ANNOTATIONSCOMMENT
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. 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.
A report about misconduct is not required where it would involve
violation of Rule 1.6. However, a lawyer should encourage a client to
consent to disclosure where prosecution would not substantially
prejudice the client's interests.
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 unenforcable. 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. The term "substantial" refers to the
seriousness of the possible offense and not the quantum of evidence of
which the lawyer is aware. A report should be made to the bar
disciplinary agency unless some other agency, such as a peer review
agency, is more appropriate in the circumstances. Similar
considerations apply to the reporting of judicial misconduct.
The duty to report professional misconduct does not apply to a
lawyer retained to represent a lawyer whose professional conduct is in
question. Such a situation is governed by the rules applicable to the
client-lawyer relationship.
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. In that
circumstance, providing for the confidentiality of such information
encourages lawyers and judges to seek treatment through such programs.
Conversely, without such confidentiality, 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. The Rule therefore exempts
the lawyer from the reporting requirements of paragraphs (a) and (b)
with respect to information that would be privileged if the relationship
between the impaired lawyer or judge and the recipient of the
information were that of a client and a lawyer. On the other hand, a
lawyer who receives such information would nevertheless be required to
comply with the Rule 8.3 reporting provisions to report misconduct if
the impaired lawyer or judge indicates an intent to engage in illegal
activity, for example, the conversion of client funds to his or her use.
COMMITTEE COMMENT
In recommending this rule, the Committee adopted the definition of
knowledge contained in Restatement of Restitution, 10, Comment
(d)(1937), similarly adopted in Colorado Bar Association Ethics
Committee Opinion 64 (April 23, 1983) "Knowledge means no substantial
doubt."
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