. [7] Many of a lawyer s professional responsibilities are prescribed in the Rules of Professional Conduct, as well as substantive and procedural law. However, a lawyer is also guided by personal conscience and the approbation of professional peers. A lawyer should strive to attain the highest level of skill, to improve the law and the legal profession and to exemplify the legal profession s ideals of public service. [8] A lawyer s responsibilities as a representative of clients, an officer of the legal system and a public citizen are usually harmonious. Thus, when an opposing party is well represented, a lawyer can be a zealous advocate on behalf of a client and at the same time assume that justice is being done. So also, a lawyer can be sure that preserving client confidences ordinarily serves the public interest because people are more likely to seek legal advice, and thereby heed their legal obligations, when they know their communications will be private. [9] In the nature of law practice, however, conflicting responsibilities are encountered. Virtually all difficult ethical problems arise from conflict between a lawyer s responsibilities to clients, to the legal system and to the lawyer s own interest in remaining an ethical person while earning a satisfactory living. The Rules of Professional Conduct often prescribe terms for resolving such conflicts. Within the framework of these Rules, however, many difficult issues of professional discretion can arise. Such issues must be resolved through the exercise of sensitive professional and moral judgment guided by the basic principles underlying the Rules. These principles include the lawyer s obligation zealously to protect and pursue a client s legitimate interests, within the bounds of the law, while maintaining a professional, courteous and civil attitude toward all persons involved in the legal system. [10] The legal profession is largely selfgoverning. Although other professions also have been granted powers of self-government, the legal profession is unique in this respect because of the close relationship between the profession and the processes of government and law enforcement. This connection is manifested in the fact that ultimate authority over the legal profession is vested largely in the courts. [11] To the extent that lawyers meet the obligations of their professional calling, the occasion for government regulation is obviated. Selfregulation also helps maintain the legal profession s independence from government domination. An independent legal profession is an important force in preserving government under law, for abuse of legal authority is more readily challenged by a profession whose members are not dependent on government for the right to practice. [12] The legal profession s relative autonomy carries with it special responsibilities of selfgovernment. The profession has a responsibility to assure that its regulations are conceived in the public interest and not in furtherance of parochial or self-interested concerns of the bar. Every lawyer is responsible for observance of the Rules of Professional Conduct. A lawyer should also aid in securing their observance by other lawyers. Neglect of these responsibilities compromises the independence of the profession and the public interest which it serves. [13] Lawyers play a vital role in the preservation of society. The fulfillment of this role requires an understanding by lawyers of their relationship to our legal system. The Rules of Professional Conduct, when properly applied, serve to define that relationship. Preamble 88

99 Scope [14] The Rules of Professional Conduct are rules of reason. They should be interpreted with reference to the purposes of legal representation and of the law itself. Some of the Rules are imperatives, cast in the terms shall or shall not. These define proper conduct for purposes of professional discipline. Others, generally cast in the term may, are permissive and define areas under the Rules in which the lawyer has discretion to exercise professional judgment. No disciplinary action should be taken when the lawyer chooses not to act or acts within the bounds of such discretion. Other Rules define the nature of relationships between the lawyer and others. The Rules are thus partly obligatory and disciplinary and partly constitutive and descriptive in that they define a lawyer s professional role. Many of the Comments use the term should. Comments and the Preamble and Scope do not add obligations to the Rules but provide guidance for practicing in compliance with the Rules. [15] The Rules presuppose a larger legal context shaping the lawyer s role. That context includes court rules and statutes relating to matters of licensure, laws defining specific obligations of lawyers and substantive and procedural law in general. The Comments are sometimes used to alert lawyers to their responsibilities under such other law. [16] Compliance with the Rules, as with all law in an open society, depends primarily upon understanding and voluntary compliance, secondarily upon reinforcement by peer and public opinion and finally, when necessary, upon enforcement through disciplinary proceedings. The Rules do not, however, exhaust the moral and ethical considerations that should inform a lawyer, for no worthwhile human activity can be completely defined by legal rules. The Rules simply provide a framework for the ethical practice of law. [17] Furthermore, for purposes of determining the lawyer s authority and responsibility, principles of substantive law external to these Rules determine whether a client-lawyer relationship exists. Most of the duties flowing from the client-lawyer relationship attach only after the client Scope has requested the lawyer to render legal services and the lawyer has agreed to do so. But there are some duties, such as that of confidentiality under Rule 1.6, that attach when the lawyer agrees to consider whether a client-lawyer relationship shall be established. See Rule Whether a client-lawyer relationship exists for any specific purpose can depend on the circumstances and may be a question of fact. [18] Under various legal provisions, including constitutional, statutory and common law, the responsibilities of government lawyers may include authority concerning legal matters that ordinarily reposes in the client in private client-lawyer relationships. For example, a lawyer for a government agency may have authority on behalf of the government to decide upon settlement or whether to appeal from an adverse judgment. Such authority in various respects is generally vested in the attorney general and the state s attorney in state government, and their federal counterparts, and the same may be true of other government law officers. Also, lawyers under the supervision of these officers may be authorized to represent several government agencies in intragovernmental legal controversies in circumstances where a private lawyer could not represent multiple private clients. These Rules do not abrogate any such authority. [19] Failure to comply with an obligation or prohibition imposed by a Rule is a basis for invoking the disciplinary process. The Rules presuppose that disciplinary assessment of a lawyer s conduct will be made on the basis of the facts and circumstances as they existed at the time of the conduct in question and in recognition of the fact that a lawyer often has to act upon uncertain or incomplete evidence of the situation. Moreover, the Rules presuppose that whether or not discipline should be imposed for a violation, and the severity of a sanction, depend on all the circumstances, such as the willfulness and seriousness of the violation, extenuating factors and whether there have been previous violations. [20] Violation of a Rule should not itself give rise to a cause of action against a lawyer nor should it create any presumption in such a case that a legal duty has been breached. In addition, Scope 89

100 RULE 1.0 violation of a Rule does not necessarily warrant any other nondisciplinary remedy, such as disqualification of a lawyer in pending litigation. The Rules are designed to provide guidance to lawyers and to provide a structure for regulating conduct through disciplinary agencies. They are not designed to be a basis for civil liability. Furthermore, the purpose of the Rules can be subverted when they are invoked by opposing parties as procedural weapons. The fact that a Rule is a just basis for a lawyer s self-assessment, or for sanctioning a lawyer under the administration of a disciplinary authority, does not imply that an antagonist in a collateral proceeding or transaction has standing to seek enforcement of the Rule. Nevertheless, since the Rules do establish standards of conduct by lawyers, a lawyer s violation of a Rule may be evidence of breach of the applicable standard of conduct. [21] The Comment accompanying each Rule explains and illustrates the meaning and purpose of the Rule. The Preamble and this note on Scope provide general orientation and are instructive and not directive. The Comments are intended as guides to interpretation, but the text of each Rule is authoritative. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.0 Terminology (a) 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. (b) Confirmed in writing, when used in reference to the informed consent of a person, denotes informed consent that is given in writing by the person or a writing that a lawyer promptly transmits to the person confirming an oral informed consent. See paragraph (e) for the definition of informed consent. If it is not feasible to obtain or transmit the writing at the time the person gives informed consent, then the lawyer must obtain or transmit it within a reasonable time thereafter. (c) Firm or law firm denotes a lawyer or lawyers in a law partnership, professional corporation, sole proprietorship or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation or other organization. (d) Fraud or fraudulent denotes conduct that is fraudulent under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive. (e) Informed consent denotes the agreement by a person to a proposed course of conduct after the lawyer has communicated adequate information and explanation about the material risks of and reasonably available alternatives to the proposed course of conduct. (f) Knowingly, known, or knows denotes actual knowledge of the fact in question. A person s knowledge may be inferred from circumstances. (g) Partner denotes a member of a partnership, a shareholder in a law firm organized as a professional corporation, or a member of an association authorized to practice law. (h) Reasonable or reasonably when used in relation to conduct by a lawyer denotes the conduct of a reasonably prudent and competent lawyer. (i) 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. (j) 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. (k) Screened denotes the isolation of a lawyer from any participation in a matter through the timely imposition of procedures within a firm that are reasonably adequate under the circumstances to protect information that the isolated lawyer is obligated to protect under these Rules or other law. (l) Substantial when used in reference to degree or extent denotes a material matter of clear and weighty importance. (m) Tribunal denotes a court, an arbitrator in a binding arbitration proceeding or a legislative body, administrative agency or other body acting in an adjudicative capacity. A legislative body, administrative agency or other body acts in an RULE

101 adjudicative capacity when a neutral official, after the presentation of evidence or legal argument by a party or parties, will render a binding legal judgment directly affecting a party s interests in a particular matter. (n) Writing or written denotes a tangible or electronic record of a communication or representation, including handwriting, typewriting, printing, photostating, photography, audio or video recording and . A signed writing includes an electronic sound, symbol or process attached to or logically associated with a writing and executed or adopted by a person with the intent to sign the writing. (Adopted July 1, 2009, effective January 1, 2010.) Comment Confirmed In Writing [1] If it is not feasible to obtain or transmit a written confirmation, if required, at the time the client gives informed consent, then the lawyer must obtain or transmit it within a reasonable time thereafter. If a lawyer has obtained a client s informed consent, and written confirmation is required, the lawyer may act in reliance on that consent so long as it is confirmed in writing within a reasonable time thereafter. Firm [2] Whether two or more lawyers constitute a firm within paragraph (c) can depend on the specific facts. For example, two practitioners who share office space and occasionally consult or assist each other ordinarily would not be regarded as constituting a firm. However, if they present themselves to the public in a way that suggests that they are a firm or conduct themselves as a firm, they should be regarded as a firm for purposes of the Rules. The terms of any formal agreement between associated lawyers are relevant in determining whether they are a firm, as is the fact that they have mutual access to information concerning the clients they serve. Furthermore, it is relevant in doubtful cases to consider the underlying purpose of the Rule that is involved. A group of lawyers could be regarded as a firm for purposes of the Rule that the same lawyer should not represent opposing parties in litigation, while it might not be so regarded RULE 1.0 for purposes of the Rule that information acquired by one lawyer is attributed to another. [3] With respect to the law department of an organization, including the government, there is ordinarily no question that the members of the department constitute a firm within the meaning of the Rules of Professional Conduct. There can be uncertainty, however, as to the identity of the client. For example, it may not be clear whether the law department of a corporation represents a subsidiary or an affiliated corporation, as well as the corporation by which the members of the department are directly employed. A similar question can arise concerning an unincorporated association and its local affiliates. [4] Similar questions can also arise with respect to lawyers in legal aid and legal services organizations. Depending upon the structure of the organization, the entire organization or different components of it may constitute a firm or firms for purposes of these Rules. Fraud [5] When used in these Rules, the terms fraud or fraudulent refer to conduct that is characterized as such under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive. This does not include merely negligent misrepresentation or negligent failure to apprise another of relevant information. For purposes of these Rules, it is not necessary that anyone has suffered damages or relied on the misrepresentation or failure to inform. Informed Consent [6] Many of the Rules of Professional Conduct require the lawyer to obtain the informed consent of a client or other person (e.g., a former client or, under certain circumstances, a prospective client) before accepting or continuing representation or pursuing a course of conduct. See, e.g., Rules 1.2(c), 1.6(a) and 1.7(b). The communication necessary to obtain such consent will vary according to the Rule involved and the circumstances giving rise to the need to obtain informed consent. The lawyer must make reasonable efforts to ensure that the client or other person possesses information reasonably adequate to make an informed decision. Ordinarily, RULE

102 RULE 1.1 this will require communication that includes a disclosure of the facts and circumstances giving rise to the situation, any explanation reasonably necessary to inform the client or other person of the material advantages and disadvantages of the proposed course of conduct and a discussion of the client s or other person s options and alternatives. In some circumstances it may be appropriate for a lawyer to advise a client or other person to seek the advice of other counsel. A lawyer need not inform a client or other person of facts or implications already known to the client or other person; nevertheless, a lawyer who does not personally inform the client or other person assumes the risk that the client or other person is inadequately informed and the consent is invalid. In determining whether the information and explanation provided are reasonably adequate, relevant factors include whether the client or other person is experienced in legal matters generally and in making decisions of the type involved, and whether the client or other person is independently represented by other counsel in giving the consent. Normally, such persons need less information and explanation than others, and generally a client or other person who is independently represented by other counsel in giving the consent should be assumed to have given informed consent. [7] Obtaining informed consent will usually require an affirmative response by the client or other person. In general, a lawyer may not assume consent from a client s or other person s silence. Consent may be inferred, however, from the conduct of a client or other person who has reasonably adequate information about the matter. Rule 1.5(e) requires that a person s consent be confirmed in writing. For a definition of writing and confirmed in writing, see paragraphs (n) and (b). Other Rules require that a client s consent be obtained in a writing signed by the client. See Rules 1.5(c), 1.8(a) and (g). For a definition of signed, see paragraph (n). Screened [8] This definition applies to situations where screening of a personally disqualified lawyer is permitted to remove imputation of a conflict of interest under Rules 1.10, 1.11, 1.12 or RULE [9] The purpose of screening is to assure the affected parties that confidential information known by the personally disqualified lawyer remains protected. The personally disqualified lawyer should acknowledge the obligation not to communicate with any of the other lawyers in the firm with respect to the matter. Similarly, other lawyers in the firm who are working on the matter should be informed that the screening is in place and that they may not communicate with the personally disqualified lawyer with respect to the matter. Additional screening measures that are appropriate for the particular matter will depend on the circumstances. To implement, reinforce and remind all affected lawyers of the presence of the screening, it may be appropriate for the firm to undertake such procedures as a written undertaking by the screened lawyer to avoid any communication with other firm personnel and any contact with any firm files or other materials relating to the matter, written notice and instructions to all other firm personnel forbidding any communication with the screened lawyer relating to the matter, denial of access by the screened lawyer to firm files or other materials relating to the matter and periodic reminders of the screen to the screened lawyer and all other firm personnel. [10] In order to be effective, screening measures must be implemented as soon as practical after a lawyer or law firm knows or reasonably should know that there is a need for screening. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.1 Competence A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation. (Adopted July 1, 2009, effective January 1, 2010.) Comment Legal Knowledge And Skill [1] In determining whether a lawyer employs the requisite knowledge and skill in a particular matter, relevant factors include the relative complexity and specialized nature of the matter, the

103 lawyer s general experience, the lawyer s training and experience in the field in question, the preparation and study the lawyer is able to give the matter and whether it is feasible to refer the matter to, or associate or consult with, a lawyer of established competence in the field in question. In many instances, the required proficiency is that of a general practitioner. Expertise in a particular field of law may be required in some circumstances. [2] A lawyer need not necessarily have special training or prior experience to handle legal problems of a type with which the lawyer is unfamiliar. A newly admitted lawyer can be as competent as a practitioner with long experience. Some important legal skills, such as the analysis of precedent, the evaluation of evidence and legal drafting, are required in all legal problems. Perhaps the most fundamental legal skill consists of determining what kind of legal problems a situation may involve, a skill that necessarily transcends any particular specialized knowledge. A lawyer can provide adequate representation in a wholly novel field through necessary study. Competent representation can also be provided through the association of a lawyer of established competence in the field in question. [3] In an emergency a lawyer may give advice or assistance in a matter in which the lawyer does not have the skill ordinarily required where referral to or consultation or association with another lawyer would be impractical. Even in an emergency, however, assistance should be limited to that reasonably necessary in the circumstances, for ill-considered action under emergency conditions can jeopardize the client s interest. [4] A lawyer may accept representation where the requisite level of competence can be achieved by reasonable preparation. This applies as well to a lawyer who is appointed as counsel for an unrepresented person. See also Rule 6.2. RULE 1.2 Thoroughness And Preparation [5] Competent handling of a particular matter includes inquiry into and analysis of the factual and legal elements of the problem, and use of methods and procedures meeting the standards of competent practitioners. It also includes adequate preparation. The required attention and preparation are determined in part by what is at stake; major litigation and complex transactions ordinarily require more extensive treatment than matters of lesser complexity and consequence. An agreement between the lawyer and the client regarding the scope of the representation may limit the matters for which the lawyer is responsible. See Rule 1.2(c). Maintaining Competence [6] To maintain the requisite knowledge and skill, a lawyer should keep abreast of changes in the law and its practice, engage in continuing study and education and comply with all continuing legal education requirements to which the lawyer is subject. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.2 Scope of Representation and Allocation of Authority Between Client and Lawyer (a) Subject to paragraphs (c) and (d), a lawyer shall abide by a client s decisions concerning the objectives of representation and, as required by Rule 1.4, shall consult with the client as to the means by which they are to be pursued. A lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation. A lawyer shall abide by a client s decision whether to settle a matter. In a criminal case, the lawyer shall abide by the client s decision, after consultation with 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 scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent. (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 RULE

104 RULE 1.2 determine the validity, scope, meaning or application of the law. (e) 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 informed consent. (Adopted July 1, 2009, effective January 1, 2010.) Comment Allocation Of Authority Between Client And Lawyer [1] Paragraph (a) confers upon the client the ultimate authority to determine the purposes to be served by legal representation, within the limits imposed by law and the lawyer s professional obligations. The decisions specified in paragraph (a), such as whether to settle a civil matter, must also be made by the client. See Rule 1.4(a)(1) for the lawyer s duty to communicate with the client about such decisions. With respect to the means by which the client s objectives are to be pursued, the lawyer shall consult with the client as required by Rule 1.4(a)(2) and may take such action as is impliedly authorized to carry out the representation. [2] On occasion, however, a lawyer and a client may disagree about the means to be used to accomplish the client s objectives. Clients normally defer to the special knowledge and skill of their lawyer with respect to the means to be used to accomplish their objectives, particularly with respect to technical, legal and tactical matters. Conversely, lawyers usually defer to the client regarding such questions as the expense to be incurred and concern for third persons who might be adversely affected. Because of the varied nature of the matters about which a lawyer and client might disagree and because the actions in question may implicate the interests of a tribunal or other persons, this Rule does not prescribe how such disagreements are to be resolved. Other law, however, may be applicable and should be consulted by the lawyer. The lawyer should also consult with the client and seek a mutually acceptable resolution of the disagreement. If such efforts are unavailing and the lawyer has a fundamental disagreement with the client, the lawyer RULE may withdraw from the representation. See Rule 1.16(b)(4). Conversely, the client may resolve the disagreement by discharging the lawyer. See Rule 1.16(a)(3). [3] At the outset of a representation, the client may authorize the lawyer to take specific action on the client s behalf without further consultation. Absent a material change in circumstances and subject to Rule 1.4, a lawyer may rely on such an advance authorization. The client may, however, revoke such authority at any time. [4] In a case in which the client appears to be suffering diminished capacity, the lawyer s duty to abide by the client s decisions is to be guided by reference to Rule Independence From Client s Views Or Activities [5] Legal representation should not be denied to people who are unable to afford legal services, or whose cause is controversial or the subject of popular disapproval. By the same token, representing a client does not constitute approval of the client s views or activities. Agreements Limiting Scope Of Representation [6] The scope of services to be provided by a lawyer may be limited by agreement with the client or by the terms under which the lawyer s services are made available to the client. When a lawyer has been retained by an insurer to represent an insured, for example, the representation may be limited to matters related to the insurance coverage. A limited representation may be appropriate because the client has limited objectives for the representation. In addition, the terms upon which representation is undertaken may exclude specific means that might otherwise be used to accomplish the client s objectives. Such limitations may exclude actions that the client thinks are too costly or that the lawyer regards as repugnant or imprudent. [7] Although this Rule affords the lawyer and client substantial latitude to limit the representation, the limitation must be reasonable under the circumstances. If, for example, a client s objective is limited to securing general information about the law the client needs in order to handle a

105 common and typically uncomplicated legal problem, the lawyer and client may agree that the lawyer s services will be limited to a brief telephone consultation. Such a limitation, however, would not be reasonable if the time allotted was not sufficient to yield advice upon which the client could rely. Although an agreement for a limited representation does not exempt a lawyer from the duty to provide competent representation, the limitation is a factor to be considered when determining the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation. See Rule 1.1. [8] All agreements concerning a lawyer s representation of a client must accord with the Rules of Professional Conduct and other law. See, e.g., Rules 1.1, 1.8 and 5.6, and Supreme Court Rules 13(c)(6) and 137(e). Criminal, Fraudulent And Prohibited Transactions [9] Paragraph (d) prohibits a lawyer from knowingly counseling or assisting a client to commit a crime or fraud. This prohibition, however, does not preclude the lawyer from giving an honest opinion about the actual consequences that appear likely to result from a client s conduct. Nor does the fact that a client uses advice in a course of action that is criminal or fraudulent of itself make a lawyer a party to the course of action. There is a critical distinction between presenting an analysis of legal aspects of questionable conduct and recommending the means by which a crime or fraud might be committed with impunity. [10] When the client s course of action has already begun and is continuing, the lawyer s responsibility is especially delicate. The lawyer is required to avoid assisting the client, for example, by drafting or delivering documents that the lawyer knows are fraudulent or by suggesting how the wrongdoing might be concealed. A lawyer may not continue assisting a client in conduct that the lawyer originally supposed was legally proper but then discovers is criminal or fraudulent. The lawyer must, therefore, withdraw from the representation of the client in the matter. See Rule 1.16(a). In some cases, withdrawal alone might be insufficient. It may be necessary for the RULE 1.2 lawyer to give notice of the fact of withdrawal and to disaffirm any opinion, document, affirmation or the like. See Rule 4.1. In such situations, the lawyer should also consider whether disclosure of information relating to the representation is appropriate. See Rule 1.6(b). [11] Where the client is a fiduciary, the lawyer may be charged with special obligations in dealings with a beneficiary. [12] Paragraph (d) applies whether or not the defrauded party is a party to the transaction. Hence, a lawyer must not participate in a transaction to effectuate criminal or fraudulent avoidance of tax liability. Paragraph (d) does not preclude undertaking a criminal defense incident to a general retainer for legal services to a lawful enterprise. The last clause of paragraph (d) recognizes that determining the validity or interpretation of a statute or regulation may require a course of action involving disobedience of the statute or regulation or of the interpretation placed upon it by governmental authorities. [13] If a lawyer comes to know or reasonably should know that a client expects assistance not permitted by the Rules of Professional Conduct or other law or if the lawyer intends to act contrary to the client s instructions, the lawyer must consult with the client regarding the limitations on the lawyer s conduct. See Rule 1.4(a)(5). [14] The prohibition stated in paragraph (e) has existed in Illinois ethics rules and in the prior Code since It is intended to curtail abuses that occasionally occur when a lawyer attempts to transfer complete or substantial responsibility for a matter to an unaffiliated lawyer without the client s awareness or consent. The Rule is designed to clarify the lawyer s obligation to complete the employment contemplated unless the client gives informed consent to substitution by an unaffiliated lawyer. The Rule is not intended to prohibit lawyers from hiring lawyers outside of their firm to perform certain services on the client s or the law firm s behalf. Nor is it intended to prevent lawyers from engaging lawyers outside of their firm to stand in for discrete events in situations such as personal emergencies, illness or schedule conflicts. RULE

106 RULE 1.3 (Adopted July 1, 2009, effective January 1, 2010; amended June 14, 2013, effective July 1, 2013.) RULE 1.3 Diligence A lawyer shall act with reasonable diligence and promptness in representing a client. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] A lawyer should pursue a matter on behalf of a client despite opposition, obstruction or personal inconvenience to the lawyer, and take whatever lawful and ethical measures are required to vindicate a client s cause or endeavor. A lawyer must also act with commitment and dedication to the interests of the client and with zeal in advocacy upon the client s behalf. A lawyer is not bound, however, to press for every advantage that might be realized for a client. For example, a lawyer may have authority to exercise professional discretion in determining the means by which a matter should be pursued. See Rule 1.2. The lawyer s duty to act with reasonable diligence does not require the use of offensive tactics or preclude the treating of all persons involved in the legal process with courtesy and respect. [2] A lawyer s work load must be controlled so that each matter can be handled competently. [3] Perhaps no professional shortcoming is more widely resented than procrastination. A client s interests often can be adversely affected by the passage of time or the change of conditions; in extreme instances, as when a lawyer overlooks a statute of limitations, the client s legal position may be destroyed. Even when the client s interests are not affected in substance, however, unreasonable delay can cause a client needless anxiety and undermine confidence in the lawyer s trustworthiness. A lawyer s duty to act with reasonable promptness, however, does not preclude the lawyer from agreeing to a reasonable request for a postponement that will not prejudice the lawyer s client. [4] Unless the relationship is terminated as provided in Rule 1.16, a lawyer should carry through to conclusion all matters undertaken for a client. If a lawyer s employment is limited to a specific matter, the relationship terminates when the matter has been resolved. If a lawyer has served a client over a substantial period in a variety of matters, the client sometimes may assume that the lawyer will continue to serve on a continuing basis unless the lawyer gives notice of withdrawal. Doubt about whether a client-lawyer relationship still exists should be clarified by the lawyer, preferably in writing, so that the client will not mistakenly suppose the lawyer is looking after the client s affairs when the lawyer has ceased to do so. For example, if a lawyer has handled a judicial or administrative proceeding that produced a result adverse to the client and the lawyer and the client have not agreed that the lawyer will handle the matter on appeal, the lawyer must consult with the client about the possibility of appeal before relinquishing responsibility for the matter. See Rule 1.4(a)(2). Whether the lawyer is obligated to prosecute the appeal for the client depends on the scope of the representation the lawyer has agreed to provide to the client. See Rule 1.2. [5] To prevent neglect of client matters in the event of a sole practitioner s death or disability, the duty of diligence may require that each sole practitioner prepare a plan, in conformity with applicable rules, that designates another competent lawyer to review client files, notify each client of the lawyer s death or disability, and determine whether there is a need for immediate protective action. See Illinois Supreme Court Rule 776, Appointment of Receiver in Certain Cases. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.4 Communication (a) A lawyer shall: (1) promptly inform the client of any decision or circumstance with respect to which the client s informed consent, as defined in Rule 1.0(e), is required by these Rules; (2) reasonably consult with the client about the means by which the client s objectives are to be accomplished; (3) keep the client reasonably informed about the status of the matter; (4) promptly comply with reasonable requests for information; and RULE

107 (5) consult with the client about any relevant limitation on the lawyer s conduct when the lawyer knows that the client expects assistance not permitted by the Rules of Professional Conduct or other law. (b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Reasonable communication between the lawyer and the client is necessary for the client effectively to participate in the representation. Communicating With Client [2] If these Rules require that a particular decision about the representation be made by the client, paragraph (a)(1) requires that the lawyer promptly consult with and secure the client s consent prior to taking action unless prior discussions with the client have resolved what action the client wants the lawyer to take. For example, a lawyer who receives from opposing counsel an offer of settlement in a civil controversy or a proffered plea bargain in a criminal case must promptly inform the client of its substance unless the client has previously indicated that the proposal will be acceptable or unacceptable or has authorized the lawyer to accept or to reject the offer. See Rule 1.2(a). [3] Paragraph (a)(2) requires the lawyer to reasonably consult with the client about the means to be used to accomplish the client s objectives. In some situations depending on both the importance of the action under consideration and the feasibility of consulting with the client this duty will require consultation prior to taking action. In other circumstances, such as during a trial when an immediate decision must be made, the exigency of the situation may require the lawyer to act without prior consultation. In such cases the lawyer must nonetheless act reasonably to inform the client of actions the lawyer has taken on the client s behalf. Additionally, paragraph (a)(3) requires that the lawyer keep the client reasonably informed about the status of the matter, RULE 1.4 such as significant developments affecting the timing or the substance of the representation. [4] A lawyer s regular communication with clients will minimize the occasions on which a client will need to request information concerning the representation. When a client makes a reasonable request for information, however, paragraph (a)(4) requires prompt compliance with the request, or if a prompt response is not feasible, that the lawyer, or a member of the lawyer s staff, acknowledge receipt of the request and advise the client when a response may be expected. Client telephone calls should be promptly returned or acknowledged. Explaining Matters [5] The client should have sufficient information to participate intelligently in decisions concerning the objectives of the representation and the means by which they are to be pursued, to the extent the client is willing and able to do so. Adequacy of communication depends in part on the kind of advice or assistance that is involved. For example, when there is time to explain a proposal made in a negotiation, the lawyer should review all important provisions with the client before proceeding to an agreement. In litigation a lawyer should explain the general strategy and prospects of success and ordinarily should consult the client on tactics that are likely to result in significant expense or to injure or coerce others. On the other hand, a lawyer ordinarily will not be expected to describe trial or negotiation strategy in detail. The guiding principle is that the lawyer should fulfill reasonable client expectations for information consistent with the duty to act in the client s best interests, and the client s overall requirements as to the character of representation. In certain circumstances, such as when a lawyer asks a client to consent to a representation affected by a conflict of interest, the client must give informed consent, as defined in Rule 1.0(e). [6] Ordinarily, the information to be provided is that appropriate for a client who is a comprehending and responsible adult. However, fully informing the client according to this standard may be impracticable, for example, where the client is a child or suffers from diminished capacity. See Rule When the client is an organization RULE

108 RULE 1.5 or group, it is often impossible or inappropriate to inform every one of its members about its legal affairs; ordinarily, the lawyer should address communications to the appropriate officials of the organization. See Rule Where many routine matters are involved, a system of limited or occasional reporting may be arranged with the client. Withholding Information [7] In some circumstances, a lawyer may be justified in delaying transmission of information when the client would be likely to react imprudently to an immediate communication. Thus, a lawyer might withhold a psychiatric diagnosis of a client when the examining psychiatrist indicates that disclosure would harm the client. A lawyer may not withhold information to serve the lawyer s own interest or convenience or the interests or convenience of another person. Rules or court orders governing litigation may provide that information supplied to a lawyer may not be disclosed to the client. Rule 3.4(c) directs compliance with such rules or orders. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.5 Fees (a) A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an unreasonable amount for expenses. 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) The scope of the representation and the basis or rate of the fee and expenses for which the client will be responsible shall be communicated to the client, preferably in writing, before or within a reasonable time after commencing the representation, except when the lawyer will charge a regularly represented client on the same basis or rate. Any changes in the basis or rate of the fee or expenses shall also be communicated to the client. (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 a writing signed by the client 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. The agreement must clearly notify the client of any expenses for which the client will be liable whether or not the client is the prevailing party. 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 divorce or upon the amount of alimony or support, or property settlement in lieu thereof; or (2) a contingent fee for representing a defendant in a criminal case. (e) A division of a fee between lawyers who are not in the same firm may be made only if: (1) the division is in proportion to the services performed by each lawyer, or if the RULE

109 primary service performed by one lawyer is the referral of the client to another lawyer and each lawyer assumes joint financial responsibility for the representation; (2) the client agrees to the arrangement, including the share each lawyer will receive, and the agreement is confirmed in writing; and (3) the total fee is reasonable. (Adopted July 1, 2009, effective January 1, 2010.) Comment Reasonableness Of Fee And Expenses [1] Paragraph (a) requires that lawyers charge fees that are reasonable under the circumstances. The factors specified in (1) through (8) are not exclusive. Nor will each factor be relevant in each instance. Paragraph (a) also requires that expenses for which the client will be charged must be reasonable. A lawyer may seek reimbursement for the cost of services performed inhouse, such as copying, or for other expenses incurred in-house, such as telephone charges, either by charging a reasonable amount to which the client has agreed in advance or by charging an amount that reasonably reflects the cost incurred by the lawyer. RULE 1.5 Basis Or Rate Of Fee [2] When the lawyer has regularly represented a client, they ordinarily will have evolved an understanding concerning the basis or rate of the fee and the expenses for which the client will be responsible. In a new client-lawyer relationship, however, an understanding as to fees and expenses must be promptly established. Generally, it is desirable to furnish the client with at least a simple memorandum or copy of the lawyer s customary fee arrangements that states the general nature of the legal services to be provided, the basis, rate or total amount of the fee and whether and to what extent the client will be responsible for any costs, expenses or disbursements in the course of the representation. A written statement concerning the terms of the engagement reduces the possibility of misunderstanding. [3] Contingent fees, like any other fees, are subject to the reasonableness standard of paragraph (a) of this Rule. In determining whether a particular contingent fee is reasonable, or whether it is reasonable to charge any form of contingent fee, a lawyer must consider the factors that are relevant under the circumstances. Applicable law may impose limitations on contingent fees, such as a ceiling on the percentage allowable, or may require a lawyer to offer clients an alternative basis for the fee. Applicable law also may apply to situations other than a contingent fee, for example, government regulations regarding fees in certain tax matters. Terms Of Payment [4] A lawyer may require advance payment of a fee, but is obliged to return any unearned portion. See Comments [3B] through [3D] to Rule 1.15 and Rule 1.16(d). A lawyer may accept property in payment for services, such as an ownership interest in an enterprise, providing this does not involve acquisition of a proprietary interest in the cause of action or subject matter of the litigation contrary to Rule 1.8(i). However, a fee paid in property instead of money may be subject to the requirements of Rule 1.8(a) because such fees often have the essential qualities of a business transaction with the client. [5] An agreement may not be made whose terms might induce the lawyer improperly to curtail services for the client or perform them in a way contrary to the client s interest. For example, a lawyer should not enter into an agreement whereby services are to be provided only up to a stated amount when it is foreseeable that more extensive services probably will be required, unless the situation is adequately explained to the client. Otherwise, the client might have to bargain for further assistance in the midst of a proceeding or transaction. However, it is proper to define the extent of services in light of the client s ability to pay. A lawyer should not exploit a fee arrangement based primarily on hourly charges by using wasteful procedures. Prohibited Contingent Fees [6] Paragraph (d) prohibits a lawyer from charging a contingent fee in a domestic relations matter when payment is contingent upon the securing of a divorce or upon the amount of RULE

110 RULE 1.6 alimony or support or property settlement to be obtained. This provision does not preclude a contract for a contingent fee for legal representation in connection with the recovery of postjudgment balances due under support, alimony or other financial orders because such contracts do not implicate the same policy concerns. Division Of Fee [7] A division of fee is a single billing to a client covering the fee of two or more lawyers who are not in the same firm. A division of fee facilitates association of more than one lawyer in a matter in which neither alone could serve the client as well, or referral of a matter where appropriate, and often is used when the fee is contingent and the division is between a referring lawyer and a trial specialist. Paragraph (e) permits the lawyers to divide a fee either on the basis of the proportion of services they render or, where the primary service performed by one lawyer is the referral of the client to another lawyer, if each lawyer assumes financial responsibility for the representation as a whole. In addition, the client must agree to the arrangement, including the share that each lawyer is to receive, and the agreement must be confirmed in writing. Contingent fee agreements must be in a writing signed by the client and must otherwise comply with paragraph (c) of this Rule. Joint financial responsibility for the representation entails financial responsibility for the representation as if the lawyers were associated in a general partnership. See In re Storment, 203 Ill. 2d 378 (2002). A lawyer should only refer a matter to a lawyer whom the referring lawyer reasonably believes is competent to handle the matter. See Rule 1.1. [8] Paragraph (e) does not prohibit or regulate division of fees to be received in the future for work done when lawyers were previously associated in a law firm, or payments made pursuant to a separation or retirement agreement. Disputes Over Fees [9] If a procedure has been established for resolution of fee disputes, such as an arbitration or mediation procedure established by law or rule, the lawyer must comply with the procedure when it is mandatory, and, even when it is voluntary, the lawyer should conscientiously consider submitting to it. Law may prescribe a procedure for determining a lawyer s fee, for example, in representation of an executor or administrator, a class or a person entitled to a reasonable fee as part of the measure of damages. The lawyer entitled to such a fee and a lawyer representing another party concerned with the fee should comply with the prescribed procedure. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.6 Confidentiality of Information (a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation, or the disclosure is permitted by paragraph (b) or required by paragraph (c). (b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary: (1) to prevent the client from committing a crime in circumstances other than those specified in paragraph (c); (2) to prevent the client from committing fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the lawyer s services; (3) to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client s commission of a crime or fraud in furtherance of which the client has used the lawyer s services; (4) to secure legal advice about the lawyer s compliance with these Rules; (5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer s representation of the client; or RULE

111 (6) to comply with other law or a court order. (c) A lawyer shall reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary to prevent reasonably certain death or substantial bodily harm. (d) Information received by a lawyer participating in a meeting or proceeding with a trained intervener or panel of trained interveners of an approved lawyers assistance program, or in an intermediary program approved by a circuit court in which nondisciplinary complaints against judges or lawyers can be referred, shall be considered information relating to the representation of a client for purposes of these Rules. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] This Rule governs the disclosure by a lawyer of information relating to the representation of a client during the lawyer s representation of the client. See Rule 1.18 for the lawyer s duties with respect to information provided to the lawyer by a prospective client, Rule 1.9(c)(2) for the lawyer s duty not to reveal information relating to the lawyer s prior representation of a former client and Rules 1.8(b) and 1.9(c)(1) for the lawyer s duties with respect to the use of such information to the disadvantage of clients and former clients. [2] A fundamental principle in the clientlawyer relationship is that, in the absence of the client s informed consent, the lawyer must not reveal information relating to the representation. See Rule 1.0(e) for the definition of informed consent. This contributes to the trust that is the hallmark of the client-lawyer relationship. The client is thereby encouraged to seek legal assistance and to communicate fully and frankly with the lawyer even as to embarrassing or legally damaging subject matter. The lawyer needs this information to represent the client effectively and, if necessary, to advise the client to refrain from wrongful conduct. Almost without exception, clients come to lawyers in order to determine their rights and what is, in the complex of laws and regulations, deemed to be legal and correct. Based upon experience, lawyers know that almost RULE 1.6 all clients follow the advice given, and the law is upheld. [3] The principle of client-lawyer confidentiality is given effect by related bodies of law: the attorney-client privilege, the work product doctrine and the rule of confidentiality established in professional ethics. The attorney-client privilege and work product doctrine apply in judicial and other proceedings in which a lawyer may be called as a witness or otherwise required to produce evidence concerning a client. The rule of client-lawyer confidentiality applies in situations other than those where evidence is sought from the lawyer through compulsion of law. The confidentiality rule, for example, applies not only to matters communicated in confidence by the client but also to all information relating to the representation, whatever its source. A lawyer may not disclose such information except as authorized or required by the Rules of Professional Conduct or other law. See also Scope. [4] Paragraph (a) prohibits a lawyer from revealing information relating to the representation of a client. This prohibition also applies to disclosures by a lawyer that do not in themselves reveal protected information but could reasonably lead to the discovery of such information by a third person. A lawyer s use of a hypothetical to discuss issues relating to the representation is permissible so long as there is no reasonable likelihood that the listener will be able to ascertain the identity of the client or the situation involved. Authorized Disclosure [5] Except to the extent that the client s instructions or special circumstances limit that authority, a lawyer is impliedly authorized to make disclosures about a client when appropriate in carrying out the representation. In some situations, for example, a lawyer may be impliedly authorized to admit a fact that cannot properly be disputed or to make a disclosure that facilitates a satisfactory conclusion to a matter. Lawyers in a firm may, in the course of the firm s practice, disclose to each other information relating to a client of the firm, unless the client has instructed that particular information be confined to specified lawyers. RULE

112 RULE 1.6 Disclosure Adverse To Client [6] Although the public interest is usually best served by a strict rule requiring lawyers to preserve the confidentiality of information relating to the representation of their clients, the confidentiality rule is subject to limited exceptions. Paragraph (c) recognizes the overriding value of life and physical integrity and requires disclosure reasonably necessary to prevent reasonably certain death or substantial bodily harm. Such harm is reasonably certain to occur if it will be suffered imminently or if there is a present and substantial threat that a person will suffer such harm at a later date if the lawyer fails to take action necessary to eliminate the threat. Thus, a lawyer who knows from information relating to a representation that a client or other person has accidentally discharged toxic waste into a town s water must reveal this information to the authorities if there is a present and substantial risk that a person who drinks the water will contract a life-threatening or debilitating disease and the lawyer s disclosure is necessary to eliminate the threat or reduce the number of victims. [6A] Paragraph (b)(1) preserves the policy of the 1980 Illinois Code of Professional Responsibility and the 1990 Illinois Rules of Professional Conduct that permitted a lawyer to reveal the intention of a client to commit a crime. This general provision would permit disclosure where the client s intended conduct is a crime, including a financial crime, and the situation is not covered by paragraph (c). [7] Paragraph (b)(2) is a limited exception to the rule of confidentiality that permits the lawyer to reveal information to the extent necessary to enable affected persons or appropriate authorities to prevent the client from committing fraud, as defined in Rule 1.0(d), that is reasonably certain to result in substantial injury to the financial or property interests of another and in furtherance of which the client has used or is using the lawyer s services. Such a serious abuse of the clientlawyer relationship by the client forfeits the protection of this Rule. The client can, of course, prevent such disclosure by refraining from the wrongful conduct. Like paragraph (b)(1), paragraph (b)(2) does not require the lawyer to reveal the client s misconduct, but the lawyer may not counsel or assist the client in conduct the lawyer knows is criminal or fraudulent. See Rule 1.2(d). See also Rule 1.16 with respect to the lawyer s obligation or right to withdraw from the representation of the client in such circumstances, and Rule 1.13(c), which permits the lawyer, where the client is an organization, to reveal information relating to the representation in limited circumstances. [8] Paragraph (b)(3) addresses the situation in which the lawyer does not learn of the client s crime or fraud until after it has been consummated. Although the client no longer has the option of preventing disclosure by refraining from the wrongful conduct, there will be situations in which the loss suffered by the affected person can be prevented, rectified or mitigated. In such situations, the lawyer may disclose information relating to the representation to the extent necessary to enable the affected persons to prevent or mitigate reasonably certain losses or to attempt to recoup their losses. Paragraph (b)(3) does not apply when a person who has committed a crime or fraud thereafter employs a lawyer for representation concerning that offense. [9] A lawyer s confidentiality obligations do not preclude a lawyer from securing confidential legal advice about the lawyer s personal responsibility to comply with these Rules. In most situations, disclosing information to secure such advice will be impliedly authorized for the lawyer to carry out the representation. Even when the disclosure is not impliedly authorized, paragraph (b)(4) permits such disclosure because of the importance of a lawyer s compliance with the Rules of Professional Conduct. [10] Where a legal claim or disciplinary charge alleges complicity of the lawyer in a client s conduct or other misconduct of the lawyer involving representation of the client, the lawyer may respond to the extent the lawyer reasonably believes necessary to establish a defense. The same is true with respect to a claim involving the conduct or representation of a former client. Such a charge can arise in a civil, criminal, disciplinary or other proceeding and can be based on a wrong allegedly committed by the lawyer against RULE

113 RULE 1.6 the client or on a wrong alleged by a third person, for example, a person claiming to have been defrauded by the lawyer and client acting together. The lawyer s right to respond arises when an assertion of such complicity has been made. Paragraph (b)(5) does not require the lawyer to await the commencement of an action or proceeding that charges such complicity, so that the defense may be established by responding directly to a third party who has made such an assertion. The right to defend also applies, of course, where a proceeding has been commenced. [11] A lawyer entitled to a fee is permitted by paragraph (b)(5) to prove the services rendered in an action to collect it. This aspect of the Rule expresses the principle that the beneficiary of a fiduciary relationship may not exploit it to the detriment of the fiduciary. [12] Other law may require that a lawyer disclose information about a client. Whether such a law supersedes Rule 1.6 is a question of law beyond the scope of these Rules. When disclosure of information relating to the representation appears to be required by other law, the lawyer must discuss the matter with the client to the extent required by Rule 1.4. If, however, the other law supersedes this Rule and requires disclosure, paragraph (b)(6) permits the lawyer to make such disclosures as are necessary to comply with the law. [13] A lawyer may be ordered to reveal information relating to the representation of a client by a court or by another tribunal or governmental entity claiming authority pursuant to other law to compel the disclosure. Absent informed consent of the client to do otherwise, the lawyer should assert on behalf of the client all nonfrivolous claims that the order is not authorized by other law or that the information sought is protected against disclosure by the attorney-client privilege or other applicable law. In the event of an adverse ruling, the lawyer must consult with the client about the possibility of appeal to the extent required by Rule 1.4. Unless review is sought, however, paragraph (b)(6) permits the lawyer to comply with the court s order. [14] Paragraph (b) permits disclosure only to the extent the lawyer reasonably believes the disclosure is necessary to accomplish one of the purposes specified. Where practicable, the lawyer should first seek to persuade the client to take suitable action to obviate the need for disclosure. In any case, a disclosure adverse to the client s interest should be no greater than the lawyer reasonably believes necessary to accomplish the purpose. If the disclosure will be made in connection with a judicial proceeding, the disclosure should be made in a manner that limits access to the information to the tribunal or other persons having a need to know it and appropriate protective orders or other arrangements should be sought by the lawyer to the fullest extent practicable. [15] Paragraph (b) permits but does not require the disclosure of information relating to a client s representation to accomplish the purposes specified in paragraphs (b)(1) through (b)(6). In exercising the discretion conferred by this Rule, the lawyer may consider such factors as the nature of the lawyer s relationship with the client and with those who might be injured by the client, the lawyer s own involvement in the transaction and factors that may extenuate the conduct in question. A lawyer s decision not to disclose as permitted by paragraph (b) does not violate this Rule. Disclosure may be required, however, by other Rules. Some Rules require disclosure only if such disclosure would be permitted by paragraph (b). See Rules 1.2(d), 4.1(b), and 8.1. Rules 3.3 and 8.3, on the other hand, require disclosure in some circumstances regardless of whether such disclosure is permitted by this Rule. Withdrawal [15A] If the lawyer s services will be used by a client in materially furthering a course of criminal or fraudulent conduct, the lawyer must withdraw, as stated in Rule 1.16(a)(1). The lawyer may give notice of the fact of withdrawal regardless of whether the lawyer decides to disclose information relating to a client s representation as permitted by paragraph (b). The lawyer may also withdraw or disaffirm any opinion or other document that had been prepared for the client or others. Where the client is an organ- RULE

114 RULE 1.7 ization, the lawyer must also consider the provisions of Rule Acting Competently To Preserve Confidentiality [16] A lawyer must act competently to safeguard information relating to the representation of a client against inadvertent or unauthorized disclosure by the lawyer or other persons who are participating in the representation of the client or who are subject to the lawyer s supervision. See Rules 1.1, 5.1 and 5.3. [17] When transmitting a communication that includes information relating to the representation of a client, the lawyer must take reasonable precautions to prevent the information from coming into the hands of unintended recipients. This duty, however, does not require that the lawyer use special security measures if the method of communication affords a reasonable expectation of privacy. Special circumstances, however, may warrant special precautions. Factors to be considered in determining the reasonableness of the lawyer s expectation of confidentiality include the sensitivity of the information and the extent to which the privacy of the communication is protected by law or by a confidentiality agreement. A client may require the lawyer to implement special security measures not required by this Rule or may give informed consent to the use of a means of communication that would otherwise be prohibited by this Rule. Former Client [18] The duty of confidentiality continues after the client-lawyer relationship has terminated. See Rule 1.9(c)(2). See Rule 1.9(c)(1) for the prohibition against using such information to the disadvantage of the former client. Lawyers Assistance And Court Intermediary Programs [19] Information about the fitness or conduct of a law student, lawyer or judge may be received by a lawyer while participating in an approved lawyers assistance program. Protecting the confidentiality of such information encourages law students, lawyers and judges to seek assistance through such programs. Without such protection, law students, lawyers and judges may hesitate to RULE seek assistance, to the detriment of clients and the public. Similarly, lawyers participating in an approved intermediary program established by a circuit court to resolve nondisciplinary issues among lawyers and judges may receive information about the fitness or conduct of a lawyer or judge. Paragraph (d) therefore provides that any information received by a lawyer participating in an approved lawyers assistance program or an approved circuit court intermediary program will be protected as confidential client information for purposes of the Rules. See also Comment [5] to Rule 8.3. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.7 Conflict of Interest: Current Clients (a) Except as provided in paragraph (b), a lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest exists if: (1) the representation of one client will be directly adverse to another client; or (2) there is a significant risk that the representation of one or more clients will be materially limited by the lawyer s responsibilities to another client, a former client or a third person or by a personal interest of the lawyer. (b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a), a lawyer may represent a client if: (1) the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client; (2) the representation is not prohibited by law; (3) the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and (4) each affected client gives informed consent. (Adopted July 1, 2009, effective January 1, 2010.)

115 Comment General Principles [1] Loyalty and independent judgment are essential elements in the lawyer s relationship to a client. Concurrent conflicts of interest can arise from the lawyer s responsibilities to another client, a former client or a third person or from the lawyer s own interests. For specific Rules regarding certain concurrent conflicts of interest, see Rule 1.8. For former client conflicts of interest, see Rule 1.9. For conflicts of interest involving prospective clients, see Rule For a definition of informed consent see Rule 1.0(e). [2] Resolution of a conflict of interest problem under this Rule requires the lawyer to: (1) clearly identify the client or clients; (2) determine whether a conflict of interest exists; (3) decide whether the representation may be undertaken despite the existence of a conflict, i.e., whether the conflict is consentable; and (4) if so, consult with the clients affected under paragraph (a) and obtain their informed consent. The clients affected under paragraph (a) include both of the clients referred to in paragraph (a)(1) and the one or more clients whose representation might be materially limited under paragraph (a)(2). [3] A conflict of interest may exist before representation is undertaken, in which event the representation must be declined, unless the lawyer obtains the informed consent of each client under the conditions of paragraph (b). To determine whether a conflict of interest exists, a lawyer should adopt reasonable procedures, appropriate for the size and type of firm and practice, to determine in both litigation and nonlitigation matters the persons and issues involved. See also Comment to Rule 5.1. Ignorance caused by a failure to institute such procedures will not excuse a lawyer s violation of this Rule. As to whether a client-lawyer relationship exists or, having once been established, is continuing, see Comment to Rule 1.3 and Scope. [4] If a conflict arises after representation has been undertaken, the lawyer ordinarily must withdraw from the representation, unless the lawyer has obtained the informed consent of the client under the conditions of paragraph (b). See RULE 1.7 Rule Where more than one client is involved, whether the lawyer may continue to reprepresent any of the clients is determined both by the lawyer s ability to comply with duties owed to the former client and by the lawyer s ability to represent adequately the remaining client or clients, given the lawyer s duties to the former client. See Rule 1.9. See also Comments [5] and [29]. [5] Unforeseeable developments, such as changes in corporate and other organizational affiliations or the addition or realignment of parties in litigation, might create conflicts in the midst of a representation, as when a company sued by the lawyer on behalf of one client is bought by another client represented by the lawyer in an unrelated matter. Depending on the circumstances, the lawyer may have the option to withdraw from one of the representations in order to avoid the conflict. The lawyer must seek court approval where necessary and take steps to minimize harm to the clients. See Rule The lawyer must continue to protect the confidences of the client from whose representation the lawyer has withdrawn. See Rule 1.9(c). Identifying Conflicts Of Interest: Directly Adverse [6] Loyalty to a current client prohibits undertaking representation directly adverse to that client without that client s informed consent. Thus, absent consent, a lawyer may not act as an advocate in one matter against a person the lawyer represents in some other matter, even when the matters are wholly unrelated. The client as to whom the representation is directly adverse is likely to feel betrayed, and the resulting damage to the client-lawyer relationship is likely to impair the lawyer s ability to represent the client effectively. In addition, the client on whose behalf the adverse representation is undertaken reasonably may fear that the lawyer will pursue that client s case less effectively out of deference to the other client, i.e., that the representation may be materially limited by the lawyer s interest in retaining the current client. Similarly, a directly adverse conflict may arise when a lawyer is required to cross-examine a client who appears as a witness in a lawsuit involving another client, as when the RULE

116 RULE 1.7 testimony will be damaging to the client who is represented in the lawsuit. On the other hand, simultaneous representation in unrelated matters of clients whose interests are only economically adverse, such as representation of competing economic enterprises in unrelated litigation, does not ordinarily constitute a conflict of interest and thus may not require consent of the respective clients. [7] Directly adverse conflicts can also arise in transactional matters. For example, if a lawyer is asked to represent the seller of a business in negotiations with a buyer represented by the lawyer, not in the same transaction but in another, unrelated matter, the lawyer could not undertake the representation without the informed consent of each client. Identifying Conflicts Of Interest: Material Limitation [8] Even where there is no direct adverseness, a conflict of interest exists if there is a significant risk that a lawyer s ability to consider, recommend or carry out an appropriate course of action for the client will be materially limited as a result of the lawyer s other responsibilities or interests. For example, a lawyer asked to represent several individuals seeking to form a joint venture is likely to be materially limited in the lawyer s ability to recommend or advocate all possible positions that each might take because of the lawyer s duty of loyalty to the others. The conflict in effect forecloses alternatives that would otherwise be available to the client. The mere possibility of subsequent harm does not itself require disclosure and consent. The critical questions are the likelihood that a difference in interests will eventuate and, if it does, whether it will materially interfere with the lawyer s independent professional judgment in considering alternatives or foreclose courses of action that reasonably should be pursued on behalf of the client. Lawyer s Responsibilities To Former Clients And Other Third Persons [9] In addition to conflicts with other current clients, a lawyer s duties of loyalty and independence may be materially limited by responsibilities to former clients under Rule 1.9 or by the lawyer s responsibilities to other persons, such as fiduciary duties arising from a lawyer s service as a trustee, executor or corporate director. Personal Interest Conflicts [10] The lawyer s own interests should not be permitted to have an adverse effect on representation of a client. For example, if the probity of a lawyer s own conduct in a transaction is in serious question, it may be difficult or impossible for the lawyer to give a client detached advice. Similarly, when a lawyer has discussions concerning possible employment with an opponent of the lawyer s client, or with a law firm representing the opponent, such discussions could materially limit the lawyer s representation of the client. In addition, a lawyer may not allow related business interests to affect representation, for example, by referring clients to an enterprise in which the lawyer has an undisclosed financial interest. See Rule 1.8 for specific Rules pertaining to a number of personal interest conflicts, including business transactions with clients. See also Rule 1.10 (personal interest conflicts under Rule 1.7 ordinarily are not imputed to other lawyers in a law firm). [11] When lawyers representing different clients in the same matter or in substantially related matters are closely related by blood or marriage, there may be a significant risk that client confidences will be revealed and that the lawyer s family relationship will interfere with both loyalty and independent professional judgment. As a result, each client is entitled to know of the existence and implications of the relationship between the lawyers before the lawyer agrees to undertake the representation. Thus, a lawyer related to another lawyer, e.g., as parent, child, sibling or spouse, ordinarily may not represent a client in a matter where that lawyer is representing another party, unless each client gives informed consent. The disqualification arising from a close family relationship is personal and ordinarily is not imputed to members of firms with whom the lawyers are associated. See Rule [12] A lawyer is prohibited from engaging in sexual relationships with a client unless the sexual relationship predates the formation of the client-lawyer relationship. See Rule 1.8(j). RULE

117 Interest Of Person Paying For A Lawyer s Service [13] A lawyer may be paid from a source other than the client, including a co-client, if the client is informed of that fact and consents and the arrangement does not compromise the lawyer s duty of loyalty or independent judgment to the client. See Rule 1.8(f). If acceptance of the payment from any other source presents a significant risk that the lawyer s representation of the client will be materially limited by the lawyer s own interest in accommodating the person paying the lawyer s fee or by the lawyer s responsibilities to a payer who is also a co-client, then the lawyer must comply with the requirements of paragraph (b) before accepting the representation, including determining whether the conflict is consentable and, if so, that the client has adequate information about the material risks of the representation. Prohibited Representations [14] Ordinarily, clients may consent to representation notwithstanding a conflict. However, as indicated in paragraph (b), some conflicts are nonconsentable, meaning that the lawyer involved cannot properly ask for such agreement or provide representation on the basis of the client s consent. When the lawyer is representing more than one client, the question of consentability must be resolved as to each client. [15] Consentability is typically determined by considering whether the interests of the clients will be adequately protected if the clients are permitted to give their informed consent to representation burdened by a conflict of interest. Thus, under paragraph (b)(1), representation is prohibited if in the circumstances the lawyer cannot reasonably conclude that the lawyer will be able to provide competent and diligent representation. See Rule 1.1 (competence) and Rule 1.3 (diligence). [16] Paragraph (b)(2) describes conflicts that are nonconsentable because the representation is prohibited by applicable law. For example, in some states substantive law provides that the same lawyer may not represent more than one defendant in a capital case, even with the consent of the clients, and under federal criminal statutes RULE 1.7 certain representations by a former government lawyer are prohibited, despite the informed consent of the former client. In addition, decisional law in some states limits the ability of a governmental client, such as a municipality, to consent to a conflict of interest. [17] Paragraph (b)(3) describes conflicts that are nonconsentable because of the institutional interest in vigorous development of each client s position when the clients are aligned directly against each other in the same litigation or other proceeding before a tribunal. Whether clients are aligned directly against each other within the meaning of this paragraph requires examination of the context of the proceeding. Although this paragraph does not preclude a lawyer s multiple representation of adverse parties to a mediation (because mediation is not a proceeding before a tribunal under Rule 1.0(m)), such representation may be precluded by paragraph (b)(1). Informed Consent [18] Informed consent requires that each affected client be aware of the relevant circumstances and of the material and reasonably foreseeable ways that the conflict could have adverse effects on the interests of that client. See Rule 1.0(e) (informed consent). The information required depends on the nature of the conflict and the nature of the risks involved. When representation of multiple clients in a single matter is undertaken, the information must include the implications of the common representation, including possible effects on loyalty, confidentiality and the attorney-client privilege and the advantages and risks involved. See Comments [30] and [31] (effect of common representation on confidentiality). [19] Under some circumstances it may be impossible to make the disclosure necessary to obtain consent. For example, when the lawyer represents different clients in related matters and one of the clients refuses to consent to the disclosure necessary to permit the other client to make an informed decision, the lawyer cannot properly ask the latter to consent. In some cases the alternative to common representation can be that each party may have to obtain separate representation with the possibility of incurring additional costs. RULE

118 RULE 1.7 These costs, along with the benefits of securing separate representation, are factors that may be considered by the affected client in determining whether common representation is in the client s interests. [20] Reserved. Revoking Consent [21] A client who has given consent to a conflict may revoke the consent and, like any other client, may terminate the lawyer s representation at any time. Whether revoking consent to the client s own representation precludes the lawyer from continuing to represent other clients depends on the circumstances, including the nature of the conflict, whether the client revoked consent because of a material change in circumstances, the reasonable expectations of the other clients and whether material detriment to the other clients or the lawyer would result. RULE Consent To Future Conflict [22] Whether a lawyer may properly request a client to waive conflicts that might arise in the future is subject to the test of paragraph (b). The effectiveness of such waivers is generally determined by the extent to which the client reasonably understands the material risks that the waiver entails. The more comprehensive the explanation of the types of future representations that might arise and the actual and reasonably foreseeable adverse consequences of those representations, the greater the likelihood that the client will have the requisite understanding. Thus, if the client agrees to consent to a particular type of conflict with which the client is already familiar, then the consent ordinarily will be effective with regard to that type of conflict. If the consent is general and open-ended, then the consent ordinarily will be ineffective, because it is not reasonably likely that the client will have understood the material risks involved. On the other hand, if the client is an experienced user of the legal services involved and is reasonably informed regarding the risk that a conflict may arise, such consent is more likely to be effective, particularly if, e.g., the client is independently represented by other counsel in giving consent and the consent is limited to future conflicts unrelated to the subject of the representation. In any case, advance consent cannot be effective if the circumstances that materialize in the future are such as would make the conflict nonconsentable under paragraph (b). Conflicts In Litigation [23] Paragraph (b)(3) prohibits representation of opposing parties in the same litigation, regardless of the clients consent. On the other hand, simultaneous representation of parties whose interests in litigation may conflict, such as coplaintiffs or codefendants, is governed by paragraph (a)(2). A conflict may exist by reason of substantial discrepancy in the parties testimony, incompatibility in positions in relation to an opposing party or the fact that there are substantially different possibilities of settlement of the claims or liabilities in question. Such conflicts can arise in criminal cases as well as civil. The potential for conflict of interest in representing multiple defendants in a criminal case is so grave that ordinarily a lawyer should decline to represent more than one codefendant. On the other hand, common representation of persons having similar interests in civil litigation is proper if the requirements of paragraph (b) are met. [24] Ordinarily a lawyer may take inconsistent legal positions in different tribunals at different times on behalf of different clients. The mere fact that advocating a legal position on behalf of one client might create precedent adverse to the interests of a client represented by the lawyer in an unrelated matter does not create a conflict of interest. A conflict of interest exists, however, if there is a significant risk that a lawyer s action on behalf of one client will materially limit the lawyer s effectiveness in representing another client in a different case; for example, when a decision favoring one client will create a precedent likely to seriously weaken the position taken on behalf of the other client. Factors relevant in determining whether the clients need to be advised of the risk include: where the cases are pending, whether the issue is substantive or procedural, the temporal relationship between the matters, the significance of the issue to the immediate and long-term interests of the clients involved and the clients reasonable expectations

119 in retaining the lawyer. If there is significant risk of material limitation, then absent informed consent of the affected clients, the lawyer must refuse one of the representations or withdraw from one or both matters. [25] When a lawyer represents or seeks to represent a class of plaintiffs or defendants in a class-action lawsuit, unnamed members of the class are ordinarily not considered to be clients of the lawyer for purposes of applying paragraph (a)(1) of this Rule. Thus, the lawyer does not typically need to get the consent of such a person before representing a client suing the person in an unrelated matter. Similarly, a lawyer seeking to represent an opponent in a class action does not typically need the consent of an unnamed member of the class whom the lawyer represents in an unrelated matter. Nonlitigation Conflicts [26] Conflicts of interest under paragraphs (a)(1) and (a)(2) arise in contexts other than litigation. For a discussion of directly adverse conflicts in transactional matters, see Comment [7]. Relevant factors in determining whether there is significant potential for material limitation include the duration and intimacy of the lawyer s relationship with the client or clients involved, the functions being performed by the lawyer, the likelihood that disagreements will arise and the likely prejudice to the client from the conflict. The question is often one of proximity and degree. See Comment [8]. [27] For example, conflict questions may arise in estate planning and estate administration. A lawyer may be called upon to prepare wills for several family members, such as husband and wife, and, depending upon the circumstances, a conflict of interest may be present. In estate administration the identity of the client may be unclear under the law of a particular jurisdiction. Under one view, the client is the fiduciary; under another view the client is the estate or trust, including its beneficiaries. In order to comply with conflict of interest rules, the lawyer should make clear the lawyer s relationship to the parties involved. [28] Whether a conflict is consentable depends on the circumstances. For example, a RULE 1.7 lawyer may not represent multiple parties to a negotiation whose interests are fundamentally antagonistic to each other, but common representation is permissible where the clients are generally aligned in interest even though there is some difference in interest among them. Thus, a lawyer may seek to establish or adjust a relationship between clients on an amicable and mutually advantageous basis; for example, in helping to organize a business in which two or more clients are entrepreneurs, working out the financial reorganization of an enterprise in which two or more clients have an interest or arranging a property distribution in settlement of an estate. The lawyer seeks to resolve potentially adverse interests by developing the parties mutual interests. Otherwise, each party might have to obtain separate representation, with the possibility of incurring additional cost, complication or even litigation. Given these and other relevant factors, the clients may prefer that the lawyer act for all of them. Special Considerations In Common Representation [29] In considering whether to represent multiple clients in the same matter, a lawyer should be mindful that if the common representation fails because the potentially adverse interests cannot be reconciled, the result can be additional cost, embarrassment and recrimination. Ordinarily, the lawyer will be forced to withdraw from representing all of the clients if the common representation fails. In some situations, the risk of failure is so great that multiple representation is plainly impossible. For example, a lawyer cannot undertake common representation of clients where contentious litigation or negotiations between them are imminent or contemplated. Moreover, because the lawyer is required to be impartial between commonly represented clients, representation of multiple clients is improper when it is unlikely that impartiality can be maintained. Generally, if the relationship between the parties has already assumed antagonism, the possibility that the clients interests can be adequately served by common representation is not very good. Other relevant factors are whether the lawyer subsequently will represent both parties on a continuing basis and whether the situation in- RULE

120 RULE 1.7 volves creating or terminating a relationship between the parties. [30] A particularly important factor in determining the appropriateness of common representation is the effect on client-lawyer confidentiality and the attorney-client privilege. With regard to the attorney-client privilege, the prevailing rule is that, as between commonly represented clients, the privilege generally does not attach. Hence, it should generally be assumed that if litigation eventuates between the clients, the privilege will not protect any such communications, and the clients should be so advised. [31] As to the duty of confidentiality, continued common representation will almost certainly be inadequate if one client asks the lawyer not to disclose to the other client information relevant to the common representation. This is so because the lawyer has an equal duty of loyalty to each client, and each client has the right to be informed of anything bearing on the representation that might affect that client s interests and the right to expect that the lawyer will use that information to that client s benefit. See Rule 1.4. The lawyer should, at the outset of the common representation and as part of the process of obtaining each client s informed consent, advise each client that information will be shared and that the lawyer will have to withdraw if one client decides that some matter material to the representation should be kept from the other. In limited circumstances, it may be appropriate for the lawyer to proceed with the representation when the clients have agreed, after being properly informed, that the lawyer will keep certain information confidential. For example, the lawyer may reasonably conclude that failure to disclose one client s trade secrets to another client will not adversely affect representation involving a joint venture between the clients and agree to keep that information confidential with the informed consent of both clients. [32] When seeking to establish or adjust a relationship between clients, the lawyer should make clear that the lawyer s role is not that of partisanship normally expected in other circumstances and, thus, that the clients may be required to assume greater responsibility for decisions than RULE when each client is separately represented. Any limitations on the scope of the representation made necessary as a result of the common representation should be fully explained to the clients at the outset of the representation. See Rule 1.2(c). [33] Subject to the above limitations, each client in the common representation has the right to loyal and diligent representation and the protection of Rule 1.9 concerning the obligations to a former client. The client also has the right to discharge the lawyer as stated in Rule Organizational Clients [34] A lawyer who represents a corporation or other organization does not, by virtue of that representation, necessarily represent any constituent or affiliated organization, such as a parent or subsidiary. See Rule 1.13(a). Thus, the lawyer for an organization is not barred from accepting representation adverse to an affiliate in an unrelated matter, unless the circumstances are such that the affiliate should also be considered a client of the lawyer, there is an understanding between the lawyer and the organizational client that the lawyer will avoid representation adverse to the client s affiliates, or the lawyer s obligations to either the organizational client or the new client are likely to limit materially the lawyer s representation of the other client. [35] A lawyer for a corporation or other organization who is also a member of its board of directors should determine whether the responsibilities of the two roles may conflict. The lawyer may be called on to advise the corporation in matters involving actions of the directors. Consideration should be given to the frequency with which such situations may arise, the potential intensity of the conflict, the effect of the lawyer s resignation from the board and the possibility of the corporation s obtaining legal advice from another lawyer in such situations. If there is material risk that the dual role will compromise the lawyer s independence of professional judgment, the lawyer should not serve as a director or should cease to act as the corporation s lawyer when conflicts of interest arise. The lawyer should advise the other members of the board that in some circumstances matters discussed at board

121 meetings while the lawyer is present in the capacity of director might not be protected by the attorney-client privilege and that conflict of interest considerations might require the lawyer s recusal as a director or might require the lawyer and the lawyer s firm to decline representation of the corporation in a matter. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.8 Conflict of Interest: Current Clients: Specific Rules (a) A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless: (1) the transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client; (2) the client is informed in writing that the client may seek the advice of independent legal counsel on the transaction, and is given a reasonable opportunity to do so; and (3) the client gives informed consent, in a writing signed by the client, to the essential terms of the transaction and the lawyer s role in the transaction, including whether the lawyer is representing the client in the transaction. (b) A lawyer shall not use information relating to representation of a client to the disadvantage of the client unless the client gives informed consent, except as permitted or required by these Rules. (c) A lawyer shall not solicit any substantial gift from a client, including a testamentary gift, or prepare on behalf of a client an instrument giving the lawyer or a person related to the lawyer any substantial gift unless the lawyer or other recipient of the gift is related to the client. For purposes of this paragraph, related persons include a spouse, child, grandchild, parent, grandparent or other relative or individual with whom the lawyer or the client maintains a close, familial relationship. (d) Prior to the conclusion of representation of a client, a lawyer shall not make or negotiate RULE 1.8 an agreement giving the lawyer literary or media rights to a portrayal or account based in substantial part on information relating to the representarepresentation. (e) A lawyer shall not provide financial assistance to a client in connection with pending or contemplated litigation, except that: (1) a lawyer may advance court costs and expenses of litigation, the repayment of which may be contingent on the outcome of the matter; and (2) a lawyer representing an indigent client may pay court costs and expenses of litigation on behalf of the client. (f) A lawyer shall not accept compensation for representing a client from one other than the client unless: (1) the client gives informed consent; (2) there is no interference with the lawyer s independence of professional judgment or with the client-lawyer relationship; and (3) information relating to representation of a client is protected as required by Rule 1.6. (g) 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 aggregated agreement as to guilty or nolo contendere pleas, unless each client gives informed consent, in a writing signed by the client. The lawyer s disclosure shall include the existence and nature of all the claims or pleas involved and of the participation of each person in the settlement. (h) A lawyer shall not: (1) make an agreement prospectively limiting the lawyer s liability to a client for malpractice unless the client is independently represented in making the agreement; or (2) settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith. (i) A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of RULE

122 RULE 1.8 litigation the lawyer is conducting for a client, except that the lawyer may: (1) acquire a lien authorized by law to secure the lawyer s fee or expenses; and (2) contract with a client for a reasonable contingent fee in a civil case. (j) A lawyer shall not have sexual relations with a client unless a consensual sexual relationship existed between them when the client-lawyer relationship commenced. (k) While lawyers are associated in a firm, a prohibition in the foregoing paragraphs (a) through (i) that applies to any one of them shall apply to all of them. (Adopted July 1, 2009, effective January 1, 2010.) RULE Comment Business Transactions Between Client And Lawyer [1] A lawyer s legal skill and training, together with the relationship of trust and confidence between lawyer and client, create the possibility of overreaching when the lawyer participates in a business, property or financial transaction with a client, for example, a loan or sales transaction or a lawyer investment on behalf of a client. The requirements of paragraph (a) must be met even when the transaction is not closely related to the subject matter of the representation, as when a lawyer drafting a will for a client learns that the client needs money for unrelated expenses and offers to make a loan to the client. The Rule applies to lawyers engaged in the sale of goods or services related to the practice of law, for example, the sale of title insurance or investment services to existing clients of the lawyer s legal practice. It also applies to lawyers purchasing property from estates they represent. It does not apply to ordinary fee arrangements between client and lawyer, which are governed by Rule 1.5, although its requirements must be met when the lawyer accepts an interest in the client s business or other nonmonetary property as payment of all or part of a fee. In addition, the Rule does not apply to standard commercial transactions between the lawyer and the client for products or services that the client generally markets to others, for example, banking or brokerage services, medical services, products manufactured or distributed by the client, and utilities services. In such transactions, the lawyer has no advantage in dealing with the client, and the restrictions in paragraph (a) are unnecessary and impracticable. [2] Paragraph (a)(1) requires that the transaction itself be fair to the client and that its essential terms be communicated to the client, in writing, in a manner that can be reasonably understood. Paragraph (a)(2) requires that the lawyer inform the client in writing that the client may seek the advice of independent legal counsel and provide a reasonable opportunity for the client to do so. Paragraph (a)(3) requires that the lawyer obtain the client s informed consent, in a writing signed by the client, both to the essential terms of the transaction and to the lawyer s role. When necessary, the lawyer should discuss both the material risks of the proposed transaction, including any risk presented by the lawyer s involvement, and the existence of reasonably available alternatives and should explain why the advice of independent legal counsel is desirable. See Rule 1.0(e) (definition of informed consent). The common law regarding business transactions between lawyer and client may impose additional requirements, such as encouraging the client to seek independent legal counsel, in lawyer liability and other nondisciplinary contexts. [3] The risk to a client is greatest when the client expects the lawyer to represent the client in the transaction itself or when the lawyer s financial interest otherwise poses a significant risk that the lawyer s representation of the client will be materially limited by the lawyer s financial interest in the transaction. Here the lawyer s role requires that the lawyer must comply, not only with the requirements of paragraph (a), but also with the requirements of Rule 1.7. Under that Rule, the lawyer must disclose the risks associated with the lawyer s dual role as both legal adviser and participant in the transaction, such as the risk that the lawyer will structure the transaction or give legal advice in a way that favors the lawyer s interests at the expense of the client. Moreover, the lawyer must obtain the client s informed consent. In some cases, the lawyer s interest may be such that Rule 1.7 will preclude

123 the lawyer from seeking the client s consent to the transaction. [4] If the client is independently represented in the transaction, paragraph (a)(2) of this Rule is inapplicable, and the paragraph (a)(1) requirement for full disclosure is satisfied either by a written disclosure by the lawyer involved in the transaction or by the client s independent counsel. The fact that the client was independently represented in the transaction is relevant in determining whether the agreement was fair and reasonable to the client as paragraph (a)(1) further requires. Use Of Information Related To Representation [5] Use of information relating to the representation to the disadvantage of the client violates the lawyer s duty of loyalty. Paragraph (b) applies when the information is used to benefit either the lawyer or a third person, such as another client or business associate of the lawyer. For example, if a lawyer learns that a client intends to purchase and develop several parcels of land, the lawyer may not use that information to purchase one of the parcels in competition with the client or to recommend that another client make such a purchase. The Rule does not prohibit uses that do not disadvantage the client. For example, a lawyer who learns a government agency s interpretation of trade legislation during the representation of one client may properly use that information to benefit other clients. Paragraph (b) prohibits disadvantageous use of client information unless the client gives informed consent, except as permitted or required by these Rules. See Rules 1.2(d), 1.6, 1.9(c), 3.3, 4.1(b), 8.1 and 8.3. Gifts To Lawyers [6] A lawyer may accept a gift from a client, if the transaction meets general standards of fairness. For example, a simple gift such as a present given at a holiday or as a token of appreciation is permitted. If a client offers the lawyer a more substantial gift, paragraph (c) does not prohibit the lawyer from accepting it, although such a gift may be avoidable by the client under the doctrine of undue influence, which treats client gifts as RULE 1.8 presumptively fraudulent. In any event, due to concerns about overreaching and imposition on clients, a lawyer may not suggest that a substantial gift be made to the lawyer or for the lawyer s benefit, except where the lawyer is related to the client as set forth in paragraph (c). [7] If effectuation of a substantial gift requires preparing a legal instrument such as a will or conveyance the client should have the detached advice that another lawyer can provide. The sole exception to this Rule is where the client is a relative of the donee. [8] This Rule does not prohibit a lawyer from seeking to have the lawyer or a partner or associate of the lawyer named as executor of the client s estate or to another potentially lucrative fiduciary position. Nevertheless, such appointments will be subject to the general conflict of interest provision in Rule 1.7 when there is a significant risk that the lawyer s interest in obtaining the appointment will materially limit the lawyer s independent professional judgment in advising the client concerning the choice of an executor or other fiduciary. In obtaining the client s informed consent to the conflict, the lawyer should advise the client concerning the nature and extent of the lawyer s financial interest in the appointment, as well as the availability of alternative candidates for the position. Literary Rights [9] An agreement by which a lawyer acquires literary or media rights concerning the conduct of the representation creates a conflict between the interests of the client and the personal interests of the lawyer. Measures suitable in the representation of the client may detract from the publication value of an account of the representation. Paragraph (d) does not prohibit a lawyer representing a client in a transaction concerning literary property from agreeing that the lawyer s fee shall consist of a share in ownership in the property, if the arrangement conforms to Rule 1.5 and paragraphs (a) and (i). Financial Assistance [10] Lawyers may not subsidize lawsuits or administrative proceedings brought on behalf of their clients, including making or guaranteeing RULE

124 RULE 1.8 loans to their clients for living expenses, because to do so would encourage clients to pursue lawsuits that might not otherwise be brought and bebecause such assistance gives lawyers too great a financial stake in the litigation. These dangers do not warrant a prohibition on a lawyer lending a client court costs and litigation expenses, including the expenses of medical examination and the costs of obtaining and presenting evidence, because these advances are virtually indistinguishable from contingent fees and help ensure access to the courts. Similarly, an exception allowing lawyers representing indigent clients to pay court costs and litigation expenses regardless of whether these funds will be repaid is warranted. Person Paying For A Lawyer s Services [11] Lawyers are frequently asked to represent a client under circumstances in which a third person will compensate the lawyer, in whole or in part. The third person might be a relative or friend, an indemnitor (such as a liability insurance company) or a co-client (such as a corporation sued along with one or more of its employees). Because third-party payers frequently have interests that differ from those of the client, including interests in minimizing the amount spent on the representation and in learning how the representation is progressing, lawyers are prohibited from accepting or continuing such representations unless the lawyer determines that there will be no interference with the lawyer s independent professional judgment and there is informed consent from the client. See also Rule 5.4(c) (prohibiting interference with a lawyer s professional judgment by one who recommends, employs or pays the lawyer to render legal services for another). [12] Sometimes, it will be sufficient for the lawyer to obtain the client s informed consent regarding the fact of the payment and the identity of the third-party payer. If, however, the fee arrangement creates a conflict of interest for the lawyer, then the lawyer must comply with Rule The lawyer must also conform to the requirements of Rule 1.6 concerning confidentiality. Under Rule 1.7(a), a conflict of interest exists if there is significant risk that the RULE lawyer s representation of the client will be materially limited by the lawyer s own interest in the fee arrangement or by the lawyer s responsibilities to the third-party payer (for example, when the third-party payer is a co-client). Under Rule 1.7(b), the lawyer may accept or continue the representation with the informed consent of each affected client, unless the conflict is nonconsentable under that paragraph. Aggregate Settlements [13] Differences in willingness to make or accept an offer of settlement are among the risks of common representation of multiple clients by a single lawyer. Under Rule 1.7, this is one of the risks that should be discussed before undertaking the representation, as part of the process of obtaining the clients informed consent. In addition, Rule 1.2(a) protects each client s right to have the final say in deciding whether to accept or reject an offer of settlement and in deciding whether to enter a guilty or nolo contendere plea in a criminal case. The rule stated in this paragraph is a corollary of both these Rules and provides that, before any settlement offer or plea bargain is made or accepted on behalf of multiple clients, the lawyer must inform each of them about all the material terms of the settlement, including what the other clients will receive or pay if the settlement or plea offer is accepted. See also Rule 1.0(e) (definition of informed consent). Lawyers representing a class of plaintiffs or defendants, or those proceeding derivatively, may not have a full client-lawyer relationship with each member of the class; nevertheless, such lawyers must comply with applicable rules regulating notification of class members and other procedural requirements designed to ensure adequate protection of the entire class. Limiting Liability And Settling Malpractice Claims [14] Agreements prospectively limiting a lawyer s liability for malpractice are prohibited unless the client is independently represented in making the agreement because they are likely to undermine competent and diligent representation. Also, many clients are unable to evaluate the desirability of making such an agreement before a

125 dispute has arisen, particularly if they are then represented by the lawyer seeking the agreement. This paragraph does not, however, prohibit a lawyer from entering into an agreement with the client to arbitrate legal malpractice claims, provided such agreements are enforceable and the client is fully informed of the scope and effect of the agreement. Nor does this paragraph limit the ability of lawyers to practice in the form of a limited-liability entity, where permitted by law, provided that each lawyer remains personally liable to the client for his or her own conduct and the firm complies with any conditions required by law, such as provisions requiring client notification or maintenance of adequate liability insurance. Nor does it prohibit an agreement in accordance with Rule 1.2 that defines the scope of the representation, although a definition of scope that makes the obligations of representation illusory will amount to an attempt to limit liability. [15] Agreements settling a claim or a potential claim for malpractice are not prohibited by this Rule. Nevertheless, in view of the danger that a lawyer will take unfair advantage of an unrepresented client or former client, the lawyer must first advise such a person in writing of the appropriateness of independent representation in connection with such a settlement. In addition, the lawyer must give the client or former client a reasonable opportunity to find and consult independent counsel. Acquiring Proprietary Interest In Litigation [16] Paragraph (i) states the traditional general rule that lawyers are prohibited from acquiring a proprietary interest in litigation. Like paragraph (e), the general rule has its basis in common law champerty and maintenance and is designed to avoid giving the lawyer too great an interest in the representation. In addition, when the lawyer acquires an ownership interest in the subject of the representation, it will be more difficult for a client to discharge the lawyer if the client so desires. The Rule is subject to specific exceptions developed in decisional law and continued in these Rules. The exception for certain advances of the costs of litigation is set forth in RULE 1.8 paragraph (e). In addition, paragraph (i) sets forth exceptions for liens authorized by law to secure the lawyer s fees or expenses and contracts for reasonable contingent fees. The law of each jurisdiction determines which liens are authorized by law. These may include liens granted by statute, liens originating in common law and liens acquired by contract with the client. When a lawyer acquires by contract a security interest in property other than that recovered through the lawyer s efforts in the litigation, such an acquisition is a business or financial transaction with a client and is governed by the requirements of paragraph (a). Contracts for contingent fees in civil cases are governed by Rule 1.5. Client-Lawyer Sexual Relationships [17] The relationship between lawyer and client is a fiduciary one in which the lawyer occupies the highest position of trust and confidence. The relationship is almost always unequal; thus, a sexual relationship between lawyer and client can involve unfair exploitation of the lawyer s fiduciary role, in violation of the lawyer s basic ethical obligation not to use the trust of the client to the client s disadvantage. In addition, such a relationship presents a significant danger that, because of the lawyer s emotional involvement, the lawyer will be unable to represent the client without impairment of the exercise of independent professional judgment. Moreover, a blurred line between the professional and personal relationships may make it difficult to predict to what extent client confidences will be protected by the attorney-client evidentiary privilege, since client confidences are protected by privilege only when they are imparted in the context of the client-lawyer relationship. Because of the significant danger of harm to client interests and because the client s own emotional involvement renders it unlikely that the client could give adequate informed consent, this Rule prohibits the lawyer from having sexual relations with a client regardless of whether the relationship is consensual and regardless of the absence of prejudice to the client. [18] Sexual relationships that predate the client-lawyer relationship are not prohibited. Issues relating to the exploitation of the fiduciary rela- RULE

126 RULE 1.9 tionship and client dependency are diminished when the sexual relationship existed prior to the commencement of the client-lawyer relationship. However, before proceeding with the representation in these circumstances, the lawyer should consider whether the lawyer s ability to represent the client will be materially limited by the relationship. See Rule 1.7(a)(2). [19] When the client is an organization, paragraph (j) of this Rule prohibits a lawyer for the organization (whether inside counsel or outside counsel) from having a sexual relationship with a constituent of the organization who supervises, directs or regularly consults with that lawyer concerning the organization s legal matters. Imputation Of Prohibitions [20] Under paragraph (k), a prohibition on conduct by an individual lawyer in paragraphs (a) through (i) also applies to all lawyers associated in a firm with the personally prohibited lawyer. For example, one lawyer in a firm may not enter into a business transaction with a client of another member of the firm without complying with paragraph (a), even if the first lawyer is not personally involved in the representation of the client. The prohibition set forth in paragraph (j) is personal and is not applied to associated lawyers. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.9 Duties To Former Clients (a) A lawyer who has formerly represented a client in a matter shall not thereafter 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 gives informed consent. (b) A lawyer shall not knowingly represent a person in the same or a substantially related matter in which a firm with which the lawyer formerly was associated had previously represented a client: (1) whose interests are materially adverse to that person; and (2) about whom the lawyer had acquired information protected by Rules 1.6 and 1.9(c) RULE that is material to the matter; unless the former client gives informed consent. (c) A lawyer who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter: (1) use information relating to the representation to the disadvantage of the former client except as these Rules would permit or require with respect to a client, or when the information has become generally known; or (2) reveal information relating to the representation except as these Rules would permit or require with respect to a client. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] After termination of a client-lawyer relationship, a lawyer has certain continuing duties with respect to confidentiality and conflicts of interest and thus may not represent another client except in conformity with this Rule. Under this Rule, for example, a lawyer could not properly seek to rescind on behalf of a new client a contract drafted on behalf of the former client. So also a lawyer who has prosecuted an accused person could not properly represent the accused in a subsequent civil action against the government concerning the same transaction. Nor could a lawyer who has represented multiple clients in a matter represent one of the clients against the others in the same or a substantially related matter after a dispute arose among the clients in that matter, unless all affected clients give informed consent. See Comment [9]. Current and former government lawyers must comply with this Rule to the extent required by Rule [2] The scope of a matter for purposes of this Rule depends on the facts of a particular situation or transaction. The lawyer s involvement in a matter can also be a question of degree. When a lawyer has been directly involved in a specific transaction, subsequent representation of other clients with materially adverse interests in that transaction clearly is prohibited. On the other hand, a lawyer who recurrently handled a type of problem for a former client is not precluded from later representing another client in a factually distinct problem of that type even though the

127 RULE 1.9 subsequent representation involves a position adverse to the prior client. Similar considerations can apply to the reassignment of military lawyers between defense and prosecution functions within the same military jurisdictions. The underlying question is whether the lawyer was so involved in the matter that the subsequent representation can be justly regarded as a changing of sides in the matter in question. [3] Matters are substantially related for purposes of this Rule if they involve the same transaction or legal dispute or if there otherwise is a substantial risk that confidential factual information as would normally have been obtained in the prior representation would materially advance the client s position in the subsequent matter. For example, a lawyer who has represented a businessperson and learned extensive private financial information about that person may not then represent that person s spouse in seeking a divorce. Similarly, a lawyer who has previously represented a client in securing environmental permits to build a shopping center would be precluded from representing neighbors seeking to oppose rezoning of the property on the basis of environmental considerations; however, the lawyer would not be precluded, on the grounds of substantial relationship, from defending a tenant of the completed shopping center in resisting eviction for nonpayment of rent. Information that has been disclosed to the public or to other parties adverse to the former client ordinarily will not be disqualifying. Information acquired in a prior representation may have been rendered obsolete by the passage of time, a circumstance that may be relevant in determining whether two representations are substantially related. In the case of an organizational client, general knowledge of the client s policies and practices ordinarily will not preclude a subsequent representation; on the other hand, knowledge of specific facts gained in a prior representation that are relevant to the matter in question ordinarily will preclude such a representation. A former client is not required to reveal the confidential information learned by the lawyer in order to establish a substantial risk that the lawyer has confidential information to use in the subsequent matter. A conclusion about the possession of such information may be based on the nature of the services the lawyer provided the former client and information that would in ordinary practice be learned by a lawyer providing such services. Lawyers Moving Between Firms [4] When lawyers have been associated within a firm but then end their association, the question of whether a lawyer should undertake representation is more complicated. There are several competing considerations. First, the client previously represented by the former firm must be reasonably assured that the principle of loyalty to the client is not compromised. Second, the rule should not be so broadly cast as to preclude other persons from having reasonable choice of legal counsel. Third, the rule should not unreasonably hamper lawyers from forming new associations and taking on new clients after having left a previous association. In this connection, it should be recognized that today many lawyers practice in firms, that many lawyers to some degree limit their practice to one field or another, and that many move from one association to another several times in their careers. If the concept of imputation were applied with unqualified rigor, the result would be radical curtailment of the opportunity of lawyers to move from one practice setting to another and of the opportunity of clients to change counsel. [5] Paragraph (b) operates to disqualify the lawyer only when the lawyer involved has actual knowledge of information protected by Rules 1.6 and 1.9(c). Thus, if a lawyer while with one firm acquired no knowledge or information relating to a particular client of the firm, and that lawyer later joined another firm, neither the lawyer individually nor the second firm is disqualified from representing another client in the same or a related matter even though the interests of the two clients conflict. See Rule 1.10(b) for the restrictions on a firm once a lawyer has terminated association with the firm. [6] Application of paragraph (b) depends on a situation s particular facts, aided by inferences, deductions or working presumptions that reasonably may be made about the way in which lawyers work together. A lawyer may have gen- RULE

128 RULE 1.10 eral access to files of all clients of a law firm and may regularly participate in discussions of their affairs; it should be inferred that such a lawyer in fact is privy to all information about all the firm s clients. In contrast, another lawyer may have access to the files of only a limited number of clients and participate in discussions of the affairs of no other clients; in the absence of information to the contrary, it should be inferred that such a lawyer in fact is privy to information about the clients actually served but not those of other clients. [7] Independent of the question of disqualification of a firm, a lawyer changing professional association has a continuing duty to preserve confidentiality of information about a client formerly represented. See Rules 1.6 and 1.9(c). [8] Paragraph (c) provides that information acquired by the lawyer in the course of representing a client may not subsequently be used or revealed by the lawyer to the disadvantage of the client. However, the fact that a lawyer has once served a client does not preclude the lawyer from using generally known information about that client when later representing another client. [9] The provisions of this Rule are for the protection of former clients and can be waived if the client gives informed consent. With regard to the effectiveness of an advance waiver, see Comment [22] to Rule 1.7. With regard to disqualification of a firm with which a lawyer is or was formerly associated, see Rule (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.10 Imputation Of Conflicts Of Interest: General Rule (a) While lawyers are associated in a firm, none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by Rules 1.7 or 1.9, unless the prohibition is based on a personal interest of the prohibited lawyer and does not present a significant risk of materially limiting the representation of the client by the remaining lawyers in the firm. (b) When a lawyer has terminated an association with a firm, the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm, unless: (1) the matter is the same or substantially related to that in which the formerly associated lawyer represented the client; and (2) any lawyer remaining in the firm has information protected by Rules 1.6 and 1.9(c) that is material to the matter. (c) A disqualification prescribed by this Rule may be waived by the affected client under the conditions stated in Rule 1.7. (d) The disqualification of lawyers associated in a firm with former or current government lawyers is governed by Rule 1.11 and with former judges, arbitrators, mediators or other third-party neutrals is governed by Rule (e) When a lawyer becomes associated with a firm, no lawyer associated in the firm shall knowingly represent a person in a matter in which that lawyer is disqualified under Rule 1.9 unless the personally disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom. (Adopted July 1, 2009, effective January 1, 2010.) Comment Definition Of Firm [1] For purposes of the Rules of Professional Conduct, the term firm denotes lawyers in a law partnership, professional corporation, sole proprietorship or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation or other organization. See Rule 1.0(c). Whether two or more lawyers constitute a firm within this definition can depend on the specific facts. See Rule 1.0, Comments [2] through [4]. Principles Of Imputed Disqualification [2] The rule of imputed disqualification stated in paragraph (a) gives effect to the principle of loyalty to the client as it applies to lawyers who practice in a law firm. Such situations can be considered from the premise that a firm of lawyers is essentially one lawyer for purposes of the rules governing loyalty to the client, or from the premise that each lawyer is vicariously bound by RULE

129 the obligation of loyalty owed by each lawyer with whom the lawyer is associated. Paragraph (a) operates only among the lawyers currently associated in a firm. When a lawyer moves from one firm to another, the situation is governed by Rules 1.9(b) and 1.10(b). [3] The rule in paragraph (a) does not prohibit representation where neither questions of client loyalty nor protection of confidential information are presented. Where one lawyer in a firm could not effectively represent a given client because of strong political beliefs, for example, but that lawyer will do no work on the case and the personal beliefs of the lawyer will not materially limit the representation by others in the firm, the firm should not be disqualified. On the other hand, if an opposing party in a case were owned by a lawyer in the law firm, and others in the firm would be materially limited in pursuing the matter because of loyalty to that lawyer, the personal disqualification of the lawyer would be imputed to all others in the firm. [4] The rule in paragraph (a) also does not prohibit representation by others in the law firm where the person prohibited from involvement in a matter is a nonlawyer, such as a paralegal or legal secretary. Nor does paragraph (a) prohibit representation if the lawyer is prohibited from acting because of events before the person became a lawyer, for example, work that the person did while a law student. Such persons, however, ordinarily must be screened from any personal participation in the matter to avoid communication to others in the firm of confidential information that both the nonlawyers and the firm have a legal duty to protect. See Rules 1.0(k) and 5.3. [5] Rule 1.10(b) operates to permit a law firm, under certain circumstances, to represent a person with interests directly adverse to those of a client represented by a lawyer who formerly was associated with the firm. The Rule applies regardless of when the formerly associated lawyer represented the client. However, the law firm may not represent a person with interests adverse to those of a present client of the firm, which would violate Rule 1.7. Moreover, the firm may not represent the person where the matter is the same RULE 1.10 or substantially related to that in which the formerly associated lawyer represented the client and any other lawyer currently in the firm has material information protected by Rules 1.6 and 1.9(c). [6] Rule 1.10(c) removes imputation with the informed consent of the affected client or former client under the conditions stated in Rule 1.7. The conditions stated in Rule 1.7 require the lawyer to determine that the representation is not prohibited by Rule 1.7(b) and that each affected client or former client has given informed consent to the representation. In some cases, the risk may be so severe that the conflict may not be cured by client consent. For a discussion of the effectiveness of client waivers of conflicts that might arise in the future, see Rule 1.7, Comment [22]. For a definition of informed consent, see Rule 1.0(e). [7] Where a lawyer has joined a private firm after having represented the government, imputation is governed by Rule 1.11(b) and (c), not this Rule. Under Rule 1.11(d), where a lawyer represents the government after having served clients in private practice, nongovernmental employment or in another government agency, former-client conflicts are not imputed to government lawyers associated with the individually disqualified lawyer. Where a lawyer has joined a private firm after having been a judge or other adjudicative officer or law clerk to such person or an arbitrator, mediator or other third-party neutral, imputation is governed by Rule 1.12, not this Rule. [8] Where a lawyer is prohibited from engaging in certain transactions under Rule 1.8, paragraph (k) of that Rule, and not this Rule, determines whether that prohibition also applies to other lawyers associated in a firm with the personally prohibited lawyer. [9] Where the conditions of paragraph (e) are met, imputation is removed and consent is not required. Requirements for screening procedures are stated in Rule 1.0(k). This paragraph does not prohibit a lawyer from receiving a salary or partnership share established by independent agreement, but that lawyer may not receive compensation directly relating the lawyer s compensation to the fee in the matter in which the RULE

130 RULE 1.11 lawyer is disqualified. Nonconsensual screening in such cases adequately balances the interests of the former client in protecting its confidential information, the interests of the current client in hiring the counsel of its choice (including a law firm that may have represented the client in similar matters for many years), and the interests of lawyers in career mobility, particularly when they are moving involuntarily. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.11 Special Conflicts of Interest for Former and Current Government Officers and Employee (a) Except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the government: (1) is subject to Rule 1.9(c); and (2) shall not otherwise represent a 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 gives its informed consent to the representation. (b) When a lawyer is disqualified from representation under paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter unless: (1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee there from; and (2) written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with the provisions of this Rule. (c) Except as law may otherwise expressly permit, 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. As used in this Rule, the term confidential government information means information that has been obtained under governmental authority RULE and which, at the time this Rule is applied, the government is prohibited by law from disclosing to the public or has a legal privilege not to disclose and which is not otherwise available to the public. A firm with which that lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom. (d) Except as law may otherwise expressly permit, a lawyer currently serving as a public officer or employee: (1) is subject to Rules 1.7 and 1.9; and (2) shall not: (i) participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment, unless the appropriate government agency gives its informed consent; or (ii) 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 and substantially, except that a lawyer serving as a law clerk to a judge, other adjudicative officer or arbitrator may negotiate for private employment as permitted by Rule 1.12(b) and subject to the conditions stated in Rule 1.12(b). (e) As used in this Rule, the term matter includes: (1) any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest 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. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] A lawyer who has served or is currently serving as a public officer or employee is personally subject to the Rules of Professional Conduct, including the prohibition against concurrent conflicts of interest stated in Rule 1.7. In addition,

131 such a lawyer may be subject to statutes and government regulations regarding conflict of interest. Such statutes and regulations may circumscribe the extent to which the government agency may give consent under this Rule. See Rule 1.0(e) for the definition of informed consent. [2] Paragraphs (a)(1), (a)(2) and (d)(1) restate the obligations of an individual lawyer who has served or is currently serving as an officer or employee of the government toward a former government or private client. Rule 1.10 is not applicable to the conflicts of interest addressed by this Rule. Rather, paragraph (b) sets forth a special imputation rule for former government lawyers that provides for screening and notice. Because of the special problems raised by imputation within a government agency, paragraph (d) does not impute the conflicts of a lawyer currently serving as an officer or employee of the government to other associated government officers or employees, although ordinarily it will be prudent to screen such lawyers. [3] Paragraphs (a)(2) and (d)(2) apply regardless of whether a lawyer is adverse to a former client and are thus designed not only to protect the former client, but also to prevent a lawyer from exploiting public office for the advantage of another client. For example, a lawyer who has pursued a claim on behalf of the government may not pursue the same claim on behalf of a later private client after the lawyer has left government service, except when authorized to do so by the government agency under paragraph (a). Similarly, a lawyer who has pursued a claim on behalf of a private client may not pursue the claim on behalf of the government, except when authorized to do so by paragraph (d). As with paragraphs (a)(1) and (d)(1), Rule 1.10 is not applicable to the conflicts of interest addressed by these paragraphs. [4] This Rule represents a balancing of interests. On the one hand, where the successive clients are a government agency and another client, public or private, the risk exists that power or discretion vested in that agency might be used for the special benefit of the other client. A lawyer should not be in a position where benefit to the other client might affect performance of the law- RULE 1.11 yer s professional functions on behalf of the government. Also, unfair advantage could accrue to the other client by reason of access to confidential government information about the client s adversary obtainable only through the lawyer s government service. On the other hand, the rules governing lawyers presently or formerly employed by a government agency should not be so restrictive as to inhibit transfer of employment to and from the government. The government has a legitimate need to attract qualified lawyers as well as to maintain high ethical standards. Thus a former government lawyer is disqualified only from particular matters in which the lawyer participated personally and substantially. The provisions for screening and waiver in paragraph (b) are necessary to prevent the disqualification rule from imposing too severe a deterrent against entering public service. The limitation of disqualification in paragraphs (a)(2) and (d)(2) to matters involving a specific party or parties, rather than extending disqualification to all substantive issues on which the lawyer worked, serves a similar function. [5] When a lawyer has been employed by one government agency and then moves to a second government agency, it may be appropriate to treat that second agency as another client for purposes of this Rule, as when a lawyer is employed by a city and subsequently is employed by a federal agency. However, because the conflict of interest is governed by paragraph (d), the latter agency is not required to screen the lawyer as paragraph (b) requires a law firm to do. The question of whether two government agencies should be regarded as the same or different clients for conflict of interest purposes is beyond the scope of these Rules. See Rule 1.13 Comment [9]. [6] Paragraphs (b) and (c) contemplate a screening arrangement. See Rule 1.0(k) (requirements for screening procedures). These paragraphs do not prohibit a lawyer from receiving a salary or partnership share established by independent agreement, but that lawyer may not receive compensation directly relating the lawyer s compensation to the fee in the matter in which the lawyer is disqualified. RULE

132 RULE 1.12 [7] Notice, including a description of the screened lawyer s prior representation and of the screening procedures employed, generally should be given as soon as practicable after the need for screening becomes apparent. [8] Paragraph (c) operates only when the lawyer in question has knowledge of the information, which means actual knowledge; it does not operate with respect to information that merely could be imputed to the lawyer. [9] Paragraphs (a) and (d) do not prohibit a lawyer from jointly representing a private party and a government agency when doing so is permitted by Rule 1.7 and is not otherwise prohibited by law. [10] For purposes of paragraph (e) of this Rule, a matter may continue in another form. In determining whether two particular matters are the same, the lawyer should consider the extent to which the matters involve the same basic facts, the same or related parties, and the time elapsed. RULE 1.12 Former Judge, Arbitrator, Mediator or Other Third-Party Neutral (a) Except as stated in paragraph (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 or law clerk to such a person or as an arbitrator, mediator or other third-party neutral, unless all parties to the proceeding give informed consent. (b) A lawyer shall not negotiate for 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 and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or other third-party neutral. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge or other adjudicative officer. (c) If a lawyer is disqualified by paragraph (a), no lawyer in a firm with which that lawyer is RULE associated may knowingly undertake or continue representation in the matter unless: (1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and (2) written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this Rule. (d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] This Rule generally parallels Rule The term personally and substantially signifies that a judge who was a member of a multimember court, and thereafter left judicial office to practice law, is not prohibited from representing a client in a matter pending in the court, but in which the former judge did not participate. So also the fact that a former judge exercised administrative responsibility in a court does not prevent the former judge from acting as a lawyer in a matter where the judge had previously exercised remote or incidental administrative responsibility that did not affect the merits. Compare the Comment to Rule The term adjudicative officer includes such officials as judges pro tempore, referees, special masters, hearing officers and other parajudicial officers, and also lawyers who serve as part-time judges. [2] Like former judges, lawyers who have served as arbitrators, mediators or other thirdparty neutrals may be asked to represent a client in a matter in which the lawyer participated personally and substantially. This Rule forbids such representation unless all of the parties to the proceedings give their informed consent. See Rule 1.0(e) and (b). Other law or codes of ethics governing third-party neutrals may impose more stringent standards of personal or imputed disqualification. See Rule 2.4. [3] Although lawyers who serve as third-party neutrals do not have information concerning the parties that is protected under Rule 1.6, they typi-

133 cally owe the parties an obligation of confidentiality under law or codes of ethics governing thirdparty neutrals. Thus, paragraph (c) provides that conflicts of the personally disqualified lawyer will be imputed to other lawyers in a law firm unless the conditions of this paragraph are met. [4] Requirements for screening procedures are stated in Rule 1.0(k). Paragraph (c)(1) does not prohibit the screened lawyer from receiving a salary or partnership share established by independent agreement, but that lawyer may not receive compensation directly related to the matter in which the lawyer is disqualified. [5] Notice, including a description of the screened lawyer s prior representation and of the screening procedures employed, generally should be given as soon as practicable after the need for screening becomes apparent. (Adopted July 1, 2009, effective January 1, 2010.) 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 crime, fraud or other violation of law that reasonably might be imputed to the organization, and that is likely to result in substantial injury to the organization, then the lawyer shall proceed as is reasonably necessary in the best interest of the organization. Unless the lawyer reasonably believes that it is not necessary in the best interest of the organization to do so, the lawyer shall refer the matter to higher authority in the organization, including, if warranted by the circumstances, to the highest authority that can act on behalf of the organization as determined by applicable law. (c) Except as provided in paragraph (d), if (1) despite the lawyer s efforts in accordance with paragraph (b) the highest authority that can act on behalf of the organization insists upon or fails to address in a timely and RULE 1.13 appropriate manner an action or a refusal to act, that is clearly a crime or fraud, and (2) the lawyer reasonably believes that the crime or fraud is reasonably certain to result in substantial injury to the organization, then the lawyer may reveal information relating to the representation whether or not Rule 1.6 permits such disclosure, but only if and to the extent the lawyer reasonably believes necessary to prevent substantial injury to the organization. (d) Paragraph (c) shall not apply with respect to information relating to a lawyer s representation of an organization to investigate an alleged crime, fraud or other violation of law, or to defend the organization or an officer, employee or other constituent associated with the organization against a claim arising out of an alleged crime, fraud or other violation of law. (e) A lawyer who reasonably believes that he or she has been discharged because of the lawyer s actions taken pursuant to paragraphs (b) or (c), or who withdraws under circumstances that require or permit the lawyer to take action under either of those paragraphs, shall proceed as the lawyer reasonably believes necessary to assure that the organization s highest authority is informed of the lawyer s discharge or withdrawal. (f) In dealing with an organization s directors, officers, employees, members, shareholders or other constituents, a lawyer shall explain the identity of the client when the lawyer knows or reasonably should know that the organization s interests are adverse to those of the constituents with whom the lawyer is dealing. (g) 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 July 1, 2009, effective January 1, 2010.) Comment The Entity As The Client [1] An organizational client is a legal entity, but it cannot act except through its officers, direc- RULE

134 RULE 1.13 tors, employees, shareholders and other constituents. Officers, directors, employees and shareholders are the constituents of the corporate organizational client. The duties defined in this Comment apply equally to unincorporated associations. Other constituents as used in this Comment means the positions equivalent to officers, directors, employees and shareholders held by persons acting for organizational clients that are not corporations. [2] When one of the constituents of an organizational client communicates with the organization s lawyer in that person s organizational capacity, the communication is protected by Rule 1.6. Thus, by way of example, if an organizational client requests its lawyer to investigate allegations of wrongdoing, interviews made in the course of that investigation between the lawyer and the client s employees or other constituents are covered by Rule 1.6. This does not mean, however, that constituents of an organizational client are the clients of the lawyer. The lawyer may not disclose to such constituents information relating to the representation except for disclosures explicitly or impliedly authorized by the organizational client in order to carry out the representation or as otherwise permitted by Rule 1.6. [3] When constituents of the organization make decisions for it, the decisions ordinarily must be accepted by the lawyer even if their utility or prudence is doubtful. Decisions concerning policy and operations, including ones entailing serious risk, are not as such in the lawyer s province. Paragraph (b) makes clear, however, that when the lawyer knows that the organization is likely to be substantially injured by action of an officer or other constituent that violates a legal obligation to the organization or is a crime, fraud or other violation of law that might be imputed to the organization, the lawyer must proceed as is reasonably necessary in the best interest of the organization. As defined in Rule 1.0(f), knowledge can be inferred from circumstances, and a lawyer cannot ignore the obvious. [4] In determining how to proceed under paragraph (b), the lawyer should give due consideration to the seriousness of the misconduct and its consequences, the responsibility in the organization and the apparent motivation of those involved, the policies of the organization concerning such matters, and any other relevant considerations. Ordinarily, referral to a higher authority would be necessary. In some circumstances, however, it may be appropriate for the lawyer to ask the constituent to reconsider the matter; for example, if the circumstances involve a constituent s innocent misunderstanding of law and subsequent acceptance of the lawyer s advice, the lawyer may reasonably conclude that the best interest of the organization does not require that the matter be referred to higher authority. If a constituent persists in conduct contrary to the lawyer s advice, it will be necessary for the lawyer to take steps to have the matter reviewed by a higher authority in the organization. If the matter is of sufficient seriousness and importance or urgency to the organization, referral to higher authority in the organization may be necessary even if the lawyer has not communicated with the constituent. Any measures taken should, to the extent practicable, minimize the risk of revealing information relating to the representation to persons outside the organization. Even in circumstances where a lawyer is not obligated by Rule 1.13 to proceed, a lawyer may bring to the attention of an organizational client, including its highest authority, matters that the lawyer reasonably believes to be of sufficient importance to warrant doing so in the best interest of the organization. [5] Paragraph (b) also makes clear that when it is reasonably necessary to enable the organization to address the matter in a timely and appropriate manner, the lawyer must refer the matter to higher authority, including, if warranted by the circumstances, the highest authority that can act on behalf of the organization under applicable law. The organization s highest authority to whom a matter may be referred ordinarily will be the board of directors or similar governing body. However, applicable law may prescribe that under certain conditions the highest authority reposes elsewhere, for example, in the independent directors of a corporation. RULE

135 Relation To Other Rules [6] The authority and responsibility provided in this Rule are concurrent with the authority and responsibility provided in other Rules. In particular, this Rule does not limit or expand the lawyer s responsibility under Rules 1.8, 1.16, 3.3 or 4.1. Paragraph (c) of this Rule supplements Rule 1.6(b) by providing an additional basis upon which the lawyer may reveal information relating to the representation, but does not modify, restrict, or limit the provisions of Rule 1.6(b). Under Paragraph (c) the lawyer may reveal such information only when the organization s highest authority insists upon or fails to address threatened or ongoing action that is clearly a crime or fraud, and then only to the minimum extent the lawyer reasonably believes necessary to prevent reasonably certain substantial injury to the organization. It is not necessary that the lawyer s services be used in furtherance of the crime or fraud, but it is required that the matter be related to the lawyer s representation of the organization. If the lawyer s services are being used by an organization to further a crime or fraud by the organization, Rules 1.6(b)(1), 1.6(b)(2) or 1.6(b)(3) may permit the lawyer to disclose confidential information. In such circumstances Rule 1.2(d) may also be applicable, in which event, withdrawal from the representation under Rule 1.16(a)(1) may be required. Because the lawyer may reveal information relating to the representation outside the organization under paragraph (c) only in circumstances involving a crime or fraud, the lawyer may be required to act under paragraph (b) in situations that arise out of violations of law that do not constitute a crime or fraud even though disclosure outside the organization would not be permitted by paragraph (c). [7] Paragraph (d) makes clear that the authority of a lawyer to disclose information relating to a representation in circumstances described in paragraph (c) does not apply with respect to information relating to a lawyer s engagement by an organization to investigate an alleged violation of law or to defend the organization or an officer, employee or other person associated with the organization against a claim arising out of an alleged crime, fraud or other violation of law. RULE 1.13 This is necessary in order to enable organizational clients to enjoy the full benefits of legal counsel in conducting an investigation or defending against a claim. [8] A lawyer who reasonably believes that he or she has been discharged because of the lawyer s actions taken pursuant to paragraph (b) or (c), or who withdraws in circumstances that require or permit the lawyer to take action under either of these paragraphs, must proceed as the lawyer reasonably believes necessary to assure that the organization s highest authority is informed of the lawyer s discharge or withdrawal, and what the lawyer reasonably believes to be the basis for his or her discharge or withdrawal. Government Agency [9] The duty defined in this Rule applies to governmental organizations. Defining precisely the identity of the client and prescribing the resulting obligations of such lawyers may be more difficult in the government context and is a matter beyond the scope of these Rules. See Scope [18]. Although in some circumstances the client may be a specific agency, it may also be a branch of government, such as the executive branch, or the government as a whole. For example, if the action or failure to act involves the head of a bureau, either the department of which the bureau is a part or the relevant branch of government may be the client for purposes of this Rule. Moreover, in a matter involving the conduct of government officials, a government lawyer may have authority under applicable law to question such conduct more extensively than that of a lawyer for a private organization in similar circumstances. Thus, when the client is a governmental organization, a different balance may be appropriate between maintaining confidentiality and assuring that the wrongful act is prevented or rectified, for public business is involved. In addition, duties of lawyers employed by the government or lawyers in military service may be defined by statutes and regulation. This Rule does not limit that authority. See Scope. Clarifying The Lawyer s Role [10] There are times when the organization s interest may be or become adverse to those of one RULE

136 RULE 1.14 or more of its constituents. In such circumstances the lawyer should advise any constituent, whose interest the lawyer finds adverse to that of the organization of the conflict or potential conflict of interest, that the lawyer cannot represent such constituent, and that such person may wish to obtain independent representation. Care must be taken to assure that the individual understands that, when there is such adversity of interest, the lawyer for the organization cannot provide legal representation for that constituent individual, and that discussions between the lawyer for the organization and the individual may not be privileged. [11] Whether such a warning should be given by the lawyer for the organization to any constituent individual may turn on the facts of each case. Dual Representation [12] Paragraph (g) recognizes that a lawyer for an organization may also represent a principal officer or major shareholder. Derivative Actions [13] Under generally prevailing law, the shareholders or members of a corporation may bring suit to compel the directors to perform their legal obligations in the supervision of the organization. Members of unincorporated associations might have a corresponding right. Where permitted, such an action may be brought nominally by the corporation or unincorporated association, but usually is, in fact, a legal controversy over management of the organization. [14] The question can arise whether counsel for the organization may defend such an action. The proposition that the organization is the lawyer s client does not alone resolve the issue. Most derivative actions are a normal incident of an organization s affairs, to be defended by the organization s lawyer like any other suit. However, if the claim involves serious charges of wrongdoing by those in control of the organization, a conflict may arise between the lawyer s duty to the organization and the lawyer s relationship with the board. In those circumstances, Rule 1.7 governs who should represent the directors and the organization. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.14 Client with Diminished Capacity (a) When a client s capacity to make adequately considered decisions in connection with a representation is diminished, whether because of minority, mental impairment or for some other reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client. (b) When the lawyer reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial or other harm unless action is taken and cannot adequately act in the client s own interest, the lawyer may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator or guardian. (c) Information relating to the representation of a client with diminished capacity is protected by Rule 1.6. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized under Rule 1.6(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client s interests. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] The normal client-lawyer relationship is based on the assumption that the client, when properly advised and assisted, is capable of making decisions about important matters. When the client is a minor or suffers from a diminished mental capacity, however, maintaining the ordinary client-lawyer relationship may not be possible in all respects. In particular, a severely incapacitated person may have no power to make legally binding decisions. Nevertheless, a client with diminished capacity often has the ability to understand, deliberate upon, and reach conclusions about matters affecting the client s own well-being. For example, children as young as five or six years of age, and certainly those of ten or twelve, are regarded as having opinions that are entitled to weight in legal proceedings concerning their custody. So also, it is recognized that some persons of advanced age can be quite RULE

137 capable of handling routine financial matters while needing special legal protection concerning major transactions. [2] The fact that a client suffers a disability does not diminish the lawyer s obligation to treat the client with attention and respect. Even if the person has a legal representative, the lawyer should as far as possible accord the represented person the status of client, particularly in maintaining communication. [3] The client may wish to have family members or other persons participate in discussions with the lawyer. When necessary to assist in the representation, the presence of such persons generally does not affect the applicability of the attorney-client evidentiary privilege. Nevertheless, the lawyer must keep the client s interests foremost and, except for protective action authorized under paragraph (b), must to look to the client, and not family members, to make decisions on the client s behalf. [4] If a legal representative has already been appointed for the client, the lawyer should ordinarily look to the representative for decisions on behalf of the client. In matters involving a minor, whether the lawyer should look to the parents as natural guardians may depend on the type of proceeding or matter in which the lawyer is representing the minor. If the lawyer represents the guardian as distinct from the ward, and is aware that the guardian is acting adversely to the ward s interest, the lawyer may have an obligation to prevent or rectify the guardian s misconduct. See Rule 1.2(d). Taking Protective Action [5] If a lawyer reasonably believes that a client is at risk of substantial physical, financial or other harm unless action is taken, and that a normal client-lawyer relationship cannot be maintained as provided in paragraph (a) because the client lacks sufficient capacity to communicate or to make adequately considered decisions in connection with the representation, then paragraph (b) permits the lawyer to take protective measures deemed necessary. Such measures could include: consulting with family members, using a reconsideration period to permit clarification or improvement of circumstances, using RULE 1.14 voluntary surrogate decision making tools such as durable powers of attorney or consulting with support groups, professional services, adultprotective agencies or other individuals or entities that have the ability to protect the client. In taking any protective action, the lawyer should be guided by such factors as the wishes and values of the client to the extent known, the client s best interests and the goals of intruding into the client s decision making autonomy to the least extent feasible, maximizing client capacities and respecting the client s family and social connections. [6] In determining the extent of the client s diminished capacity, the lawyer should consider and balance such factors as: the client s ability to articulate reasoning leading to a decision, variability of state of mind and ability to appreciate consequences of a decision; the substantive fairness of a decision; and the consistency of a decision with the known long-term commitments and values of the client. In appropriate circumstances, the lawyer may seek guidance from an appropriate diagnostician. [7] If a legal representative has not been appointed, the lawyer should consider whether appointment of a guardian ad litem, conservator or guardian is necessary to protect the client s interests. Thus, if a client with diminished capacity has substantial property that should be sold for the client s benefit, effective completion of the transaction may require appointment of a legal representative. In addition, rules of procedure in litigation sometimes provide that minors or persons with diminished capacity must be represented by a guardian or next friend if they do not have a general guardian. In many circumstances, however, appointment of a legal representative may be more expensive or traumatic for the client than circumstances in fact require. Evaluation of such circumstances is a matter entrusted to the professional judgment of the lawyer. In considering alternatives, however, the lawyer should be aware of any law that requires the lawyer to advocate the least restrictive action on behalf of the client. RULE

138 RULE 1.15 Disclosure Of The Client s Condition [8] Disclosure of the client s diminished capacity could adversely affect the client s interests. For example, raising the question of diminished capacity could, in some circumstances, lead to proceedings for involuntary commitment. Information relating to the representation is protected by Rule 1.6. Therefore, unless authorized to do so, the lawyer may not disclose such information. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized to make the necessary disclosures, even when the client directs the lawyer to the contrary. Nevertheless, given the risks of disclosure, paragraph (c) limits what the lawyer may disclose in consulting with other individuals or entities or seeking the appointment of a legal representative. At the very least, the lawyer should determine whether it is likely that the person or entity consulted with will act adversely to the client s interests before discussing matters related to the client. The lawyer s position in such cases is an unavoidably difficult one. Emergency Legal Assistance [9] In an emergency where the health, safety or a financial interest of a person with seriously diminished capacity is threatened with imminent and irreparable harm, a lawyer may take legal action on behalf of such a person even though the person is unable to establish a client-lawyer relationship or to make or express considered judgments about the matter, when the person or another acting in good faith on that person s behalf has consulted with the lawyer. Even in such an emergency, however, the lawyer should not act unless the lawyer reasonably believes that the person has no other lawyer, agent or other representative available, except when that representative s actions or inaction threaten immediate and irreparable harm to the person. The lawyer should take legal action on behalf of the person only to the extent reasonably necessary to maintain the status quo or otherwise avoid imminent and irreparable harm. A lawyer who undertakes to represent a person in such an exigent situation has the same duties under these Rules as the lawyer would with respect to a client. RULE [10] A lawyer who acts on behalf of a person with seriously diminished capacity in an emergency should keep the confidences of the person as if dealing with a client, disclosing them only to the extent necessary to accomplish the intended protective action. The lawyer should disclose to any tribunal involved and to any other counsel involved the nature of his or her relationship with the person. The lawyer should take steps to regularize the relationship or implement other protective solutions as soon as possible. Normally, a lawyer would not seek compensation for such emergency actions taken. (Adopted July 1, 2009, effective January 1, 2010.) 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 deposited in one or more separate and identifiable interest- or dividend-bearing client trust accounts maintained at an eligible financial institution in the state where the lawyer s office is situated, or elsewhere with the informed consent of the client or third person. For the purposes of this Rule, a client trust account means an IOLTA account as defined in paragraph (i)(2), or a separate, interestbearing non-iolta client trust account established to hold the funds of a client or third person as provided in paragraph (f). Funds of clients or third persons shall not be deposited in a noninterest-bearing or non-dividend-bearing account. Other, tangible property shall be identified as such and appropriately safeguarded. Complete records of client trust 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. Maintenance of complete records of client trust accounts shall require that a lawyer: (1) prepare and maintain receipt and disbursement journals for all client trust accounts required by this Rule containing a record of deposits and withdrawals from client trust accounts specifically identifying the date, source, and description of each item de-

139 posited, and the date, payee and purpose of each disbursement; (2) prepare and maintain contemporaneous ledger records for all client trust accounts showing, for each separate trust client or beneficiary, the source of all funds deposited, the date of each deposit, the names of all persons for whom the funds are or were held, the amount of such funds, the dates, descriptions and amounts of charges or withdrawals, and the names of all persons to whom such funds were disbursed; (3) maintain copies of all accountings to clients or third persons showing the disbursement of funds to them or on their behalf, along with copies of those portions of clients files that are reasonably necessary for a complete understanding of the financial transactions pertaining to them; (4) maintain all client trust account checkbook registers, check stubs, bank statements, records of deposit, and checks or other records of debits; (5) maintain copies of all retainer and compensation agreements with clients; (6) maintain copies of all bills rendered to clients for legal fees and expenses; (7) prepare and maintain reconciliation reports of all client trust accounts, on at least a quarterly basis, including reconciliations of ledger balances with client trust account balances; (8) make appropriate arrangements for the maintenance of the records in the event of the closing, sale, dissolution, or merger of a law practice. Records required by this Rule may be maintained by electronic, photographic, or other media provided that printed copies can be produced, and the records are readily accessible to the lawyer. Each client trust account shall be maintained only in an eligible financial institution selected by the lawyer in the exercise of ordinary prudence. (b) A lawyer may deposit the lawyer s own funds in a client trust account for the sole purpose of paying bank service charges on that account, but only in an amount necessary for that purpose. RULE 1.15 (c) A lawyer shall deposit in a client trust account funds received to secure payment of legal fees and expenses, to be withdrawn by the lawyer only as fees are earned and expenses incurred. Funds received as a fixed fee, a general retainer, or an advance payment retainer shall be deposited in the lawyer s general account or other account belonging to the lawyer. An advance payment retainer may be used only when necessary to accomplish some purpose for the client that cannot be accomplished by using a security retainer. An agreement for an advance payment retainer shall be in a writing signed by the client that uses the term advance payment retainer to describe the retainer, and states the following: (1) the special purpose for the advance payment retainer and an explanation why it is advantageous to the client; (2) that the retainer will not be held in a client trust account, that it will become the property of the lawyer upon payment, and that it will be deposited in the lawyer s general account; (3) the manner in which the retainer will be applied for services rendered and expenses incurred; (4) that any portion of the retainer that is not earned or required for expenses will be refunded to the client; (5) that the client has the option to employ a security retainer, provided, however, that if the lawyer is unwilling to represent the client without receiving an advance payment retainer, the agreement must so state and provide the lawyer s reasons for that condition. (d) 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. RULE

140 RULE 1.15 (e) When in the course of representation a lawyer is in possession of property in which two or more persons (one of whom may be the lawyer) claim interests, the property shall be kept separate by the lawyer until the dispute is resolved. The lawyer shall promptly distribute all portions of the property as to which the interests are not in dispute. (f) All funds of clients or third persons held by a lawyer or law firm which are nominal in amount or are expected to be held for a short period of time, including advances for costs and expenses, and funds belonging in part to a client or third person and in part presently or potentially to the lawyer or law firm, shall be deposited in one or more IOLTA accounts, as defined in paragraph (i)(2). A lawyer or law firm shall deposit all funds of clients or third persons which are not nominal in amount or expected to be held for a short period of time into a separate interest- or dividend-bearing client trust account with the client designated as income beneficiary. Funds of clients or third persons shall not be deposited in a non-interest-bearing or non-dividend-bearing account. Each IOLTA account shall comply with the following provisions: (1) Each lawyer or law firm in receipt of nominal or short-term client funds shall establish one or more IOLTA accounts with an eligible financial institution authorized by federal or state law to do business in the state of Illinois and which offers IOLTA accounts within the requirements of this Rule as administered by the Lawyers Trust Fund of Illinois. (2) Eligible institutions shall maintain IOLTA accounts that pay the highest interest rate or dividend available from the institution to its non-iolta account customers when IOLTA accounts meet or exceed the same minimum balance or other account eligibility guidelines, if any. In determining the highest interest rate or dividend generally available from the institution to its non-iolta accounts, eligible institutions may consider factors, in addition to the IOLTA account balance, customarily considered by the institution when setting interest rates or dividends for its customers, provided that such factors do not discriminate between IOLTA accounts and accounts of non-iolta customers, and that these factors do not include that the account is an IOLTA account. (3) An IOLTA account that meets the highest comparable rate or dividend standard set forth in paragraph (f)(2) must use one of the identified account options as an IOLTA account, or pay the equivalent yield on an existing IOLTA account in lieu of using the highest-yield bank product: (a) a checking account paying preferred interest rates, such as money market or indexed rates, or any other suitable interest-bearing deposit account offered by the eligible institution to its non-iolta customers. (b) for accounts with balances of $100,000 or more, a business checking account with automated investment feature, such as an overnight sweep and investment in repurchase agreements fully collateralized by U.S. Government securities as defined in paragraph (h). (c) for accounts with balances of $100,000 or more, a money market fund with, or tied to, check-writing capacity, that must be solely invested in U.S. Government securities or securities fully collateralized by U.S. Government securities, and that has total assets of at least $250 million. (4) As an alternative to the account options in paragraph (f)(3), the financial institution may pay a safe harbor yield equal to 70% of the Federal Funds Target Rate or 1.0%, whichever is higher. (5) Each lawyer or law firm shall direct the eligible financial institution to remit monthly earnings on the IOLTA account directly to the Lawyers Trust Fund of Illinois. For each individual IOLTA account, the eligible financial institution shall provide: a statement transmitted with each remittance showing the name of the lawyer or law firm directing that the remittance be sent; the account number; the remittance period; the rate RULE

141 of interest applied; the account balance on which the interest was calculated; the reasonable service fee(s) if any; the gross earnings for the remittance period; and the net amount of earnings remitted. Remittances shall be sent to the Lawyers Trust Fund electronically unless otherwise agreed. The financial institution may assess only allowable reasonable fees, as defined in paragraph (i)(8). Fees in excess of the earnings accrued on an individual IOLTA account for any month shall not be taken from earnings accrued on other IOLTA accounts or from the principal of the account. (g) A lawyer or law firm should exercise reasonable judgment in determining whether funds of a client or third person are nominal in amount or are expected to be held for a short period of time. No charge of ethical impropriety or other breach of professional conduct shall attend to a lawyer s or law firm s exercise of reasonable judgment under this rule or decision to place client funds in an IOLTA account or a non-iolta client trust account on the basis of that determination. Ordinarily, in determining the type of account into which to deposit particular funds for a client or third person, a lawyer or a law firm shall take into consideration the following factors: (1) the amount of interest which the funds would earn during the period they are expected to be held and the likelihood of delay in the relevant transaction or proceeding; (2) the cost of establishing and administering the account, including the cost of the lawyer s services; (3) the capability of the financial institution, through subaccounting, to calculate and pay interest earned by each client s funds, net of any transaction costs, to the individual client. (h) All trust accounts, whether IOLTA or non-iolta, shall be established in compliance with the following provisions on dishonored instrument notification: (1) A lawyer shall maintain trust accounts only in eligible financial institutions that have filed with the Attorney Registration and RULE 1.15 Disciplinary Commission an agreement, in a form provided by the Commission, to report to the Commission in the event any properly payable instrument is presented against a client trust account containing insufficient funds, irrespective of whether or not the instrument is honored. Any such agreement shall apply to all branches of the financial institution and shall not be canceled except upon 30 days notice in writing to the Commission. The Commission shall annually publish a list of financial institutions that have agreed to comply with this rule and shall establish rules and procedures governing amendments to the list. (2) The overdraft notification agreement shall provide that all reports made by the financial institution shall be in the following format: (a) In the case of a dishonored instrument, the report shall be identical to the overdraft notice customarily forwarded to the depositor, and should include a copy of the dishonored instrument, if such a copy is normally provided to depositors; and (b) In the case of instruments that are presented against insufficient funds but which instruments are honored, the report shall identify the financial institution, the lawyer or law firm, the account number, the date of presentation for payment and the date paid, as well as the amount of overdraft created thereby. Such reports shall be made simultaneously with, and within the time provided by law for, notice of dishonor, if any. If an instrument presented against insufficient funds is honored, then the report shall be made within five banking days of the date of presentation for payment against insufficient funds. (3) Every lawyer practicing or admitted to practice in this jurisdiction shall, as a condition thereof, be conclusively deemed to have consented to the reporting and production requirements mandated by this Rule. RULE

142 RULE 1.15 (4) Nothing herein shall preclude a financial institution from charging a particular lawyer or law firm for the reasonable cost of producing the reports and records required by paragraph (h) of this Rule. Fees charged for the reasonable cost of producing the reports and records required by paragraph (h) are the sole responsibility of the lawyer or law firm, and are not allowable reasonable fees for IOLTA accounts as those are defined in paragraph (i)(8). (i) Definitions (1) Funds denotes any form of money, including cash, payment instruments such as checks, money orders or sales drafts, and electronic fund transfers. (2) IOLTA account means a pooled interest- or dividend-bearing client trust account, established with an eligible financial institution with the Lawyers Trust Fund of Illinois designated as income beneficiary, for the deposit of nominal or short-term funds of clients or third persons as defined in paragraph (f) and from which funds may be withdrawn upon request as soon as permitted by law. (3) Eligible financial institution is a bank or a savings bank insured by the Federal Deposit Insurance Corporation or an openend investment company registered with the Securities and Exchange Commission that agrees to provide dishonored instrument notification regarding any type of client trust account as provided in paragraph (h) of this Rule; and that with respect to IOLTA accounts, offers IOLTA accounts within the requirements of paragraph (f) of this Rule. (4) Properly payable refers to an instrument which, if presented in the normal course of business, is in a form requiring payment under the laws of this jurisdiction. (5) Money market fund is an investment company registered under the Investment Company Act of 1940, as amended, that is qualified to hold itself out to investors as a money market fund or the equivalent of a money market fund under Rules and Regulations adopted by the Securities and Exchange Commission pursuant to said Act. (6) U.S. Government securities refers to U.S. Treasury obligations and obligations issued by or guaranteed as to principal and interest by any AAA-rated United States agency or instrumentality thereof. A daily overnight financial repurchase agreement ( repo ) may be established only with an institution that is deemed to be well capitalized or adequately capitalized as defined by applicable federal statutes and regulations. (7) Safe harbor is a yield that if paid by the financial institution on IOLTA accounts shall be deemed as a comparable return in compliance with this Rule. Such yield shall be calculated as 70% of the Federal Funds Target Rate as reported in the Wall Street Journal on the first business day of the calendar month. (8) Allowable reasonable fees for IOLTA accounts are per-check charges, per deposit charges, a fee in lieu of a minimum balance, federal deposit insurance fees, automated investment ( sweep ) fees, and a reasonable maintenance fee, if those fees are charged on comparable accounts maintained by non-iolta depositors. All other fees are the responsibility of, and may be charged to, the lawyer or law firm maintaining the IOL- TA account. (j) In the closing of a real estate transaction, a lawyer s disbursement of funds deposited but not collected shall not violate his or her duty pursuant to this Rule 1.15 if, prior to the closing, the lawyer has established a segregated Real Estate Funds Account (REFA) maintained solely for the receipt and disbursement of such funds, has deposited such funds into a REFA, and: (1) is acting as a closing agent pursuant to an insured closing letter for a title insurance company licensed in the State of Illinois and uses for such funds a segregated REFA maintained solely for such title insurance business; or (2) has met the good-funds requirements. The good-funds requirements shall be RULE

143 met if the bank in which the REFA was established has agreed in a writing directed to the lawyer to honor all disbursement orders drawn on that REFA for all transactions up to a specified dollar amount not less than the total amount being deposited in good funds. Good funds shall include only the following forms of deposits: (a) a certified check, (b) a check issued by the State of Illinois, the United States, or a political subdivision of the State of Illinois or the United States, (c) a cashier s check, teller s check, bank money order, or official bank check drawn on or issued by a financial institution insured by the Federal Deposit Insurance Corporation or a comparable agency of the federal or state government, (d) a check drawn on the trust account of any lawyer or real estate broker licensed under the laws of any state, (e) a personal check or checks in an aggregate amount not exceeding $5,000 per closing if the lawyer making the deposit has reasonable and prudent grounds to believe that the deposit will be irrevocably credited to the REFA, (f) a check drawn on the account of or issued by a lender approved by the United States Department of Housing and Urban Development as either a supervised or a nonsupervised mortgagee as defined in 24 C.F.R , (g) a check from a title insurance company licensed in the State of Illinois, or from a title insurance agent of the title insurance company, provided that the title insurance company has guaranteed the funds of that title insurance agent. Without limiting the rights of the lawyer against any person, it shall be the responsibility of the disbursing lawyer to reimburse the trust account for such funds that are not collected and for any fees, charges and interest assessed by the paying bank on account of such funds being uncollected. (Adopted July 1, 2009, effective January 1, 2010; amended July 1, 2011, effective September 1, 2011.) Comment [1] A lawyer should hold property of others with the care required of a professional fiduciary. Securities should be kept in a safe deposit box, RULE 1.15 except when some other form of safekeeping is warranted by special circumstances. All property that is the property of clients or third persons, including prospective clients, must be kept separate from the lawyer s business and personal property and, if monies, in one or more client trust accounts. Client trust accounts should be made identifiable through their designation as client trust account or client funds account or words of similar import indicating the fiduciary nature of the account. Separate trust accounts may be warranted when administering estate monies or acting in similar fiduciary capacities. A lawyer should maintain on a current basis complete records of client trust account funds as required by paragraph (a), including subparagraphs (1) through (8). These requirements articulate recordkeeping principles that provide direction to a lawyer in the handling of funds entrusted to the lawyer by a client or third person. Compliance with these requirements will benefit the attorney and the client or third party as these fiduciary funds will be safeguarded and documentation will be available to fulfill the lawyer s fiduciary obligation to provide an accounting to the owners of the funds and to refute any charge that the funds were handled improperly. [2] While normally it is impermissible to commingle the lawyer s own funds with client funds, paragraph (b) provides that it is permissible when necessary to pay bank service charges on that account. Accurate records must be kept regarding which part of the funds are the lawyer s. [3] Lawyers often receive funds from which the lawyer s fee will be paid. The lawyer is not required to remit to the client funds that the lawyer reasonably believes represent fees owed. However, a lawyer may not hold funds to coerce a client into accepting the lawyer s contention. The disputed portion of the funds must be kept in a trust account and the lawyer should suggest means for prompt resolution of the dispute, such as arbitration. The undisputed portion of the funds shall be promptly distributed. Specific guidance concerning client trust accounts is provided in the Client Trust Account Handbook published by the Illinois Attorney Registration RULE

144 RULE 1.15 and Disciplinary Commission as well as on the website of the Illinois Attorney Registration and Disciplinary Commission. [3A] Paragraph (c) relates to legal fees and expenses that have been paid in advance. The reasonableness, structure, and division of legal fees are governed by Rule 1.5 and other applicable law. [3B] Paragraph (c) must be read in conjunction with Dowling v. Chicago Options Associates, Inc., 226 Ill. 2d 277 (2007). In Dowling, the Court distinguished different types of retainers. It recognized advance payment retainers and approved their use in limited circumstances where the lawyer and client agree that a retainer should become the property of the lawyer upon payment. Prior to Dowling, the Court recognized only two types of retainers. The first, a general retainer (also described as a true, engagement, or classic retainer) is paid by a client to the lawyer in order to ensure the lawyer s availability during a specific period of time or for a specific matter. This type of retainer is earned when paid and immediately becomes property of the lawyer, regardless of whether the lawyer ever actually performs any services for the client. The second, a security retainer, secures payment for future services and expense, and must be deposited in a client trust account pursuant to paragraph (a). Funds in a security retainer remain the property of the client until applied for services rendered or expenses incurred. Any unapplied funds are refunded to the client. Any written retainer agreement should clearly define the kind of retainer being paid. If the parties agree that the client will pay a security retainer, that term should be used in any written agreement, which should also provide that the funds remain the property of the client until applied for services rendered or expenses incurred and that the funds will be deposited in a client trust account. If the parties intent is not evident, an agreement for a retainer will be construed as providing for a security retainer. [3C] An advance payment retainer is a present payment to the lawyer in exchange for the commitment to provide legal services in the future. Ownership of this retainer passes to the lawyer immediately upon payment; and the retainer may not be deposited into a client trust account because a lawyer may not commingle property of a client with the lawyer s own property. However, any portion of an advance payment retainer that is not earned must be refunded to the client. An advance payment retainer should be used sparingly, only when necessary to accomplish a purpose for the client that cannot be accomplished by using a security retainer. An advance payment retainer agreement must be in a written agreement signed by the client that contains the elements listed in paragraph (c). An advance payment retainer is distinguished from a fixed fee (also described as a flat or lump-sum fee), where the lawyer agrees to provide a specific service (e.g., defense of a criminal charge, a real estate closing, or preparation of a will or trust) for a fixed amount. Unlike an advance payment retainer, a fixed fee is generally not subject to the obligation to refund any portion to the client, although a fixed fee is subject, like all fees, to the requirement of Rule 1.5(a) that a lawyer may not charge or collect an unreasonable fee. [3D] The type of retainer that is appropriate will depend on the circumstances of each case. The guiding principle in the choice of the type of retainer is protection of the client s interests. In the vast majority of cases, this will dictate that funds paid to retain a lawyer will be considered a security retainer and placed in a client trust account, pursuant to this Rule. [4] Paragraph (e) also recognizes that third parties may have lawful claims against specific funds or other property in a lawyer s custody, such as a client s creditor who has a lien on funds recovered in a personal injury action. A lawyer may have a duty under applicable law to protect such third-party claims against wrongful interference by the client. In such cases, when the thirdparty claim is not frivolous under applicable law, the lawyer must refuse to surrender the property to the client until the claims are resolved. A law- RULE

145 yer should not unilaterally assume to arbitrate a dispute between the client and the third party, but, when there are substantial grounds for dispute as to the person entitled to the funds, the lawyer may file an action to have a court resolve the dispute. [5] The obligations of a lawyer under this Rule are independent of those arising from activity other than rendering legal services. For example, a lawyer who serves only as an escrow agent is governed by the applicable law relating to fiduciaries even though the lawyer does not render legal services in the transaction and is not governed by this Rule. [6] Paragraphs (a), (f) and (g) require that nominal or short-term funds belonging to clients or third persons be deposited in one or more IOLTA accounts as defined in paragraph (i)(2) and provide that the interest earned on any such accounts shall be submitted to the Lawyers Trust Fund of Illinois. The Lawyers Trust Fund of Illinois will disburse the funds so received to qualifying organizations and programs to be used for the purposes set forth in its by-laws. The purposes of the Lawyers Trust Fund of Illinois may not be changed without the approval of the Supreme Court of Illinois. The decision as to whether funds are nominal or short-term shall be in the reasonable judgment of the depositing lawyer or law firm. Client and third-person funds that are neither nominal or short-term shall be deposited in separate, interest- or dividendbearing client trust accounts for the benefit of the client as set forth in paragraphs (a) and (f). [7] Paragraph (h) requires that lawyers maintain trust accounts only in financial institutions that have agreed to report trust account overdrafts to the ARDC. The trust account overdraft notification program is intended to provide early detection of problems in lawyers trust accounts, so that errors by lawyers and/or banks may be corrected and serious lawyer transgressions pursued. [8] Paragraph (i) provides definitions that pertain specifically to Rule Paragraph (1) defines expansively the meaning of funds, to include any form of money, including electronic fund transfers. Paragraph (2) defines an IOLTA account and paragraph (3) defines an eligible fi- RULE 1.16 nancial institution for purposes of the overdraft notification and IOLTA programs. Paragraph (4) defines properly payable, a term used in the overdraft notification provisions in paragraph (h)(1). Paragraphs (5) through (8) define terms pertaining to IOLTA accounts. [9] Paragraph (j) applies only to the closing of real estate transactions and adopts the goodfunds doctrine. That doctrine provides for the disbursement of funds deposited but not yet collected if the lawyer has already established an appropriate Real Estate Funds Account and otherwise fulfills all of the requirements contained in the Rule. (Adopted July 1, 2009, effective January 1, 2010; amended July 1, 2011, effective September 1, 2011.) RULE 1.16 Declining or Terminating Representation (a) Except as stated in paragraph (c), a lawyer shall not represent a client or, where representation has commenced, shall withdraw from the representation of a client if: (1) the representation will result in violation of the Rules of Professional Conduct or other law; (2) the lawyer s physical or mental condition materially impairs the lawyer s ability to represent the client; or (3) the lawyer is discharged. (b) Except as stated in paragraph (c), a lawyer may withdraw from representing a client if: (1) withdrawal can be accomplished without material adverse effect on the interests of the client; (2) the client persists in a course of action involving the lawyer s services that the lawyer reasonably believes is criminal or fraudulent; (3) the client has used the lawyer s services to perpetrate a crime or fraud; (4) the client insists upon taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement; (5) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer s services and has been given reason- RULE

146 RULE 1.16 able warning that the lawyer will withdraw unless the obligation is fulfilled; (6) the representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or (7) other good cause for withdrawal exists. (c) A lawyer must comply with applicable law requiring notice to or permission of a tribunal when terminating a representation. When ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding good cause for terminating the representation. (d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client s interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payment of fee or expense that has not been earned or incurred. The lawyer may retain papers relating to the client to the extent permitted by other law. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] A lawyer should not accept representation in a matter unless it can be performed competently, promptly, without improper conflict of interest and to completion. Ordinarily, a representation in a matter is completed when the agreed-upon assistance has been concluded. See Rules 1.2(c) and 6.5. See also Rule 1.3, Comment [4]. Mandatory Withdrawal [2] A lawyer ordinarily must decline or withdraw from representation if the client demands that the lawyer engage in conduct that is illegal or violates the Rules of Professional Conduct or other law. The lawyer is not obliged to decline or withdraw simply because the client suggests such a course of conduct; a client may make such a suggestion in the hope that a lawyer will not be constrained by a professional obligation. [3] When a lawyer has been appointed to represent a client, withdrawal ordinarily requires approval of the appointing authority. See also Rule 6.2. Similarly, court approval or notice to the court is often required by applicable law before a lawyer withdraws from pending litigation. Difficulty may be encountered if withdrawal is based on the client s demand that the lawyer engage in unprofessional conduct. The court may request an explanation for the withdrawal, while the lawyer may be bound to keep confidential the facts that would constitute such an explanation. The lawyer s statement that professional considerations require termination of the representation ordinarily should be accepted as sufficient. Lawyers should be mindful of their obligations to both clients and the court under Rules 1.6 and 3.3. Discharge [4] A client has a right to discharge a lawyer at any time, with or without cause, subject to liability for payment for the lawyer s services. Where future dispute about the withdrawal may be anticipated, it may be advisable to prepare a written statement reciting the circumstances. [5] Whether a client can discharge appointed counsel may depend on applicable law. A client seeking to do so should be given a full explanation of the consequences. These consequences may include a decision by the appointing authority that appointment of successor counsel is unjustified, thus requiring self-representation by the client. [6] If the client has severely diminished capacity, the client may lack the legal capacity to discharge the lawyer, and in any event the discharge may be seriously adverse to the client s interests. The lawyer should make special effort to help the client consider the consequences and may take reasonably necessary protective action as provided in Rule Optional Withdrawal [7] A lawyer may withdraw from representation in some circumstances. The lawyer has the option to withdraw if it can be accomplished without material adverse effect on the client s interests. Withdrawal is also justified if the client persists in a course of action that the lawyer reasonably believes is criminal or fraudulent, for a lawyer is not required to be associated with such conduct even if the lawyer does not further it. RULE

147 Withdrawal is also permitted if the lawyer s services were misused in the past even if that would materially prejudice the client. The lawyer may also withdraw where the client insists on taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement. [8] A lawyer may withdraw if the client refuses to abide by the terms of an agreement relating to the representation, such as an agreement concerning fees or court costs or an agreement limiting the objectives of the representation. Assisting The Client Upon Withdrawal [9] Even if the lawyer has been unfairly discharged by the client, a lawyer must take all reasonable steps to mitigate the consequences to the client. The lawyer may retain papers as security for a fee only to the extent permitted by law. See Rule Refund Of Unearned Fees [10] See Comments [3B] through [3D] to Rule 1.15 and Rule 1.16(d). (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.17 Sale of Law Practice A lawyer or a law firm may sell or purchase, and the estate of a deceased lawyer or the guardian or authorized representative of a disabled lawyer may sell, a law practice, including good will, if the following conditions are satisfied: (a) The seller ceases to engage in the private practice of law in the geographic area in which the practice has been conducted; (b) The entire practice is sold to one or more lawyers or law firms; (c) The seller gives written notice to each of the seller s clients regarding: (1) the proposed sale; (2) the client s right to retain other counsel or to take possession of the file; and (3) the fact that the client s consent to the transfer of the client s files will be presumed if the client does not take any action or does not otherwise object within ninety (90) days of receipt of the notice. If a client cannot be given notice, the representation of that client may be transferred to the RULE 1.17 purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller may disclose to the court in camera information relating to the representation only to the extent necessary to obtain an order authorizing the transfer of a file. (d) The fees charged clients shall not be increased by reason of the sale. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] The practice of law is a profession, not merely a business. Clients are not commodities that can be purchased and sold at will. Pursuant to this Rule, when a lawyer or an entire firm ceases to practice and other lawyers or firms take over the representation, the selling lawyer or firm may obtain compensation for the reasonable value of the practice as may withdrawing partners of law firms. See Rules 5.4 and 5.6. Termination Of Practice By The Seller [2] The requirement that all of the private practice be sold is satisfied if the seller in good faith makes the entire practice available for sale to the purchasers. The fact that a number of the seller s clients decide not to be represented by the purchasers but take their matters elsewhere, therefore, does not result in a violation. Return to private practice as a result of an unanticipated change in circumstances does not necessarily result in a violation. For example, a lawyer who has sold the practice to accept an appointment to judicial office does not violate the requirement that the sale be attendant to cessation of practice if the lawyer later resumes private practice upon being defeated in a contested or a retention election for the office or resigns from a judiciary position. [3] The requirement that the seller cease to engage in the private practice of law does not prohibit employment as a lawyer on the staff of a public agency or a legal services entity that provides legal services to the poor, or as in-house counsel to a business. [4] The Rule permits a sale of an entire practice attendant upon retirement from the private practice of law within the jurisdiction. Its provisions, therefore, accommodate the lawyer who RULE

148 RULE 1.17 sells the practice on the occasion of moving to another state. Some states, like Illinois, are so large that a move from one locale therein to another is tantamount to leaving the jurisdiction in which the lawyer has engaged in the practice of law. To also accommodate lawyers so situated, the Rule also permits the sale of the practice when the lawyer leaves the geographic area rather than the jurisdiction. In such cases, it is advisable for the parties agreement to define the geographic area. [5] Reserved. Sale Of Entire Practice [6] The Rule requires that the seller s entire practice be sold. The prohibition against sale of less than an entire practice protects those clients whose matters are less lucrative and who might find it difficult to secure other counsel if a sale could be limited to substantial fee-generating matters. The purchasers are required to undertake all client matters in the practice, subject to client consent. This requirement is satisfied, however, even if a purchaser is unable to undertake a particular client matter because of a conflict of interest. Client Confidences, Consent And Notice [7] Negotiations between seller and prospective purchaser prior to disclosure of information relating to a specific representation of an identifiable client no more violate the confidentiality provisions of Rule 1.6 than do preliminary discussions concerning the possible association of another lawyer or mergers between firms, with respect to which client consent is not required. Providing the purchaser access to client-specific information relating to the representation and to the file, however, requires client consent. The Rule provides that before such information can be disclosed by the seller to the purchaser the client must be given actual written notice of the contemplated sale, including the identity of the purchaser, and must be told that the decision to consent or make other arrangements must be made within 90 days. If nothing is heard from the client within that time, consent to the sale is presumed. [8] A lawyer or law firm ceasing to practice cannot be required to remain in practice because some clients cannot be given actual notice of the proposed purchase. Since these clients cannot themselves consent to the purchase or direct any other disposition of their files, the Rule requires an order from a court having jurisdiction authorizing their transfer or other disposition. The Court can be expected to determine whether reasonable efforts to locate the client have been exhausted, and whether the absent client s legitimate interests will be served by authorizing the transfer of the file so that the purchaser may continue the representation. Preservation of client confidences requires that the petition for a court order be considered in camera. [9] All elements of client autonomy, including the client s absolute right to discharge a lawyer and transfer the representation to another, survive the sale of the practice. Fee Arrangements Between Client And Purchaser [10] The sale may not be financed by increases in fees charged the clients of the practice. Existing arrangements between the seller and the client as to fees and the scope of the work must be honored by the purchaser. Other Applicable Ethical Standards [11] Lawyers participating in the sale of a law practice are subject to the ethical standards applicable to involving another lawyer in the representation of a client. These include, for example, the seller s obligation to exercise competence in identifying a purchaser qualified to assume the practice and the purchaser s obligation to undertake the representation competently (see Rule 1.1); the obligation to avoid disqualifying conflicts, and to secure the client s informed consent for those conflicts that can be agreed to (see Rule 1.7 regarding conflicts and Rule 1.0(e) for the definition of informed consent); and the obligation to protect information relating to the representation (see Rules 1.6 and 1.9). [12] If approval of the substitution of the purchasing lawyer for the selling lawyer is required by the rules of any tribunal in which a matter is pending, such approval must be obtained before RULE

149 the matter can be included in the sale (see Rule 1.16). Applicability Of The Rule [13] This Rule includes the sale of a law practice of a deceased or disabled lawyer. Thus, the seller may be represented by a nonlawyer representative not subject to these Rules. Since, however, no lawyer may participate in a sale of a law practice which does not conform to the requirements of this Rule, the representatives of the seller as well as the purchasing lawyer can be expected to see to it that they are met. [14] Admission to or retirement from a law partnership or professional association, retirement plans and similar arrangements, and a sale of tangible assets of a law practice, do not constitute a sale or purchase governed by this Rule. [15] This Rule does not apply to the transfers of legal representation between lawyers when such transfers are unrelated to the sale of a practice. (Adopted July 1, 2009, effective January 1, 2010.) RULE 1.18 Duties to Prospective Client (a) A person who discusses with a lawyer the possibility of forming a client-lawyer relationship with respect to a matter is a prospective client. (b) Even when no client-lawyer relationship ensues, a lawyer who has had discussions with a prospective client shall not use or reveal information learned in the consultation, except as Rule 1.9 would permit with respect to information of a former client. (c) A lawyer subject to paragraph (b) shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter, except as provided in paragraph (d). If a lawyer is disqualified from representation under this paragraph, no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter, except as provided in paragraph (d). (d) When the lawyer has received disqualifying information as defined in paragraph (c), representation is permissible if: RULE 1.18 (1) both the affected client and the prospective client have given informed consent, or (2) the lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client; and that lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Prospective clients, like clients, may disclose information to a lawyer, place documents or other property in the lawyer s custody, or rely on the lawyer s advice. A lawyer s discussions with a prospective client usually are limited in time and depth and leave both the prospective client and the lawyer free (and sometimes required) to proceed no further. Hence, prospective clients should receive some but not all of the protection afforded clients. [2] Not all persons who communicate information to a lawyer are entitled to protection under this Rule. A person who communicates information unilaterally to a lawyer, without any reasonable expectation that the lawyer is willing to discuss the possibility of forming a clientlawyer relationship, is not a prospective client within the meaning of paragraph (a). [3] It is often necessary for a prospective client to reveal information to the lawyer during an initial consultation prior to the decision about formation of a client-lawyer relationship. The lawyer often must learn such information to determine whether there is a conflict of interest with an existing client and whether the matter is one that the lawyer is willing to undertake. Paragraph (b) prohibits the lawyer from using or revealing that information, except as permitted by Rule 1.9, even if the client or lawyer decides not to proceed with the representation. The duty exists regardless of how brief the initial conference may be. [4] In order to avoid acquiring disqualifying information from a prospective client, a lawyer considering whether or not to undertake a new matter should limit the initial interview to only RULE

150 RULE 2.1 such information as reasonably appears necessary for that purpose. Where the information indicates that a conflict of interest or other reason for nonrepresentation exists, the lawyer should so inform the prospective client or decline the representation. If the prospective client wishes to retain the lawyer, and if consent is possible under Rule 1.7, then consent from all affected present or former clients must be obtained before accepting the representation. [5] A lawyer may condition conversations with a prospective client on the person s informed consent that no information disclosed during the consultation will prohibit the lawyer from representing a different client in the matter. See Rule 1.0(e) for the definition of informed consent. If the agreement expressly so provides, the prospective client may also consent to the lawyer s subsequent use of information received from the prospective client. [6] Even in the absence of an agreement, under paragraph (c), the lawyer is not prohibited from representing a client with interests adverse to those of the prospective client in the same or a substantially related matter unless the lawyer has received from the prospective client information that could be significantly harmful if used in the matter. [7] Under paragraph (c), the prohibition in this Rule is imputed to other lawyers as provided in Rule 1.10, but, under paragraph (d)(1), imputation may be avoided if the lawyer obtains the informed consent of both the prospective and affected clients. In the alternative, imputation may be avoided if the conditions of paragraph (d)(2) are met and all disqualified lawyers are timely screened. See Rule 1.0(k) (requirements for screening procedures). Paragraph (d)(2) does not prohibit the screened lawyer from receiving a salary or partnership share established by independent agreement, but that lawyer may not receive compensation directly related to the matter in which the lawyer is disqualified. [8] Reserved. [9] For the duty of competence of a lawyer who gives assistance on the merits of a matter to a prospective client, see Rule 1.1. For a lawyer s duties when a prospective client entrusts valuables or papers to the lawyer s care, see Rule (Adopted July 1, 2009, effective January 1, 2010.) RULE 2.1 Advisor In representing a client, a lawyer shall exercise independent professional judgment and render candid advice. In rendering advice, a lawyer may refer not only to law but to other considerations such as moral, economic, social and political factors, that may be relevant to the client s situation. (Adopted July 1, 2009, effective January 1, 2010.) Comment Scope Of Advice [1] A client is entitled to straightforward advice expressing the lawyer s honest assessment. Legal advice often involves unpleasant facts and alternatives that a client may be disinclined to confront. In presenting advice, a lawyer endeavors to sustain the client s morale and may put advice in as acceptable a form as honesty permits. However, a lawyer should not be deterred from giving candid advice by the prospect that the advice will be unpalatable to the client. [2] Advice couched in narrow legal terms may be of little value to a client, especially where practical considerations, such as cost or effects on other people, are predominant. Purely technical legal advice, therefore, can sometimes be inadequate. It is proper for a lawyer to refer to relevant moral and ethical considerations in giving advice. Although a lawyer is not a moral advisor as such, moral and ethical considerations impinge upon most legal questions and may decisively influence how the law will be applied. [3] A client may expressly or impliedly ask the lawyer for purely technical advice. When such a request is made by a client experienced in legal matters, the lawyer may accept it at face value. When such a request is made by a client inexperienced in legal matters, however, the lawyer s responsibility as advisor may include indicating that more may be involved than strictly legal considerations. [4] Matters that go beyond strictly legal questions may also be in the domain of another profession. Family matters can involve problems RULE

151 within the professional competence of psychiatry, clinical psychology or social work; business matters can involve problems within the competence of the accounting profession or of financial specialists. Where consultation with a professional in another field is itself something a competent lawyer would recommend, the lawyer should make such a recommendation. At the same time, a lawyer s advice at its best often consists of recommending a course of action in the face of conflicting recommendations of experts. Offering Advice [5] In general, a lawyer is not expected to give advice until asked by the client. However, when a lawyer knows that a client proposes a course of action that is likely to result in substantial adverse legal consequences to the client, the lawyer s duty to the client under Rule 1.4 may require that the lawyer offer advice if the client s course of action is related to the representation. A lawyer ordinarily has no duty to initiate investigation of a client s affairs or to give advice that the client has indicated is unwanted, but a lawyer may initiate advice to a client when doing so appears to be in the client s interest. (Adopted July 1, 2009, effective January 1, 2010.) RULE 2.2 Reserved RULE 2.3 Evaluation for Use by Third Persons (a) A lawyer may provide an evaluation of a matter affecting a client for the use of someone other than the client if the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer s relationship with the client. (b) When the lawyer knows or reasonably should know that the evaluation is likely to affect the client s interests materially and adversely, the lawyer shall not provide the evaluation unless the client gives informed consent. (c) Except as disclosure is authorized in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by Rule 1.6. (Adopted July 1, 2009, effective January 1, 2010.) RULE 2.2 Comment Definition [1] An evaluation may be performed at the client s direction or when impliedly authorized in order to carry out the representation. See Rule 1.2. Such an evaluation may be for the primary purpose of establishing information for the benefit of third parties; for example, an opinion concerning the title of property rendered at the behest of a vendor for the information of a prospective purchaser, or at the behest of a borrower for the information of a prospective lender. In some situations, the evaluation may be required by a government agency; for example, an opinion concerning the legality of the securities registered for sale under the securities laws. In other instances, the evaluation may be required by a third person, such as a purchaser of a business. [2] A legal evaluation should be distinguished from an investigation of a person with whom the lawyer does not have a client-lawyer relationship. For example, a lawyer retained by a purchaser to analyze a vendor s title to property does not have a client-lawyer relationship with the vendor. So also, an investigation into a person s affairs by a government lawyer, or by special counsel by a government lawyer, or by special counsel employed by the government, is not an evaluation as that term is used in this Rule. The question is whether the lawyer is retained by the person whose affairs are being examined. When the lawyer is retained by that person, the general rules concerning loyalty to client and preservation of confidences apply, which is not the case if the lawyer is retained by someone else. For this reason, it is essential to identify the person by whom the lawyer is retained. This should be made clear not only to the person under examination, but also to others to whom the results are to be made available. Duties Owed To Third Person And Client [3] When the evaluation is intended for the information or use of a third person, a legal duty to that person may or may not arise. That legal question is beyond the scope of this Rule. However, since such an evaluation involves a departure from the normal client-lawyer relationship, careful analysis of the situation is required. RULE

152 RULE 2.4 The lawyer must be satisfied as a matter of professional judgment that making the evaluation is compatible with other functions undertaken in behalf of the client. For example, if the lawyer is acting as advocate in defending the client against charges of fraud, it would normally be incompatible with that responsibility for the lawyer to perform an evaluation for others concerning the same or a related transaction. Assuming no such impediment is apparent, however, the lawyer should advise the client of the implications of the evaluation, particularly the lawyer s responsibilities to third persons and the duty to disseminate the findings. Access To And Disclosure Of Information [4] The quality of an evaluation depends on the freedom and extent of the investigation upon which it is based. Ordinarily a lawyer should have whatever latitude of investigation seems necessary as a matter of professional judgment. Under some circumstances, however, the terms of the evaluation may be limited. For example, certain issues or sources may be categorically excluded, or the scope of search may be limited by time constraints or the noncooperation of persons having relevant information. Any such limitations that are material to the evaluation should be described in the report. If after a lawyer has commenced an evaluation, the client refuses to comply with the terms upon which it was understood the evaluation was to have been made, the lawyer s obligations are determined by law, having reference to the terms of the client s agreement and the surrounding circumstances. In no circumstances is the lawyer permitted to knowingly make a false statement of material fact or law in providing an evaluation under this Rule. See Rule 4.1. Obtaining Client s Informed Consent [5] Information relating to an evaluation is protected by Rule 1.6. In many situations, providing an evaluation to a third party poses no significant risk to the client; thus, the lawyer may be impliedly authorized to disclose information to carry out the representation. See Rule 1.6(a). Where, however, it is reasonably likely that providing the evaluation will affect the client s interests materially and adversely, the lawyer must first obtain the client s consent after the client has been adequately informed concerning the important possible effects on the client s interests. See Rules 1.6(a) and 1.0(e). Financial Auditors Requests For Information [6] When a question concerning the legal situation of a client arises at the instance of the client s financial auditor and the question is referred to the lawyer, the lawyer s response may be made in accordance with procedures recognized in the legal profession. Such a procedure is set forth in the American Bar Association Statement of Policy Regarding Lawyers Responses to Auditors Requests for Information, adopted in (Adopted July 1, 2009, effective January 1, 2010.) RULE 2.4 Lawyer Serving as Third-Party Neutral (a) A lawyer serves as a third-party neutral when the lawyer assists two or more persons who are not clients of the lawyer to reach a resolution of a dispute or other matter that has arisen between them. Service as a third-party neutral may include service as an arbitrator, a mediator or in such other capacity as will enable the lawyer to assist the parties to resolve the matter. (b) A lawyer serving as a third-party neutral shall inform unrepresented parties that the lawyer is not representing them and shall explain to them the difference between the lawyer s role as a third-party neutral and a lawyer s role as one who represents a client. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Alternative dispute resolution has become a substantial part of the civil justice system. Aside from representing clients in disputeresolution processes, lawyers often serve as thirdparty neutrals. A third-party neutral is a person, such as a mediator, arbitrator, conciliator or evaluator, who assists the parties, represented or unrepresented, in the resolution of a dispute or in the arrangement of a transaction. Whether a third-party neutral serves primarily as a facilitator, evaluator or decision maker depends on the RULE

153 particular process that is either selected by the parties or mandated by a court. [2] The role of a third-party neutral is not unique to lawyers, although, in some courtconnected contexts, only lawyers are allowed to serve in this role or to handle certain types of cases. In performing this role, the lawyer may be subject to court rules or other law that apply either to third-party neutrals generally or to lawyers serving as third-party neutrals. Lawyer-neutrals may also be subject to various codes of ethics. [3] Unlike nonlawyers who serve as thirdparty neutrals, lawyers serving in this role may experience unique problems as a result of differences between the role of a third-party neutral and a lawyer s service as a client representative. The potential for confusion is significant when the parties are unrepresented in the process. Thus, paragraph (b) requires a lawyer-neutral to inform unrepresented parties that the lawyer is not representing them. For some parties, particularly parties who frequently use disputeresolution processes, this information will be sufficient. For others, particularly those who are using the process for the first time, more information will be required. The lawyer should inform unrepresented parties of the important differences between the lawyer s role as third-party neutral and a lawyer s role as a client representative, including the inapplicability of the attorneyclient evidentiary privilege. The extent of disclosure required under this paragraph will depend on the particular parties involved and the subject matter of the proceeding, as well as the particular features of the dispute-resolution process selected. [4] A lawyer who serves as a third-party neutral subsequently may be asked to serve as a lawyer representing a client in the same matter. The conflicts of interest that arise for both the individual lawyer and the lawyer s law firm are addressed in Rule [5] Lawyers who represent clients in alternative dispute-resolution processes are governed by the Rules of Professional Conduct. When the dispute-resolution process takes place before a tribunal, as in binding arbitration (see Rule 1.0(m)), the lawyer s duty of candor is governed RULE 3.1 by Rule 3.3. Otherwise, the lawyer s duty of candor toward both the third-party neutral and other parties is governed by Rule 4.1. (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.1 Meritorious Claims and Contentions A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous, which includes a good-faith argument for an extension, modification or reversal of existing law. A lawyer for the defendant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may nevertheless so defend the proceeding as to require that every element of the case be established. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] The advocate has a duty to use legal procedure for the fullest benefit of the client s cause, but also a duty not to abuse legal procedure. The law, both procedural and substantive, establishes the limits within which an advocate may proceed. However, the law is not always clear and never is static. Accordingly, in determining the proper scope of advocacy, account must be taken of the law s ambiguities and potential for change. [2] The filing of an action or defense or similar action taken for a client is not frivolous merely because the facts have not first been fully substantiated or because the lawyer expects to develop vital evidence only by discovery. What is required of lawyers, however, is that they inform themselves about the facts of their clients cases and the applicable law and determine that they can make good-faith arguments in support of their clients positions. Such action is not frivolous even though the lawyer believes that the client s position ultimately will not prevail. The action is frivolous, however, if the lawyer is unable either to make a good-faith argument on the merits of the action taken or to support the action taken by a good-faith argument for an extension, modification or reversal of existing law. [3] The lawyer s obligations under this Rule are subordinate to federal or state constitutional RULE

154 RULE 3.2 law that entitles a defendant in a criminal matter to the assistance of counsel in presenting a claim or contention that otherwise would be prohibited by this Rule. (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.2 Expediting Litigation A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of the client. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Dilatory practices bring the administration of justice into disrepute. Although there will be occasions when a lawyer may properly seek a postponement for personal reasons, it is not proper for a lawyer to routinely fail to expedite litigation solely for the convenience of the advocates. Nor will a failure to expedite be reasonable if done for the purpose of frustrating an opposing party s attempt to obtain rightful redress or repose. It is not a justification that similar conduct is often tolerated by the bench and bar. The question is whether a competent lawyer acting in good faith would regard the course of action as having some substantial purpose other than delay. Realizing financial or other benefit from otherwise improper delay in litigation is not a legitimate interest of the client. (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.3 Candor Toward the Tribunal (a) A lawyer shall not knowingly: (1) make a false statement of fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer; (2) fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or (3) offer evidence that the lawyer knows to be false. If a lawyer, the lawyer s client, or a witness called by the lawyer, has offered material evidence and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures, including, if RULE necessary, disclosure to the tribunal. A lawyer may refuse to offer evidence, other than the testimony of a defendant in a criminal matter, that the lawyer reasonably believes is false. (b) A lawyer who represents a client in an adjudicative proceeding and who knows that a person intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. (c) The duties stated in paragraphs (a) and (b) continue to the conclusion of the proceeding, and apply even if compliance requires disclosure of information otherwise protected by Rule 1.6. (d) In an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] This Rule governs the conduct of a lawyer who is representing a client in the proceedings of a tribunal. See Rule 1.0(m) for the definition of tribunal. It also applies when the lawyer is representing a client in an ancillary proceeding conducted pursuant to the tribunal s adjudicative authority, such as a deposition. Thus, for example, paragraph (a)(3) requires a lawyer to take reasonable remedial measures if the lawyer comes to know that a client who is testifying in a deposition has offered evidence that is false. [2] This Rule sets forth the special duties of lawyers as officers of the court to avoid conduct that undermines the integrity of the adjudicative process. A lawyer acting as an advocate in an adjudicative proceeding has an obligation to present the client s case with persuasive force. Performance of that duty while maintaining confidences of the client, however, is qualified by the advocate s duty of candor to the tribunal. Consequently, although a lawyer in an adversary proceeding is not required to present an impartial exposition of the law or to vouch for the evidence submitted in a cause, the lawyer must not allow the tribunal to be misled by false statements of

155 law or fact or evidence that the lawyer knows to be false. Representations By A Lawyer [3] An advocate is responsible for pleadings and other documents prepared for litigation, but is usually not required to have personal knowledge of matters asserted therein, for litigation documents ordinarily present assertions by the client, or by someone on the client s behalf, and not assertions by the lawyer. Compare Rule 3.1. However, an assertion purporting to be on the lawyer s own knowledge, as in an affidavit by the lawyer or in a statement in open court, may properly be made only when the lawyer knows the assertion is true or believes it to be true on the basis of a reasonably diligent inquiry. There are circumstances where failure to make a disclosure is the equivalent of an affirmative misrepresentation. The obligation prescribed in Rule 1.2(d) not to counsel a client to commit or assist the client in committing a fraud applies in litigation. Regarding compliance with Rule 1.2(d), see the Comment to that Rule. See also the Comment to Rule 8.4 (b). Legal Argument [4] Legal argument based on a knowingly false representation of law constitutes dishonesty toward the tribunal. A lawyer is not required to make a disinterested exposition of the law, but must recognize the existence of pertinent legal authorities. Furthermore, as stated in paragraph (a)(2), an advocate has a duty to disclose directly adverse authority in the controlling jurisdiction that has not been disclosed by the opposing party. The underlying concept is that legal argument is a discussion seeking to determine the legal premises properly applicable to the case. Offering Evidence [5] Paragraph (a)(3) requires that the lawyer refuse to offer evidence that the lawyer knows to be false, regardless of the client s wishes. This duty is premised on the lawyer s obligation as an officer of the court to prevent the trier of fact from being misled by false evidence. A lawyer does not violate this Rule if the lawyer offers the evidence for the purpose of establishing its falsity. RULE 3.3 [6] If a lawyer knows that the client intends to testify falsely or wants the lawyer to introduce false evidence, the lawyer should seek to persuade the client that the evidence should not be offered. If the persuasion is ineffective and the lawyer continues to represent the client, the lawyer must refuse to offer the false evidence. If only a portion of a witness s testimony will be false, the lawyer may call the witness to testify but may not elicit or otherwise permit the witness to present the testimony that the lawyer knows is false. [7] The duties stated in paragraphs (a) and (b) apply to all lawyers, including defense counsel in criminal cases. In some jurisdictions, however, courts have required counsel to present the accused as a witness or to give a narrative statement if the accused so desires, even if counsel knows that the testimony or statement will be false. The obligation of the advocate under the Rules of Professional Conduct is subordinate to such requirements. See also Comment [9]. [8] The prohibition against offering false evidence only applies if the lawyer knows that the evidence is false. A lawyer s reasonable belief that evidence is false does not preclude its presentation to the trier of fact. A lawyer s knowledge that evidence is false, however, can be inferred from the circumstances. See Rule 1.0(f). Thus, although a lawyer should resolve doubts about the veracity of testimony or other evidence in favor of the client, the lawyer cannot ignore an obvious falsehood. [9] Although paragraph (a)(3) only prohibits a lawyer from offering evidence the lawyer knows to be false, it permits the lawyer to refuse to offer testimony or other proof that the lawyer reasonably believes is false. Offering such proof may reflect adversely on the lawyer s ability to discriminate in the quality of evidence and thus impair the lawyer s effectiveness as an advocate. Because of the special protections historically provided criminal defendants, however, this Rule does not permit a lawyer to refuse to offer the testimony of such a client where the lawyer reasonably believes but does not know that the testimony will be false. Unless the lawyer knows the testimony will be false, the lawyer must honor RULE

156 RULE 3.3 the client s decision to testify. See also Comment [7]. Remedial Measures [10] Having offered material evidence in the belief that it was true, a lawyer may subsequently come to know that the evidence is false. Or, a lawyer may be surprised when the lawyer s client, or another witness called by the lawyer, offers testimony the lawyer knows to be false, either during the lawyer s direct examination or in response to cross-examination by the opposing lawyer. In such situations or if the lawyer knows of the falsity of testimony elicited from the client during a deposition, the lawyer must take reasonable remedial measures. In such situations, the advocate s proper course is to remonstrate with the client confidentially, advise the client of the lawyer s duty of candor to the tribunal and seek the client s cooperation with respect to the withdrawal or correction of the false statements or evidence. If that fails, the advocate must take further remedial action. If withdrawal from the representation is not permitted or will not undo the effect of the false evidence, the advocate must make such disclosure to the tribunal as is reasonably necessary to remedy the situation, even if doing so requires the lawyer to reveal information that otherwise would be protected by Rule 1.6. It is for the tribunal then to determine what should be done making a statement about the matter to the trier of fact, ordering a mistrial or perhaps nothing. [11] The disclosure of a client s false testimony can result in grave consequences to the client, including not only a sense of betrayal but also loss of the case and perhaps a prosecution for perjury. But the alternative is that the lawyer cooperate in deceiving the court, thereby subverting the truth-finding process which the adversary system is designed to implement. See Rule 1.2(d). Furthermore, unless it is clearly understood that the lawyer will act upon the duty to disclose the existence of false evidence, the client can simply reject the lawyer s advice to reveal the false evidence and insist that the lawyer keep silent. Thus the client could in effect coerce the lawyer into being a party to fraud on the court. RULE Preserving Integrity Of Adjudicative Process [12] Lawyers have a special obligation to protect a tribunal against criminal or fraudulent conduct that undermines the integrity of the adjudicative process, such as bribing, intimidating or otherwise unlawfully communicating with a witness, juror, court official or other participant in the proceeding, unlawfully destroying or concealing documents or other evidence or failing to disclose information to the tribunal when required by law to do so. Thus, paragraph (b) requires a lawyer to take reasonable remedial measures, including disclosure if necessary, whenever the lawyer knows that a person, including the lawyer s client, intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the proceeding. Duration Of Obligation [13] A practical time limit on the obligation to rectify false evidence or false statements of law and fact has to be established. The conclusion of the proceeding is a reasonably definite point for the termination of the obligation. A proceeding has concluded within the meaning of this Rule when a final judgment in the proceeding has been affirmed on appeal or the time for review has passed. Ex Parte Proceedings [14] Ordinarily, an advocate has the limited responsibility of presenting one side of the matters that a tribunal should consider in reaching a decision; the conflicting position is expected to be presented by the opposing party. However, in any ex parte proceeding, such as an application for a temporary restraining order, there is no balance of presentation by opposing advocates. The object of an ex parte proceeding is nevertheless to yield a substantially just result. The judge has an affirmative responsibility to accord the absent party just consideration. The lawyer for the represented party has the correlative duty to make disclosures of material facts known to the lawyer and that the lawyer reasonably believes are necessary to an informed decision. Withdrawal [15] Normally, a lawyer s compliance with the duty of candor imposed by this Rule does not

157 require that the lawyer withdraw from the representation of a client whose interests will be or have been adversely affected by the lawyer s disclosure. The lawyer may, however, be required by Rule 1.16(a) to seek permission of the tribunal to withdraw if the lawyer s compliance with this Rule s duty of candor results in such an extreme deterioration of the client-lawyer relationship that the lawyer can no longer competently represent the client. Also see Rule 1.16(b) for the circumstances in which a lawyer will be permitted to seek a tribunal s permission to withdraw. In connection with a request for permission to withdraw that is premised on a client s misconduct, a lawyer may reveal information relating to the representation only to the extent reasonably necessary to comply with this Rule or as otherwise permitted by Rule 1.6. (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.4 Fairness to Opposing Party and Counsel A lawyer shall not: (a) unlawfully obstruct another party s access to evidence or unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act; (b) falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law; (c) knowingly disobey an obligation under the rules of a tribunal, except for an open refusal based on an assertion that no valid obligation exists; (d) in pretrial procedure, make a frivolous discovery request or fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party; (e) in trial, allude to any matter that the lawyer does not reasonably believe is relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused; or RULE 3.4 (f) request a person other than a client to refrain from voluntarily giving relevant information to another party unless: (1) the person is a relative or an employee or other agent of a client; and (2) the lawyer reasonably believes that the person s interests will not be adversely affected by refraining from giving such information. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] The procedure of the adversary system contemplates that the evidence in a case is to be marshaled competitively by the contending parties. Fair competition in the adversary system is secured by prohibitions against destruction or concealment of evidence, improperly influencing witnesses, obstructive tactics in discovery procedure, and the like. [2] Documents and other items of evidence are often essential to establish a claim or defense. Subject to evidentiary privileges, the right of an opposing party, including the government, to obtain evidence through discovery or subpoena is an important procedural right. The exercise of that right can be frustrated if relevant material is altered, concealed or destroyed. Applicable law in many jurisdictions makes it an offense to destroy material for purpose of impairing its availability in a pending proceeding or one whose commencement can be foreseen. Falsifying evidence is also generally a criminal offense. Paragraph (a) applies to evidentiary material generally, including computerized information. Applicable law may permit a lawyer to take temporary possession of physical evidence of client crimes for the purpose of conducting a limited examination that will not alter or destroy material characteristics of the evidence. In such a case, applicable law may require the lawyer to turn the evidence over to the police or other prosecuting authority, depending on the circumstances. [3] With regard to paragraph (b), it is not improper for a lawyer to pay a witness or prospective witness the reasonable expenses incurred in providing evidence or to compensate an expert witness on terms permitted by law. Expenses paid to a witness or prospective witness RULE

158 RULE 3.5 may include reimbursement for reasonable charges for travel to the place of a deposition or hearhearing or to the place of consultation with the lawyer and for reasonable related out-of-pocket costs, such as for hotel, meals, or child care, as well as compensation for the reasonable value of time spent attending a deposition or hearing or in consulting with the lawyer. An offer or payment of expenses may not be contingent on the content of the testimony or the outcome of the litigation, or otherwise prohibited by law. [4] Paragraph (f) permits a lawyer to advise employees of a client to refrain from giving information to another party, for the employees may identify their interests with those of the client. See also Rule 4.2. (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.5 Impartiality and Decorum of the Tribunal A lawyer shall not: (a) seek to influence a judge, juror, prospective juror or other official by means prohibited by law; (b) communicate ex parte with such a person during the proceeding unless authorized to do so by law or court order; (c) communicate with a juror or prospective juror after discharge of the jury if: (1) the communication is prohibited by law or court order; (2) the juror has made known to the lawyer a desire not to communicate; or (3) the communication involves misrepresentation, coercion, duress or harassment; or (d) engage in conduct intended to disrupt a tribunal. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Many forms of improper influence upon a tribunal are proscribed by criminal law. Others are specified in the Illinois Code of Judicial Conduct, with which an advocate should be familiar. A lawyer is required to avoid contributing to a violation of such provisions. See Rule 8.4(f). [2] During a proceeding a lawyer may not communicate ex parte with persons serving in an official capacity in the proceeding, such as judges, masters or jurors, unless authorized to do so by law or court order. [3] A lawyer may on occasion want to communicate with a juror or prospective juror after the jury has been discharged. The lawyer may do so unless the communication is prohibited by law or a court order but must respect the desire of the juror not to talk with the lawyer. The lawyer may not engage in improper conduct during the communication. [4] The advocate s function is to present evidence and argument so that the cause may be decided according to law. Refraining from abusive or obstreperous conduct is a corollary of the advocate s right to speak on behalf of litigants. A lawyer may stand firm against abuse by a judge but should avoid reciprocation; the judge s default is no justification for similar dereliction by an advocate. An advocate can present the cause, protect the record for subsequent review and preserve professional integrity by patient firmness no less effectively than by belligerence or theatrics. [5] The duty to refrain from disruptive conduct applies to any proceeding of a tribunal, including a deposition. See Rule 1.0(m). (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.6 Trial Publicity (a) A lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyer knows or reasonably should know will be disseminated by means of public communication and would pose a serious and imminent threat to the fairness of an adjudicative proceeding in the matter. (b) Notwithstanding paragraph (a), a lawyer may state: (1) the claim, offense or defense involved and, except when prohibited by law, the identity of the persons involved; (2) information contained in a public record; (3) that an investigation of a matter is in progress; (4) the scheduling or result of any step in litigation; RULE

159 (5) a request for assistance in obtaining evidence and information necessary thereto; (6) a warning of danger concerning the behavior of a person involved, when there is reason to believe that there exists the likelihood of substantial harm to an individual or to the public interest; and (7) in a criminal case, in addition to subparagraphs (1) through (6): (i) the identity, residence, occupation and family status of the accused; (ii) if the accused has not been apprehended, information necessary to aid in apprehension of that person; (iii)the fact, time and place of arrest; and (iv) the identity of investigating and arresting officers or agencies and the length of the investigation. (c) Notwithstanding paragraph (a), a lawyer may make a statement that a reasonable lawyer would believe is required to protect a client from the substantial undue prejudicial effect of recent publicity not initiated by the lawyer or the lawyer s client. A statement made pursuant to this paragraph shall be limited to such information as is necessary to mitigate the recent adverse publicity. (d) No lawyer associated in a firm or government agency with a lawyer subject to paragraph (a) shall make a statement prohibited by paragraph (a). (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] It is difficult to strike a balance between protecting the right to a fair trial and safeguarding the right of free expression. Preserving the right to a fair trial necessarily entails some curtailment of the information that may be disseminated about a party prior to trial, particularly where trial by jury is involved. If there were no such limits, the result would be the practical nullification of the protective effect of the rules of forensic decorum and the exclusionary rules of evidence. On the other hand, there are vital social interests served by the free dissemination of information about events having legal consequences and about legal proceedings themselves. The public RULE 3.6 has a right to know about threats to its safety and measures aimed at assuring its security. It also has a legitimate interest in the conduct of judicial proceedings, particularly in matters of general public concern. Furthermore, the subject matter of legal proceedings is often of direct significance in debate and deliberation over questions of public policy. [2] Special rules of confidentiality may validly govern proceedings in juvenile, domestic relations and mental disability proceedings, and perhaps other types of litigation. Rule 3.4(c) requires compliance with such rules. [3] The Rule sets forth a basic general prohibition against a lawyer s making statements that the lawyer knows or should know would pose a serious and imminent threat to the fairness of an adjudicative proceeding. Recognizing that the public value of informed commentary is great and the likelihood of prejudice to a proceeding by the commentary of a lawyer who is not involved in the proceeding is small, the Rule applies only to lawyers who are, or who have been involved in the investigation or litigation of a case, and their associates. [4] Paragraph (b) identifies specific matters about which a lawyer s statements would not ordinarily be considered to pose a serious and imminent threat to the fairness of an adjudicative proceeding, and should not in any event be considered prohibited by the general prohibition of paragraph (a). Paragraph (b) is not intended to be an exhaustive listing of the subjects upon which a lawyer may make a statement, but statements on other matters may be subject to paragraph (a). [5] There are, on the other hand, certain subjects that would pose a serious and imminent threat to the fairness of a proceeding, particularly when they refer to a civil matter triable to a jury, a criminal matter, or any other proceeding that could result in incarceration. These subjects relate to: (1) the character, credibility, reputation or criminal record of a party, suspect in a criminal investigation or witness, or the identity of a witness, or the expected testimony of a party or witness; RULE

160 RULE 3.7 (2) in a criminal case or proceeding that could result in incarceration, the possibility of a plea of guilty to the offense or the existence or contents of any confession, admission, or statement given by a defendant or suspect or that person s refusal or failure to make a statement; (3) the performance or results of any examination or test or the refusal or failure of a person to submit to an examination or test, or the identity or nature of physical evidence expected to be presented; (4) any opinion as to the guilt or innocence of a defendant or suspect in a criminal case or proceeding that could result in incarceration; (5) information that the lawyer knows or reasonably should know is likely to be inadmissible as evidence in a trial and that would, if disclosed, create a substantial risk of prejudicing an impartial trial; or (6) the fact that a defendant has been charged with a crime, unless there is included therein a statement explaining that the charge is merely an accusation and that the defendant is presumed innocent until and unless proven guilty. [6] Another relevant factor in determining prejudice is the nature of the proceeding involved. Criminal jury trials will be most sensitive to extrajudicial speech. Civil trials may be less sensitive. Nonjury hearings and arbitration proceedings may be even less affected. The Rule will still place limitations on prejudicial comments in these cases, but the likelihood of prejudice may be different depending on the type of proceeding. [7] Finally, extrajudicial statements that might otherwise raise a question under this Rule may be permissible when they are made in response to statements made publicly by another party, another party s lawyer, or third persons, where a reasonable lawyer would believe a public response is required in order to avoid prejudice to the lawyer s client. When prejudicial statements have been publicly made by others, responsive statements may have the salutary effect of lessening any resulting adverse impact on the RULE adjudicative proceeding. Such responsive statements should be limited to contain only such ininformation as is necessary to mitigate undue prejudice created by the statements made by others. [8] See Rule 3.8(f) for additional duties of prosecutors in connection with extrajudicial statements about criminal proceedings. Cf. Devine v. Robinson, 131 F. Supp. 2d 963 (N.D. Ill. 2001). (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.7 Lawyer as Witness (a) A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness unless: (1) the testimony relates to an uncontested issue; (2) the testimony relates to the nature and value of legal services rendered in the case; or (3) disqualification of the lawyer would work substantial hardship on the client. (b) A lawyer may act as advocate in a trial in which another lawyer in the lawyer s firm is likely to be called as a witness unless precluded from doing so by Rule 1.7 or Rule 1.9. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Combining the roles of advocate and witness can prejudice the tribunal and the opposing party and can also involve a conflict of interest between the lawyer and client. Advocate-Witness Rule [2] The tribunal has proper objection when the trier of fact may be confused or misled by a lawyer serving as both advocate and witness. The opposing party has proper objection where the combination of roles may prejudice that party s rights in the litigation. A witness is required to testify on the basis of personal knowledge, while an advocate is expected to explain and comment on evidence given by others. It may not be clear whether a statement by an advocate-witness should be taken as proof or as an analysis of the proof. [3] To protect the tribunal, paragraph (a) prohibits a lawyer from simultaneously serving as

161 advocate and necessary witness except in those circumstances specified in paragraphs (a)(1) through (a)(3). Paragraph (a)(1) recognizes that if the testimony will be uncontested, the ambiguities in the dual role are purely theoretical. Paragraph (a)(2) recognizes that where the testimony concerns the extent and value of legal services rendered in the action in which the testimony is offered, permitting the lawyers to testify avoids the need for a second trial with new counsel to resolve that issue. Moreover, in such a situation the judge has firsthand knowledge of the matter in issue; hence, there is less dependence on the adversary process to test the credibility of the testimony. [4] Apart from these two exceptions, paragraph (a)(3) recognizes that a balancing is required between the interests of the client and those of the tribunal and the opposing party. Whether the tribunal is likely to be misled or the opposing party is likely to suffer prejudice depends on the nature of the case, the importance and probable tenor of the lawyer s testimony, and the probability that the lawyer s testimony will conflict with that of other witnesses. Even if there is risk of such prejudice, in determining whether the lawyer should be disqualified, due regard must be given to the effect of disqualification on the lawyer s client. It is relevant that one or both parties could reasonably foresee that the lawyer would probably be a witness. The conflict of interest principles stated in Rules 1.7, 1.9 and 1.10 have no application to this aspect of the problem. [5] Because the tribunal is not likely to be misled when a lawyer acts as advocate in a trial in which another lawyer in the lawyer s firm will testify as a necessary witness, paragraph (b) permits the lawyer to do so except in situations involving a conflict of interest. Conflict Of Interest [6] In determining if it is permissible to act as advocate in a trial in which the lawyer will be a necessary witness, the lawyer must also consider that the dual role may give rise to a conflict of interest that will require compliance with Rules 1.7 or 1.9. For example, if there is likely to be substantial conflict between the testimony of the RULE 3.8 client and that of the lawyer the representation involves a conflict of interest that requires compliance with Rule 1.7. This would be true even though the lawyer might not be prohibited by paragraph (a) from simultaneously serving as advocate and witness because the lawyer s disqualification would work a substantial hardship on the client. Similarly, a lawyer who might be permitted to simultaneously serve as an advocate and a witness by paragraph (a)(3) might be precluded from doing so by Rule 1.9. The problem can arise whether the lawyer is called as a witness on behalf of the client or is called by the opposing party. Determining whether or not such a conflict exists is primarily the responsibility of the lawyer involved. If there is a conflict of interest, the lawyer must secure the client s informed consent. In some cases, the lawyer will be precluded from seeking the client s consent. See Rule 1.7. See Rule 1.0(e) for the definition of informed consent. [7] Paragraph (b) provides that a lawyer is not disqualified from serving as an advocate because a lawyer with whom the lawyer is associated in a firm is precluded from doing so by paragraph (a). If, however, the testifying lawyer would also be disqualified by Rule 1.7 or Rule 1.9 from representing the client in the matter, other lawyers in the firm will be precluded from representing the client by Rule 1.10 unless the client gives informed consent under the conditions stated in Rule 1.7. (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.8 Special Responsibilities of a Prosecutor The duty of a public prosecutor is to seek justice, not merely to convict. The prosecutor in a criminal case shall: (a) refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause; (b) make reasonable efforts to assure that the accused has been advised of the right to, and the procedure for obtaining, counsel and has been given reasonable opportunity to obtain counsel; RULE

162 RULE 3.8 (c) not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such as the right to a preliminary hearing; (d) make timely disclosure to the defense of all evidence or information known to the prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in connection with sentencing, disclose to the defense and to the tribunal all unprivileged mitigating information known to the prosecutor, except when the prosecutor is relieved of this responsibility by a protective order of the tribunal; (e) not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence about a past or present client unless the prosecutor reasonably believes: (1) the information sought is not protected from disclosure by any applicable privilege; (2) the evidence sought is essential to the successful completion of an ongoing investigation or prosecution; and (3) there is no other feasible alternative to obtain the information; (f) except for statements that are necessary to inform the public of the nature and extent of the prosecutor s action and that serve a legitimate law enforcement purpose, refrain from making extrajudicial comments that pose a serious and imminent threat of heightening public condemnation of the accused and exercise reasonable care to prevent investigators, law enforcement personnel, employees or other persons assisting or associated with the prosecutor in a criminal case from making an extrajudicial statement that the prosecutor would be prohibited from making under Rule 3.6 or this Rule. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] A prosecutor has the responsibility of a minister of justice and not simply that of an advocate. This responsibility carries with it specific obligations to see that the defendant is accorded procedural justice and that guilt is decided upon the basis of sufficient evidence. [1A] The first sentence of Rule 3.8 restates an established principle. In 1924, the Illinois Supreme Court reversed a conviction for murder, noting that: RULE The state s attorney in his official capacity is the representative of all the people, including the defendant, and it was as much his duty to safeguard the constitutional rights of the defendant as those of any other citizen. People v. Cochran, 313 Ill. 508, 526 (1924). In 1935, the United States Supreme Court described the duty of a federal prosecutor in the following passage: The United States Attorney is the representative not of an ordinary party to a controversy, but of a sovereignty whose obligation to govern impartially is as compelling as its obligation to govern at all; and whose interest, therefore, in a criminal prosecution is not that it shall win a case, but that justice shall be done. As such, he is in a peculiar and very definite sense the servant of the law, the twofold aim of which is that guilt shall not escape or innocence suffer. He may prosecute with earnestness and vigor indeed, he should do so. But, while he may strike hard blows, he is not at liberty to strike foul ones. It is as much his duty to refrain from improper methods calculated to produce a wrongful conviction as it is to use every legitimate means to bring about a just one. Berger v. United States, 295 U.S. 78, 88, 79 L. Ed. 1314, 1321, 55 S.Ct. 629, 633 (1935). The first sentence of Rule 3.8 does not set an exact standard, but one good prosecutors will readily recognize and have always adhered to in the discharge of their duties. Specific standards, such as those in Rules 3.3, 3.4, 3.5, 3.6, the remaining paragraphs of Rule 3.8, and other applicable rules provide guidance for specific situations. Rule 3.8 is intended to remind prosecutors that the touchstone of ethical conduct is the duty to act fairly, honestly, and honorably. [2] In Illinois, a defendant may waive a preliminary hearing and thereby lose a valuable opportunity to challenge probable cause. Accordingly, prosecutors should not seek to obtain

163 waivers of preliminary hearings or other important pretrial rights from unrepresented accused persons. Paragraph (c) does not apply, however, to an accused appearing pro se with the approval of the tribunal. Nor does it forbid the lawful questioning of an uncharged suspect who has knowingly waived the rights to counsel and silence. [3] The exception in paragraph (d) recognizes that a prosecutor may seek an appropriate protective order from the tribunal if disclosure of information to the defense could result in substantial harm to an individual or to the public interest. [4] Paragraph (e) is intended to limit the issuance of lawyer subpoenas in grand jury and other criminal proceedings to those situations in which there is a genuine need to intrude into the clientlawyer relationship. [5] Paragraph (f) supplements Rule 3.6, which prohibits extrajudicial statements that pose a serious and imminent threat of prejudicing an adjudicatory proceeding. In the context of a criminal prosecution, a prosecutor s extrajudicial statement can create the additional problem of increasing public condemnation of the accused. Although the announcement of an indictment, for example, will necessarily have severe consequences for the accused, a prosecutor can, and should, avoid comments which have no legitimate law enforcement purpose and have a substantial likelihood of increasing public opprobrium of the accused. Nothing in this Comment is intended to restrict the statements which a prosecutor may make which comply with Rule 3.6(b) or 3.6(c). Cf. Devine v. Robinson, 131 F. Supp. 2d 963 (N.D. Ill. 2001). [6] Like other lawyers, prosecutors are subject to Rules 5.1 and 5.3, which relate to responsibilities regarding lawyers and nonlawyers who work for or are associated with the lawyer s office. Paragraph (f) reminds the prosecutor of the importance of these obligations in connection with the unique dangers of improper extrajudicial statements in a criminal case. In addition, paragraph (f) requires a prosecutor to exercise reasonable care to prevent persons assisting or associated with the prosecutor from making improper extrajudicial statements, even when such RULE 3.9 persons are not under the direct supervision of the prosecutor. Ordinarily, the reasonable care standard will be satisfied if the prosecutor issues the appropriate cautions to law- enforcement personnel and other relevant individuals. (Adopted July 1, 2009, effective January 1, 2010.) RULE 3.9 Advocate in Nonadjudicative Proceedings A lawyer representing a client before a legislative body or administrative agency in a nonadjudicative proceeding shall disclose that the appearance is in a representative capacity and shall conform to the provisions of Rules 3.3(a) through (c) and 3.4(a) through (c). (Adopted July 1, 2009, effective January 1, 2010; amended November 23, 2009, effective January 1, 2010.) Comment [1] In representation before bodies such as legislatures, municipal councils, and executive and administrative agencies acting in a rulemaking or policymaking capacity, lawyers present facts, formulate issues and advance argument in the matters under consideration. The decision making body, like a court, should be able to rely on the integrity of the submissions made to it. A lawyer appearing before such a body must deal with it honestly and in conformity with applicable rules of procedure. See Rules 3.3(a) through (c) and 3.4(a) through (c). [2] Lawyers have no exclusive right to appear before nonadjudicative bodies, as they do before a court. The requirements of this Rule therefore may subject lawyers to regulations inapplicable to advocates who are not lawyers. However, legislatures and administrative agencies have a right to expect lawyers to deal with them as they deal with courts. [3] This Rule only applies when a lawyer represents a client an official hearing or meeting of a governmental agency or a legislative body to which the lawyer or the lawyer s client is presenting evidence or argument. It does not apply to representation of a client in otherwise permitted lobbying activities, a negotiation or other bilateral transaction with a governmental agency or in connection with an application for a license or other privilege or the client s compliance with RULE

164 RULE 4.1 generally applicable reporting requirements, such as the filing of income-tax returns. Nor does it apply to the representation of a client in connection with an investigation or examination of the client s affairs conducted by government investigators or examiners. Representation in such matters is governed by Rules 4.1 through 4.4. (Adopted July 1, 2009, effective January 1, 2010; amended November 23, 2009, effective January 1, 2010.) RULE 4.1 Truthfulness in Statements to Others In the course of representing a client a lawyer shall not knowingly: (a) make a false statement of material fact or law to a third person; or (b) fail to disclose a material fact when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6. (Adopted July 1, 2009, effective January 1, 2010.) Comment Misrepresentation [1] A lawyer is required to be truthful when dealing with others on a client s behalf, but generally has no affirmative duty to inform an opposing party of relevant facts. A misrepresentation can occur if the lawyer incorporates or affirms a statement of another person that the lawyer knows is false. Misrepresentations can also occur by partially true but misleading statements or omissions that are the equivalent of affirmative false statements. For dishonest conduct that does not amount to a false statement or for misrepresentations by a lawyer other than in the course of representing a client, see Rule 8.4. Statements Of Fact [2] This Rule refers to statements of fact as well as law. Whether a particular statement should be regarded as one of fact can depend on the circumstances. Under generally accepted conventions in negotiation, certain types of statements ordinarily are not taken as statements of material fact. Estimates of price or value placed on the subject of a transaction and a party s intentions as to an acceptable settlement of a claim are ordinarily in this category, and so is the existence of an undisclosed principal except RULE where nondisclosure of the principal would constitute fraud. Lawyers should be mindful of their obligations under applicable law to avoid criminal and tortious misrepresentation. Crime Or Fraud By Client [3] Under Rule 1.2(d), a lawyer is prohibited from counseling or assisting a client in conduct that the lawyer knows is criminal or fraudulent. Paragraph (b) states a specific application of the principle set forth in Rule 1.2(d) and addresses the situation where a client s crime or fraud takes the form of a lie or misrepresentation. Ordinarily, a lawyer can avoid assisting a client s crime or fraud by withdrawing from the representation. Sometimes it may be necessary for the lawyer to give notice of the fact of withdrawal and to disaffirm an opinion, document, affirmation or the like. In extreme cases, substantive law may require a lawyer to disclose information relating to the representation to avoid being deemed to have assisted the client s crime or fraud. If the lawyer can avoid assisting a client s crime or fraud only by disclosing this information, then under paragraph (b) the lawyer is required to do so, unless the disclosure is prohibited by Rule 1.6. (Adopted July 1, 2009, effective January 1, 2010.) RULE 4.2 Communication with Person Represented by Counsel In representing a client, a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] This Rule contributes to the proper functioning of the legal system by protecting a person who has chosen to be represented by a lawyer in a matter against possible overreaching by other lawyers who are participating in the matter, interference by those lawyers with the client-lawyer relationship and the uncounselled disclosure of information relating to the representation. [2] This Rule applies to communications with any person who is represented by counsel, includ-

165 ing counsel in a limited scope representation pursuant to Rule 1.2(c), concerning the matter to which the communication relates. [3] The Rule applies even though the represented person initiates or consents to the communication. A lawyer must immediately terminate communication with a person if, after commencing communication, the lawyer learns that the person is one with whom communication is not permitted by this Rule. [4] This Rule does not prohibit communication with a represented person, or an employee or agent of such a person, concerning matters outside the representation. For example, the existence of a controversy between a government agency and a private party, or between two organizations, does not prohibit a lawyer for either from communicating with nonlawyer representatives of the other regarding a separate matter. Nor does this Rule preclude communication with a represented person who is seeking advice from a lawyer who is not otherwise representing a client in the matter. A lawyer may not make a communication prohibited by this Rule through the acts of another. See Rule 8.4(a). Parties to a matter may communicate directly with each other, and a lawyer is not prohibited from advising a client concerning a communication that the client is legally entitled to make. Also, a lawyer having independent justification or legal authorization for communicating with a represented person is permitted to do so. [5] Communications authorized by law may include communications by a lawyer on behalf of a client who is exercising a constitutional or other legal right to communicate with the government. Communications authorized by law may also include investigative activities of lawyers representing governmental entities, directly or through investigative agents, prior to the commencement of criminal or civil enforcement proceedings. When communicating with the accused in a criminal matter, a government lawyer must comply with this Rule in addition to honoring the constitutional rights of the accused. The fact that a communication does not violate a state or federal constitutional right is insufficient to RULE 4.2 establish that the communication is permissible under this Rule. [6] A lawyer who is uncertain whether a communication with a represented person is permissible may seek a court order. A lawyer may also seek a court order in exceptional circumstances to authorize a communication that would otherwise be prohibited by this Rule, for example, where communication with a person represented by counsel is necessary to avoid reasonably certain injury. [7] In the case of a represented organization, this Rule prohibits communications with a constituent of the organization who supervises, directs or regularly consults with the organization s lawyer concerning the matter or has authority to obligate the organization with respect to the matter or whose act or omission in connection with the matter may be imputed to the organization for purposes of civil or criminal liability. Consent of the organization s lawyer is not required for communication with a former constituent. If a constituent of the organization is represented in the matter by his or her own counsel, the consent by that counsel to a communication will be sufficient for purposes of this Rule. Compare Rule 3.4(f). In communicating with a current or former constituent of an organization, a lawyer must not use methods of obtaining evidence that violate the legal rights of the organization. See Rule 4.4. [8] The prohibition on communications with a represented person only applies in circumstances where the lawyer knows that the person is in fact represented in the matter to be discussed. This means that the lawyer has actual knowledge of the fact of the representation; but such actual knowledge may be inferred from the circumstances. See Rule 1.0(f). Thus, the lawyer cannot evade the requirement of obtaining the consent of counsel by closing eyes to the obvious. [8A] For purposes of this Rule, when a person is being represented on a limited basis under Rule 1.2(c), a lawyer is only deemed to know that the person is represented by another lawyer, and the subject of that representation, upon receipt of (i) a proper Notice of Limited Scope Appearance under Supreme Court Rule 13(c)(6), or (ii) with RULE

166 RULE 4.3 respect to a matter not involving court proceedings, written notice advising that the client is being represented by specified counsel with respect to an identified subject matter and time frame. A lawyer is permitted to communicate with a person represented under Rule 1.2(c) outside the subject matter or time frame of the limited scope representation. [9] In the event the person with whom the lawyer communicates is not known to be represented by counsel in the matter, the lawyer s communications are subject to Rule 4.3. (Adopted July 1, 2009, effective January 1, 2010; Amended June 14, 2013, effective July 1, 2013.) RULE 4.3 Dealing with Unrepresented Person In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer s role in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding. The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure counsel, if the lawyer knows or reasonably should know that the interests of such a person are or have a reasonable possibility of being in conflict with the interests of the client. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] An unrepresented person, particularly one not experienced in dealing with legal matters, might assume that a lawyer is disinterested in loyalties or is a disinterested authority on the law even when the lawyer represents a client. In order to avoid a misunderstanding, a lawyer will typically need to identify the lawyer s client and, where necessary, explain that the client has interests opposed to those of the unrepresented person. For misunderstandings that sometimes arise when a lawyer for an organization deals with an unrepresented constituent, see Rule 1.13(f). [2] The Rule distinguishes between situations involving unrepresented persons whose interests may be adverse to those of the lawyer s client and those in which the person s interests are not in conflict with the client s. In the former situation, the possibility that the lawyer will compromise the unrepresented person s interests is so great that the Rule prohibits the giving of any advice, apart from the advice to obtain counsel. Whether a lawyer is giving impermissible advice may depend on the experience and sophistication of the unrepresented person, as well as the setting in which the behavior and comments occur. This Rule does not prohibit a lawyer from negotiating the terms of a transaction or settling a dispute with an unrepresented person. So long as the lawyer has explained that the lawyer represents an adverse party and is not representing the person, the lawyer may inform the person of the terms on which the lawyer s client will enter into an agreement or settle a matter, prepare documents that require the person s signature and explain the lawyer s own view of the meaning of the document or the lawyer s view of the underlying legal obligations. (Adopted July 1, 2009, effective January 1, 2010.) RULE 4.4 Respect for Rights of Third Persons (a) In representing a client, a lawyer shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such a person. (b) A lawyer who receives a document relating to the representation of the lawyer s client and knows that the document was inadvertently sent shall promptly notify the sender. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Responsibility to a client requires a lawyer to subordinate the interests of others to those of the client, but that responsibility does not imply that a lawyer may disregard the rights of third persons. It is impractical to catalogue all such rights, but they include legal restrictions on methods of obtaining evidence from third persons and unwarranted intrusions into privileged relationships, such as the client-lawyer relationship. [2] Paragraph (b) recognizes that lawyers sometimes receive documents that were mistakenly sent or produced by opposing parties or their RULE

167 lawyers. If a lawyer knows that such a document was sent inadvertently, then this Rule requires the lawyer to promptly notify the sender in order to permit that person to take protective measures. Whether the lawyer is required to take additional steps, such as returning the original document, is a matter of law beyond the scope of these Rules, as is the question of whether the privileged status of a document has been waived. Similarly, this Rule does not address the legal duties of a lawyer who receives a document that the lawyer knows may have been wrongfully obtained by the sending person. For purposes of this Rule, document includes or other electronic modes of transmission subject to being read or put into readable form. [3] Some lawyers may choose to return a document unread, for example, when the lawyer learns before receiving the document that it was inadvertently sent to the wrong address. Where a lawyer is not required by applicable law to do so, the decision to voluntarily return such a document is a matter of professional judgment ordinarily reserved to the lawyer. See Rules 1.2 and 1.4. (Adopted July 1, 2009, effective January 1, 2010.) RULE 5.1 Responsibilities of Partners, Managers, and Supervisory Lawyers (a) A partner in a law firm, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm, shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct. (b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct. (c) A lawyer shall be responsible for another lawyer s violation of the Rules of Professional Conduct if: (1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or (2) the lawyer is a partner or has comparable managerial authority in the law firm in RULE 5.1 which the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Paragraph (a) applies to lawyers who have managerial authority over the professional work of a firm. See Rule 1.0(c). This includes members of a partnership, the shareholders in a law firm organized as a professional corporation, and members of other associations authorized to practice law; lawyers having comparable managerial authority in a legal services organization or a law department of an enterprise or government agency; and lawyers who have intermediate managerial responsibilities in a firm. Paragraph (b) applies to lawyers who have supervisory authority over the work of other lawyers in a firm. [2] Paragraph (a) requires lawyers with managerial authority within a firm to make reasonable efforts to establish internal policies and procedures designed to provide reasonable assurance that all lawyers in the firm will conform to the Rules of Professional Conduct. Such policies and procedures include those designed to detect and resolve conflicts of interest, identify dates by which actions must be taken in pending matters, account for client funds and property and ensure that inexperienced lawyers are properly supervised. [3] Other measures that may be required to fulfill the responsibility prescribed in paragraph (a) can depend on the firm s structure and the nature of its practice. In a small firm of experienced lawyers, informal supervision and periodic review of compliance with the required systems ordinarily will suffice. In a large firm, or in practice situations in which difficult ethical problems frequently arise, more elaborate measures may be necessary. Some firms, for example, have a procedure whereby junior lawyers can make confidential referral of ethical problems directly to a designated senior partner or special committee. See Rule 5.2. Firms, whether large or small, may also rely on continuing legal education in RULE

168 RULE 5.2 professional ethics. In any event, the ethical atmosphere of a firm can influence the conduct of all its members and the partners may not assume that all lawyers associated with the firm will inevitably conform to the Rules. [4] Paragraph (c) expresses a general principle of personal responsibility for acts of another. See also Rule 8.4(a). [5] Paragraph (c)(2) defines the duty of a partner or other lawyer having comparable managerial authority in a law firm, as well as a lawyer who has direct supervisory authority over performance of specific legal work by another lawyer. Whether a lawyer has supervisory authority in particular circumstances is a question of fact. Partners and lawyers with comparable authority have at least indirect responsibility for all work being done by the firm, while a partner or manager in charge of a particular matter ordinarily also has supervisory responsibility for the work of other firm lawyers engaged in the matter. Appropriate remedial action by a partner or managing lawyer would depend on the immediacy of that lawyer s involvement and the seriousness of the misconduct. A supervisor is required to intervene to prevent avoidable consequences of misconduct if the supervisor knows that the misconduct occurred. Thus, if a supervising lawyer knows that a subordinate misrepresented a matter to an opposing party in negotiation, the supervisor as well as the subordinate has a duty to correct the resulting misapprehension. [6] Professional misconduct by a lawyer under supervision could reveal a violation of paragraph (b) on the part of the supervisory lawyer even though it does not entail a violation of paragraph (c) because there was no direction, ratification or knowledge of the violation. [7] Apart from this Rule and Rule 8.4(a), a lawyer does not have disciplinary liability for the conduct of a partner, associate or subordinate. Whether a lawyer may be liable civilly or criminally for another lawyer s conduct is a question of law beyond the scope of these Rules. [8] The duties imposed by this Rule on managing and supervising lawyers do not alter the personal duty of each lawyer in a firm to abide by the Rules of Professional Conduct. See Rule 5.2(a). (Adopted July 1, 2009, effective January 1, 2010.) RULE 5.2 Responsibilities of a Subordinate Lawyer (a) A lawyer is bound by the Rules of Professional Conduct notwithstanding that the lawyer acted at the direction of another person. (b) A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts in accordance with a supervisory lawyer s reasonable resolution of an arguable question of professional duty. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Although a lawyer is not relieved of responsibility for a violation by the fact that the lawyer acted at the direction of a supervisor, that fact may be relevant in determining whether a lawyer had the knowledge required to render conduct a violation of the Rules. For example, if a subordinate filed a frivolous pleading at the direction of a supervisor, the subordinate would not be guilty of a professional violation unless the subordinate knew of the document s frivolous character. [2] When lawyers in a supervisor-subordinate relationship encounter a matter involving professional judgment as to ethical duty, the supervisor may assume responsibility for making the judgment. Otherwise a consistent course of action or position could not be taken. If the question can reasonably be answered only one way, the duty of both lawyers is clear and they are equally responsible for fulfilling it. However, if the question is reasonably arguable, someone has to decide upon the course of action. That authority ordinarily reposes in the supervisor, and a subordinate may be guided accordingly. For example, if a question arises whether the interests of two clients conflict under Rule 1.7, the supervisor s reasonable resolution of the question should protect the subordinate professionally if the resolution is subsequently challenged. (Adopted July 1, 2009, effective January 1, 2010.) RULE

169 RULE 5.3 Responsibilities Regarding Nonlawyer Assistants With respect to a nonlawyer employed or retained by or associated with a lawyer: (a) a partner, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person s conduct is compatible with the professional obligations of the lawyer; (b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the person s conduct is compatible with the professional obligations of the lawyer; and (c) a lawyer shall be responsible for conduct of such a person that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer if: (1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or (2) the lawyer is a partner or has comparable managerial authority in the law firm in which the person is employed, or has direct supervisory authority over the person, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Lawyers generally employ assistants in their practice, including secretaries, investigators, law student interns, and paraprofessionals. Such assistants, whether employees or independent contractors, act for the lawyer in rendition of the lawyer s professional services. A lawyer must give such assistants appropriate instruction and supervision concerning the ethical aspects of their employment, particularly regarding the obligation not to disclose information relating to representation of the client, and should be responsible for their work product. The measures employed in supervising nonlawyers should take account of the fact that they do not have legal training and are not subject to professional discipline. RULE 5.3 [2] Paragraph (a) requires lawyers with managerial authority within a law firm to make reasonable efforts to establish internal policies and procedures designed to provide reasonable assurance that nonlawyers in the firm will act in a way compatible with the Rules of Professional Conduct. See Comment [1] to Rule 5.1. Paragraph (b) applies to lawyers who have supervisory authority over the work of a nonlawyer. Paragraph (c) specifies the circumstances in which a lawyer is responsible for conduct of a nonlawyer that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer. (Adopted July 1, 2009, effective January 1, 2010.) RULE 5.4 Professional Independence of a Lawyer (a) A lawyer or law firm shall not share legal fees with a nonlawyer, except that: (1) an agreement by a lawyer with the lawyer s firm, partner, or associate may provide for the payment of money, over a reasonable period of time after the lawyer s death, to the lawyer s estate or to one or more specified persons; (2) a lawyer who purchases the practice of a deceased, disabled, or disappeared lawyer may, pursuant to the provisions of Rule 1.17, pay to the estate or other representative of that lawyer the agreed-upon purchase price; (3) a lawyer or law firm may include nonlawyer employees in a compensation or retirement plan, even though the plan is based in whole or in part on a profit-sharing arrangement; and (4) a lawyer may share court-awarded legal fees with a nonprofit organization that employed, retained or recommended employment of the lawyer in the matter. (b) A lawyer shall not form a partnership with a nonlawyer if any of the activities of the partnership consist of the practice of law. (c) A lawyer shall not permit a person who recommends, employs, or pays the lawyer to render legal services for another to direct or regulate the lawyer s professional judgment in rendering such legal services. RULE

170 RULE 5.5 (d) A lawyer shall not practice with or in the form of a professional corporation or association authorized to practice law for a profit, if: (1) a nonlawyer owns any interest therein, except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during administration; (2) a nonlawyer is a corporate director or officer thereof or occupies the position of similar responsibility in any form of association other than a corporation; or (3) a nonlawyer has the right to direct or control the professional judgment of a lawyer. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] The provisions of this Rule express traditional limitations on sharing fees. These limitations are to protect the lawyer s professional independence of judgment. Where someone other than the client pays the lawyer s fee or salary, or recommends employment of the lawyer, that arrangement does not modify the lawyer s obligation to the client. As stated in paragraph (c), such arrangements should not interfere with the lawyer s professional judgment. [2] This Rule also expresses traditional limitations on permitting a third party to direct or regulate the lawyer s professional judgment in rendering legal services to another. See also Rule 1.8(f) (lawyer may accept compensation from a third party as long as there is no interference with the lawyer s independent professional judgment and the client gives informed consent). (Adopted July 1, 2009, effective January 1, 2010.) RULE 5.5 Unauthorized Practice of Law; Multijurisdictional Practice of Law (a) A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction, or assist another in doing so. (b) A lawyer who is not admitted to practice in this jurisdiction shall not: (1) except as authorized by these Rules or other law, establish an office or other systematic and continuous presence in this jurisdiction for the practice of law; or (2) hold out to the public or otherwise represent that the lawyer is admitted to practice law in this jurisdiction. (c) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services on a temporary basis in this jurisdiction that: (1) are undertaken in association with a lawyer who is admitted to practice in this jurisdiction and who actively participates in the matter; (2) are in or reasonably related to a pending or potential proceeding before a tribunal in this or another jurisdiction, if the lawyer, or a person the lawyer is assisting, is authorized by law or order to appear in such proceeding or reasonably expects to be so authorized; (3) are in or reasonably related to a pending or potential arbitration, mediation, or other alternative dispute resolution proceeding in this or another jurisdiction, if the services arise out of or are reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted to practice and are not services for which the forum requires pro hac vice admission; or (4) are not within paragraphs (c)(2) or (c)(3) and arise out of or are reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted to practice. (d) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services in this jurisdiction that: (1) are provided to the lawyer s employer or its organizational affiliates and are not services for which the forum requires pro hac vice admission; or (2) are services that the lawyer is authorized to provide by federal law or other law of this jurisdiction. (Adopted July 1, 2009, effective January 1, 2010.) RULE

171 Comment [1] A lawyer may practice law only in a jurisdiction in which the lawyer is authorized to practice. A lawyer may be admitted to practice law in a jurisdiction on a regular basis or may be authorized by court rule or order or by law to practice for a limited purpose or on a restricted basis. Paragraph (a) applies to unauthorized practice of law by a lawyer, whether through the lawyer s direct action or by the lawyer assisting another person. [2] The definition of the practice of law is established by law and varies from one jurisdiction to another. Whatever the definition, limiting the practice of law to members of the bar protects the public against rendition of legal services by unqualified persons. This Rule does not prohibit a lawyer from employing the services of paraprofessionals and delegating functions to them, so long as the lawyer supervises the delegated work and retains responsibility for their work. See Rule 5.3. [3] A lawyer may provide professional advice and instruction to nonlawyers whose employment requires knowledge of the law; for example, claims adjusters, employees of financial or commercial institutions, social workers, accountants and persons employed in government agencies. Lawyers also may assist independent nonlawyers, such as paraprofessionals, who are authorized by the law of a jurisdiction to provide particular lawrelated services. In addition, a lawyer may counsel nonlawyers who wish to proceed pro se. See Supreme Court Rule 137(e) (lawyer may help draft a pleading, motion or other paper filed by a pro se party). See also Supreme Court Rule 13(c)(6) (lawyer may make a limited scope appearance in a civil proceeding on behalf of a pro se party). [4] Other than as authorized by law or this Rule, a lawyer who is not admitted to practice generally in this jurisdiction violates paragraph (b) if the lawyer establishes an office or other systematic and continuous presence in this jurisdiction for the practice of law. Presence may be systematic and continuous even if the lawyer is not physically present here. Such a lawyer must not hold out to the public or otherwise rep- RULE 5.5 resent that the lawyer is admitted to practice law in this jurisdiction. See also Rules 7.1(a) and 7.5(b). [5] There are occasions in which a lawyer admitted to practice in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services on a temporary basis in this jurisdiction under circumstances that do not create an unreasonable risk to the interests of their clients, the public or the courts. Paragraph (c) identifies four such circumstances. The fact that conduct is not so identified does not imply that the conduct is or is not authorized. With the exception of paragraphs (d)(1) and (d)(2), this Rule does not authorize a lawyer to establish an office or other systematic and continuous presence in this jurisdiction without being admitted to practice generally here. [6] There is no single test to determine whether a lawyer s services are provided on a temporary basis in this jurisdiction, and may therefore be permissible under paragraph (c). Services may be temporary even though the lawyer provides services in this jurisdiction on a recurring basis, or for an extended period of time, as when the lawyer is representing a client in a single lengthy negotiation or litigation. [7] Paragraphs (c) and (d) apply to lawyers who are admitted to practice law in any United States jurisdiction, which includes the District of Columbia and any state, territory or commonwealth of the United States. The word admitted in paragraph (c) contemplates that the lawyer is authorized to practice in the jurisdiction in which the lawyer is admitted and excludes a lawyer who while technically admitted is not authorized to practice, because, for example, the lawyer is on inactive status. [8] Paragraph (c)(1) recognizes that the interests of clients and the public are protected if a lawyer admitted only in another jurisdiction associates with a lawyer licensed to practice in this jurisdiction. For this paragraph to apply, however, the lawyer admitted to practice in this jurisdiction must actively participate in and share responsibility for the representation of the client. RULE

172 RULE 5.5 [9] Lawyers not admitted to practice generally in a jurisdiction may be authorized by law or order of a tribunal or an administrative agency to appear before the tribunal or agency. This authority may be granted pursuant to formal rules governing admission pro hac vice or pursuant to informal practice of the tribunal or agency. Under paragraph (c)(2), a lawyer does not violate this Rule when the lawyer appears before a tribunal or agency pursuant to such authority. To the extent that a court rule or other law of this jurisdiction requires a lawyer who is not admitted to practice in this jurisdiction to obtain admission pro hac vice before appearing before a tribunal or administrative agency, this Rule requires the lawyer to obtain that authority. [10] Paragraph (c)(2) also provides that a lawyer rendering services in this jurisdiction on a temporary basis does not violate this Rule when the lawyer engages in conduct in anticipation of a proceeding or hearing in a jurisdiction in which the lawyer is authorized to practice law or in which the lawyer reasonably expects to be admitted pro hac vice. Examples of such conduct include meetings with the client, interviews of potential witnesses, and the review of documents. Similarly, a lawyer admitted only in another jurisdiction may engage in conduct temporarily in this jurisdiction in connection with pending litigation in another jurisdiction in which the lawyer is or reasonably expects to be authorized to appear, including taking depositions in this jurisdiction. [11] When a lawyer has been or reasonably expects to be admitted to appear before a court or administrative agency, paragraph (c)(2) also permits conduct by lawyers who are associated with that lawyer in the matter, but who do not expect to appear before the court or administrative agency. For example, subordinate lawyers may conduct research, review documents, and attend meetings with witnesses in support of the lawyer responsible for the litigation. [12] Paragraph (c)(3) permits a lawyer admitted to practice law in another jurisdiction to perform services on a temporary basis in this jurisdiction if those services are in or reasonably related to a pending or potential arbitration, mediation, or other alternative dispute resolution proceeding in this or another jurisdiction, if the services arise out of or are reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted to practice. The lawyer, however, must obtain admission pro hac vice in the case of a court-annexed arbitration or mediation or otherwise if court rules or law so require. [13] Paragraph (c)(4) permits a lawyer admitted in another jurisdiction to provide certain legal services on a temporary basis in this jurisdiction that arise out of or are reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted but are not within paragraphs (c)(2) or (c)(3). These services include both legal services and services that nonlawyers may perform but that are considered the practice of law when performed by lawyers. [14] Paragraphs (c)(3) and (c)(4) require that the services arise out of or be reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted. A variety of factors evidence such a relationship. The lawyer s client may have been previously represented by the lawyer, or may be resident in or have substantial contacts with the jurisdiction in which the lawyer is admitted. The matter, although involving other jurisdictions, may have a significant connection with that jurisdiction. In other cases, significant aspects of the lawyer s work might be conducted in that jurisdiction or a significant aspect of the matter may involve the law of that jurisdiction. The necessary relationship might arise when the client s activities or the legal issues involve multiple jurisdictions, such as when the officers of a multinational corporation survey potential business sites and seek the services of their lawyer in assessing the relative merits of each. In addition, the services may draw on the lawyer s recognized expertise developed through the regular practice of law on behalf of clients in matters involving a particular body of federal, nationally uniform, foreign, or international law. [15] Paragraph (d) identifies two circumstances in which a lawyer who is admitted to practice in another United States jurisdiction, and is not disbarred or suspended from practice in any jurisdiction, may establish an office or other systematic and continuous presence in this RULE

173 jurisdiction for the practice of law as well as provide legal services on a temporary basis. Except as provided in paragraphs (d)(1) and (d)(2), a lawyer who is admitted to practice law in another jurisdiction and who establishes an office or other systematic or continuous presence in this jurisdiction must become admitted to practice law generally in this jurisdiction. [16] Paragraph (d)(1) applies to a lawyer who is employed by a client to provide legal services to the client or its organizational affiliates, i.e., entities that control, are controlled by, or are under common control with the employer. This paragraph does not authorize the provision of personal legal services to the employer s officers or employees. The paragraph applies to in-house corporate lawyers, government lawyers and others who are employed to render legal services to the employer. The lawyer s ability to represent the employer outside the jurisdiction in which the lawyer is licensed generally serves the interests of the employer and does not create an unreasonable risk to the client and others because the employer is well situated to assess the lawyer s qualifications and the quality of the lawyer s work. [17] If an employed lawyer establishes an office or other systematic presence in this jurisdiction for the purpose of rendering legal services to the employer, the lawyer may be subject to registration or other requirements, including assessments for client protection funds and mandatory continuing legal education. See Illinois Supreme Court Rules 706(f), (g), 716, and 717 concerning requirements for house counsel and legal service program lawyers admitted to practice in other jurisdictions who wish to practice in Illinois. [18] Paragraph (d)(2) recognizes that a lawyer may provide legal services in a jurisdiction in which the lawyer is not licensed when authorized to do so by federal or other law, which includes statute, court rule, executive regulation or judicial precedent. [19] A lawyer who practices law in this jurisdiction pursuant to paragraphs (c) or (d) or otherwise is subject to the disciplinary authority of this jurisdiction. See Rule 8.5(a). RULE 5.6 [20] In some circumstances, a lawyer who practices law in this jurisdiction pursuant to paragraphs (c) or (d) may have to inform the client that the lawyer is not licensed to practice law in this jurisdiction. For example, that may be required when the representation occurs primarily in this jurisdiction and requires knowledge of the law of this jurisdiction. See Rule 1.4(b). [21] Paragraphs (c) and (d) do not authorize communications advertising legal services to prospective clients in this jurisdiction by lawyers who are admitted to practice in other jurisdictions. Whether and how lawyers may communicate the availability of their services to prospective clients in this jurisdiction is governed by Rules 7.1 to 7.5. (Adopted July 1, 2009, effective January 1, 2010; amended June 14, 2013, effective July 1, 2013.) RULE 5.6 Restrictions on Right to Practice A lawyer shall not participate in offering or making: (a) a partnership, shareholders, operating, employment, or other similar type of agreement that restricts the right of a lawyer to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or (b) an agreement in which a restriction on the lawyer s right to practice is part of the settlement of a client controversy. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] An agreement restricting the right of lawyers to practice after leaving a firm not only limits their professional autonomy but also limits the freedom of clients to choose a lawyer. Paragraph (a) prohibits such agreements except for restrictions incident to provisions concerning retirement benefits for service with the firm. [2] Paragraph (b) prohibits a lawyer from agreeing not to represent other persons in connection with settling a claim on behalf of a client. [3] This Rule does not apply to prohibit restrictions that may be included in the terms of the sale of a law practice pursuant to Rule (Adopted July 1, 2009, effective January 1, 2010.) RULE 5.7 Reserved RULE

174 RULE 6.1 RULE 6.1 RULE Reserved RULE 6.2 Accepting Appointments A lawyer shall not seek to avoid appointment by a tribunal to represent a person except for good cause, such as: (a) representing the client is likely to result in violation of the Rules of Professional Conduct or other law; (b) representing the client is likely to result in an unreasonable financial burden on the lawyer; or (c) the client or the cause is so repugnant to the lawyer as to be likely to impair the clientlawyer relationship or the lawyer s ability to represent the client. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] A lawyer ordinarily is not obliged to accept a client whose character or cause the lawyer regards as repugnant. The lawyer s freedom to select clients is, however, qualified. All lawyers have a responsibility to assist in providing pro bono publico service. See Preamble. An individual lawyer fulfills this responsibility by accepting a fair share of unpopular matters or indigent or unpopular clients. A lawyer may also be subject to appointment by a court to serve unpopular clients or persons unable to afford legal services. Appointed Counsel [2] For good cause a lawyer may seek to decline an appointment to represent a person who cannot afford to retain counsel or whose cause is unpopular. Good cause exists if the lawyer could not handle the matter competently, see Rule 1.1, or if undertaking the representation would result in an improper conflict of interest, for example, when the client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer relationship or the lawyer s ability to represent the client. A lawyer may also seek to decline an appointment if acceptance would be unreasonably burdensome, for example, when it would impose a financial sacrifice so great as to be unjust. [3] An appointed lawyer has the same obligations to the client as retained counsel, including the obligations of loyalty and confidentiality, and is subject to the same limitations on the clientlawyer relationship, such as the obligation to refrain from assisting the client in violation of the Rules. (Adopted July 1, 2009, effective January 1, 2010.) RULE 6.3 Membership in Legal Services Organization A lawyer may serve as a director, officer or member of a not-for-profit legal services organization, apart from the law firm in which the lawyer practices, notwithstanding that the organization serves persons having interests adverse to a client of the lawyer. The lawyer shall not knowingly participate in a decision or action of the organization: (a) if participating in the decision or action would be incompatible with the lawyer s obligations to a client under Rule 1.7; or (b) where the decision or action could have a material adverse effect on the representation of a client of the organization whose interests are adverse to a client of the lawyer. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Lawyers should be encouraged to support and participate in not-for-profit legal service organizations. A lawyer who is an officer or a member of such an organization does not thereby have a client-lawyer relationship with persons served by the organization. However, there is potential conflict between the interests of such persons and the interests of the lawyer s clients. If the possibility of such conflict disqualified a lawyer from serving on the board of a legal services organization, the profession s involvement in such organizations would be severely curtailed. [2] It may be necessary in appropriate cases to reassure a client of the organization that the representation will not be affected by conflicting loyalties of a member of the board. Established, written policies in this respect can enhance the credibility of such assurances. (Adopted July 1, 2009, effective January 1, 2010.)

175 RULE 6.4 Law Reform Activities Affecting Client Interests A lawyer may serve as a director, officer or member of an organization involved in reform of the law or its administration notwithstanding that the reform may affect the interests of a client of the lawyer. When the lawyer knows that the interests of a client may be materially benefited by a decision in which the lawyer participates, the lawyer shall disclose that fact but need not identify the client. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Lawyers involved in organizations seeking law reform generally do not have a client-lawyer relationship with the organization. Otherwise, it might follow that a lawyer could not be involved in a bar association law reform program that might indirectly affect a client. See also Rule 1.2(b). For example, a lawyer specializing in antitrust litigation might be regarded as disqualified from participating in drafting revisions of rules governing that subject. In determining the nature and scope of participation in such activities, a lawyer should be mindful of obligations to clients under other Rules, particularly Rule 1.7. A lawyer is professionally obligated to protect the integrity of the program by making an appropriate disclosure within the organization when the lawyer knows a private client might be materially benefited. (Adopted July 1, 2009, effective January 1, 2010.) RULE 6.5 Nonprofit and Court-Annexed Limited Legal Services Programs (a) A lawyer who, under the auspices of a program sponsored by a nonprofit organization or court, provides short-term limited legal services to a client without expectation by either the lawyer or the client that the lawyer will provide continuing representation in the matter: (1) is subject to Rules 1.7 and 1.9(a) only if the lawyer knows that the representation of the client involves a conflict of interest; and (2) is subject to Rule 1.10 only if the lawyer knows that another lawyer associated with the lawyer in a law firm is disqualified RULE 6.4 by Rule 1.7 or 1.9(a) with respect to the matter. (b) Except as provided in paragraph (a)(2), Rule 1.10 is inapplicable to a representation governed by this Rule. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Legal services organizations, courts and various nonprofit organizations have established programs through which lawyers provide shortterm limited legal services such as advice or the completion of legal forms that will assist persons to address their legal problems without further representation by a lawyer. In these programs, such as legal-advice hotlines, advice-only clinics or pro se counseling programs, a client-lawyer relationship is established, but there is no expectation that the lawyer s representation of the client will continue beyond the limited consultation. Such programs are normally operated under circumstances in which it is not feasible for a lawyer to systematically screen for conflicts of interest as is generally required before undertaking a representation. See, e.g., Rules 1.7, 1.9 and [2] A lawyer who provides short-term limited legal services pursuant to this Rule must secure the client s informed consent to the limited scope of the representation. See Rule 1.2(c). If a shortterm limited representation would not be reasonable under the circumstances, the lawyer may offer advice to the client but must also advise the client of the need for further assistance of counsel. Except as provided in this Rule, the Rules of Professional Conduct, including Rules 1.6 and 1.9(c), are applicable to the limited representation. [3] Because a lawyer who is representing a client in the circumstances addressed by this Rule ordinarily is not able to check systematically for conflicts of interest, paragraph (a) requires compliance with Rules 1.7 or 1.9(a) only if the lawyer knows that the representation presents a conflict of interest for the lawyer, and with Rule 1.10 only if the lawyer knows that another lawyer in the lawyer s firm is disqualified by Rules 1.7 or 1.9(a) in the matter. RULE

176 RULE 7.1 [4] Because the limited nature of the services significantly reduces the risk of conflicts of interest with other matters being handled by the lawyer s firm, paragraph (b) provides that Rule 1.10 is inapplicable to a representation governed by this Rule except as provided by paragraph (a)(2). Paragraph (a)(2) requires the participating lawyer to comply with Rule 1.10 when the lawyer knows that the lawyer s firm is disqualified by Rules 1.7 or 1.9(a). By virtue of paragraph (b), however, a lawyer s participation in a short-term limited legal services program will not preclude the lawyer s firm from undertaking or continuing the representation of a client with interests adverse to a client being represented under the program s auspices. Nor will the personal disqualification of a lawyer participating in the program be imputed to other lawyers participating in the program. [5] If, after commencing a short-term limited representation in accordance with this Rule, a lawyer undertakes to represent the client in the matter on an ongoing basis, Rules 1.7, 1.9(a) and 1.10 become applicable. (Adopted July 1, 2009, effective January 1, 2010.) RULE 7.1 Communications Concerning a Lawyer s Services A lawyer shall not make a false or misleading communication about the lawyer or the lawyer s services. A communication is false or misleading if it contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] This Rule governs all communications about a lawyer s services, including advertising permitted by Rule 7.2. Whatever means are used to make known a lawyer s services, statements about them must be truthful. [2] Truthful statements that are misleading are also prohibited by this Rule. A truthful statement is misleading if it omits a fact necessary to make the lawyer s communication considered as a whole not materially misleading. A truthful statement is also misleading if there is a substantial likelihood that it will lead a reasonable person to formulate a specific conclusion about the lawyer or the lawyer s services for which there is no reasonable factual foundation. [3] An advertisement that truthfully reports a lawyer s achievements on behalf of clients or former clients may be misleading if presented so as to lead a reasonable person to form an unjustified expectation that the same results could be obtained for other clients in similar matters without reference to the specific factual and legal circumstances of each client s case. Similarly, an unsubstantiated comparison of the lawyer s services or fees with the services or fees of other lawyers may be misleading if presented with such specificity as would lead a reasonable person to conclude that the comparison can be substantiated. The inclusion of an appropriate disclaimer or qualifying language may preclude a finding that a statement is likely to create unjustified expectations or otherwise mislead a prospective client. [4] See also Rule 8.4(e) for the prohibition against stating or implying an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of Professional Conduct or other law. (Adopted July 1, 2009, effective January 1, 2010.) RULE 7.2 Advertising (a) Subject to the requirements of Rules 7.1 and 7.3, a lawyer may advertise services through written, recorded or electronic communication, including public media. (b) A lawyer shall not give anything of value to a person for recommending the lawyer s services except that a lawyer may: (1) pay the reasonable costs of advertisements or communications permitted by this Rule; (2) pay the usual charges of a legal service plan or a not-for-profit lawyer referral service; (3) pay for a law practice in accordance with Rule 1.17; and (4) refer clients to another lawyer or a nonlawyer professional pursuant to an agreement not otherwise prohibited under RULE

177 these Rules that provides for the other person to refer clients or customers to the lawyer, if (i) the reciprocal referral agreement is not exclusive, and (ii) the client is informed of the existence and nature of the agreement. (c) Any communication made pursuant to this Rule shall include the name and office address of at least one lawyer or law firm responsible for its content. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] To assist the public in obtaining legal services, lawyers should be allowed to make known their services not only through reputation but also through organized information campaigns in the form of advertising. Advertising involves an active quest for clients, contrary to the tradition that a lawyer should not seek clientele. However, the public s need to know about legal services can be fulfilled in part through advertising. This need is particularly acute in the case of persons of moderate means who have not made extensive use of legal services. The interest in expanding public information about legal services ought to prevail over considerations of tradition. Nevertheless, advertising by lawyers entails the risk of practices that are misleading or overreaching. [2] This Rule permits public dissemination of information concerning a lawyer s name or firm name, address and telephone number; the kinds of services the lawyer will undertake; the basis on which the lawyer s fees are determined, including prices for specific services and payment and credit arrangements; a lawyer s foreign language ability; names of references and, with their consent, names of clients regularly represented; and other information that might invite the attention of those seeking legal assistance. [3] Questions of effectiveness and taste in advertising are matters of speculation and subjective judgment. Some jurisdictions have had extensive prohibitions against television advertising, against advertising going beyond specified facts about a lawyer, or against undignified advertising. Television is now one of the most powerful media for getting information to the public, particularly persons of low and moderate income; RULE 7.2 prohibiting television advertising, therefore, would impede the flow of information about legal services to many sectors of the public. Limiting the information that may be advertised has a similar effect and assumes that the bar can accurately forecast the kind of information that the public would regard as relevant. Similarly, electronic media, such as the Internet, can be an important source of information about legal services, and lawful communication by electronic mail is permitted by this Rule. But see Rule 7.3(a) for the prohibition against the solicitation of a prospective client through a real-time electronic exchange that is not initiated by the prospective client. [4] Neither this Rule nor Rule 7.3 prohibits communications authorized by law, such as notice to members of a class in class action litigation. Paying Others To Recommend A Lawyer [5] Lawyers are not permitted to pay others for channeling professional work. Paragraph (b)(1), however, allows a lawyer to pay for advertising and communications permitted by this Rule, including the costs of print directory listings, on-line directory listings, newspaper ads, television and radio airtime, domain-name registrations, sponsorship fees, banner ads, and group advertising. A lawyer may compensate employees, agents and vendors who are engaged to provide marketing or client-development services, such as publicists, public-relations personnel, business-development staff and website designers. See Rule 5.3 for the duties of lawyers and law firms with respect to the conduct of nonlawyers who prepare marketing materials for them. [6] A lawyer may pay the usual charges of a legal service plan or a not-for-profit lawyer referral service. A legal service plan is a prepaid or group legal service plan or a similar delivery system that assists prospective clients to secure legal representation. A lawyer referral service, on the other hand, is any organization that holds itself out to the public as a lawyer referral service. Such referral services are understood by laypersons to be consumer-oriented organizations that provide unbiased referrals to lawyers with appro- RULE

178 RULE 7.3 priate experience in the subject matter of the representation and afford other client protections, such as complaint procedures or malpractice insurance requirements. Consequently, this Rule only permits a lawyer to pay the usual charges of a not-for-profit lawyer referral service. [7] A lawyer who accepts assignments or referrals from a legal service plan or referrals from a lawyer referral service must act reasonably to assure that the activities of the plan or service are compatible with the lawyer s professional obligations. See Rule 5.3. Legal service plans and lawyer referral services may communicate with prospective clients, but such communication must be in conformity with these Rules. Thus, advertising must not be false or misleading, as would be the case if the communications of a group advertising program or a group legal services plan would mislead prospective clients to think that it was a lawyer referral service sponsored by a state agency or bar association. Nor could the lawyer allow in-person, telephonic, or real-time contacts that would violate Rule 7.3. [8] A lawyer also may agree to refer clients to another lawyer or a nonlawyer professional, in return for the undertaking of that person to refer clients or customers to the lawyer. Such reciprocal referral arrangements must not interfere with the lawyer s professional judgment as to making referrals or as to providing substantive legal services. See Rules 2.1 and 5.4(c). Except as provided in Rule 1.5(e), a lawyer who receives referrals from a lawyer or nonlawyer professional must not pay anything solely for the referral, but the lawyer does not violate paragraph (b) of this Rule by agreeing to refer clients to the other lawyer or nonlawyer professional, so long as the reciprocal referral agreement is not exclusive and the client is informed of the referral agreement. Conflicts of interest created by such arrangements are governed by Rule 1.7. Reciprocal referral agreements should not be of indefinite duration and should be reviewed periodically to determine whether they comply with these Rules. This Rule does not restrict referrals or divisions of revenues or net income among lawyers within firms comprised of multiple entities. (Adopted July 1, 2009, effective January 1, 2010.) RULE 7.3 Direct Contact With Prospective Clients (a) A lawyer shall not by in-person, live telephone or real-time electronic contact solicit professional employment from a prospective client when a significant motive for the lawyer s doing so is the lawyer s pecuniary gain, unless the person contacted: (1) is a lawyer; or (2) has a family, close personal, or prior professional relationship with the lawyer. (b) A lawyer shall not solicit professional employment from a prospective client by written, recorded or electronic communication or by inperson, telephone or real-time electronic contact even when not otherwise prohibited by paragraph (a), if: (1) the prospective client has made known to the lawyer a desire not to be solicited by the lawyer; or (2) the solicitation involves coercion, duress or harassment. (c) Every written, recorded or electronic communication from a lawyer soliciting professional employment from a prospective client known to be in need of legal services in a particular matter shall include the words Advertising Material on the outside envelope, if any, and at the beginning and ending of any recorded or electronic communication, unless the recipient of the communication is a person specified in paragraphs (a)(1) or (a)(2). (d) Notwithstanding the prohibitions in paragraph (a), a lawyer may participate with a prepaid or group legal service plan operated by an organization not owned or directed by the lawyer that uses in-person or telephone contact to solicit memberships or subscriptions for the plan from persons who are not known to need legal services in a particular matter covered by the plan. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] There is a potential for abuse inherent in direct in-person, live telephone or real-time electronic contact by a lawyer with a prospective client known to need legal services. These forms of contact between a lawyer and a prospective RULE

179 client subject the layperson to the private importuning of the trained advocate in a direct interpersonal encounter. The prospective client, who may already feel overwhelmed by the circumstances giving rise to the need for legal services, may find it difficult fully to evaluate all available alternatives with reasoned judgment and appropriate self-interest in the face of the lawyer s presence and insistence upon being retained immediately. The situation is fraught with the possibility of undue influence, intimidation, and overreaching. [2] This potential for abuse inherent in direct in-person, live telephone or real-time electronic solicitation of prospective clients justifies its prohibition, particularly since lawyer advertising and written and recorded communication permitted under Rule 7.2 offer alternative means of conveying necessary information to those who may be in need of legal services. Advertising and written and recorded communications which may be mailed or autodialed make it possible for a prospective client to be informed about the need for legal services, and about the qualifications of available lawyers and law firms, without subjecting the prospective client to direct in-person, telephone or real-time electronic persuasion that may overwhelm the client s judgment. [3] The use of general advertising and written, recorded or electronic communications to transmit information from lawyer to prospective client, rather than direct in-person, live telephone or real-time electronic contact, will help to assure that the information flows cleanly as well as freely. The contents of advertisements and communications permitted under Rule 7.2 can be permanently recorded so that they cannot be disputed and may be shared with others who know the lawyer. This potential for informal review is itself likely to help guard against statements and claims that might constitute false and misleading communications, in violation of Rule 7.1. The contents of direct in-person, live telephone or real-time electronic conversations between a lawyer and a prospective client can be disputed and may not be subject to third-party scrutiny. Consequently, they are much more likely to approach (and occasionally cross) the dividing line between RULE 7.3 accurate representations and those that are false and misleading. [4] There is far less likelihood that a lawyer would engage in abusive practices against an individual who is a former client, or with whom the lawyer has close personal or family relationship, or in situations in which the lawyer is motivated by considerations other than the lawyer s pecuniary gain. Nor is there a serious potential for abuse when the person contacted is a lawyer. Consequently, the general prohibition in Rule 7.3(a) and the requirements of Rule 7.3(c) are not applicable in those situations. Also, paragraph (a) is not intended to prohibit a lawyer from participating in constitutionally protected activities of public or charitable legal- service organizations or bona fide political, social, civic, fraternal, employee or trade organizations whose purposes include providing or recommending legal services to its members or beneficiaries. [5] But even permitted forms of solicitation can be abused. Thus, any solicitation which contains information which is false or misleading within the meaning of Rule 7.1, which involves coercion, duress or harassment within the meaning of Rule 7.3(b)(2), or which involves contact with a prospective client who has made known to the lawyer a desire not to be solicited by the lawyer within the meaning of Rule 7.3(b)(1) is prohibited. Moreover, if after sending a letter or other communication to a client as permitted by Rule 7.2 the lawyer receives no response, any further effort to communicate with the prospective client may violate the provisions of Rule 7.3(b). [6] This Rule is not intended to prohibit a lawyer from contacting representatives of organizations or groups that may be interested in establishing a group or prepaid legal plan for their members, insureds, beneficiaries or other third parties for the purpose of informing such entities of the availability of and details concerning the plan or arrangement which the lawyer or lawyer s firm is willing to offer. This form of communication is not directed to a prospective client. Rather, it is usually addressed to an individual acting in a fiduciary capacity seeking a supplier of legal services for others who may, if they choose, become prospective clients of the lawyer. RULE

180 RULE 7.4 Under these circumstances, the activity which the lawyer undertakes in communicating with such representatives and the type of information transmitted to the individual are functionally similar to and serve the same purpose as advertising permitted under Rule 7.2. [7] The requirement in Rule 7.3(c) that certain communications be marked Advertising Material does not apply to communications sent in response to requests of potential clients or their spokespersons or sponsors. General announcements by lawyers, including changes in personnel or office location, do not constitute communications soliciting professional employment from a client known to be in need of legal services within the meaning of this Rule. [8] Paragraph (d) of this Rule permits a lawyer to participate with an organization which uses personal contact to solicit members for its group or prepaid legal service plan, provided that the personal contact is not undertaken by any lawyer who would be a provider of legal services through the plan. The organization must not be owned by or directed (whether as manager or otherwise) by any lawyer or law firm that participates in the plan. For example, paragraph (d) would not permit a lawyer to create an organization controlled directly or indirectly by the lawyer and use the organization for the in-person or telephone solicitation of legal employment of the lawyer through memberships in the plan or otherwise. The communication permitted by these organizations also must not be directed to a person known to need legal services in a particular matter, but is to be designed to inform potential plan members generally of another means of affordable legal services. Lawyers who participate in a legal service plan must reasonably assure that the plan sponsors are in compliance with Rules 7.1, 7.2 and 7.3(b). See Rule 8.4(a). (Adopted July 1, 2009, effective January 1, 2010.) RULE 7.4 Communication of Fields of Practice and Specialization (a) A lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law. RULE (b) The Supreme Court of Illinois does not recognize certifications of specialties in the practice of law, nor does it recognize certifications of expertise in any phase of the practice of law by any agency, governmental or private, or by any group, organization or association. A lawyer admitted to engage in patent practice before the United States Patent and Trademark Office may use the designation Patent Attorney or a substantially similar designation. (c) Except when identifying certificates, awards or recognitions issued to him or her by an agency or organization, a lawyer may not use the terms certified, specialist, expert, or any other, similar terms to describe his qualifications as a lawyer or his qualifications in any subspecialty of the law. If such terms are used to identify any certificates, awards or recognitions issued by any agency, governmental or private, or by any group, organization or association, the reference must meet the following requirements: (1) the reference must be truthful and verifiable and may not be misleading in violation of Rule 7.1; (2) the reference must state that the Supreme Court of Illinois does not recognize certifications of specialties in the practice of law and that the certificate, award or recognition is not a requirement to practice law in Illinois. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Paragraph (a) of this Rule permits a lawyer to indicate areas of practice in communications about the lawyer s services. If a lawyer practices only in certain fields, or will not accept matters except in a specified field or fields, the lawyer is permitted to so indicate. [2] Paragraph (b) states the general policy of the Supreme Court of Illinois not to recognize certifications of specialties or expertise, except that it recognizes that admission to patent practice before the Patent and Trademark Office confers a long-established and well-recognized status. The omission of reference to lawyers engaged in trademark or admiralty practice that were contained in the prior rule is not intended to suggest that such lawyers may not use terms such as

181 Trademark Lawyer or Admiralty to indicate areas of practice as permitted by paragraph (a). [3] Paragraph (c) permits a lawyer to state that the lawyer is certified, is a specialist in a field of law, or is an expert or any other similar term, only if certain requirements are met. (Adopted July 1, 2009, effective January 1, 2010.) RULE 7.5 Firm Names and Letterheads (a) A lawyer shall not use a firm name, letterhead or other professional designation that violates Rule 7.1. A trade name may be used by a lawyer in private practice if it does not imply a connection with a government agency or with a public or charitable legal services organization and is not otherwise in violation of Rule 7.1. (b) A law firm with offices in more than one jurisdiction may use the same name or other professional designation in each jurisdiction, but identification of the lawyers in an office of the firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction where the office is located. (c) The name of a lawyer holding a public office shall not be used in the name of a law firm, or in communications on its behalf, during any substantial period in which the lawyer is not actively and regularly practicing with the firm. (d) Lawyers may state or imply that they practice in a partnership or other organization only when that is the fact. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] A firm may be designated by the names of all or some of its members, by the names of deceased members where there has been a continuing succession in the firm s identity or by a trade name such as the ABC Legal Clinic. A lawyer or law firm may also be designated by a distinctive website address or comparable professional designation. Although the United States Supreme Court has held that legislation may prohibit the use of trade names in professional practice, use of such names in law practice is acceptable so long as it is not misleading. If a private firm uses a trade name that includes a geographical name such as Springfield Legal Clinic, an express disclaimer that it is a public RULE 7.5 legal aid agency may be required to avoid a misleading implication. It may be observed that any firm name including the name of a deceased partner is, strictly speaking, a trade name. The use of such names to designate law firms has proven a useful means of identification. However, it is misleading to use the name of a lawyer not associated with the firm or a predecessor of the firm, or the name of a nonlawyer. [2] With regard to paragraph (d), lawyers sharing office facilities, but who are not in fact associated with each other in a law firm, may not denominate themselves as, for example, Smith and Jones, for that title suggests that they are practicing law together in a firm. (Adopted July 1, 2009, effective January 1, 2010.) RULE 7.6 Reserved RULE 8.1 Bar Admission and Disciplinary Matters An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall not: (a) knowingly make a false statement of material fact; or (b) fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for information from an admissions or disciplinary authority, except that this Rule does not require disclosure of information otherwise protected by these Rules or by law. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] The duty imposed by this Rule extends to persons seeking admission to the bar as well as to lawyers. Hence, if a person makes a material false statement in connection with an application for admission, it may be the basis for subsequent disciplinary action if the person is admitted, and in any event may be relevant in a subsequent admission application. The duty imposed by this Rule applies to a lawyer s own admission or discipline as well as that of others. Thus, it is a separate professional offense for a lawyer to knowingly make a misrepresentation or omission in connection with a disciplinary investigation of RULE

182 RULE 8.2 the lawyer s own conduct. Paragraph (b) of this Rule also requires correction of any prior misstatement in the matter that the applicant or lawyer may have made and affirmative clarification of any misunderstanding on the part of the admissions or disciplinary authority of which the person involved becomes aware. [2] This Rule is subject to the provisions of the Fifth Amendment of the United States Constitution and corresponding provisions of state constitutions. A person relying on such a provision in response to a question, however, should do so openly and not use the right of nondisclosure as a justification for failure to comply with this Rule. [3] A lawyer representing an applicant for admission to the bar, or representing a lawyer who is the subject of a disciplinary inquiry or proceeding, is governed by the Rules applicable to the client-lawyer relationship, including Rule 1.6 and, in some cases, Rule 3.3. (Adopted July 1, 2009, effective January 1, 2010.) RULE 8.2 Judicial and Legal Officials (a) A lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer, or of a candidate for election or appointment to judicial or legal office. (b) A lawyer who is a candidate for judicial office shall comply with the applicable provisions of the Code of Judicial Conduct. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Assessments by lawyers are relied on in evaluating the professional or personal fitness of persons being considered for election or appointment to judicial office and to public legal offices, such as attorney general, prosecuting attorney and public defender. Expressing honest and candid opinions on such matters contributes to improving the administration of justice. Conversely, false statements by a lawyer can unfairly undermine public confidence in the administration of justice. [2] When a lawyer seeks judicial office, the lawyer should be bound by applicable limitations on political activity. [3] To maintain the fair and independent administration of justice, lawyers are encouraged to continue traditional efforts to defend judges and courts unjustly criticized. (Adopted July 1, 2009, effective January 1, 2010.) RULE 8.3 Reporting Professional Misconduct (a) A lawyer who knows that another lawyer has committed a violation of Rule 8.4(b) or Rule 8.4(c) shall inform the appropriate professional authority. (b) A lawyer who knows that a judge has committed a violation of applicable rules of judicial conduct that raises a substantial question as to the judge s fitness for office shall inform the appropriate authority. (c) This Rule does not require disclosure of information otherwise protected by the attorneyclient privilege or by law or information gained by a lawyer or judge while participating in an approved lawyers assistance program or an intermediary program approved by a circuit court in which nondisciplinary complaints against judges or lawyers can be referred. (d) A lawyer who has been disciplined as a result of a lawyer disciplinary action brought before any body other than the Illinois Attorney Registration and Disciplinary Commission shall report that fact to the Commission. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Self-regulation of the legal profession requires that members of the profession initiate disciplinary investigation when they know of a violation of the Rules of Professional Conduct. See In re Himmel, 125 Ill. 2d 531 (1988). Lawyers have a similar obligation with respect to judicial misconduct. An apparently isolated violation may indicate a pattern of misconduct that only a disciplinary investigation can uncover. Reporting a violation is especially important where the victim is unlikely to discover the offense. RULE

183 [2] A report about misconduct is not required where it would involve disclosure of information protected by the attorney-client privilege or by law. However, a lawyer should encourage a client to consent to disclosure where prosecution would not substantially prejudice the client s interests. [3] If a lawyer were obliged to report every violation of the Rules, the failure to report any violation would itself be a professional offense. Such a requirement existed in many jurisdictions but proved to be unenforceable. This Rule limits the reporting obligation to those offenses that a self-regulating profession must vigorously endeavor to prevent. A measure of judgment is, therefore, required in complying with the provisions of this Rule. A report should be made to the Illinois Attorney Registration and Disciplinary Commission unless some other agency is more appropriate in the circumstances. See Skolnick v. Altheimer & Gray, 191 Ill. 2d 214 (2000). Similar considerations apply to the reporting of judicial misconduct. [4] The duty to report professional misconduct does not apply to a lawyer retained to represent a lawyer whose professional conduct is in question or to a lawyer consulted in a professional capacity by another lawyer on whether the inquiring lawyer has a duty to report a third party lawyer s professional misconduct. Such a situation is governed by the Rules applicable to the client-lawyer relationship. [5] Information about a lawyer s or judge s misconduct or fitness may be received by a lawyer in the course of that lawyer s participation in an approved lawyers or judges assistance program or an approved intermediary program. In these circumstances, providing for an exception to the reporting requirements of paragraphs (a) and (b) of this Rule encourages lawyers and judges to seek treatment or assistance through such programs. Conversely, without such an exception, lawyers and judges may hesitate to seek assistance from these programs, which may then result in additional harm to their professional careers and additional injury to the welfare of clients and the public. See also Comment [19] to Rule 1.6. RULE 8.4 [6] Rule 8.3(d) requires a lawyer to bring to the attention of the Illinois Attorney Registration and Disciplinary Commission any disciplinary sanction imposed by any other body against that lawyer. The Rule must be read in conjunction with Illinois Supreme Court Rule 763. (Adopted July 1, 2009, effective January 1, 2010.) RULE 8.4 Misconduct It is professional misconduct for a lawyer to: (a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another. (b) commit a criminal act that reflects adversely on the lawyer s honesty, trustworthiness, or fitness as a lawyer in other respects. (c) engage in conduct involving dishonesty, fraud, deceit, or misrepresentation. (d) engage in conduct that is prejudicial to the administration of justice. (e) state or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of Professional Conduct or other law. (f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law. Nor shall a lawyer give or lend anything of value to a judge, official, or employee of a tribunal, except those gifts or loans that a judge or a member of the judge s family may receive under Rule 65(C)(4) of the Illinois Code of Judicial Conduct. Permissible campaign contributions to a judge or candidate for judicial office may be made only by check, draft, or other instrument payable to or to the order of an entity that the lawyer reasonably believes to be a political committee supporting such judge or candidate. Provision of volunteer services by a lawyer to a political committee shall not be deemed to violate this paragraph. (g) present, participate in presenting, or threaten to present criminal or professional disciplinary charges to obtain an advantage in a civil matter. (h) 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 RULE

184 RULE 8.4 any complaint before the Illinois Attorney Registration and Disciplinary Commission. (i) avoid in bad faith the repayment of an education loan guaranteed by the Illinois Student Assistance Commission or other governmental entity. The lawful discharge of an education loan in a bankruptcy proceeding shall not constitute bad faith under this paragraph, but the discharge shall not preclude a review of the lawyer s conduct to determine if it constitutes bad faith. (j) violate a federal, state or local statute or ordinance that prohibits discrimination based on race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status by conduct that reflects adversely on the lawyer s fitness as a lawyer. Whether a discriminatory act reflects adversely on a lawyer s fitness as a lawyer shall be determined after consideration of all the circumstances, including: the seriousness of the act; whether the lawyer knew that the act was prohibited by statute or ordinance; whether the act was part of a pattern of prohibited conduct; and whether the act was committed in connection with the lawyer s professional activities. No charge of professional misconduct may be brought pursuant to this paragraph until a court or administrative agency of competent jurisdiction has found that the lawyer has engaged in an unlawful discriminatory act, and the finding of the court or administrative agency has become final and enforceable and any right of judicial review has been exhausted. (k) if the lawyer holds public office: (1) use that office to obtain, or attempt to obtain, a special advantage in a legislative matter for a client under circumstances where the lawyer knows or reasonably should know that such action is not in the public interest; (2) use that office to influence, or attempt to influence, a tribunal to act in favor of a client; or (3) represent any client, including a municipal corporation or other public body, in the promotion or defeat of legislative or other proposals pending before the public body of which such lawyer is a member or by which such lawyer is employed. (Adopted July 1, 2009, effective January 1, 2010.) Comment [1] Lawyers are subject to discipline when they violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so or do so through the acts of another, as when they request or instruct an agent to do so on the lawyer s behalf. Paragraph (a), however, does not prohibit a lawyer from advising a client concerning action the client is legally entitled to take. [2] Many kinds of illegal conduct reflect adversely on fitness to practice law, such as offenses involving fraud and the offense of willful failure to file an income tax return. However, some kinds of offenses carry no such implication. Traditionally, the distinction was drawn in terms of offenses involving moral turpitude. That concept can be construed to include offenses concerning some matters of personal morality, such as adultery and comparable offenses, that have no specific connection to fitness for the practice of law. Although a lawyer is personally answerable to the entire criminal law, a lawyer should be professionally answerable only for offenses that indicate lack of those characteristics relevant to law practice. Offenses involving violence, dishonesty, breach of trust, or serious interference with the administration of justice are in that category. A pattern of repeated offenses, even ones of minor significance when considered separately, can indicate indifference to legal obligation. [3] A lawyer who, in the course of representing a client, knowingly manifests by words or conduct, bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status, violates paragraph (d) when such actions are prejudicial to the administration of justice. Legitimate advocacy respecting the foregoing factors does not violate paragraph (d). A trial judge s finding that peremptory challenges were exercised on a discriminatory basis does not alone establish a violation of this Rule. [4] A lawyer may refuse to comply with an obligation imposed by law upon a good-faith belief that no valid obligation exists. The provisions of Rule 1.2(d) concerning a good-faith challenge to the validity, scope, meaning or ap- RULE

185 plication of the law apply to challenges of legal regulation of the practice of law. [5] Lawyers holding public office assume legal responsibilities going beyond those of other citizens. A lawyer s abuse of public office can suggest an inability to fulfill the professional role of lawyers. The same is true of abuse of positions of private trust such as trustee, executor, administrator, guardian, agent and officer, director or manager of a corporation or other organization. (Adopted July 1, 2009, effective January 1, 2010.) RULE 8.5 Disciplinary Authority; Choice of Law (a) Disciplinary Authority. A lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction, regardless of where the lawyer s conduct occurs. A lawyer not admitted in this jurisdiction is also subject to the disciplinary authority of this jurisdiction if the lawyer provides or offers to provide any legal services in this jurisdiction. A lawyer may be subject to the disciplinary authority of both this jurisdiction and another jurisdiction for the same conduct. (b) Choice of Law. In any exercise of the disciplinary authority of this jurisdiction, the rules of professional conduct to be applied shall be as follows: (1) for conduct in connection with a matter pending before a tribunal, the rules of the jurisdiction in which the tribunal sits, unless the rules of the tribunal provide otherwise; and (2) for any other conduct, the rules of the jurisdiction in which the lawyer s conduct occurred, or, if the predominant effect of the conduct is in a different jurisdiction, the rules of that jurisdiction shall be applied to the conduct. A lawyer shall not be subject to discipline if the lawyer s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect of the lawyer s conduct will occur. (Adopted July 1, 2009, effective January 1, 2010.) RULE 8.5 Comment Disciplinary Authority [1] It is longstanding law that the conduct of a lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction. Extension of the disciplinary authority of this jurisdiction to other lawyers who provide or offer to provide legal services in this jurisdiction is for the protection of the citizens of this jurisdiction. Reciprocal enforcement of a jurisdiction s disciplinary findings may advance the purposes of this Rule, subject always to the need to avoid unjust results. For purposes of reciprocal discipline, suspension of the privilege to provide legal services on a temporary basis, pursuant to Rule 5.5(c) shall not necessarily be considered equivalent to suspension of licensure for a lawyer admitted to practice in this jurisdiction. The fact that the lawyer is subject to the disciplinary authority of this jurisdiction may be a factor in determining whether personal jurisdiction may be asserted over the lawyer for civil matters. Choice Of Law [2] A lawyer may be potentially subject to more than one set of rules of professional conduct which impose different obligations. The lawyer may be licensed to practice in more than one jurisdiction with differing rules, or may be admitted to practice before a particular court with rules that differ from those of the jurisdiction or jurisdictions in which the lawyer is licensed to practice. Additionally, the lawyer s conduct may involve significant contacts with more than one jurisdiction. [3] Paragraph (b) seeks to resolve such potential conflicts. Its premise is that minimizing conflicts between rules, as well as uncertainty about which rules are applicable, is in the best interest of both clients and the profession (as well as the bodies having authority to regulate the profession). Accordingly, it takes the approach of (i) providing that any particular conduct of a lawyer shall be subject to only one set of rules of professional conduct, (ii) making the determination of which set of rules applies to particular conduct as straightforward as possible, consistent with recognition of appropriate regulatory interests of relevant jurisdictions, and (iii) providing protec- RULE

186 RULE 8.5 tion from discipline for lawyers who act reasonably in the face of uncertainty. [4] Paragraph (b)(1) provides that as to a lawyer s conduct relating to a proceeding pending before a tribunal, the lawyer shall be subject only to the rules of the jurisdiction in which the tribunal sits unless the rules of the tribunal, including its choice of law rule, provide otherwise. As to all other conduct, including conduct in anticipation of a proceeding not yet pending before a tribunal, paragraph (b)(2) provides that a lawyer shall be subject to the rules of the jurisdiction in which the lawyer s conduct occurred, or, if the predominant effect of the conduct is in another jurisdiction, the rules of that jurisdiction shall be applied to the conduct. In the case of conduct in anticipation of a proceeding that is likely to be before a tribunal, the predominant effect of such conduct could be where the conduct occurred, where the tribunal sits or in another jurisdiction. [5] When a lawyer s conduct involves significant contacts with more than one jurisdiction, it may not be clear whether the predominant effect of the lawyer s conduct will occur in a jurisdiction other than the one in which the conduct occurred. So long as the lawyer s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect will occur, the lawyer shall not be subject to discipline under this Rule. [6] If two admitting jurisdictions were to proceed against a lawyer for the same conduct, they should, applying this Rule, identify the same governing ethics rules. They should take all appropriate steps to see that they do apply the same rule to the same conduct, and in all events should avoid proceeding against a lawyer on the basis of two inconsistent rules. [7] The choice of law provision applies to lawyers engaged in transnational practice, unless international law, treaties or other agreements between competent regulatory authorities in the affected jurisdictions provide otherwise. (Adopted July 1, 2009, effective January 1, 2010.) RULE

187 RULES OF THE ATTORNEY REGISTRATION AND DISCIPLINARY COMMISSION For Disciplinary Proceedings Under Illinois Supreme Court Rules Article I General RULE 1 Preamble It is the policy of the Commission that disciplinary and unauthorized practice of law matters be handled expeditiously, with due regard to the right of the respondent to have adequate time to prepare his defense. The courts, the public, the bar, and the respondents have a vital interest in an early determination of any charge which bears upon the fitness of an attorney to practice his profession or an allegation of unauthorized practice of law. The elimination of unnecessary delay was a major objective of the Court in creating the Commission and in establishing the office of Administrator. Implementation of this objective is one of the principal purposes of the following rules. (Amended, December 7, 2011, effectively immediately.) RULE 2 Definitions As used in these rules: (a) Misconduct. Misconduct is behavior of an attorney which violates the Illinois Code of Professional Responsibility or which tends to defeat the administration of justice or to bring the Courts or legal profession into disrepute. (b) Charge. A charge is information which may constitute an allegation of misconduct by an attorney or an allegation of unauthorized practice of law. (c) Chair. The Chair is a person designated by the Commission to serve as chairperson of an Inquiry Board panel or a Hearing Board panel. (d) Respondent. A respondent is an attorney charged with misconduct or under investigation by the Administrator or a person, whether an individual, entity or association, charged with the unauthorized practice of law or under investiga- Com 1 tion under an allegation of the unauthorized practice of law. (e) Complaining Witness. A complaining witness is a person who makes a charge of misconduct or an allegation of the unauthorized practice of law. (f) Clerk. The Clerk of the Commission is the person designated by the Administrator to receive, keep and maintain the files, pleadings, records, documents, evidence and other papers of the various panels and boards related to the work of the Commission and its Boards. (Amended, effective July 25, 1986; amended, effective April 15, 1994; Amended, December 7, 2011, effectively immediately.) RULE 3 Construction The masculine form of a word includes the feminine. Except for proper nouns, the singular form includes the plural and the plural the singular. RULES 4 through 50 Reserved. Article II Investigations By The Administrator RULE 51 Initiation of an Investigation The Administrator may initiate an investigation on his own motion based upon information from any source. RULE 52 Charges Charges received by the Administrator shall be in writing, shall identify the respondent and the person making the charge, and shall be sufficiently clear to apprise the respondent of the misconduct or unauthorized practice charged. In his discretion, the Administrator may provide assistance at his office to persons desiring to make a charge and may furnish forms for that purpose. The Administrator is not required to investigate any charge which does not meet the requirements of this rule, although in his discretion he may do so. (Amended, effective July 25, 1986; amended, effective April 15, 1994; Amended, December 7, 2011, effectively immediately.) Com

188 Com 53 RULE 53 Duty of Attorneys The Administrator may request the respondent, or any other attorney who may have knowledge of pertinent facts, to provide information, in writing, concerning the matter under investigation. Such requests by the Administrator may be made by letter. It shall be the duty of every attorney admitted to practice in this state to respond within 14 days to any such request from the Administrator. RULE 54 Closure by Administrator When the Administrator concludes that there is insufficient evidence to establish that the respondent has engaged in misconduct or to establish an allegation of unauthorized practice of law, the Administrator shall close the investigation. The Administrator shall notify the complaining witness of his decision to close an investigation. Closure by the Administrator shall not bar the Administrator from resuming the investigation if circumstances warrant. The Administrator shall report to the Commission actions taken under this rule. (Amended, effective October 21, 1988; Amended, December 7, 2011, effectively immediately.) RULE 55 Reference to Inquiry Board When the Administrator concludes that there is sufficient evidence to establish that the respondent engaged in misconduct or the unauthorized practice of law or the Administrator believes consideration by the Inquiry Board is warranted, the Administrator shall refer the matter to the Inquiry Board. At the time the referral is made, the Administrator shall send notice of the referral to the respondent. The notice shall state the date upon which the Inquiry Board is scheduled to consider the matter, shall state that a complaint may be voted or unauthorized practice of law proceedings may be authorized, and shall include information as to how the respondent may request an appearance before the Inquiry Board. In any matter as to which the respondent has not previously been afforded an opportunity to respond, the notice shall include information as to how a response may be submitted, and in cases where the respondent has previously been afforded an opportunity to respond, the notice shall Com contain information as to how the respondent can submit any additional information to be considered by the Inquiry Board. The notice shall be sent by regular mail, postage prepaid, addressed to the respondent at the address shown on the Master Roll, or if the respondent s name does not appear on the Master Roll, at his last known business address or residence address. (Amended, effective Oct. 21, 1988; amended, effective May 1, 2001; Amended, December 7, 2011, effectively immediately.) RULES 56 through 100 Reserved Article III The Inquiry Board RULE 101 Organization The Inquiry Board shall act in panels composed of two lawyers and one nonlawyer. Two members of the panel shall constitute a quorum. The concurrence of two members shall be necessary to a decision by the panel. The decision of a panel shall be the decision of the Inquiry Board. In the absence of the chair of a panel at a meeting, the members present shall designate one of the members as acting chair. A panel may reconsider its decision to dismiss an investigation, to close an investigation, to vote a complaint prior to the filing of the complaint with the clerk of the Commission, or to institute unauthorized practice of law proceedings prior to the institution of those proceedings. (Amended, effective July 25, 1986; amended, effective April 15, 1994; Amended, December 7, 2011, effectively immediately.) RULE 102 Function and Procedure of Inquiry Board The Board shall determine whether there is sufficient evidence for the filing of a complaint or petition with the Hearing Board or unauthorized practice of law proceedings. The Board shall review the investigation made by the Administrator. The Board may direct any additional investigation it deems appropriate and require the attendance of witnesses before it or one of its members. Where the Board deems appropriate, it may allow or require the appearance of the respondent, but the Board shall not be required to allow the respondent s appearance. The Board shall not determine the merits of the charge or

189 conduct adversary hearings. The Board is not required to hear the testimony of witnesses. The Board may determine to defer further proceedings where warranted by the circumstances as set forth in Rule 108. (Amended, effective July 12, 1990; amended, effective May 1, 2001 Amended, December 7, 2011, effectively immediately..) RULE 103 Inquiry Panel Agenda The Administrator shall: (a) prepare an agenda in advance for each meeting of a panel; and (b) maintain minutes of the meeting, indicating the disposition of each investigation on the agenda, whether a complaint shall be voted, unauthorized practice of law proceedings shall be authorized, the investigation dismissed, the investigation closed, or the matter continued for further action. (Amended, effective July 25, 1986 Amended, December 7, 2011, effectively immediately..) RULE 104 Prompt Disposition Investigations before the Board shall be disposed of promptly. (Amended, effective July 25, 1986.) RULE 105 Notice that Complaint may Be Voted. (Amended, effective July 25, 1986; deleted effective May 1, 2001.) RULE 106 Right to Counsel If respondent appears before a panel, or one of its members, he may be represented by counsel. (Amended, effective July 25, 1986.) RULE 107 Notification to Complaining Witness The Administrator shall notify the complaining witness of the decision of the Inquiry Board. Com 103 RULE 108 Determination to Defer Further Proceedings (a) Deferral. With the agreement of the Administrator and the attorney, the Inquiry Board may determine to defer further proceedings pending the attorney's compliance with conditions imposed by the Board for supervision of the attorney for a specified period of time not to exceed one year unless extended by the Inquiry Board prior to the conclusion of the specified period. Proceedings may not be deferred under the provisions of this Rule if: (1) the conduct under investigation involves misappropriation of funds or property of a client or a third party; (2) the conduct under investigation involves a criminal act that reflects adversely on the attorney's honesty; (3) the conduct under investigation resulted in or is likely to result in actual prejudice (loss of money, legal rights or valuable property rights) to a client or other person, unless restitution is made a condition of deferral; or (4) the attorney has previously been disciplined or placed on supervision as provided in this Rule. (b) Conditions. Such conditions shall take into consideration the nature and circumstances of the conduct under investigation by the board and the history, character and condition of the attorney. The conditions may include, but are not limited, to the following: (1) periodic reports to the Administrator; (2) supervision of the attorney's practice or accounting procedures; (3) satisfactory completion of a course of study; (4) successful completion of the Multistate Professional Responsibility Examination; (5) compliance with the provisions of the Rules of Professional Conduct; (6) restitution; (7) psychological counseling or treatment; and (8) abstinence from alcohol or drugs. (c) Affidavit. Prior to the Inquiry Board entering its determination to defer further proceedings, the attorney shall execute an affidavit setting forth the following: (1) the nature of the conduct under investigation by the Inquiry Board as admitted by the attorney; (2) the conditions to be imposed by the Inquiry Board for supervision of the attorney; Com

190 Com 109 (3) that the attorney does not object to the conditions to be imposed; (4) that the attorney understands that should he fail to comply with the conditions imposed by the Inquiry Board a formal complaint may be voted and filed with the Hearing Board; (5) that the admissions by the attorney with respect to his or her conduct may be introduced as evidence in any further proceedings before the Hearing or Review Board; and (6) that the attorney joins in the Inquiry Board's determination freely and voluntarily, and understands the nature and consequences of the Board's action. (d) Supervision. The Administrator shall be responsible for the supervision of the conditions imposed by the Inquiry Board. Where appropriate, he may recommend to the Board modifications of the conditions and shall report to the Board the attorney's failure to comply with the conditions or to cooperate with the Administrator. Upon a showing of the attorney's failure to comply with conditions, the Board may request that any deferred matters be returned to its agenda for future consideration. (e) Compliance. Upon the attorney's successful compliance with the conditions imposed by the Inquiry Board, the Board shall dismiss or close the investigations pending before it at the time it determined to defer further consideration. (Adopted July 9, 1990; amended, effective October 23, 1992.) RULES 109 through 200 Com Reserved. Article IV The Hearing Board RULE 201 Organization The Hearing Board shall act in panels composed of two lawyers and one nonlawyer. The Commission will designate one of the lawyer members as Chair of the panel. Two members of the panel shall constitute a quorum. The Administrator and the respondent may consent to a hearing before one member of the panel; however, the concurrence of two members of a panel shall be necessary to a decision. In the absence of the Chair at a hearing, the remaining lawyer member shall serve as acting chair. The decision of the panel shall be the decision of the Hearing Board. (Amended, effective July 25, 1986; amended, effective April 15, 1994.) RULES 202 through 210 Reserved RULE 211 Preparation and Form of Complaint A complaint voted by the Inquiry Board shall be prepared by the Administrator and captioned In the Matter of Attorney-Respondent No.. The complainant shall be the Administrator. The complaint shall contain a concise statement of the facts constituting the alleged misconduct. RULE 212 Docketing and Assignment to Panel for Hearing The complaint shall be filed with the Clerk. The Clerk shall docket the complaint and shall assign the matter to a hearing panel in accordance with procedures and policies established by the Commission. If any member of the panel is unavailable to hear the matter, the Clerk shall assign another member of the Board to serve on the panel hearing the matter. (Amended December 11, 1992, effective March 1, 1993.) RULE 213 Reserved RULE 214 Service of Complaint The Clerk shall cause a copy of the complaint, a copy of these rules and a notice of the hearing to be served on the respondent within or without the State of Illinois as follows: (a) By Personal Service. Personal service shall be made by leaving a copy with the respondent personally; or (b) By Mail Service. If a person authorized to make personal service, as provided in Rule 215 below, files with the Hearing Board his affidavit that the respondent (1) resides out of the state, (2) has left the state, (3) on due inquiry cannot be found, or (4) is concealed within the state so that process cannot be served upon him, the Administrator shall serve the respondent by ordinary mail, postage fully prepaid, directed to the respondent at the address shown on the Master Roll or if he is

191 not listed on the Master Roll at his last known business or residence address. The Administrator's certificate of mailing is sufficient proof of service. RULE 215 Persons Authorized to Make Service Personal service may be made: (1) By a member of the Administrator's staff; (2) By the Sheriff of any county in which the respondent is found; (3) At the direction of the chair of the hearing panel to which a matter is assigned, by any member of the bar of this state; or (4) In another state, by any resident of the state who, by the laws or rules of court of that state, is authorized to serve process in disciplinary proceedings. RULES 216 through 230 Reserved RULE 231 Return Date The respondent shall answer the complaint within 21 days after personal service or within 28 days after the date of mailing when service is by mail. Respondent shall include in a separate section in the answer the following information related to respondent s professional background: (a) whether respondent has ever been admitted to practice law before any other state court, federal court or administrative agency or admitted before the bar of any foreigh country and, if so, the identity of each such court, jurisdiction or agency; the year of each such admission; the full name under which respondent was admitted and any subsequent name changes; and any bar or registration number assigned; and (b) whether respondent has ever received any other professional license or certificate and, if so, the identity of each such issuing entity; the year of issuance of each such license or certificate; the full name under which the license or certificate was issued to respondent and any subsequent name changes; and any certificate or registration number assigned. (Amended effective March 31, 1995; amended effective February 1, ) Com 215 RULE 232 Pleadings Subsequent to the Complaint The original of each pleading subsequent to the complaint shall be filed by the pleader with the Clerk. A copy of any pleading filed shall be served in the manner prescribed for the service of papers by the rules of the Supreme Court. RULE 233 Answer to be Specific The answer shall specifically admit or deny each allegation of the complaint. Every allegation not specifically denied is deemed admitted unless the answer states the reason the respondent is unable to make a specific denial. RULE 234 Replies No reply shall be filed by the Administrator. Any new matter alleged in the respondent's answer shall be deemed denied. RULE 235 Motions All motions shall be made in writing prior to hearing. Rulings on motions shall be made by the chair of the panel or in a manner as the chair shall determine. No oral arguments shall be allowed on motions. The movant may submit written authority in support of the motion and the other party may submit counter authority within 7 days after receipt of the movant's authority. To facilitate the development of a full evidentiary record in matters other than default proceedings, dispositive motions such as those seeking summary judgment or dismissal prior to completion of the evidentiary record on charges shall not be permitted. This rule is not intended to prevent motions pursuant to Illinois Supreme Court Rules 201 and 219 or motions for a directed finding at hearing. (Amended, effective September 1, 2012.) RULE 236 Failure to Answer When the respondent fails to answer to the complaint, as required by Rules 231 through 233, upon motion of the Administrator and notice to the respondent, all factual allegations and disciplinary charges shall be deemed admitted, and no further proof shall be required. A respondent who has failed to answer timely may seek leave of the hearing panel to vacate an order of default and file an answer upon a showing that his failure to answer was a result of mistake, inadvertence, Com

192 Com 237 surprise or excusable neglect. At any hearing in which the allegations of the complaint have been deemed admitted, the respondent and Administrator shall be limited to presenting evidence of aggravating and mitigating factors and arguments regarding the form and amount of discipline to be imposed. No hearing shall be conducted within twenty-eight days of the entry of an order vacating an order of default. (Amended, effective October 21, 1988; amended effective February 1, 2013.) RULE 237 Master File The original of the complaint and all subsequent pleadings and other documents shall be filed with the Clerk and maintained in a master file. RULES 238 through 250 Com Reserved RULE 251 Discovery (a) Except as provided herein, discovery practice shall be in accordance with the Code of Civil Procedure and the Rules of the Supreme Court. Written interrogatories shall not be served by any party without leave of the chair of the hearing panel and upon good cause shown. At any time after the respondent has been served, either party may request admissions of fact and genuineness of documents pursuant to Supreme Court Rule 216. Discovery shall be filed with the clerk of the Commission, with the exception of discovery depositions and items produced pursuant to discovery requests. (b) Work Product. (1) The Administrator and the respondent shall be entitled to a work product privilege for materials prepared by their respective counsel or counsel s agents, including employed or independently retained paralegals and investigators, in anticipation of proceedings under Supreme Court Rules 751 et seq., or for purposes of proceedings pending under those Rules. Work product includes, but is not limited to, notes and memoranda prepared by counsel or counsel s agents of witnesses oral statements which are not verbatim and which have not been reviewed, altered, corrected or signed by the witness, except that the privilege does not extend to those portions of memoranda of investigators and paralegals that provide the investigator s or paralegal s summary of the statements of those interviewed and other factual information.. (2) Neither the Administrator nor the respondent shall be compelled to disclose work product in the course of discovery under these rules except upon a showing of the absolute impossibility of securing similar information from other sources. If the Chair determines that there is no possibility of the requesting party securing similar information from another source, the Chair may order the other party to produce for in camera review the work product that contains the otherwise unobtainable information with proposed redactions of mental impressions, characterizations, theories, instructions to staff that reveal investigative or litigation strategy, and litigation plans, as well as factual information otherwise obtainable. Having so ordered, the Chair shall review the work product material and the proposed redactions, and, thereafter, order disclosure of only otherwise unobtainable factual information. (3) Disclosure or production of information or materials to a Respondent, Petitioner, or the Administrator during an investigation or proceeding does not constitute subject matter waiver of the party s work product privilege. (Amended, effective April 1, 1996; amended effective September 30, 2005; amended effective for matters filed before the Hearing Board on or after February 1, 2013.) RULE 252 Diligence in Discovery (Deleted effective September 1, 2012.) RULE 253 Disclosure of Witnesses (a) Within 28 days of service of the complaint upon respondent, the Administrator and the attorney-respondent shall file a report disclosing the name, address and telephone numbers of persons who have knowledge of facts which are the subject of the proceeding, and identifying the subject matter of their knowledge. The Administrator and attorney-respondent have a duty to seasona-

193 bly supplement or amend any prior answer or response whenever new or additional information subsequently becomes known to that party. The Administrator and attorney-respondent shall disclose to all parties of record any reports about the case received from an expert witness who will testify at hearing within a reasonable time after receipt of the report. (b) The Hearing Board shall not allow the Administrator or the attorney-respondent to offer the testimony of any person whose identity and location is not disclosed in a report pursuant to this rule, but the Hearing Board shall not bar testimony of a witness based upon the adequacy of the disclosure of the subjects of the witness' testimony, absent a showing of substantial prejudice by the party seeking to bar the testimony. The Hearing Board shall not allow the Administrator or the attorney-respondent to offer the testimony of any expert witness who provided a report to the party calling that expert witness, if that report has not been timely disclosed to all other parties. (Adopted, effective Apr. 24, 1987; amended, effective September 30, 2005.) RULES 254 through 259 Reserved. RULE 260 Prehearing Conferences (a) Prehearing Conferences. Pre-hearing Conferences. As soon as practicable after the filing of the petition, answer or after the time for filing an answer has elapsed, a member of the Hearing Board who has been designated Chair in the case shall schedule and preside over a prehearing conference. All pre-hearing conferences may take place at the offices of the Attorney Registration and Disciplinary Commission or by telephone, as determined by the Chair. The respondent or petitioner, counsel for respondent or petitioner if any, and counsel for the Administrator shall personally attend all pre-hearing conferences unless excused by the Chairr. (b) Objectives. The Chair is responsible for bringing the case to a full and fair hearing in a timely and efficient manner. In furtherance of this responsibility, the Chair shall conduct prehearing conferences to consider and take action regarding: Com 254 (1) the formulation and simplification of the issues; (2) the elimination of frivolous charges or defenses; (3) the necessity of amendments to the pleadings; (4) entry into stipulations regarding undisputed evidence and obtaining prehearing rulings on the admissibility of evidence; (5) the identification and limitation of witnesses, including character or expert witnesses; (6) the possibility of discipline on consent pursuant to Supreme Court Rule 762; (7) the supervision of discovery; (8) the scheduling of the hearing; and (9) any other matters which may aid in the disposition of the action. (c) Scheduling Order. In all cases where a complaint has been filed pursuant to Supreme Court Rules 753 or 761, the Chair shall enter a scheduling order, as soon as practicable, establishing dates certain for the following matters and any other matters the Chair deems appropriate: (1) the filing of an answer if none has been filed; (2) the filing of reports pursuant to Commission Rule 253 if none has been filed; (3) the filing of motions pursuant to Commission Rules 235 and 236; (4) retention of counsel by pro se respondents; (5) a discovery cut-off date, including specific dates for document production and depositions as deemed necessary by the Chair. However, all discovery shall be completed no later than 14 days prior to the date set for hearing; (6) the filing of stipulations; (7) the exchange of exhibits; (8) the filing of a joint motion for approval to file petition to impose discipline on consent pursuant to Supreme Court Rule 762(b); (9) hearing date. (d) Additional Prehearings. The Chair may modify the scheduling order and hold additional pre-hearing conferences as deemed necessary. Com

194 Com 261 (e) Order. For each prehearing conference, the Chair shall enter an order reciting any action taken by the Chair and reciting any agreements made by the Administrator and the respondent or petitioner and approved by the Chair. (f) Sanctions. The Chair shall, in addition to any other sanctions authorized by Supreme Court Rule or Commission Rule, make and enforce all rules and orders necessary to compel compliance with this rule. (Amended, effective October 21, 1988; amended, effective April 15, 1994; amended, effective May 1, 2001, amended, effective September 1, 2012.) RULE 261 Substitution and Recusal of Hearing Chair and Panel Members (a) In General. Substitution of the Chair of the Hearing panel assigned to a case may be requested consistent with the provisions of Section 5/ of the Code of Civil Procedure. Parties may request substitution of Hearing panel members other than the Chair due to the involvement of the panel member, as provided in Section 5/2-1001(a)(1), or for cause, as provided in Section 5/2-1001(a)(3).Motions for a substitution of a Chair for cause shall be heard by the Chair of the full Hearing Board or another Chair designated by him. Motions for substitution of a panel member other than the Chair shall be heard by the Chair assigned to the case. (b) After Denial of Approval to File Consent Petition. Whenever a panel denies a motion for leave to file a petition presented pursuant to Supreme Court Rule 762(b), the members of that panel shall recuse themselves from further proceedings in the case and the case shall be assigned to a different panel of the Hearing Board. (Effective May 1, 2001.) RULES 262 through 270 Reserved RULE 271 (Deleted, effective October 21, 1988) RULE 272 Continuances The Chair may continue a hearing or prehearing conference at the Chair's discretion. No hearing or prehearing conference shall be continued at the request of any party except upon written motion supported by affidavit. No hearing shall be continued at the request of a party except under extraordinary circumstances. Engagement of counsel shall not be deemed an extraordinary circumstance. No prehearing conference shall be continued at the request of a party except for good cause. (Adopted, effective March 10, 1987; amended, effective April 15, 1994; amended, effective September 1, 2012.) RULE 273 Evidence The admissibility of matters offered in evidence in proceedings brought pursuant to these rules shall be governed by the Code of Civil Procedure and Rules of the Supreme Court. An affidavit or letter which attempts to establish the character or reputation of a respondent or petitioner shall not be admitted. Evidence concerning the character or reputation of a respondent or petitioner may be limited by the hearing panel as the interest of justice requires. RULE 274 Hearings to be Continuous Hearings shall continue from day to day until the taking of evidence has been completed. Hearings may be held on Saturday. RULE 275 Exclusion of Witnesses Upon motion of either party, the hearing panel may exclude witnesses from the hearing. (Adopted May 11, 1990, effective June 1, 1990.) RULE 276 Exhibits Each party must appear at hearing with all documentary exhibits prepared in the following manner: (a) The first page of each exhibit or group exhibit shall be labeled as Administrator s Exhibit (Adm. Ex.), Respondent s Exhibit (Resp. Ex.), or Petitioner s Exhibit (Pet. Ex.), with the appropriate number of the exhibit. (b) Any exhibit that contains more than one page shall be bound, stapled or otherwise fastened permanently, and shall have all pages of that exhibit consecutively numbered. (c) Prior to the start of the hearing, each party shall tender to the Chair, on a form provided by the Clerk, a table of the exhibits the party plans to offer. A copy of the table shall be served upon opposing counsel. Com

195 (d) At the close of evidence and before the hearing is adjourned, it shall be the duty of each party to assure that all exhibits that were admitted into evidence for that party and all exhibits that were the subject of an offer of proof by that party during the hearing have been delivered to the Chair in a form consistent with this rule. (Adopted June 30, 1995, effective immediately.) RULE 277 Prior Discipline If the hearing panel concludes that the Administrator has established that the respondent engaged in misconduct, the Chair shall enter an order directing the Administrator to file within seven days copies of any orders or opinions imposing discipline on the respondent, that are not already in evidence. At the same time, the Administrator may file written argument not to exceed five pages in length regarding the effect to be given to the prior discipline. Within seven days after the filing of prior disciplinary orders or opinions, the respondent may file a written argument not to exceed five pages in length regarding the effect to be given to the prior discipline. (Adopted May 11, 1990, effective June 1, 1990.) RULES 278 through 280 Reserved RULE 281 Report of the Hearing Board The report of the Hearing Board shall be prepared by the panel as soon as practicable after completion of the hearing. The report shall be filed with the Clerk. The Clerk shall serve a copy upon the respondent and the Administrator. RULE 282 Reprimands The hearing panel may order that it will administer a reprimand to respondent. The reprimand shall include a description of the respondent's misconduct and the reasons for the reprimand. (a) Order. The order and the proposed reprimand shall be filed with the Clerk. The order shall designate the time and place for the delivery of the proposed reprimand, not less than 21 days after the filing of the order. The Clerk shall serve a copy of the order and proposed reprimand upon the respondent and the Administrator. (b) Exceptions. The respondent or the Administrator may, within 21 days thereafter, file Com 277 exceptions to the order with the Review Board as provided by Supreme Court Rule 753(e). Upon the filing of exceptions, the matter shall be reviewed by the Review Board. If no exceptions are filed, the order shall become final. (c) Delivery. The hearing panel shall deliver the reprimand to the respondent orally and in writing. (d) Subsequent Disciplinary Proceedings. The reprimand may be admitted into evidence in any subsequent disciplinary proceeding relating to the respondent in accordance with Supreme Court Rule 753(c)(5) and Commission Rule 277 and 314. (Amended May 11, 1990, effective June 1, 1990.) RULE 283 Notification to Complaining Witness The Administrator shall notify the complaining witness of the action taken by the Hearing Board. RULE 284 Post-Trial Procedures (a) Post-Trial Motions. Except as provided herein, post-trial motions shall not be filed with or considered by the Hearing Board. A matter which might otherwise be presented by post-trial motion may be the subject of an exception filed with the Review Board. Motions for an extension of the time within which to file exceptions to the report of the Hearing Board shall be ruled upon by the chair of the hearing panel which prepared the report. (b) Closing Argument. The Hearing Board shall not allow or consider written summations, written closing argument or post-trial memoranda. (Amended, effective July 25, 1986.) RULES 285 through 290 Reserved RULE 291 Perpetuating Testimony (a) Petition. The Administrator, an attorney, or any person who is or has been the subject of proceedings pursuant to these rules or the disciplinary rules of the Supreme Court may file with the Clerk a petition for an order authorizing the petitioner to take a deposition for the purpose of perpetuating testimony. The petition shall be Com

196 Com 292 captioned In the Matter of Attorney-Respondent No.. The petition shall state: (i) the name and address of the person to be examined; (ii) the facts which the petitioner desires to establish by the proposed testimony; and (iii) the reasons for perpetuating the testimony. (b) Service on the Administrator. Service on the Administrator shall be made by mailing or delivering the original and two copies of the petition to the office of the Administrator in Springfield or Chicago directed to the attention of the Clerk of the Commission. (c) Service on an Attorney or Other Person. Service of the petition on an attorney or other person shall be made in the same manner provided by Rules 214 and 215 for service of a complaint. (d) Filing and Docketing by Clerk. Upon receipt of the petition, the Clerk shall file and docket it. If the matter which is the subject of the petition has been assigned to a hearing panel, the Clerk shall assign the petition to the chair of that panel. If the matter which is the subject of the petition has not been assigned to a hearing panel, the Clerk shall assign the petition to a chair of a hearing panel in accordance with procedures and policies established by the Commission. (e) Order and Examination. If the chair of the hearing panel assigned to hear the petition determines that the perpetuation of the testimony may prevent a failure or delay of justice, he shall designate or describe the persons whose depositions are to be taken specifying the subject matter of the examination and whether the depositions shall take upon oral examination or written questions and fixing the time, place and conditions of the examination. The order shall be filed with the Clerk who shall notify the parties of the entry of the order. (Amended December 11, 1992, effective March 1, 1993.) RULES 292 through 300 Com Reserved Article V The Review Board RULE 301 Review of Hearing Board Report, Notice of Exceptions (a) Method of Review. Every report of the Hearing Board is reviewable by the Review Board as of right. (b) Time; Filing. Review is initiated by filing a Notice of Exceptions with the Clerk of the Commission within 21 days of service of the Hearing Board Report to the parties. The party who files a Notice of Exceptions first shall be considered the appellant. The appellee need not file a Notice of Exceptions to assert additional error but shall assert any such additional error within his brief. (c) Form and Contents of Notice of Exceptions. The Notice of Exceptions shall bear the title and number of the matter, naming and designating the parties in the same manner as before the Hearing Board and adding the further designation appellant or appellee (e.g. respondent-appellant). The Notice of Exceptions shall be titled as such and specify the Hearing Board Report or portion thereof excepted to and the relief sought from the Review Board, as well as the signature and address of each appellant or his or her attorney. (Amended, effective January 15, 1988; amended, effective February 2, 1994.) RULE 302 Briefs (a) Time. Unless the Review Board orders otherwise, the brief of the appellant shall be filed with the Clerk of the Commission no later than 35 days after the date that the Notice of Exceptions is due. Within 35 days from the due date of the appellant's brief, the appellee shall file a brief with the Clerk. Within 14 days from the due date of the appellee's brief, the appellant may file a reply brief. Should the appellee raise additional errors in his brief, the appellant's reply brief shall also address those errors, shall be designated as the appellant-cross-appellee s reply brief, and shall be filed within 14 days of the filing of the appellee s brief. The appellee may file a reply brief confined strictly to replying to the appellant's argument on the additional errors within 14 days after the due date of the appellant-cross-

197 appellee's reply brief. If the brief of the appellee raises additional errors in his brief, the cover of the brief shall be captioned: Brief of Appellee. Cross Relief Requested. Should the Review Board allow a brief to be filed after the date it is due, the Review Board may extend the due date of any subsequent brief as necessary. (b) Number of Copies and Service. The original and one copy of each brief shall be filed with the Clerk of the Commission. In addition, the party shall serve three copies upon the other party to review. Proof of service shall be filed with all briefs. (c) Extensions. The Review Board may upon the motion of a party extend the time to file a brief. The motion must be accompanied by a supporting affidavit showing the number of previous extensions granted and the reason for each extension. Such motions are not favored and will be allowed only in the most extreme and compelling circumstances. The original and one copy of the motion shall be filed with the Clerk of the Commission. In addition, the party shall serve one copy upon the other party to review. A notice of filing with proof of service shall be file with all motions. (d) Page Limitations and Format Requirements. Unless authorized by the Review Board, the appellant's brief and the appellee's brief, excluding appendices, shall each be limited to 50 pages, and the reply brief shall be limited to 20 pages. Neither narrow margins nor any other device shall be employed to evade the page limitation. Footnotes, if any, shall be used sparingly. The text of all briefs must be double-spaced, except for headings, quotations, and footnotes. At least 12-point type must be used in the body of briefs, and at least 10-point type must be used for footnotes. A motion to authorize the filing of briefs in excess of the limitations of this rule shall be filed before the brief is due and shall state the maximum number of pages requested. Motions to allow additional pages are not favored, and the specific grounds establishing the necessity for excess pages shall be clearly set forth in an affidavit filed in support of the motion. (e) Cover. The cover of each brief shall contain the number of the matter, the status of each Com 302 party at the Review Board level (e.g. respondentappellant, Administrator-appellee), the individual names and addresses of the attorneys (or of the party if he or she is appearing pro se) filing the brief, and if desired, of their law firm, shall also be stated. The colors of the covers of the documents shall be: appellant's brief or petition, white; appellee's brief or answer, light blue; appellant's reply brief, light yellow; appellee's reply brief, light red. (f) Contents of Appellant's Brief. The appellant's brief shall contain the following parts in the order named: (1) A summary statement, entitled Points and Authorities, of the points argued and the authorities cited in the Argument. This shall consist of the headings of the points and subpoints as in the Argument, with the citation under each heading of the authorities relied upon or distinguished and a reference to the page of the brief on which each heading and each authority appear. Cases shall be cited as near as may be in the order of their importance. (2) An introductory paragraph stating (i) the nature of the matter and of the recommendation appealed from, and (ii) whether any question is raised on the pleadings, and if so, the nature of the question. (3) A statement of the legal issue or issues presented for review, without detail or citation of authorities. (4) A Statement of Facts, which shall contain the facts necessary to an understanding of the case, stated accurately and fairly without argument or comment, and with appropriate reference to the pages of the record on appeal. Exhibits may be cited by reference to pages of the record on appeal or by exhibit number followed by the page number within the exhibit. (5) Argument, which shall contain the contentions of the party and the reasons there for, with citation of the authorities and the pages of the record relied on. Evidence shall not be copied at length, but reference shall be made to the pages of the record on appeal where evidence may be found. Citation of Com

198 Com 303 numerous authorities in support of the same point is not favored. Points not argued are waived and shall not be raised in the reply brief or oral argument. (6) A short conclusion stating the precise relief sought, followed by the names of counsel as on the cover. (7) An appendix containing the Hearing Board Report, the Notice of Exceptions, an index of the record, and the full text of each Rule of Professional Conduct at issue and related Comments. (g) Briefs of Appellee. The brief for the appellee and other parties shall conform to the foregoing requirements, except that items (f)(2), (f)(3), (f)(4), and (f)(7) of this rule need not be included except to the extent that the presentation by the appellant is deemed unsatisfactory. (h) Reply Briefs. The reply brief, if any, shall be confined strictly to replying to arguments presented in the brief of the appellee and need only contain Argument. (i) Nonconforming Briefs. The Review Board may strike any brief or portion thereof that does not conform to the Rules, or take any other action authorized by precedent of the Supreme Court or Appellate Court for enforcing the requirements pertaining to the form and content of briefs, including refusing to review arguments not supported by citation to the record or legal precedent. (j) Failure to File. If the appellant fails to file a brief within the time set by this rule or any additional time which the Review Board allows, the Review Board shall strike the exceptions of that appellant and the matter shall proceed as if those exceptions had not been filed. (Amended December 1, 1995, effective immediately; amended, effective May 31, 2005; amended June 12, 2009, effective January 1, 2010; amended April 16, 2010, effective July 1, 2010; amended June 27, 2011, effective Setpember 1, 2011; amended effective February 1, 2013.) RULE 303 Reserved RULE 304 Oral Arguments. (a) Request; Waiver; Dispensing with Oral Argument. A party shall request oral argument by stating at the bottom of the cover page of the brief that oral argument is requested. If any party so requests and the Review Board grants oral arguments, all other parties may argue without an additional request. No party may argue unless a brief is filed as required by the rules. A party who has requested and been granted oral argument and who thereafter determines to waive oral argument shall promptly notify the Clerk of the Commission and the other party in writing no later than fourteen days before the date of the argument. Any party who has filed a brief without requesting oral argument may then request oral argument upon prompt notice to the Clerk and all other parties. In determining whether to allow or require oral argument, the Review Board may consider whether oral argument would be necessary for consideration of the issues presented for review. When oral argument is not requested, the matter shall be decided on the briefs unless the Review Board orders oral argument. (b) Length. Unless the Review Board otherwise orders, each side shall argue for not more than 20 minutes, with an additional ten minutes rebuttal for the party with the right to close. The Review Board may grant additional time on motion filed with the Clerk of the Commission in advance of the date fixed for argument if it appears that additional time is necessary for the adequate presentation of the case. A party is not obliged to use all of the time allowed, and the Review Board may terminate the argument whenever in its judgment further argument is unnecessary. (c) Reading Prohibited. Reading at length from the record, briefs, or authorities cited will not be permitted. (d) Sequence and Manner of Calling Matters for Oral Argument. Matters shall be called for argument in accordance with procedures and policies established by the Commission. (Amended, effective February 2, 1994.) RULES 305 through 310 Reserved RULE 311 Review Board Report The report of the Review Board shall address the issues raised by the parties and need not address any portion of the Hearing Board report with which the parties have not taken issue. The Com

199 Review Board report may consist of the adoption of the Hearing Board report. Unanimous reports shall be submitted in the name of the Review Board Panel. When there is a divided vote, the members constituting the majority and the member dissenting or concurring in part shall be named. Any member dissenting or concurring in part may submit a statement of position within a reasonable time following the filing of the report. Amended, effective February 2, 1994.) RULE 312 Reprimands The Review Board may order that it will administer a reprimand to respondent. The reprimand shall include a description of the respondent's misconduct and the reasons for the reprimand. (a) Order. The order and proposed reprimand shall be filed with the Clerk. The order shall designate the time and place for the delivery of the proposed reprimand, not less than 21 days after the filing of the order and proposed reprimand upon the respondent and the Administrator. (b) Exceptions. The respondent or the Administrator may, within 21 days thereafter, file exceptions or petition the Court for leave to file exceptions to the order as provided by Supreme Court Rule 753(e). Upon the filing of exceptions or a petition for leave to file exceptions, the proceeding in the Review Board shall be stayed pending action by the Supreme Court. If no exceptions are filed, the order shall become final. (c) Delivery. The Review Board shall deliver the reprimand to the respondent orally and in writing. (d) Subsequent Disciplinary Proceedings. The reprimand may be admitted in evidence in any subsequent disciplinary proceeding relating to the respondent in accordance with Supreme Court Rule 753(c)(5) and Commission Rule 277 and 314. (Adopted May 11, 1990, effective June 1, 1990.) RULE 313 Notification to Complaining Witness The Administrator shall notify the complaining witness of the action taken by the Review Board. Com 312 RULE 314 Prior Discipline In the event the Hearing Board did not find misconduct, but the Review Board concludes that the Administrator has established that the respondent engaged in misconduct, the Chair shall enter an order directing the Administrator to file within seven days copies of any orders or opinions imposing discipline on the respondent, that are not already in evidence. At the same time, the Administrator may file written argument not to exceed five pages in length regarding the effect to be given to the prior discipline. Within seven days after the filing of prior disciplinary orders or opinions, the respondent may file a written argument not to exceed five pages in length regarding the effect to be given to the prior discipline. (Adopted May 11, 1990, effective June 1, 1990.) RULES 315 through 399 Reserved Article VI Reinstatement RULE 400 Presentation of Petition In accordance with Supreme Court Rule 767(b), an attorney who has been disbarred, disbarred on consent, or suspended until further order of the court may present to the Administrator a copy of the petition he proposes to file with the Clerk of the Court within 120 days prior to the date on which the petition may be filed. (Adopted, effective April 15, 1994.) RULE 401 Presentation of Petition A petition pursuant to Supreme Court Rule 767 shall restate subparagraphs (1) through (25) contained in Rule 402 below. The petitioner s response shall follow each restated subparagraph, except that, with respect to subparagraphs (2), (3), (4), (7), (8), (20), (22), and (23), the response may be submitted under separate cover to the Administrator, provided that the required information and/or documents are delivered to the Administrator on the same date and by the same method as is used for filing the petition with the Court or presenting the petition to the Administrator. For the purpose of Rule 402 the term period of discipline means the interval between the date an attorney is disbarred, disbarred on consent or suspended until further order of the court and the date his verified petition seeking to Com

200 Com 402 be reinstated on the roll of attorneys is filed with the Clerk of the Court. (Amended June 12, 2009, effective January 1, 2010.) RULE 402 Content of Petition The petition shall contain petitioner's response to the following: (1) The date on which discipline was imposed. If there was a reported opinion, the volume and page number; (2) The age, residence address and telephone number of the petitioner; (3) The name, age and address of all dependents of the petitioner; (4) During the period of discipline, the address of each residence of the petitioner, including temporary and part time residences, and the dates of each residence; (5) During the period of discipline, the name and address of each employer, associate or partner of the petitioner; the dates of each employment, association, or partnership; the positions occupied and titles held; the name and address of the immediate supervisor; and the reason for leaving the employment, association or partnership; (6) A statement including the case caption, general nature, dates and disposition of every civil or criminal action which pended during the period of discipline to which petitioner was either a party or claimed an interest; (7) A statement of the monthly earnings and other income of the petitioner and the sources from which all earnings and income were derived during the period of discipline; (8) A statement of assets and financial obligations of the petitioner during the period of discipline, the dates when acquired or incurred, the names and address of all creditors; (9) Whether the discipline was related to a misappropriation or failure to account for any monies, a financial benefit to petitioner or a financial detriment to anyone, and a statement of the amounts involved, held or received by petitioner and the details of any restitution or accounting, including the dates and amounts, and the names and addresses of the persons to whom such restitution or accounting was made; (10) During the period of discipline, whether the petitioner sought or obtained assistance, consultation or treatment for a mental or emotional disorder or for addiction to drugs or alcohol, and the name and address of each provider of services, and the services rendered, their duration and purpose; (11) During the period of discipline, whether the petitioner was admitted to any institution, as an in-patient or out-patient, for a mental or emotional disorder or for addiction to drugs or alcohol, and the name and address of each institution, the date of petitioner's admission and discharge, the purpose of the admission, the diagnosis reached and the treatment rendered; (12) A copy of petitioner's written authorization and consent to the Court and the Administrator to secure copies of all reports and records relating to the services referred to in subparagraphs (10) and (11) above; (13) During the period of discipline whether the petitioner applied for admission or reinstatement to practice as an attorney in any court and the caption and details of the application or petition; (14) Whether the petitioner has ever applied for a license or certificate relating to any business or occupation; (15) During the period of discipline, whether petitioner engaged in the practice of law in any jurisdiction, and all material facts of the practice; (16) During the period of discipline, whether the petitioner's name appeared together with the designation lawyer, attorney-at-law, counselor at law or similar description on any door or window, or any building, legal or telephone directory, and all facts relating to the listing, including its location, the place, and duration; (17) All facts relating to petitioner's compliance with Supreme Court Rules 764, 773 and 780; (18) All material facts upon which the petitioner relies to establish fitness to resume the practice of law; (19) The address and telephone number for each location where petitioner maintained an office, business or engaged in the practice of law from the date of the petitioner's admission to the Com

201 practice of law to the date the petition is filed with the Clerk of the Court. (20) The names and addresses of all financial institutions at which petitioner had, or was signatory to, accounts, safety deposit boxes, deposits or loans during the period of discipline; the number of each account, box, deposit or loan; the date each account, box deposit or loan was opened, approved or made; and the date each account, box or loan was closed, discharged or paid; (21) A copy of petitioner's written consent to the Court and Administrator to secure copies of all statements, records of accounts, cancelled checks and loan records in the financial institutions listed in response to sub-paragraph (20); (22) Copies of petitioner's federal and state income tax returns for each of the five years immediately preceding the date the petition is filed and for each year, or part of a year, during the period of discipline and, in an appropriate form, petitioner's written consent to the Court and the Administrator to secure copies of the original returns; (23) Copies of other tax returns, individual, partnership, corporate or fiduciary, which petitioner is entitled to inspect pursuant to the provisions of the Internal Revenue Code and appropriate state laws or regulations and, in an appropriate form, petitioner's written consent to the Court and the Administrator to secure copies of the original returns; (24) A copy of petitioner's written consent to the Court and the Administrator to examine and secure copies of any records relating to any criminal investigation of petitioner, including but not limited to grand jury minutes, presentence investigations and probation and parole records; and (25) A copy of current photographs, not smaller than three inches by three inches, of petitioner, front and side views; and (26) The originals of the items required in paragraphs 12, 21, 24 and 25 shall be provided to the Administrator at the time the petition is served upon the Administrator. (Amended, effective July 12, 1990; amended, effective April 15, 2004.) RULES 403 through 410 Reserved Com 403 RULE 411 Filing of Petition. (a) Clerk of Commission. The petitioner shall deliver four copies of the petition to the clerk of the Commission and shall deposit $500 with the Commission to be applied against the costs, as defined in Supreme Court Rule 773 and required in Supreme Court Rule 767(c). (b) Service upon the Administrator. The petitioner shall serve two copies of the petition upon the Administrator no later than the date the petition is filed with the clerk of the Commission. (c) Clerk of the Court. Within seven days after the copies of the petition have been received by the clerk of the Commission, the petitioner shall file with the Clerk of the Court the original petition, accompanied by a receipt verifying payment of the $500 deposit to the Commission pursuant to Supreme Court Rule 767(c), payment of any costs imposed in connection with prior proceedings involving the petitioner pursuant to Supreme Court Rules 773 and/or 767, and reimbursement by petitioner for all Client Protection payments arising from petitioner s conduct pursuant to Supreme Court Rule 780(e). (Amended, effective April 15, 1994; amended, effective September 30, 2005.) RULE 412 Assignment to Chair Upon receipt of notification from the Supreme Court that the petition has been filed with the clerk of the Court, the clerk of the Commission shall docket the petition and shall assign the matter to a Chair of the Hearing Board in accordance with procedures and policies established by the Commission. (Amended, effective April 15, 1994; amended, effective September 30, 2005.) RULE 413 Prehearing Conference Within sixty days after the petition is filed with the clerk of the Commission, the hearing panel shall conduct a pre-hearing conference to determine the date by which the Administrator must file any written objections to the petition and the date of the hearing. (Amended, effective April 15, 1994.) Com

202 Com 414 RULE 414 Investigation by Administrator; Objections and Participation in Hearing The Administrator shall conduct an investigation into any matter raised by the petition and may file with the clerk of the Commission written objections to the petition within the time specified by the hearing panel. The Administrator shall have a right to participate in the hearing. (Amended, effective April 15, 1994.) RULE 415 Hearing and Review Procedure In accordance with Supreme Court Rule 767(h), the hearing and review procedure shall be the same as provided in Supreme Court Rule 753 for disciplinary cases. (Adopted, effective April 15, 1994.) RULES 416 through 500 Reserved Article VII Client Protection Program RULE 501 Eligible Claims The Commission may consider a claim if the claimant complies with procedures established by the Commission and if the following conditions exist: (a) The claimant experienced a loss of money or property, excluding loss of profit, consequential damages, interest, and costs of recovery; and (b) The loss arose out of or during the course of a lawyer-client relationship between the lawyer and the claimant related to a matter in this state, or a fiduciary relationship between the lawyer and the claimant that is related to the practice of law in this state; and (c) The loss was caused by the intentional dishonesty of the lawyer and the claim was not based on negligence; and (d) There is no reasonably available collateral source for reimbursement to the claimant, such as insurance, surety, bond, or some other fund; and (e) Reasonable efforts have been made by the claimant to exhaust administrative and civil remedies; and (f) The lawyer was licensed to practice law in this state at the time of the misconduct or was licensed within three years prior to the misconduct; and (g) The claim was filed within three years after the date the claimant knew or should have known of the dishonest conduct, or within one year after the date the lawyer was disciplined or died, whichever is later; (h) The dishonest conduct occurred on or after January 1, 1984; (i) The lawyer involved has been disciplined by the Supreme Court of Illinois or has died; (j) The claimant has cooperated fully with disciplinary and law enforcement officials. (Adopted, effective March 28, 1994; amended, effective March 31, 1997; amended, effective May 31, 2000.) RULE 502 Excluded Claims Notwithstanding the provisions of Commission Rule 501, a claim is not eligible for payment to the extent that it involves any one of the following factors: (a) Losses incurred by spouses, children, parents, grandparents, siblings, partners, associates and employees of the lawyer(s) causing the losses; (b) Losses covered by any bond, surety agreement, or insurance contract, to the extent covered thereby, including any loss to which any bonding agent, surety or insurer is subrogated, to the extent of that subrogated interest; (c) Losses incurred by any financial institution which are recoverable under a bond or an insurance or surety contract; (d) Losses incurred by any business entity controlled by the lawyer or any person or entity described in Commission Rule 502 (a), (b), or (c); (e) Losses incurred by any governmental entity or agency. (Adopted, effective March 28, 1994.) RULE 503 Claims Payments Discretionary (a) In cases of extreme hardship or special and unusual circumstances, the Commission may, in its discretion, recognize a claim which would otherwise be excluded under these rules. (b) In cases where it appears that there will be unjust enrichment, or the claimant unreasonably or knowingly contributed to the loss, the Commission may, in its discretion, deny the claim. (Adopted, effective March 28, 1994.) Com

203 RULE 504 Form of Claim The Administrator shall investigate a claim if it is submitted on a form approved by the Commission. The Administrator may, as a matter of discretion, investigate claims which are not filed on the claim form approved by the Commission. (Adopted, effective March 28, 1994.) RULE 505 Content of Claim Form (a) The claim form shall require that the claimant provide the following information: (1) The name, address and telephone number of the claimant; (2) The name, address and telephone number of the lawyer or lawyers whose dishonest conduct caused the loss; (3) A statement of when the claimant hired the lawyer, the date on which the loss occurred, the date upon which any attorneyclient relationship with the lawyer ended, and the date upon which the claimant discovered the loss; (4) A detailed description of what the lawyer did which was dishonest and the amount of the loss caused by the dishonesty, together with a copy of all documentation which supports the claim; (5) A description of what the claimant has done to recover the loss, including whether the claimant has sued the lawyer or otherwise made a claim against the lawyer or the lawyer's assets; (6) A statement of whether the claimant has contacted appropriate criminal authorities regarding prosecution. If so, the statement should include copies of any related materials. If the answer is no, the statement should include an explanation of why such action has not been taken; (7) A statement of the extent to which the loss has caused the claimant any special hardship; (8) A statement of the extent to which the claimant has cooperated with disciplinary authorities; (9) A statement of any relationship between the claimant and the lawyer; and Com 504 (10) An agreement to execute any subrogation or like agreements, to the extent that the client protection program makes any payment to the claimant. (b) The claimant shall sign the claim form. (Adopted, effective March 28, 1994.) RULE 506 Claims Procedure If the attorney whose conduct is the subject of the claim has already been disciplined by the Supreme Court of Illinois, or has died, the Administrator shall commence an investigation of the claim. The investigation shall be concluded as soon as is practicable. If the attorney has not been disciplined and has not died, the Administrator shall hold the claim in abeyance, pending conclusion of the disciplinary proceedings. During the abeyance, the Administrator may gather facts underlying the claim. As part of the investigation, the Administrator shall send a copy of the claim to the lawyer whose conduct is alleged to have caused the loss at his or her last registered or known address and shall request from the attorney a full statement of the facts related to the claim. The attorney has a duty to respond to the request and to cooperate with any further requests. The Administrator shall conduct a complete investigation and shall prepare and submit to the Commission a report addressing the factors identified in Commission Rules 501, 502 and 503. (Amended December 1, 1994, effective immediately.) RULE 507 Determination. (a) Payment of a claim shall be made only on affirmative vote of four members of the Commission. The decision to pay a claim shall be reflected in an order of the Commission. (b) In determining the amount of any payment, the Commission may consider: (1) Monies available and likely to become available for payment of claims; (2) The size and number of claims presented and likely to be presented in the future; (3) The amount of a claimant's loss compared with losses sustained by others; (4) The comparative hardship suffered by a claimant because of a loss; Com

204 Com 508 (5) The total amount of losses caused by the dishonest conduct of any one lawyer; (6) The culpability or negligence of the claimant contributing to the loss; (7) The extent to which there is a collateral source for reimbursement to the claimant; (8) The effort made by the claimant to exhaust administrative and civil remedies; (9) Other factors as appear to be just and proper. (c) The Commission order shall be filed with the Clerk. (Amended December 1, 1994, effective immediately.) RULE 508 Request for Reconsideration: Assignment to Panel The Clerk shall provide a copy of the Commission's order to the claimant and the lawyer who is the subject of the claim. Within 21 days of the mailing of the order, the claimant or the lawyer may request reconsideration of the order by sending such a written request to the Clerk. The request shall state the basis of the request for reconsideration and whether a hearing is requested. If no request is received within the stated time, the order shall become final. If a request is received, the Clerk shall forward the request to the Commission. The Commission may assign the request to a panel designated by the Commission to review the request. The panel shall be composed of two lawyers and one non-lawyer, and may be a panel of the Inquiry or Hearing Panel. (Amended December 1, 1994, effective immediately.) RULE 509 Review by Panel At the Commission's request, the panel shall review the report submitted by the Administrator and the request for reconsideration. The Administrator shall assist the panel. The panel may consider any and all information obtained by the Administrator during the investigation and may request the Administrator to conduct additional investigation. The panel may convene a hearing at which both the claimant and the lawyer may appear. Hearings shall be informal. The Chair of the panel shall preside at the hearing. The panel shall prepare a report and recommendation to the Com Commission. The report of the panel shall address those factors identified in Commission Rules 501, 502 and 503. (Amended December 1, 1994, effective immediately.) RULE 510 Payment of Claims The Administrator shall pay claims out of the Client Protection Trust Fund in accordance with an order of the Commission. The maximum payment to any one claimant arising from a claim shall be $75,000. The Commission shall require as a condition of payment that the claimant execute such instruments, take such action or enter into such agreements as the Commission requires, including assignments, subrogation agreements, and trust agreements. Aggregate payments arising from the conduct of any one attorney shall not exceed $750,000. (Adopted, effective March 28, 1994; amended, effective October 15, 1998; amended, effective April 1, 2003; amended December 8, 2006, effective January 31, 2007, amended, effective March 31, 2009.) RULE 511 Restitution and Subrogation (a) The Commission may bring such action as it deems advisable to enforce restitution obligations against the lawyer whose conduct gave rise to the payment of a claim. (b) As a condition of reimbursement, a claimant shall be required to provide the Commission with a transfer of the claimant's rights, to the extent of a claim payment, against the lawyer, the lawyer's legal representative, estate or assigns or any third party or entity who may be liable for the claimant's loss. (c) Upon commencement of an action by the Commission as subrogee or assignee of a claim, the Administrator shall advise the claimant, who may then join in such action to recover the claimant's unreimbursed losses. (d) In the event that the claimant commences an action to recover unreimbursed losses against the lawyer or another entity who may be liable for the claimant's loss, the claimant shall be required to notify the Commission of such action. (e) The claimant shall be required to agree to cooperate in all efforts that the Commission undertakes to achieve restitution for the Disciplinary Fund. (Adopted, effective March 28, 1994.)

205 RULE 512 Compensation for Representing Claimants No lawyer shall accept any payment for representing a claimant in a claim before the Client Protection Fund. (Adopted, effective March 28, 1994.) Article VIII Ethics Inquiry Program RULE 601 Establishment of Program There is established under the auspices of the Commission an Ethics Inquiry Program. The Administrator shall employ Ethics Inquiry Counsel, who shall respond to ethics inquiries. RULE 602 Purpose of Program The purpose of the program is to provide information to attorneys and other members of the public so that the inquirer may identify and determine the Rules of Conduct which apply to an attorney s actions. The goal of the program is to assist attorneys in conducting themselves within the bounds of the Illinois Rules of Professional Conduct, thereby enhancing the quality of representation provided by Illinois attorneys. RULE 603 The Ethics Inquiry Any Illinois attorney or other member of the public may make an ethics inquiry by telephone to the Commission s designated ethics inquiry telephone line. The inquiry may request assistance in identifying an applicable rule of conduct. If the inquiry presents a set of facts, those facts shall be presented in hypothetical format. RULE 604 Response of Ethics Inquiry Program Ethics Inquiry Counsel shall provide general information and research assistance regarding ethics issues under Illinois law. Ethics Inquiry Counsel shall not provide legal advice or advisory opinions. Before rendering assistance to an inquirer, the Ethics Inquiry Counsel shall advise each inquirer that only legal research assistance is being furnished, that no legal opinion is being rendered, and that the inquirer is responsible for making his or her own final judgment on the ethical issue presented. Com 512 RULE 605 Inadmissibility of Inquiry Communications Neither the fact that an inquiry has been made nor its content nor the response thereto shall be admissible in any attorney discipline proceeding. RULE 606 Records; Disclosure Ethics Inquiry Counsel shall not make or maintain any record of the identity of an inquirer or the substance of a specific inquiry or response. Ethics Inquiry Counsel shall keep records of the number of inquiries and the nature and type of inquiries and responses. Such records shall be used solely to aid the Commission in developing the Ethics Inquiry Program and developing additional educational programs. Such records shall be privileged from disclosure in any attorney disciplinary proceeding. (Adopted, effective March 31, 1995.) Com

206 BAB 1 THE BOARD OF ADMISSIONS TO THE BAR AND THE COMMITTEES ON CHARACTER AND FITNESS OF THE SUPREME COURT OF ILLINOIS Rules of Procedure RULE 1 Character and Fitness Committees Rule 1.1 Appointment and term. The appointment and terms of the members of the Committees on Character and Fitness for the five Judicial Districts shall be as provided by Supreme Court Rule 708 (a). Any member whose term has expired and who has an uncompleted assignment as a member of an Inquiry Panel or a Hearing Panel may, at the discretion of the Committee Chair, continue to serve until conclusion of the assignment. Rule 1.2 Mandatory annual meeting. In January or February of each year, the members of each Committee shall meet in person to consider and review all pending matters and the objectives and work of the Committee for the ensuing year. The meeting shall be scheduled in advance by the Chair of the Committee with assistance from the Board s staff in Springfield. Rule 1.3 Expenses of the Committees. Subject to the prior approval of the Board, all reasonable costs and expenses of the Committees shall be reimbursed by the Board. RULE 2 Director of Administration Rule 2.1 Director of Administration. The Illinois Board of Admissions to the Bar (Board) shall appoint a Director of Administration (Director), who, subject to the supervision of the Board, shall oversee the administration of all aspects of bar admissions, including the character and fitness process. The Director shall receive such compensation as the Board authorizes. Rule 2.2 Duties of Director. Subject to the direction of the Board, the Director shall: (1) conduct examinations on academic qualification and professional responsibility in accordance with Supreme Court Rule 704; (2) receive, process, investigate, and review all materials, documentation, and information submitted by and concerning all law student registrants (registrants), and all applicants for admission, including limited admission, to the bar (applicants), pursuant to Supreme Court Rules 704, 705, 712, 713, 715, 716, and 717; (3) maintain the records of the Character and Fitness Committees and assist each Committee in its investigation and evaluation of registrants and applicants; (4) employ, at such compensation as may be authorized by the Board, such administrative, clerical, investigative, and legal personnel as may be necessary for the efficient conduct of the office; (5) discharge any such personnel whose performance is unsatisfactory; and (6) maintain such records, make such reports, and perform such other duties as may be required by the Board. RULE 3 Character and Fitness Registration Rule 3.1 Character and fitness registration by law students prior to and apart from a bar examination. Rule 3.1a Timely Registration by First Year Law Students. Every student attending law school who intends to take the Illinois bar examination shall file with the Board at its office in Springfield a character and fitness registration application in the form prescribed by the Board and thereby become a law student registrant or registrant. Such application may be timely filed no later than the first day of March following the law student s commencement of law school; provided, however, that a student who commences law school after the first day of January and before the first day of March in any calendar year may timely file such application no later than the first day of July following the student s commencement of law school. A character and fitness registration application timely filed by a law student shall be accompanied by the nominal timely filing fee provided by Supreme Court Rule 706(a). BAB 3 196

207 Rule 3.1b Late Registration by First and Second Year Law Students. A character and fitness registration application may also be filed after the applicable filing deadline, upon payment of the late filing fee provided by Supreme Court Rule 706(a), by any first or second year law student seeking to initiate the character and fitness process prior to and separate from his or her registration for an Illinois bar examination. Rule 3.1c Restricted Late Registration by Third Year Law Students. Third year law students and others likely eligible to register for one of the next two succeeding bar examinations may not file a character and fitness registration application apart from an application to take a bar examination application without the prior written authorization of the Board on the basis of recently occurring or recently discovered matters of significant character and fitness concern. Any such authorized late registration application shall be accompanied by the late filing fee provided by Supreme Court Rule 706(a). Rule 3.1d Separate bar examination application is required. A law student registrant s character and fitness application is not an application to take the Illinois bar examination or for admission to the Illinois bar unless and until the registrant files a separate application to take the bar examination in the form prescribed by the Board. Any such application to take the bar examination shall be accompanied by the filing fee provided by Supreme Court Rule 706(b) Rule 3.2 Character and fitness registration by other applicants. At the time of making application to take the bar examination, application for admission on motion, application for limited admission under Rule 717, or application on any other basis permitted by these Rules, any applicant who has not previously filed a character and fitness registration application shall file with the Board at its office in Springfield a character and fitness registration application in the form prescribed by the Board together with such additional proofs and documentation as the Board may require; any such application shall be accompanied by the appropriate filing fee(s) provided by Supreme Court Rule 706. BAB 3 Rule 3.3 Attorneys Questionnaire. Every applicant for admission on examination, admission on motion, or limited admission under Rule 717, who has been admitted to the bar of another jurisdiction shall file, in addition to all other proofs required, an Attorneys Questionnaire in the form prescribed by the Board, together with documentary evidence as to the standing of the applicant in each jurisdiction in which the applicant has been admitted to practice. Rule 3.4 Continuing obligation to report. Every law student registrant and applicant for admission on examination, admission on motion, limited admission under Rule 717, or application on any other basis permitted by these Rules has a continuing obligation to report promptly to the Board any change or addition to the information provided in his or her character and fitness questionnaire including without limitation changes in address, address, phone number(s), and employment, as well as criminal charges, disciplinary proceedings, traffic violations, parking violations not paid on receipt, and any other occurrence or event that could bear upon character and fitness or the ability of the Board to communicate with the registrant, the applicant, or any person or entity named in his or her application. Rule 3.5 Additional Questionnaire. Every law student registrant and applicant for admission on examination, admission on motion, limited admission under Rule 717, or application on any other basis permitted by these Rules shall file an Additional Questionnaire in the form prescribed by the Board as a supplement to the character and fitness questionnaire most recently filed upon the request of the Board or the Committee as well as under the following circumstances: a. When 9 or more months have elapsed between the date a registrant or applicant was recommended for certification by the Committee and the date the registrant or applicant is otherwise eligible for admission to the bar; b. When 9 or more months have elapsed between the date a registrant or applicant filed his or her most recent character and fitness questionnaire and the date the registrant or applicant BAB 3 197

208 BAB 4 submits a written request for reactivation of his or her application pursuant to Rule 10.2; c. When a registrant or applicant requests a hearing pursuant to Rule 9.2g; d. When a registrant or applicant is notified that his or her petition for new hearing has been granted pursuant to Rule 13; and e. When an applicant who previously registered for an Illinois bar examination makes application for a subsequent bar examination; provided, however, that if 3 or more years have elapsed since the registrant or applicant last filed a long form Character and Fitness Questionnaire, such registrant or applicant shall file a current long form Character and Fitness Questionnaire rather than an Additional Questionnaire. RULE 4 Application to Take the Bar Examination Every applicant for the Illinois bar examination shall file with the Board at its office in Springfield an application to take the bar examination in the form prescribed by the Board. Applications shall be filed, and fees paid as provided in Supreme Court Rule 706 RULE 5 Processing of Character and Fitness Requirements With regard to each character and fitness registration application, Additional Questionnaire, and Attorneys Questionnaire received, the Director shall cause a character investigation and report to be prepared by the transmittal of requests for pertinent information to appropriate persons and entities, including but not limited to employers, former employers, colleges and universities, law schools, other bar admitting authorities, courts, law enforcement agencies, creditors, credit reporting agencies, former spouses and character references. RULE 6 Character and Fitness Requirements Rule 6.1 The Committee shall determine whether to recommend to the Board that a law student registrant or applicant presently possesses the requisite character and fitness for admission to the practice of law. If the Committee deems it necessary or appropriate under the circumstances, it shall conduct further investigation of the registrant or applicant before ascertaining his or her character and fitness. The registrant or applicant has the burden to prove by clear and convincing evidence that he or she has the requisite character and fitness for admission to the practice of law. Rule 6.2 A registrant or applicant may be recommended for certification to the Board if the Committee determines that his or her record of conduct demonstrates that he or she meets the essential eligibility requirements for the practice of law and justifies the trust of clients, adversaries, courts and others with respect to the professional duties owed to them. A record manifesting a failure to meet the essential eligibility requirements, including a deficiency in the honesty, trustworthiness, diligence, or reliability of a law student registrant or applicant may constitute a basis for denial of admission. Rule 6.3 The essential eligibility requirements for the practice of law include the following: (1) the ability to learn, to recall what has been learned, to reason, and to analyze; (2) the ability to communicate clearly and logically with clients, attorneys, courts, and others; (3) the ability to exercise good judgment in conducting one s professional business; (4) the ability to conduct oneself with a high degree of honesty, integrity, and trustworthiness in all professional relationships and with respect to all legal obligations; (5) the ability to conduct oneself with respect for and in accordance with the law and the Illinois Rules of Professional Conduct; (6) the ability to avoid acts that exhibit disregard for the health, safety, and welfare of others; (7) the ability to conduct oneself diligently and reliably in fulfilling all obligations to clients, attorneys, courts, creditors, and others; (8) the ability to use honesty and good judgment in financial dealings on behalf of oneself, clients, and others; (9) the ability to comply with deadlines and time constraints; and BAB 6 198

209 (10) the ability to conduct oneself properly and in a manner that engenders respect for the law and the profession. Rule 6.4 The revelation or discovery of any of the following should be treated as cause for further detailed inquiry before the Committee decides whether the law student registrant or applicant possesses the requisite character and fitness to practice law: (a) unlawful conduct; (b) academic misconduct; (c) making false statements, including omissions; (d) misconduct in employment; (e) acts involving dishonesty, fraud, deceit or misrepresentation; (f) abuse of legal process; (g) neglect of financial responsibilities; (h) neglect of professional obligations; (i) violation of an order of a court; (j) evidence of conduct indicating instability or impaired judgment; (k) denial of admission to the bar in another jurisdiction on character and fitness grounds; (l) disciplinary action by a lawyer disciplinary agency or other professional disciplinary agency of any jurisdiction; (m) acts constituting the unauthorized practice of law; (n) failure to comply with the continuing duty of full disclosure to the Board and the Committee subsequent to the date of registration or application. Rule 6.5 In determining whether to recommend to the Board that the present character and fitness of a registrant or applicant qualifies him or her for admission to the practice of law, the Committee shall consider the following factors in assigning weight and significance to prior misconduct: (a) age at the time of the conduct; (b) recency of the conduct; (c) reliability of the information concerning the conduct; (d) seriousness of the conduct; (e) factors underlying the conduct; (f) cumulative effect of the conduct; BAB 7 (g) ability and willingness to accept responsibility for the conduct; (h) candor in the admissions process; (i) materiality of any omissions or misrepresentations; (j) evidence of rehabilitation; and (k) positive social contribution since the conduct. Rule 6.6 Provided that all other conditions for admission have been met, upon receipt from the Committee of a recommendation for certification pursuant to these Rules, the Board shall transmit such certification to the Supreme Court together with any additional information or recommendation the Board may deem appropriate. A copy of the Board s recommendation, if any, shall be mailed to the applicant, his or her counsel, if any, and to the Committee Chair. RULE 7 Conditional Admission Rule 7.1 Conditional Admission. In its sole discretion, the Committee on Character and Fitness may recommend to the Board that an applicant be admitted to the bar on a conditional basis in accordance with these Rules. The terms and conditions of a recommendation for conditional admission shall be set forth in a written Consent Agreement signed by the Committee, the applicant, and the Director. An applicant may be considered or recommended for conditional admission at the discretion of the Committee. Rule 7.2 Limited Purpose of conditional admission. As provided by Rule 7.3, conditional admission may be employed to permit an applicant who currently satisfies character and fitness requirements to practice law while his or her continued participation in an ongoing course of treatment or remediation for previous misconduct or unfitness is monitored to protect the public. Conditional admission is neither to be used as a method of achieving fitness nor as a method of monitoring the behavior of all applicants who have rehabilitated themselves from misconduct or unfitness. Conditional admission may be employed only when an applicant has been engaged in a sustained and effective course of treatment or remediation for a period of time sufficient to demonstrate his or her commitment and progress BAB 7 199

210 BAB 7 but not yet sufficient to render unlikely a recurrence of the misconduct or unfitness. Rule 7.3 Limited circumstances under which conditional admission may be considered. The Committee on Character and Fitness may recommend that an applicant be admitted to the bar conditioned on the applicant s compliance with relevant conditions prescribed by the Committee if the applicant currently satisfies all requirements for admission to the bar and possesses the requisite good moral character and fitness for admission, except that he or she is engaged in a sustained and effective course of treatment for or remediation of (a) substance abuse or dependence; (b) a diagnosed mental or physical impairment that, should it reoccur, would likely impair the applicant s ability to practice law or pose a threat to the public; or (c) neglect of financial affairs, that previously rendered him or her unfit for admission to the bar, and the applicant has been engaged in such course of treatment or remediation for no fewer than 6 continuous months, if the subject of treatment is substance abuse or dependence or mental or physical impairment, and no fewer than 3 continuous months if the subject of remediation is neglect of financial affairs. Absent recent lapses, recent failures, or evidence that a lapse or failure is presently likely to occur, an applicant who has engaged in such sustained and effective course of treatment or remediation for at least 24 continuous months may not be conditionally admitted. Rule 7.4 Recommendation of Inquiry Panel or Hearing Panel. Rule 7.4a A recommendation that an applicant be admitted to the bar on a conditional basis can be made only after the applicant has personally met with all members of a 3 person Inquiry Panel appointed in accordance with these Rules. A majority of the Inquiry Panel shall constitute a quorum, and the concurrence of a majority shall be necessary to a recommendation. Rule 7.4b A recommendation for conditional admission may also be made by the members of a Hearing Panel; provided, however, that the applicant did not decline to consider or consent to conditional admission at the Inquiry Panel level. A majority of the Hearing Panel shall constitute a quorum, and the concurrence of a majority shall be necessary to a recommendation. Rule 7.5 Report of recommendation of Inquiry Panel to full Committee. In the event that a majority of the members of an Inquiry Panel votes to recommend the conditional admission of an applicant, the Inquiry panel shall report to the full Committee the vote, the matters of concern, the nature, substance, and duration of the course of treatment or remediation in which the applicant is engaged, complete and detailed information regarding the applicant s progress in connection therewith including any lapses or failures, the panel s general recommendation regarding the terms and conditions of admission, any additional facts relevant to the recommendation, and confirmation of the applicant s consent to admission on a conditional basis. The full Committee shall then determine whether the recommendation of the Inquiry Panel should be affirmed or denied. Rule 7.6 Review of recommendation of Inquiry Panel by full Committee and preparation of written report Rule 7.6a If the report to the full Committee is made and discussed at a meeting of the full Committee, members of the Inquiry Panel may participate in the discussion of the matter, but shall not be entitled to vote. Five members of the Committee who were not members of the Inquiry Panel shall constitute a quorum, and the concurrence of a majority of the members who are present and entitled to vote shall be necessary to a decision. If the recommendation of the Inquiry Panel is affirmed, within 21 days after such affirmation the Chair of the Inquiry Panel shall prepare and submit to the Director a written report containing all of the information required by Rule 7.5. Rule 7.6b If the report to the full Committee is not made and discussed at a meeting of the full Committee, within 21 days after the vote of the Inquiry Panel, the Chair of the Inquiry Panel shall prepare and submit to the Director a written report containing all of the information required BAB 7 200

211 by Rule 7.5. The Director shall then forward the report to all remaining members of the Committee, along with a request for the vote of each member as to whether the recommendation of the panel should be affirmed or denied. The concurrence of a majority of the remaining members of the Committee shall be necessary to a decision. Rule 7.6c If the recommendation of the Inquiry Panel is denied by the full Committee, within 21 days of such denial, the Chair or Vice Chair of the full Committee shall prepare and submit to the Director a brief written report containing the reason for the denial. The application shall thereafter be further considered in accordance with Rules 9.2f et seq. Rule 7.7 Preparation and execution of Consent Agreement. Upon receipt of the written report and recommendation of an Inquiry Panel for conditional admission and its affirmation by the full Committee as hereinabove provided, or upon receipt of the written report and recommendation for conditional admission of a Hearing Panel, the Director shall prepare and submit to the Chair of the panel that recommended conditional admission the Consent Agreement setting forth the terms and conditions of admission. The original Consent Agreement shall be signed by the Chair of the Inquiry Panel or Hearing Panel that recommended conditional admission, the applicant, and the Director. Rule 7.8 Authorized conditions of admission. An applicant s admission may be conditioned on the applicant s submitting to specified alcohol, drug, or mental health treatment; medical, psychological, or psychiatric care; participation in group therapy or support; debt management counseling; random chemical screening; and supervision, monitoring, mentoring, or other conditions deemed appropriate by the Committee on Character and Fitness. The conditions shall be tailored to deter and detect conduct or conditions that pose a risk to clients or the public, to ensure continued abstinence, payment, treatment, counseling, and other support and shall, when appropriate, take into consideration the recommendations of qualified professionals regarding treatment and remediation. BAB 7 Rule 7.9 Length of conditional period. The period of conditional admission shall not exceed 24 months, unless the Court orders otherwise. The filing of a petition to extend the period or a petition to revoke admission shall extend the period of conditional admission until the Court enters a final order on the petition. Rule 7.10 Submission of recommendation, report, and Consent Agreement to Supreme Court. The Director shall submit to the Court copies of the recommendation and report of the Committee, the executed Consent Agreement, the Board s certification that the applicant is otherwise qualified for admission to the bar, relevant information from the applicant s character and fitness file, and any additional information or recommendation the Board deems appropriate. A copy of the executed Consent Agreement and the Board s recommendation, if any, shall be mailed to the applicant. Rule 7.11 Supreme Court review of recommendation, report and Consent Agreement. Rule 7.11a If the Court determines that the applicant qualifies for admission on the terms and conditions set forth in the Consent Agreement, the Court shall enter an Order requiring the applicant to comply with such terms and conditions for the period specified immediately following the date of his or her admission to the bar. In this event, copies of the Court Order, the signed Consent Agreement, and the recommendation and report of the Committee shall be mailed to the Attorney Registration and Disciplinary Commission (ARDC). Rule 7.11b If the Court denies the recommendation for conditional admission, 6 months after the date of the denial the applicant may file with the Board a supplement to his or her previous character and fitness questionnaire in the form prescribed by the Board along with his or her personal affidavit describing the extent, if any, to which s/he has in the interim engaged in a course of treatment for, or remediation of, the misconduct or unfitness that was the basis of the recommendation. Following investigation and report of the supplemental materials, the application shall be considered further in accordance with these Rules by the Inquiry Panel or Hearing BAB 7 201

212 BAB 7 Panel that previously recommended conditional admission. Rule 7.12 Monitoring compliance with Consent Agreement following conditional admission. If the applicant is conditionally admitted to the bar, the Administrator of ARDC shall monitor his or her compliance with the terms and conditions of the Consent Agreement throughout the period of conditional admission. The Administrator may take such action as is necessary to monitor compliance with the terms of the Consent Agreement, including without limitation referral for monitoring by a lawyer assistance program or other monitoring authority, requiring the conditionally admitted lawyer to make periodic appearances before a monitoring agent or entity, requiring the lawyer to submit physical or written evidence or other verification of compliance with the Consent Agreement, and requiring the lawyer to submit to an assessment by a medical professional. Rule 7.13 Reporting changed circumstances or noncompliance with Consent Agreement Rule 7.13a When the Administrator or the conditionally admitted lawyer identifies a change in circumstances that impacts the efficacy of the terms and conditions of the Consent Agreement, the Administrator or the conditionally admitted lawyer may report the change to the Court and petition the Court to modify the terms or conditions affected by the changed circumstances. Rule 7.13b When a conditionally admitted lawyer fails to comply with the Consent Agreement, the Administrator shall, where warranted, file with the Court a report of the noncompliance and a petition for revocation, modification, or extension of conditional admission. The petition shall be served upon the lawyer, who shall file a response within 21 days following service of the petition. If the Court determines there is a material dispute of fact, the Court shall refer the case to a panel of the ARDC Hearing Board, which shall set the matter for hearing on a date within 90 days of the Order referring the case to the panel. The Administrator must prove the violation(s) of the Consent Agreement by a preponderance of the evidence. The Hearing Board panel shall resolve all disputes of fact and file its findings with the Court within 45 days of the date the hearing concludes. Upon consideration of the pleadings and, where applicable, the findings of the Hearing Board panel, the Court shall determine whether to continue or revoke the lawyer s conditional admission license and, if not revoked, whether to modify conditions or extend the period of conditional admission. Rule 7.14 Reapplication following revocation of conditional admission license. An applicant whose conditional admission license has been revoked may reapply for admission to the bar, but not within 2 years of the order revoking the conditional admission license, unless the Court orders otherwise. The applicant shall file a character and fitness registration application in the form prescribed by the Board together with such additional proofs and documentation as the Board may require and his or her personal affidavit describing the extent, if any, to which he or she has in the interim engaged in a course of treatment for, or remediation of, the misconduct or unfitness that was the basis of revocation of the conditional admission license. Following preparation of a character and fitness investigation and report in accordance with these Rules, the reapplication and materials shall be assigned for character and fitness review directly to an Inquiry Panel, if the original recommendation for conditional admission was made at the Inquiry Panel level, or to a Hearing Panel, if the original recommendation for conditional admission was made by a Hearing Panel. To the extent possible, the original Inquiry Panel or Hearing Panel shall be reconstituted; any unavailable member of the original panel shall be replaced by another member of the Committee. Rule 7.15 Costs of conditional admission. The applicant shall promptly pay directly or reimburse the Board for costs incurred for evaluation and testing in connection with Committee consideration of substance abuse or dependency, diagnosed mental impairment, or diagnosed medical disorder prior to the submission of a recommendation for conditional admission to the Court. The Board may agree to postpone reimbursement for such costs on the basis of compelling evidence of inability to pay; BAB 7 202

213 provided, however, in that event the repayment of such costs shall be incorporated into the Consent Agreement as a condition of compliance. Costs incurred after the applicant is conditionally admitted to the bar shall be defined and paid in accordance with Supreme Court Rule 773. Rule 7.16 Confidentiality. All information related to the conditional admission of an applicant including without limitation the fact of conditional admission and the existence and terms of the written Consent Agreement shall be confidential. An Order of the Court revoking a conditional admission license, however, shall be a matter of public record. BAB 8 RULE 8 Initial Review of Character and Fitness Applications Rule 8.1 If the character and fitness application, investigation, and report of a law student registrant or an applicant for admission or limited admission to the bar raise no character and fitness concerns, as determined by the Director after review of said application and materials, the Director may recommend to the Board the interim approval of the law student registrant or the certification of the applicant; in this event, upon the request of any Character and Fitness Committee, the Director shall provide monthly notice to the Committee of all such recommendations. Rule 8.2 If the character and fitness application, investigation, and report of a law student registrant or an applicant for admission or limited admission to the bar raise character and fitness concerns, the Director shall forward the application and materials for evaluation in accordance with Supreme Court Rules 708 and 709 to a member of the Committee in the District in which the registrant or applicant receives mail or as otherwise determined by the Board; provided, however, that a character and fitness registration application falling within the purview of Supreme Court Rule 704(b) or otherwise containing matters of significant character and fitness concern shall instead be assigned directly to an Inquiry Panel, the members and Chair of which may be appointed by the Committee Chair of that District or by the Director, for evaluation and review was provided in Rule 9.2a et seq. Character and fitness registration applications that have been assigned to a member of the Character and Fitness Committee or to an Inquiry Panel in one District shall not be reassigned to another District RULE 9 Consideration of Character and Fitness Applications Rule 9.1 Consideration of application by Committee member. Each character and fitness registration application assigned to a Committee member shall be reviewed by the member, and the law student registrant or applicant shall be required to appear in person before the member to discuss the application and the materials submitted and gathered in connection therewith. The registrant or applicant shall provide to the member any further information or documentation requested and shall cooperate with any further investigation undertaken by the member. Rule 9.1a Recommendation for interim certification of a law student registrant. The Director, as provided in Rule 8.1, or the Committee member who has received assignment of an application and completed a review thereof, as hereinabove provided, may recommend to the Board the interim certification of the law student registrant, in which case the registrant shall be so notified in writing. Any such interim approval shall be tentative and subject to withdrawal on the basis of new information disclosing facts existing or conduct engaged in by the registrant prior to the registrant s admission to the bar including the cumulative effect of such new information or conduct. Rule 9.1b Recommendation for certification of other applicants. The Director, as provided in preceding Rule 8.1, or the member of the committee who has reviewed the application of an applicant for admission on examination, for admission on motion, for limited admission under Rule 717, or for admission on any other basis permitted by these Rules may recommend to the Board the certification of the applicant. The applicant may thereafter be recommended by the Board for admission to the bar if all other requirements for admission have been met. BAB 9 203

214 BAB 9 Rule 9.2 Appointment of Inquiry Panel. If a member is not prepared to recommend the interim certification of a law student registrant or the certification of an applicant, then the Chair of the Committee shall assign the application to an Inquiry Panel for further review and examination. The Inquiry Panel shall consist of the member to whom the matter was originally assigned, as panel Chair, and two additional members of the Committee appointed by the Committee Chair. A majority of the Inquiry Panel shall constitute a quorum, and the concurrence of a majority shall be necessary to a decision. Rule 9.2a Inquiry Panel Review. Each member of the Inquiry Panel shall review the application and the registrant or applicant shall be required to appear in person before all members of the panel to discuss the application and the materials submitted and gathered in connection therewith. The registrant or applicant shall provide to the panel any further information or documentation requested and shall cooperate with any further investigation undertaken by the panel. Rule 9.2b Declination to certify. In the event that a majority of the members of an Inquiry Panel votes to withhold the certification of a registrant or an applicant, within 21 days after such vote the Chair of the Inquiry Panel shall prepare and submit to the Director a written report advising the Inquiry Panel vote, the matters of concern, and the basis for the declination to certify. Rule 9.2c Report of Inquiry Panel recommendation for certification to full Committee. In the event that a majority of the members of an Inquiry Panel votes to recommend the interim certification of a registrant or the certification of an applicant to the Board, the panel shall report the vote, the matters of concern, and the basis for the recommendation for certification to the full Committee. The full Committee shall then determine whether the recommendation of the Inquiry Panel should be affirmed or denied. Rule 9.2d Review of recommendation of Inquiry Panel by full Committee and preparation of written report Rule 9.2di. If the report to the full Committee is made and discussed at a meeting of the full Committee, members of the Inquiry Panel may participate in the discussion of the matter, but shall not be entitled to vote. Five members of the Committee who were not members of the Inquiry Panel shall constitute a quorum, and the concurrence of a majority of the members who are present and entitled to vote shall be necessary to a decision. If the recommendation of the Inquiry Panel is affirmed, within 21 days after such affirmation the Chair of the Inquiry Panel shall prepare and submit to the Director a written report advising the matters of concern, the basis for the recommendation for certification, and the full Committee s affirmation of the recommendation of the panel. Rule 9.2dii If the report to the full Committee is not made and discussed at a meeting of the full Committee, within 21 days after the vote of the Inquiry Panel, the Chair of the Inquiry Panel shall prepare and submit to the Director a written report advising the Inquiry Panel vote, the matters of concern, and the basis for the recommendation for certification. The Director shall then forward the written report to all remaining members of the Committee, along with a request for the vote of each member as to whether the recommendation of the Panel should be affirmed or denied. The concurrence of a majority of the remaining members of the Committee shall be necessary to a decision. Rule 9.2diii If the recommendation of the Inquiry Panel is denied by the full Committee, within 21 days after such denial, the Chair of the full Committee shall prepare and submit to the Director a written report advising the matters of concern and the basis for the declination to certify. Rule 9.2e Upon receipt by the Director of the written report and recommendation of an Inquiry Panel for the interim certification of a registrant and its affirmation by the full Committee as hereinabove provided, the registrant shall be accorded interim approval and so advised in writing. Upon receipt by the Director of such report and recommendation and such affirmation for the certification of an applicant, the applicant may thereafter be recommended by the Board for BAB 9 204

215 admission to the bar if all other admission requirements have been met. Rule 9.2f Upon receipt by the Director of a written report advising an Inquiry Panel s vote to withhold certification or a written report advising a vote of the full Committee to deny an Inquiry Panel s recommendation for certification, the registrant or applicant shall thereafter be notified in writing of the Committee s declination to certify and provided with a copy of the report of the Inquiry Panel or of the Committee. The notice shall also advise the right of the registrant or applicant to submit a written request for hearing within 21 days of the date of the mailing of the notice and include instructions for doing so. If the registrant or applicant fails properly to request a hearing within 21 days of the date of the mailing of the notice, his or her application shall be placed on inactive status and made subject to the requirements of Rule Rule 9.2g In the event the registrant or applicant properly requests a hearing, he or she shall also promptly complete and file an Additional Questionnaire pursuant to Rule 3.5c. Upon receipt of the written request for hearing and the properly completed and filed Additional Questionnaire, the Director shall cause a supplemental character investigation and report to be prepared pursuant to Rule 5. The Director shall then notify the Chair of the Committee of the request for hearing and request the appointment of a Hearing Panel. Rule 9.3 Appointment of Hearing Panel. The Chair of the Committee shall appoint a Hearing Panel from the remaining members of the Committee, none of whom have been members of the Inquiry Panel, to consider formally the application. A hearing will thereafter be scheduled on a date certain no fewer than 75 days after receipt of the properly completed and filed Additional Questionnaire. The Chair of the Committee shall chair the Hearing Panel or shall designate a member of the panel as Chair. The Hearing Panel shall consist of five members of the Committee, and four members of the panel shall constitute a quorum. Following the hearing, the Hearing Panel shall prepare or cause to be prepared Findings and Conclusions together with BAB 9 a recommendation for or against the certification of the registrant or applicant. Rule 9.3a Notice of hearing. No fewer than 21 days prior to the hearing to be conducted by the Hearing Panel, the Panel shall cause a Notice to be sent to the registrant or applicant by mail containing: (1) The date, time, and place of such hearing; (2) The disclosure of matters adverse to the registrant or applicant; (3) If such matters were based in full or in part upon statements from other persons, the names of such persons; (4) confirmation of the right of the registrant or applicant to be represented by counsel, at his or her own expense, to examine and cross-examine witnesses, to adduce evidence bearing upon the aforesaid adverse matters and upon his or her character and fitness, and for such purposes to make reasonable use of the Committee s subpoena powers under Rule 9.3c; (5) confirmation of the right of the registrant or applicant or of his or her counsel, if any, to inspect prior to the hearing his or her character and fitness file; and (6) A copy of these Rules. Rule 9.3b The hearing before the Hearing Panel shall be private unless the registrant or applicant requests that it be public. Subject to the approval of the Board, the Director shall appoint counsel from among the members of the bar to prepare and present the matters adverse to the law student registrant or applicant. The Hearing Panel shall not be bound by the formal rules of evidence. It may in its discretion take evidence in other than testimonial form, having the right to rely upon records and other materials furnished to the Hearing Panel in response to its requests for assistance in its inquiries pursuant to these Rules and Supreme Court Rule 709. It may further in its discretion determine whether any evidence to be taken in testimonial form shall be taken in person at the hearing or upon deposition, but all testimonial evidence shall, in either event, be taken under oath. The matters to be considered by the Hearing Panel need not be limited to the mat- BAB 9 205

216 BAB 10 ters of concern set forth in the notice to the law student registrant or applicant of the matters adverse to the law student registrant or applicant. A complete stenographic record of the hearing shall be kept, and a transcript may be ordered by the law student registrant or applicant at his or her expense. Rule 9.3c The Committee shall, upon request of any member or of the law student registrant or the applicant, apply to the Clerk of the Supreme Court for the issuance of subpoenas or writs for the taking of testimony at its hearings or upon evidence depositions and shall, upon like request, report to said Court the failure or refusal of any person to attend and testify in response to any such subpoena or writ. The taking of depositions shall be limited to evidence depositions where permitted by the Committee under the criteria set forth in Supreme Court Rule 212(b). Rule 9.3d The Hearing Panel members shall confer and deliberate among themselves at the conclusion of the hearing and subsequent thereto as necessary. The Panel may vote at the conclusion of the hearing or may defer the vote to a later date not more than 45 days after conclusion of the hearing or 45 days after the record of the hearing is closed, whichever shall later occur, at which time a vote of the Hearing Panel shall be taken. The members may vote by mail, , fax, or telephone. The registrant or applicant shall be recommended for certification to the Board only upon receiving at least three affirmative votes. Rule 9.3e If the Hearing Panel shall vote to recommend the certification of the registrant or applicant to the Board, within 45 days thereafter, or, in the event of special circumstances, within such additional period of time as may be approved by the full Committee, the Chair of the Hearing Panel shall cause to be prepared and submitted to the Director for transmittal to the Court the Findings and Conclusions of the Committee. The Findings and Conclusions shall contain a synopsis of the contents of the application, a full and fair explication of each of the matters of concern, and, with regard to each such matter, the basis for the recommendation of certification; if the vote of the panel is less than unanimous, the Findings and Conclusions shall include a clear and concise statement of the concern(s) and conclusion(s) of the minority. The Director shall thereafter transmit such Findings and Conclusions to the Court together with any recommendation and information the Board may deem appropriate to submit. A copy of the report and the Board s recommendation, if any, shall be mailed to the law student registrant or applicant and to his or her counsel if any; a copy of any Board recommendation shall also be submitted to the Committee. Rule 9.3f If the Hearing Panel shall vote not to recommend the certification of the law student registrant or applicant, within 45 days thereafter, or, in the event of special circumstances, within such additional period of time as may be approved by the full Committee, the Chair of the Hearing Panel shall cause to be prepared and submitted to the Director for transmittal to the law student registrant or applicant the Findings and Conclusions of the Committee. The Findings and Conclusions of the Committee shall thereafter be served on the law student registrant or applicant by mail to the address designated by the law student registrant or applicant for receipt of notices, and the date of service shall be the date of mailing; a copy of the Findings and Conclusions of the Committee shall also be mailed to counsel for the registrant or applicant, if any. Rule 9.3g Prior to the mailing of the written Findings and Conclusions of the Committee to the law student registrant or applicant, the deliberation and decision of the Hearing Panel shall remain confidential. RULE 10 Status of Certain Character and Fitness Registration Applications Rule 10.1 Each recommendation for the certification of an applicant for admission on examination prior to the announcement of the results of such examination shall be a tentative recommendation. At the discretion of the Committee, in the event an applicant for admission upon examination has failed to pass the examination, no further action as to such applicant need be taken thereafter by the Committee or any Panel thereof until such time as the Committee shall BAB

217 be advised that the applicant has passed a subsequent examination. Rule 10.2 The character and fitness registration application of a registrant or applicant who without reasonable explanation has failed to provide requested information or documentation for a period of more than 90 days shall be placed on inactive status. Such application may be returned to active status only upon the written request of the registrant or applicant, which request shall include all previously requested information and documentation and satisfactorily address all previously outstanding matters of character and fitness concern, and the registrant or applicant shall be so advised in writing. If 9 or more months have passed since the date the registrant or applicant filed his or her most recent character and fitness questionnaire, the registrant or applicant must also properly complete and file an Additional Questionnaire pursuant to Rule 3.5b. BAB 11 RULE 11 Confidentiality All information received by the Board or a Committee on Character and Fitness or any agent of the Board or Committee pertaining to a law student registrant or applicant is subject to a quasi-judicial privilege. Such information shall be held in confidence and shall not be disclosed except as follows: (a) The name, date of birth, and Social Security number of a law student registrant or applicant and the date of his or her application, may be made available for placement in a national data bank operated by or on behalf of the National Conference of Bar Examiners; (b) Information requested by the Attorney Registration and Disciplinary Commission in connection with disciplinary proceedings, reinstatement proceedings, or investigations regarding the unauthorized practice of law shall be released by the Board in response to a subpoena issued by that agency; (c) Reports to the Supreme Court or any information required by the Supreme Court at any time shall be filed with the Court; (d) Information shall be released in response to a written request from the National Conference of Bar Examiners or from other bar admitting authorities when accompanied by an authorization for the release of such information duly executed by the person about whom such information is sought; (e) Information concerning a law student registrant or applicant shall be released by the Board in response to a subpoena issued in connection with the criminal investigation or prosecution of such law student registrant or applicant; (f) matters of concern raised by a law student registrant s or applicant s investigation and report may be disclosed to the registrant or applicant upon consideration of the registrant s or applicant s file pursuant to Rules 9.1 or 9.2 by a Committee member or an Inquiry Panel; (g) except as provided in preceding subparagraph (h) the Committee shall disclose to the law student registrant or applicant the contents of his or her character and fitness file only as provided by Rule 9.3a and Rule 9.3b, which documents shall thereafter become a part of the record before the Supreme Court in the event the law student registrant or applicant files a petition for review pursuant to Supreme Court Rule 708(g). RULE 12 Appeals Any law student registrant or applicant who has received an unfavorable recommendation from the Committee may file an appropriate petition for review by the Supreme Court with the Clerk of the Court in Springfield in accordance with Supreme Court Rule 708(g). RULE 13 New Hearings Rule 13.1 Any law student registrant or applicant who has been denied certification as hereinabove provided may petition the Character and Fitness Committee issuing the denial for a new hearing, but not within two years of the date the Committee mailed its Findings and Conclusions to the law student registrant or applicant, unless a shorter time is allowed by the decision of the Committee. If the registrant or applicant petitions the Supreme Court for relief from such denial pursuant to Rule 12, and the Court denies the petition, the foregoing two year period shall commence on the date of the Order of the Court, unless a shorter time is allowed by the Court. If BAB

218 BAB 14 the Committee recommends the certification of a registrant or applicant who is subsequently denied interim certification or admission by the Supreme Court, the registrant or applicant may petition the Committee that conducted the original hearing for a new hearing but not within two years of the date of the order of denial, unless a shorter time is allowed by the Court. Rule 13.2 No petition for a new hearing will be considered unless it shall include a showing of the activities and conduct of the law student registrant or applicant since, and the circumstances and conditions arising after, the last action of the Committee or of the Court, all of which must be fully set forth in the petition for new hearing. Rule 13.3 The Committee may deny the petition for new hearing without hearing testimony of witnesses, if the petition does not meet the foregoing requirements of this Rule and if the petition does not set forth substantial new matter which would prima facie overcome the reasons for the previous denial and establish that the law student registrant or applicant now has the good moral character and general fitness to practice law which would justify certification. If the Committee determines that the petition complies with this Rule and sets forth such substantial new matter, the petition shall be granted. Such determination shall be made by majority vote of the full Committee at a meeting conducted in person or by telephone conference at which a quorum is present within 45 days after service of the petition for new hearing upon the Committee. The members present at the meeting may also vote by mail, , fax, or telephone. Rule 13.4 In the event the petition is granted, the registrant or applicant shall be so notified by mail, and he or she shall promptly complete and file an Additional Questionnaire pursuant to Rule 3.5d. Upon receipt of the properly completed and filed Additional Questionnaire, the Director shall cause a supplemental character investigation and report to be prepared pursuant to Rule 5. A new hearing shall thereafter be scheduled and held pursuant to the requirements of Rules 9.3 et seq. To the extent possible, the original Hearing Panel shall be reconvened for the purpose of the new hearing. Any unavailable member of the original panel shall be replaced by another member of the Committee. RULE 14 Service All notices, reports, and other documents and items, including Findings and Conclusions of the Committee, required to be mailed or delivered under these Rules, may be sent by United States mail, postage prepaid, or by any private courier or delivery service approved by the Board, costs prepaid by the sender. The date of service is the date of depositing such items in the United States mails or tendering to the courier or delivery service as appropriate. (Adopted, effective immediately March 13, 1995; amended, effective immediately July 9, 2001; amended October 2, 2006, effective July 1, 2007.) BAB

219 RESOURCES Illinois Supreme Court Opinions of the Court and information regarding the Supreme Court and other Illinois courts and judicial agencies. MCLE Program The Supreme Court of Illinois created the MCLE Board to establish and administer the Minimum Continuing Legal Education program for all attorneys licensed by the Supreme Court of Illinois. The Board is located at 200 West Madison Street, Suite 2040, Chicago, Illinois 60606, The Board's web site includes the Court's MCLE Rules, guidance from the MCLE Board and forms for attorneys and course providers. Commission on Professionalism The Professionalism Commission was created by the Supreme Court in 2005, to create a forum in which lawyers, judges and legal educators can explore the meaning and aspirations of professionalism in contemporary legal practice. The Commission is located at Two Prudential Plaza, Suite 1950, 180 N. Stetson, Chicago, IL 60601, (phone); (fax). Illinois Board of Admissions to the Bar Information regarding applying for admission to the bar, character and fitness review, the bar exam, and reciprocal admission, including a list of jurisdictions that share reciprocity with Illinois Judicial Inquiry Board The Rules of Judicial Conduct and information regarding the submission and handling of complaints against Illinois Judges. Lawyers Trust Fund of Illinois Information regarding the Interest on Lawyers Trust Accounts (IOLTA) program, which funds grants for civil legal assistance for the poor and other public benefit programs in Illinois. Illinois Lawyers Assistance Program, Inc Information regarding the Lawyers Assistance Program (LAP), which focuses on helping lawyers impaired by addiction to alcohol, other drugs or mental illness. 209