NOTICE: The official publication of the Rules of the Massachusetts Supreme Judicial Court is found in the bound volumes published and distributed as part of the Massachusetts Reports. Efforts have been taken to accurately compile and publish on this Web site these rules as they were initially published in 382 Mass. 698 (1980), subsequently amended in Massachusetts Reports through June 1, 2007. In the event of discrepancies between the electronic version of the rules found on this Web site and the print version found in the Massachusetts Reports, the print version will be considered authoritative.

TABLE OF CONTENTS

CHAPTER ONE.

GENERAL RULES.

1:01. DEFINITIONS; CONFLICT WITH OTHER RULES.

1:02. SITTINGS OF THE SUPREME JUDICIAL COURT.

1:03. UNIFORM CERTIFICATION OF QUESTIONS OF LAW.

1:04. JUDICIAL CONFERENCE.

1:05. CERTAIN CONTRACTS BY JUDICIAL OFFICERS.

1:06. RECORDS OF THE SUPREME JUDICIAL COURT, OF THE APPEALS COURT, AND OF THE SUPERIOR COURT DEPARTMENT. FORM, STYLE, AND SIZE OF PAPERS.

1:07. FEE GENERATING APPOINTMENTS AND THE MAINTENANCE OF APPOINTMENT DOCKETS IN ALL COURTS.

1:08. FORM, STYLE, AND SIZE OF PAPERS FILED IN ALL COURTS.

1:09. FORM OF ORIGINAL EXECUTIONS FOR ALL COURTS OF THE COMMONWEALTH.

1:10. FORM OF ALIAS EXECUTIONS FOR ALL COURTS OF THE COMMONWEALTH.

1:11. RULE RELATIVE TO THE DISPOSAL OF OLD COURT PAPERS AND RECORDS.

1:12. RULE RELATIVE TO THE DISPOSAL OF STENOGRAPHIC NOTES OF TESTIMONY TAKEN IN THE COURTS OF THE COMMONWEALTH.

1:13. TIME FOR REPORT OF MATERIAL FACTS IN THE PROBATE AND FAMILY COURT DEPARTMENT FOR CASES UNDER G. L. c. 215, § 11.

1:14. INTEREST ON PECUNIARY LEGACIES AND TRUST DISTRIBUTIONS UNDER G. L. c. 197, § 20.

1:15. IMPOUNDMENT PROCEDURE.

1:16. JUDICIAL PERFORMANCE ENHANCEMENT PROGRAMS.

1:17. SUBPOENAS TO OFFICIALS OF THE SUPREME JUDICIAL COURT AND APPEALS COURT.

1:18. UNIFORM RULES ON DISPUTE RESOLUTION.

1:19. CAMERAS IN THE COURTS.

1:20. ADDRESS CONFIDENTIALITY PROGRAM.

1:21. CORPORATE DISCLOSURE STATEMENT ON POSSIBLE JUDICIAL CONFLICT OF INTEREST.

CHAPTER ONE A.

GENERAL RULES PARTIALLY SUPERSEDED BY THE MASSACHUSETTS RULES OF CIVIL PROCEDURE OR THE MASSACHUSETTS RULES OF CRIMINAL PROCEDURE.

1:01A. [STRICKEN].

1:02A. DEPOSITIONS AND DISCOVERY.

1:03A. TRUSTEE PROCESS.

1:04A. ATTACHMENT.

CHAPTER TWO.

RULES FOR THE REGULATION OF PRACTICE BEFORE THE SINGLE JUSTICE OF THE SUPREME JUDICIAL COURT.

2:01. FIXING TIME FOR PLEADINGS AND PROCEEDINGS.

2:02. FORM AND INDORSEMENT OF PAPERS.

2:03. APPEARANCES.

2:04. GIVING OF NOTICE.

2:05. TIME FOR PLEADINGS AND PROCEEDINGS WHEN LAST DAY FOR PERFORMANCE FALLS ON SATURDAY, SUNDAY, OR A LEGAL HOLIDAY.

2:06. ELIMINATING REQUIREMENT FOR VERIFICATION BY OATH OR AFFIRMATION.

2:07. HEARINGS BEFORE SINGLE JUSTICE. NOTICE.

2:08. JURY ISSUES.

2:09. COPIES TO ADVERSE PARTIES.

2:10. MONEY PAID INTO COURT.

2:11. HEARINGS UPON MOTIONS GROUNDED ON FACTS.

2:12. POSTPONEMENT FOR WANT OF EVIDENCE.

2:13. SPECIAL MASTERS AND COMMISSIONERS.

2:14. WRIT OF PROTECTION.

2:15. OBJECTIONS.

2:16. REQUESTS FOR RULINGS.

2:17. TIME FOR ARGUMENTS.

2:18. ORDER OF BUSINESS. SINGLE JUSTICE SITTINGS.

2:19. REVIEWS OF ORDERS OF DEPARTMENT OF PUBLIC UTILITIES.

2:20. APPEALS FROM DECISIONS OF APPELLATE TAX BOARD.

2:21. APPEAL FROM SINGLE JUSTICE DENIAL OF RELIEF.

2:22. PETITIONS UNDER G. L. c. 211, § 3.

CHAPTER THREE.

ETHICAL REQUIREMENTS AND RULES CONCERNING THE PRACTICE OF LAW.

3:01. ATTORNEYS.

3:02. ADMINISTRATION OF JUSTICE.

3:03. LEGAL ASSISTANCE TO THE COMMONWEALTH AND TO INDIGENT CRIMINAL DEFENDANTS, AND TO INDIGENT PARTIES IN CIVIL PROCEEDINGS.

3:04. LIMITED PRACTICE BY ATTORNEYS FROM OTHER JURISDICTIONS WHO ARE ENGAGED IN CERTAIN GRADUATE LAW STUDIES OR PROGRAMS OF LEGAL ASSISTANCE.

3:05. LICENSING FOR FOREIGN LEGAL CONSULTANTS.

3:06. USE OF LIMITED LIABILITY ENTITIES.

3:07. MASSACHUSETTS RULES OF PROFESSIONAL CONDUCT.

3:08. [STRICKEN]

3:09. CODE OF JUDICIAL CONDUCT.

3:10. ASSIGNMENT OF COUNSEL.

3:11. COMMITTEE ON JUDICIAL ETHICS.

3:12. CODE OF PROFESSIONAL RESPONSIBILITY FOR CLERKS OF THE COURTS.

3:13. COMMITTEE ON PROFESSIONAL RESPONSIBILITY FOR CLERKS OF THE COURTS.

3:14. ADVISORY COMMITTEE ON JUDICIAL ETHICAL OPINIONS FOR CLERKS OF THE COURTS.

CHAPTER FOUR.

BAR DISCIPLINE AND CLIENTS' SECURITY PROTECTION.

4:01. BAR DISCIPLINE.

4:02. PERIODIC REGISTRATION OF ATTORNEYS.

4:03. PERIODIC ASSESSMENT OF ATTORNEYS.

4:04. CLIENTS' SECURITY BOARD AND FUND.

4:05. CLAIMS BY CLIENTS FOR REIMBURSEMENT OF LOSSES.

4:06. MISCELLANEOUS POWERS AND DUTIES OF CLIENTS' SECURITY BOARD.

4:07. LAWYERS CONCERNED FOR LAWYERS FUND AND OVERSIGHT COMMITTEE.

4:08. INTERPRETATION OF CHAPTER FOUR OF THESE RULES.

4:09. AMENDMENT, MODIFICATION, REPEAL.

GENERAL RULES.

These rules shall be construed to secure the just, speedy and inexpensive determination of every case. Words or phrases importing the singular number may extend and be applied to several persons or things, words importing the plural number may include the singular, and words importing the masculine gender may include the feminine and neuter. As used in these rules the following terms shall be deemed to have the following meanings:

"Superior Court" shall mean the Superior Court Department of the Trial Court, or a session thereof for holding court.

"Housing Court" shall mean a division of the Housing Court Department of the Trial Court, or a session thereof for holding court.

"Probate Court" shall mean a division of the Probate and Family Court Department of the Trial Court, or a session thereof for holding court.

"Land Court" shall mean the Land Court Department of the Trial Court, or a session thereof for holding court.

"District Court" or "Municipal Court" shall mean a division of the District Court Department of the Trial Court, or a session thereof for holding court. Except when the context means something to the contrary, said words shall include the Boston Municipal Court Department.

"Municipal Court of the City of Boston" shall mean the Boston Municipal Court Department of the Trial Court, or a session thereof for holding court.

"Juvenile Court" shall mean the Boston Division, the Worcester Division, the Springfield Division, and the County of Bristol Division of the Juvenile Court Department of the Trial Court, or a session thereof for holding court.

"Chief Justice" of a Trial Court Department shall mean the "Administrative Justice" of that Department.

To the extent of any conflict between the Massachusetts Rules of Civil Procedure, the Massachusetts Rules of Criminal Procedure, the Massachusetts Rules of Appellate Procedure and the rules of the Supreme Judicial Court, the Appeals Court, and the various Departments of the Trial Court, the Massachusetts Rules of Civil, Criminal and Appellate Procedure shall control.

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Sittings of the full court for hearing questions of law pursuant to G. L. c. 211, § 12, as amended, shall be held at Boston on the first Monday of October, November, December, January, February, March, April and May, and at such other places or times as the court from time to time may order.

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Section 1. Authority to Answer Certain Questions of Law.

This court may answer questions of law certified to it by the Supreme Court of the United States, a Court of Appeals of the United States, or of the District of Columbia, or a United States District Court, or the highest appellate court of any other State when requested by the certifying court if there are involved in any proceeding before it questions of law of this State which may be determinative of the cause then pending in the certifying court and as to which it appears to the certifying court there is no controlling precedent in the decisions of this court.

Section 2. Method of Invoking.

This rule may be invoked by an order of any of the courts referred to in Section 1 upon that court's own motion or upon the motion of any party to the cause.

Section 3. Contents of Certification Order.

A certification order shall set forth

(1) the question of law to be answered; and

(2) a statement of all facts relevant to the questions certified and showing fully the nature of the controversy in which the questions arose.

Section 4. Preparation of Certification Order.

The certification order shall be prepared by the certifying court, signed by the judge presiding at the hearing, and forwarded to this court by the clerk of the certifying court under its official seal. This court may require the original or copies of all or of any portion of the record before the certifying court to be filed with the certification order, if, in the opinion of this court, the record or portion thereof may be necessary in answering the questions.

Section 5. Costs of Certification.

Fees and costs shall be the same as in civil appeals docketed before this court and shall be equally divided between the parties unless otherwise ordered by the certifying court in its order of certification.

Section 6. Briefs and Arguments.

Proceedings in this court shall be those provided in these rules, the Massachusetts Rules of Appellate Procedure or statutes governing briefs and arguments, so far as reasonably applicable.

Section 7. Opinion.

The written opinion of this court stating the law governing the questions certified shall be sent by the clerk under the seal of this court to the certifying court and to the parties.

Section 8. Power to Certify.

This court on its own motion or the motion of any party may order certification of questions of law to the highest court of any State when it appears to the certifying court that there are involved in any proceeding before the court questions of law of the receiving State which may be determinative of the cause then pending in the certifying court and it appears to the certifying court that there are no controlling precedents in the decisions of the highest court or intermediate appellate courts of the receiving State.

Section 9. Procedure on Certifying.

The procedures for certification from this State to the receiving State shall be those provided in the laws of the receiving State.

Section 10. Uniformity of Interpretation.

This rule shall be so construed as to effectuate its general purpose to make uniform the law of those states which adopt it; or enact a uniform certification statute.

Section 11. Short Title.

This rule may be cited as the Uniform Certification of Questions of Law Rule.

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G. L. c. 211, § 3B, as amended.

(1) The Massachusetts Judicial Conference is hereby constituted to consist of the following: (a) the Chief Justice (who shall serve as chairman of the Conference) and the Associate Justices of this court; (b) the Chief Justice of the Appeals Court; (c) the Chief Administrative Justice of the Trial Court; (d) the Administrative Justice of the Superior Court Department; (e) the Administrative Justice of the Probate and Family Court Department; (f) the Administrative Justice of the Land Court Department; (g) the Administrative Justice of the Housing Court Department; (h) the Administrative Justice of the District Court Department; (i) the Administrative Justice of the Boston Municipal Court Department; (j) the Administrative Justice of the Juvenile Court Department; (k) the Chairman of the Judicial Council; (l) the Trial Court Administrator; and (m) the Administrative Assistant to the Supreme Judicial Court (G. L. c. 211, § 3A), who shall act as secretary and as the principal administrative officer of the Conference.

(2) The judges and officers mentioned in paragraph (1) shall serve as the members of the Conference until further order of this court. Any member may designate another member of the court or body which he represents to act for him at any meeting.

(3) The Conference may invite other judges and members of the bar (a) to participate in any one or more projects, studies, meetings, or other activities, or (b) to prepare and present studies, recommendations, and comments upon matters concerning which the Conference desires information.

(4) The Conference (a) may consider and make recommendations on matters relating to the conduct of judicial business, the improvement of the judicial system, and the administration of justice in such manner as the Conference from time to time may deem appropriate; (b) may initiate and conduct legal research; (c) shall assist this court in coordinating the activities of the several courts; (d) may conduct general conferences and educational meetings; (e) may appoint reporters, advisers, research assistants, and other employees, either for the general work of the Conference or for designated projects and, subject to the availability of necessary funds, may make expenditures, including the payment of the foregoing persons; (f) may employ such facilities of universities, law schools, colleges, bar associations, foundations, and other institutions, as may be made available to it; and (g) may appoint standing or special committees. The Chief Justice of this court may appoint a vice-chairman of the Conference and may delegate to him duties with respect to the Conference.

(5) The Conference shall meet at such times as may be designated by the Chief Justice or a majority of the Justices of this court.

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(1) Except as provided by paragraph (4), by statute, or by other rule or order of this court, no judge of a court shall enter into, order, or approve a contract on behalf of the Commonwealth or any of its political subdivisions requiring the expenditure of funds or the incurring of a liability in excess of any appropriation therefor, or for which no appropriation has been made, without the written approval of the appropriate judicial officer designated by this court. The following officers are so designated: for the Appeals Court, its Chief Justice; for each department of the Trial Court, its Administrative Justice. Every judge seeking such approval shall file a written request for approval with the appropriate judicial officer and a copy with the Chief Administrative Justice of the Trial Court. Every request shall be in the form of a memorandum and shall set forth the following: (a) the nature and cost of the facilities, goods or services sought; (b) an explanation of the circumstances causing the judge to consider it reasonably necessary to the proper execution of the court's responsibilities; (c) a chronological account of administrative action previously taken to secure it; and (d) a statement of the action contemplated by the judge.

(2) The appropriate judicial officer may approve in writing a request made under paragraph (1) only upon a finding that the facilities, goods or services sought are reasonably necessary to the proper execution of the court's responsibilities, and subject to such instructions as he deems appropriate. If such request is approved by the judicial officer, he shall forthwith submit a copy of his approval to the Chief Administrative Justice.

(3) Any judge whose request under paragraph (1) is denied may appeal in writing to the Chief Administrative Justice, who shall make a final determination thereon.

(4) The only exception to paragraph (1) shall be in instances where failure to obtain the required facilities, goods or services expeditiously and without delay will frustrate the execution of the court's responsibilities. In every such instance, the judge entering into, ordering or approving a contract on behalf of the Commonwealth or any of its political subdivisions shall forthwith submit a memorandum of the type required by paragraph (1) to the appropriate judicial officer, with a copy to the Chief Administrative Justice.

(5) Upon receipt of a copy of a memorandum filed under paragraph (1) or (4) the Chief Administrative Justice shall forthwith notify the Chief Justice of this court.

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G. L. c. 221, § 27, as amended.

(1) The records of the Supreme Judicial Court, of the Appeals Court, and of the Superior Court Department in the several counties shall consist of the docket, the files, any extended record, which shall have been made at the promulgation of these rules, and whatever other specific records may be required by special statutes, and no others.

(2) There shall be two dockets in the Supreme Judicial Court: a full court docket and a single justice docket. The single justice docket shall be kept by the clerk in each county.

(3) There shall be two dockets in the Superior Court Department: a civil action docket and a criminal docket.

(4) The dockets are records wherein the clerk shall register, by its title, every action, suit or proceeding, civil and criminal, commenced in, or transferred or appealed to, the court whereof he is clerk, according to the date of its actual entry. He shall note therein, according to the date thereof, the filing or return of any paper or process, the making of any order, rule, or other direction in or concerning such action, suit or proceeding, civil and criminal, the verdict or finding, the allowance of exceptions, and the entry of final judgment, final decree or order.

(5) The criminal docket shall be kept in the form heretofore in common usage, being substantially as provided in paragraph (4) hereof.

(6) The files are all papers and processes filed with or by the clerk of the court in any action, suit or proceeding therein, or before the justice thereof, including executions, with their returns. So far as reasonably practicable, they shall comply with S.J.C. Rule 1:08 in size and in other respects therein stated. All such papers and processes shall be numbered consecutively in each case as entered.

(7) Resort may be had to the docket, files, and any extended record, or full extended record, which has been made at the time of the promulgation of these rules, but the full extended record, where one has been made, shall control.

(8) The docket shall be kept either by the loose-leaf system or by a computer based record keeping system. Under the loose-leaf system the record shall be kept in typewriting, or partly in typewriting and partly in print, except as otherwise ordered by the court. Typewriter ribbons of permanent character shall be used. Those authorized for use on public records shall be regarded as sufficient under this rule, unless otherwise ordered by the court. The leaves of both docket and record when completed shall be strongly bound in volumes of appropriate size. Under the computer based record keeping system upon the completion of each case a printed paper copy of the docket shall be produced to provide a permanent record of the docket. The printed paper copy of the docket shall be strongly bound in volumes of appropriate size.

(9) Immediately after the final disposition of each action, suit or proceeding, complaint or indictment, papers constituting the files shall be assembled, collated, and arranged in order as theretofore numbered, and thereafter shall be kept in such order, except that executions may for greater safety be kept in a more secure place.

(10) The docket, files, and such extended and full extended records which shall have been made at the time of the promulgation of these rules, are to be kept in the clerk's office or in the custody of the clerk, and he is to be strictly responsible for them. They shall not be taken from his custody except in cases authorized by statute, by rule of court, for the preparation of the record for the full court, or for use by a justice of the court; but the parties may at all times have copies.

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Preamble

The Justices understand the importance of allowing judges the flexibility of selecting appointees based on the particular expertise needed in a given case. In recognition of the necessity to safeguard judicial discretion, a waiver from the requirement of successive appointments has been included in Rule 1:07. In making an appointment, a judge may select a qualified person who is not on the list or who is not next in order on the list by making a brief notation of the reasons for the selection.

The goal of this rule is to assure that all fee-generating appointments made by the courts of the Commonwealth are made on a fair and impartial basis with equal opportunity and access for all qualified candidates for appointments. The Justices have concluded that the fairest way to accomplish this goal, and at the same time avoid favoritism or the appearance of favoritism, is by requiring each court to create lists of qualified candidates and then generally make appointments from those lists in rotation or sequential order.

(1) Annual Publication. At the beginning of each fiscal year, the chief justice of each Trial Court department and the chief justices of the appellate courts shall submit to the Chief Justice for Administration and Management (CJAM) a listing of the types of fee-generating appointments made in their department or court and the qualifications for those appointments. The CJAM shall compile the listings into a unified report which shall be published annually by the CJAM. The report shall include a description of the educational, professional, and other qualifications required for each type of appointment. The report shall state the method by which a person may apply to be considered for each particular type of appointment. It shall also include a statement that appointments of counsel for indigent defendants in criminal matters and for parties in certain non-criminal matters are governed by the Committee for Public Counsel Services (CPCS). An address and telephone number for interested persons to receive information on CPCS appointments shall be included in the report. This annual publication shall be accompanied by a statement from the Supreme Judicial Court that the appointments in the report are open to all qualified persons without regard to race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status.

(2) Court Lists. Every individual court making fee-generating appointments shall maintain a list of persons eligible for each type of appointment made by the court. The list shall be generated by the court or, where applicable, by CPCS. All court-generated lists shall be open to all qualified candidates and shall not be restricted to a fixed number of candidates. The method for removing individuals from a list shall be the responsibility of CPCS, in the case of CPCS-generated lists, and of the CJAM, in the case of court-generated lists. The lists shall be public.

(3) Successive Appointments. Each court appointment shall be made from the list maintained pursuant to section (2) of this rule, except as otherwise provided in section (4). Appointments from the list shall be made successively, except that, if an appointment is not made in successive order, the judge (or other person) making the appointment shall provide a brief written statement of reasons for not following the order of the list. For appointees compensated by CPCS, such written statement shall be kept by the Clerk, Register or Recorder in a separate file marked "CPCS appointments." A judge may direct that an appointment made successively from the list be entered administratively by the clerk, register, or recorder.

(4) Persons Not On List. If a judge appoints a person not on the list maintained pursuant to section (2), the judge (or other person) making the appointment shall provide a brief written statement of reasons for not appointing from the list.

(5) Appointment Docket. All clerks, registers, and recorders, for trial and appellate courts, shall establish and maintain, currently indexed, as part of the public records of the court open during regular business hours to public inspection, an appointment docket with respect to the appointment by the court of each fee-generating appointment, excluding appointees compensated by CPCS. The appointment dockets shall include the following:

(a) guardian ad litem,

(b) investigator appointed pursuant to G. L. c. 208, § 16,

(c) appraiser in any estate estimated to have gross assets in excess of $100,000,

(d) commissioner to sell real estate,

(e) appellate court conference counsel,

(f) master or special master,

(g) counsel in any civil matter,

(h) monitor for the administration of antipsychotic medications,

(i) investigator in care and protection proceedings,

(j) title examiner,

(k) administrator, trustee, guardian, conservator, or receiver, whose appointment was not prayed for by name in a petition, pleading, or written motion, and any guardian or conservator who is an attorney, social worker or other social service professional unrelated to the ward by blood or marriage,

(l) any other fee-generating appointment not compensated by CPCS and not otherwise excluded by this section. The appointment of a guardian ad litem to serve process under G. L. c. 215, § 56B, shall not be entered on the appointment docket. The appointment of an executor, administrator, trustee, guardian, conservator or receiver shall not be entered on the appointment docket except as required by section (5)(k). Appointments shall be entered on the appointment docket regardless of the anticipated source, if any, of payment to the appointee.

(6) Data Collection. Such docket shall contain at a minimum the following:

(a) the docket number and, if the case file is available for public inspection or if access to the information is not otherwise prohibited, the name of the case,

(b) the date of the appointment,

(c) the name of the appointee,

(d) the position to which appointed,

(e) by whom the appointment was made,

(f) a notation if the appointment was not made successively from the court's list or if the appointee was a person not on the list, and

(g) the amount of any payment received and the source thereof (party, estate, or Commonwealth) or whether payment was waived or declined.

(7) Payments. No payment shall be made or received on account of any appointment required to be recorded in the appointment docket until a statement under the penalties of perjury, certifying the services provided, amount of payment, and itemization of expenses, is filed with the clerk, register, or recorder, to be placed with the papers in the case. No person holding an appointment required to be recorded in the appointment docket under section (5) of this rule shall make any payment to himself or herself until such payment is approved by the court.

(8) Compliance. Each appointment made under this rule shall include language on the document of appointment itself that section (7) of this rule must be complied with. After July 1, 2000, no person whose appointment is subject to this rule shall accept reappointment unless he or she has filed a certification that all fee reports for payments received in the previous fiscal year have been filed.

(9) Implementation. The CJAM shall promulgate, subject to the approval of the Supreme Judicial Court, such uniform practices as are necessary to implement this rule.

(10) Alternative Dispute Resolution Exclusion. The provisions of this rule are not applicable to fee-generating appointments made pursuant to Rule 1:18, Uniform Rules on Dispute Resolution.

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1:08. FORM, STYLE, AND SIZE OF PAPERS FILED IN ALL COURTS.

(Applicable to all cases and to all courts. See S.J.C. Rules 1:06[7], 2:02, Rule 5[g] of Mass. R. Civ. P., and Rule 20 of Mass. R. A. P., each as amended.)

(1) Except as provided in this rule, papers (except exhibits) and processes filed with or by the clerk of the court in any court in the Commonwealth, or before a justice thereof, in any action, suit, or proceeding therein, including executions, with their returns, shall be, so far as reasonably practicable, approximately (but not larger than) eight and one-half inches by eleven in size, of standard quality of paper with adequate margins, and, except writs and other processes, approved Probate and Family Court Department printed forms, and printed briefs, shall be printed or typewritten upon one side only. It is desirable that blanks be filled in in typewriting. All papers filed in appeals (civil or criminal) to the full Supreme Judicial Court, the full Appeals Court, or a statutory quorum of either shall comply with the informational requirements of Rule 20(b) of the Massachusetts Rules of Appellate Procedure. All papers filed in all other proceedings shall bear the name of the court and the county, the title of the action, the designation of the nature of the pleading or paper, and the name (written in capital letters or typed legibly, in addition to any signature required), address, and telephone number of the person or attorney filing the same, and, with respect to such papers filed by an attorney in the Supreme Judicial Court for the Commonwealth, the Supreme Judicial Court for Suffolk County and the Appeals Court, the attorney's Board of Bar Overseers (BBO) number. The court number of the case shall appear on each paper filed after the assignment of such a number.

(1A) With the exceptions appearing in paragraphs (1) an (2) of this rule and, with the exception of the Probate and Family Court Department, and applications for admission to the bar filed in the county court, all papers and processes in cases commenced after January 1, 1975, filed with or by the clerk of the court in any court in the Commonwealth shall not be folded. Backers are not required and should not be used.

(2) The District Court Department and the Boston Municipal Court Department by rule may exempt from the operation of this rule papers filed in small claims proceedings and in criminal cases. The District Court and the Juvenile Court Departments by rule may exempt from the operation of this rule papers filed in juvenile cases. However, when the clerks of these courts enter in the Superior Court Department papers exempted under this paragraph they shall adapt such papers to the requirements of this rule. In all courts there may be exempted by rule or order papers filed by parties appearing pro se.

(3) Any court by rule or order may provide for the effective enforcement of this rule.

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1:09. FORM OF ORIGINAL EXECUTIONS FOR ALL COURTS OF THE COMMONWEALTH.

G. L. c. 235, §§ 22, 23.

Original executions to be issued in all courts of the Commonwealth on judgments against executors, administrators, and other fiduciary officers in their representative capacity, including any such original execution running against two or more parties, any one or more of whom are fiduciary officers as aforesaid in their representative capacity, or against sheriffs under G. L. c. 37, § 10, or special judgments entered under G. L. c. 235, § 24, shall in the last sentence after the words "in sixty days from the date hereof" contain the clause "or within ten days after this writ has been satisfied or discharged."

All other original executions to be issued on judgments in all courts of the Commonwealth shall contain a last sentence reading as follows:

"Hereof fail not, and make return of this writ with your doings thereon into the clerk's office of our said Court, at within our county of, within twenty years after the date of said judgment, or within ten days after this writ has been satisfied or discharged."

No execution shall be invalid which conforms in substance to the provisions of this rule.

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1:10. FORM OF ALIAS EXECUTIONS FOR ALL COURTS OF THE COMMONWEALTH.

G. L. c. 235, § 22.

Alias and successive executions to be used in all courts of the Commonwealth shall contain the following: Immediately after the words, "We command you, therefore," there shall be inserted "as we have commanded you." The last sentence shall be:

"Hereof fail not, and make return of this writ with your doings thereon into the clerk's office of our said Court at within our county of within five years from the date hereof, or within ten days after this writ is satisfied in whole or discharged by law."

No execution shall be invalid which conforms in substance to the provisions of this rule.

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G. L. c. 221, § 27A, as amended.

A. Superior Court Department. Case papers or records of the Superior Court Department under the custody of clerks of the Superior Court Department may be selectively retained pursuant to the following requirements:

(1) In Berkshire, Franklin and Hampshire counties, a systematic sample of case papers consisting of 10% (docket numbers ending in "0") for the period from 1860 to 1969 and 2% (docket numbers ending in "00" and "50") after 1969 shall be retained. Except as provided in paragraphs (4) and (5) of section A of this rule, all other papers and records may be destroyed pursuant to the procedures established in Section A.

(2) In Hampden, Norfolk, Plymouth, and Worcester counties, a systematic sample of case papers consisting of 20% (docket numbers ending in "0" and "5") for the period from 1860 to 1889, of 10% (docket numbers ending in "0") from 1890 to 1919, of 5% (docket numbers ending in "00", "20", "40", "60", and "80") for the period from 1920 to 1969 and 2% (docket numbers ending in "00", and "50") after 1969 shall be retained. Except as provided in paragraphs (4) and (5) of section A of this rule, all other papers and records may be destroyed pursuant to the procedures established in Section A.

(3) In Bristol, Middlesex and Suffolk counties, a systematic sample of case papers consisting of 20% (docket numbers ending "0" or "5") for the period from 1860 to 1889, of 10% (docket numbers ending in "0") from 1890 to 1919, of 5% (docket numbers ending in "00", "20", "40", "60", and "80") for the period from 1920 to 1969 and 2% (docket numbers ending in "00", and "50") after 1969 shall be retained. In the period when law and equity files are separate a 30% (docket numbers ending in "3", "6", and "9") systematic sample of equity files shall be retained. (i.e. Bristol-entered 1897 to June 30, 1974; Middlesex and Suffolk-entered 1892 to June 30, 1974). Except as provided in paragraphs (4) and (5) of section A of this rule all other papers and records may be destroyed pursuant to the procedures established in Section A.

(4) All case papers in the following categories not already retained pursuant to the basic sample of paragraphs (1), (2) or (3) shall be retained separately and prominently stamped "Oversample":

(a) Files with a thickness of 1 1/2 inches or more for the period of 1860 to 1889; 1 3/4 inches or more for the period of 1890 to 1919; 2 inches or more after 1919. (If flat-filed, one inch or more excluding depositions.)

(b) All files of cases appealed to the Supreme Judicial Court.

(5) Case papers or records in the following categories shall be completely retained:

(a) All records in Barnstable, Dukes, Essex, and Nantucket counties.

(b) All divorce and naturalization records.

(c) All docket books and extended records.

(d) All records in periods when both docket books and extended records are missing.

(e) All records in periods in which there has previously been destruction of some records.

(f) All records prior to 1860.

(g) All records filed in or related to proceedings which have not been finally disposed of for more than twenty years, except that case papers or records may be destroyed, subject to the sampling and other provisions of this rule, ten years after the final disposition of a case provided that the auditor has completed an audit of these papers or records and the clerk certifies to the Administrative Justice of the Superior Court Department that the dockets for any such papers or records to be destroyed contain essential information including entries, in those cases in which counsel is required, indicating representation by counsel or waiver of counsel and including, in civil cases, information sufficient to permit execution on a judgment within twenty years after the date of the judgment. Unless the clerk is otherwise notified, any case which has been pending for twenty or more years shall be deemed to have been finally disposed of for more than twenty years. In any criminal case in which a defendant has been sentenced to more than ten years' imprisonment, the case papers or records shall be retained for a period corresponding to the sentence imposed in that case.

(6) All cases retained pursuant to this rule shall be stamped so as to be clearly visible on the front, "SAMPLED". All containers for such cases shall be labeled so as to be clearly visible on the front, "SAMPLED-SEE SELECTION CRITERIA IN CLERK'S OFFICE." Copies of the selection criteria shall be available in the vault containing records, in the clerk's office, and in the State Archives.

(7) At least thirty days before any papers or records are destroyed, notice that it is proposed to destroy papers or records pursuant to this rule shall have been given to the public by publication in a newspaper of general circulation in the county in which the office of the clerk is located and by posting a copy of such notice in the office of the clerk. The notice need not list specific cases but should identify the types of cases and the beginning and ending dates of the cases to be sampled (e.g. "civil cases 1900 through 1950"). Before publication the notice shall be approved by the Administrative Justice of the Superior Court Department. A copy of such notice shall also be sent to the Chief Justice of the Supreme Judicial Court or his designee, and to the Chief Administrative Justice of the Trial Court.

(8) No papers or records shall be destroyed without an order of the Administrative Justice of the Superior Court Department. Such order may be general in nature as provided for the notice in paragraph (7) of Section A of this rule. Before destroying any papers or records, the clerk shall notify the Administrative Justice of the Superior Court Department of the responses received, if any, as a result of the publication of such notice.

(9) Exceptions from any general description of papers to be destroyed may be made by the clerk or Administrative Justice of the Superior Court Department at any time.

B. District Court, Boston Municipal Court, Juvenile Court and Housing Court Departments. Case papers or records of the District Court, Boston Municipal Court, Juvenile Court and Housing Court Departments under the custody of the clerks of these departments may be selectively retained pursuant to the following requirements:

(1) A systematic sample of case papers consisting of 5% (docket numbers ending in "00", "20", "40", "60", and "80") for the period from 1800 to 1969 and 2% (docket numbers ending in "00" and "50") after 1969 shall be retained. Except as provided in paragraphs (2), (3), (4), (5), (6), (7) and (8) of Section B of this rule, all other papers and records may be destroyed pursuant to the procedures established in section B. If a case included within the 5% or 2% samples has no papers but has a card indicating that it was filed separately or was sent to the Superior Court, the card shall be retained as part of the sampled file.

(2) Case papers with a thickness of at least two inches (one inch, excluding depositions, if flat-filed) shall be retained regardless of whether they are part of the 5% or 2% samples described in paragraph (1). All such cases with a thickness of at least two inches (one inch, excluding depositions, if flat-filed) which are part of the 5% or 2% samples shall be maintained within the numbered sequence of retained sample cases. All other cases with a thickness of at least two inches (one inch, excluding depositions, if flat-filed) shall be retained separately from the main docket number sequence of sampled cases.

(3) All docket books and extended records (if any) shall be retained; and all records in periods when both docket books and extended records (if any) are missing shall also be retained.

(4) All records of any kind bearing date or known to have been filed earlier than the year eighteen hundred shall be retained.

(5) All naturalization and divorce (if any) records, and records of cases, acknowledgments and agreements filed pursuant to G. L. c. 209C shall be retained.

(6) Except as otherwise provided in this paragraph and in paragraphs (7) and (8) of Section B of this rule, in order to be eligible for destruction, any case to which the papers relate shall have been finally disposed of for more than twenty years. Case papers or records may be destroyed, subject to the sampling and other provisions of this rule, five years after the final disposition of a case provided that the auditor has completed an audit of these papers or records and the clerk certifies to the Administrative Justice of the appropriate department that the dockets for any such papers or records to be destroyed contain essential information including entries, in those cases in which counsel is required, indicating representation by counsel or waiver of counsel and including, in civil cases, information sufficient to permit execution on a judgment within twenty years after the date of the judgment. Unless the clerk is otherwise notified, any case which has been pending for twenty or more years shall be deemed to have been finally disposed of for more than twenty years.

(7) All papers filed in or relating to a care and protection case filed pursuant to G. L. c. 119, § 24, shall be retained until the youngest child named on the petition has attained the age of twenty years.

All papers filed in or relating to a child in need of services case filed pursuant to G. L. c. 119, § 39E, shall be retained until five years after the last docket entry, court appearance, order entered or other activity in the case.

All papers filed in or relating to cases filed pursuant to G. L. c. 209, § 32F, G. L. c. 209D, or G. L. c. 273A (repealed by St. 1995, c. 5), in which Massachusetts is the responding State, shall be retained until ten years after the last docket entry, court appearance, order entered or other activity in the case.

(8) The following papers are not subject to the 5% or 2% sampling provisions of paragraph (1) of Section B of this rule nor to the twenty year requirement of paragraph (6) of Section B of this rule:

Any papers filed in or relating to a proceeding involving the alleged violation of laws, rules or regulations relating to civil motor vehicle infractions, motor vehicle parking, littering, bicycles, pedestrians, municipal dog control, or the decriminalized disposition of municipal ordinance or by-law violations or other decriminalized regulatory offenses may be destroyed two years after the final disposition of such a case provided that the auditor has completed an audit of these papers.

A sample of the types of case papers listed in this paragraph (8) shall be retained by the random selection of twenty of each type of case paper for each year of records to be destroyed.

(9) All cases retained pursuant to this order shall be stamped so as to be clearly visible on the front, "SAMPLED". All containers for such cases shall be labeled so as to be clearly visible on the front, "SAMPLED--SEE SELECTION CRITERIA IN CLERK'S OFFICE." Copies of the selection criteria shall be available in the vault containing the records, in the clerk's office, and in the State Archives.

(10) At least thirty days before any papers or records are destroyed, notice that it is proposed to destroy papers or records pursuant to this rule shall have been given to the public by publication in a newspaper of general circulation in the county in which the office of the clerk is located and by posting a copy of such notice in the office of the clerk. The notice need not list specific cases but should identify the types of cases and the beginning and ending dates of the cases to be sampled (e.g. civil cases, 1900 through 1950). Before publication, the notice shall be approved by the presiding justice of the division, if any, in which the papers or records are stored and by the Administrative Justice of that Department. A copy of such notice shall be sent to the Chief Justice of the Supreme Judicial Court or his designee and to the Chief Administrative Justice of the Trial Court.

(11) No papers or records of the District Court, Juvenile Court or Housing Court Departments shall be destroyed without an order, approved by the Administrative Justice of the Department, of the presiding justice of the division in which the papers or records are stored. No papers or records of the Boston Municipal Court Department shall be destroyed without an order of the Administrative Justice of that Department. Such orders may be general in nature, as provided for the notice in paragraph (10) of Section B of this rule. Before destroying any papers or records, the clerk shall notify the presiding justice of the division, if any, and the Administrative Justice of that Department of the responses received as a result of the publication of such notice.

(12) Exceptions from any general description of papers to be destroyed may be made by the presiding justice, clerk or Administrative Justice at any time.

C. Land Court Department. Case papers or records of the Land Court Department under the custody of the Recorder may be selectively retained pursuant to the following requirements:

(1) A systematic sample of case papers in all miscellaneous cases within the Land Court's jurisdiction, other than proceedings for authority to foreclose a mortgage pursuant to the provisions of the Soldiers' and Sailors' Civil Relief Act, of 5% (every twentieth case) for the period prior to 1970 and 2% (every fiftieth case) after 1969 shall be retained. Case papers with a thickness of at least five inches, (three inches excluding depositions, if flat-filed) shall be retained regardless of whether they are part of the 5% or 2% samples, within the numbered sequence of retained sample cases. Except as provided in paragraphs (1), (2), (4), and (5), all remaining case papers in all other cases relating to miscellaneous Land Court jurisdiction may be destroyed after the expiration of twenty years from the date of final disposition. Case papers or records may be destroyed, subject to the sampling and other provisions of this rule, ten years after the final disposition of a case provided that the auditor has completed an audit of these papers or records and the Recorder certifies to the Administrative Justice of the Land Court Department that the dockets for any such papers or records to be destroyed contain essential information including information sufficient to permit execution on a judgment within twenty years after the date of the judgment. Unless the Recorder is otherwise notified, any case which has been pending for twenty or more years shall be deemed to have been finally disposed of for more than twenty years.

(2) Any papers filed in proceedings for authority to foreclose a mortgage pursuant to the provisions of the Soldiers' and Sailors' Civil Relief Act are not subject to the 5% and 2% sampling provisions of paragraph (1) nor to the twenty year requirement thereof. Such papers may be destroyed five years after the final disposition of such a case, provided that the auditor has completed an audit of these papers. A sample of the type of case papers listed in this paragraph (2) shall be retained by the random selection of twenty case papers for each year of records to be destroyed.

(3) All registration case papers, abstracts, plans and subsequent proceedings to registration shall be retained. All case papers relating to the foreclosure of the right of redemption pursuant to G. L. c. 60, § 65 (tax), shall be retained.

(4) All cases appealed to the Supreme Judicial Court or Appeals Court shall be retained.

(5) All docket books and extended records (if any) shall be retained; and all records in periods when both docket books and extended records, if any, are missing shall also be retained.

(6) At least thirty days before any papers or records are destroyed, notice that it is proposed to destroy papers or records pursuant to this rule shall be given to the public by publication in a newspaper published in Suffolk County and by posting a copy of such notice in the office of the Recorder. The notice need not list specific cases, but should identify the types of cases and the beginning and ending dates of the cases to be sampled. Before publication, the notice shall be approved by the Administrative Justice of the Land Court Department. A copy of such notice shall also be sent to the Chief Justice of the Supreme Judicial Court or his designee and to the Chief Administrative Justice of the Trial Court.

(7) No papers or records of the Land Court Department shall be destroyed without an order approved by the Administrative Justice of the Land Court Department. Such order may be general in nature as provided for the notice in paragraph (6) of Section C of this rule. Before destroying any papers or records, the Recorder shall notify the Administrative Justice of the Land Court Department of the responses received, if any, as a result of the publication of such notice.

(8) Exceptions from any general description of papers to be destroyed may be made by the Administrative Justice or the Recorder at any time.

D. Probate and Family Court Department.

(1) Except as otherwise provided under this rule, case papers or records filed in or related to cases in the Probate and Family Court Department which have been finally disposed of for more than twenty years, and in which microimage copies have been made pursuant to Section E(1) of this rule, may be destroyed under the procedures established in Section D of this rule.

(2) The following types of documents may be destroyed under this rule without the need for a microimage copy:

(a) Guardian ad litem reports, including those of Family Service;

(b) Fiduciary account subsidiary schedules, but not cover pages, twenty years after allowance of the account in question;

(c) Financial statements filed under Rule 401 of the Supplemental Probate Court Rules.

(d) Transcripts of proceedings pursuant to Section E(3) of this rule.

(3) Case papers or records in the following categories shall be retained:

(a) All docket entries and record books;

(b) All records in periods when both docket entries and extended records are missing;

(c) All records prior to 1900;

(d) All case papers or records in any cases appealed to the Supreme Judicial Court;

(e) All probate case papers or records, except as enumerated in paragraphs (1) and (2) of Section D;

(f) All adoption case papers or records.

(4) At least thirty days before any papers or records are destroyed, notice that it is proposed to destroy papers or records pursuant to this rule shall have been given to the public by publication in a newspaper of general circulation in the county in which the office of the register is located and by posting a copy of such notice in the office of the register. The notice need not list specific cases but should identify the types of cases and the beginning and ending dates of the cases to be destroyed (e.g. "divorce cases 1923 through 1950"). Before publication, the notice shall be approved by the Administrative Justice of the Probate and Family Court Department. A copy of such notice shall also be sent to the Chief Justice of the Supreme Judicial Court or his designee, and to the Chief Administrative Justice of the Trial Court.

(5) No papers or records shall be destroyed without an order of the Administrative Justice of the Probate and Family Court Department. Such order may be general in nature as provided for the notice in paragraph (4) of Section D of this rule. Before destroying any papers or records, the register shall notify the Administrative Justice of the Probate and Family Court Department of the responses received, if any, as a result of the publication of such notice.

(6) Exceptions from any general description of papers to be destroyed may be made by the register or Administrative Justice of the Probate and Family Court Department at any time.

E. General Provisions.

(1) With the exception of the case papers or records which must be retained pursuant to Section E(2) of this rule, all case papers or records subject to this rule may be destroyed after final disposition of the case if an approved process of microimaging the case papers or records has been completed. The process of microimaging, the storage of the microimages, and the destruction of papers and records shall be in accordance with procedures established by the Administrative Justice of the Department and approved by the Chief Administrative Justice of the Trial Court. All microform copies must be consistent with the "Standards and Procedures for the Production of Microform Copies of Court Records" established pursuant to the order of the Supreme Judicial Court of July 28, 1987.

(2) All case papers and records in the following categories must be retained in their original form even if microform copies are available:

(a) All docket books and extended records;

(b) All records, except probate records, prior to 1860;

(c) Probate records listed in Section D(3) of this rule.

(3) Transcripts of proceedings may be destroyed two years after the final disposition of the case; provided, however, that if the case was decided by the Supreme Judicial Court, the transcript, or a microform copy of the transcript, shall be permanently retained.

(4) Irrespective of any other provision of this rule, upon final disposition of a case any excess papers, such as transmittal letters and duplicate copies, may be destroyed. The process of disposing of excess papers shall be within the discretion of the clerk, register, or recorder, as appropriate.

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1:12. RULE RELATIVE TO THE DISPOSAL OF STENOGRAPHIC NOTES OF TESTIMONY TAKEN IN THE COURTS OF THE COMMONWEALTH.

G. L. c. 221, § 27A, as amended.

Stenographic notes of testimony made in any court of the Commonwealth in accordance with any provisions of law may be destroyed by the lawful custodian thereof after the expiration of six years from the date when such notes were taken; provided, however, that this rule shall not apply to notes of which a transcript shall have been ordered and not completed, or to notes as to which the court in which they were taken shall otherwise order.

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1:13. TIME FOR REPORT OF MATERIAL FACTS IN THE PROBATE AND FAMILY COURT DEPARTMENT FOR CASES UNDER G. L. c. 215, § 11.

When, in accordance with G. L. c. 215, § 11, a judge of a division of the Probate and Family Court Department has been requested to report the material facts found by him, he shall report such facts within thirty days after the request is made.

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1:14. INTEREST ON PECUNIARY LEGACIES AND TRUST DISTRIBUTIONS UNDER G. L. c. 197, § 20.

(1) Unless otherwise provided in the will or trust instrument, the rate of interest upon pecuniary legacies or pecuniary distributions under a trust instrument to which the provisions of General Laws Chapter 197, Section 20 are applicable shall be eight percent per annum.

(2) The rate of interest provided for by this rule shall be applied in computing interest which becomes payable on or after the effective date of this rule. In a case where interest becomes payable prior to the effective date of this rule and the pecuniary legacy or pecuniary trust distribution remains unpaid on such date, interest shall be computed up to such date at four percent and shall be computed from and after such date at the rate provided for by this rule.

(3) This rule shall take effect on July 1, 1980.

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1:15. IMPOUNDMENT PROCEDURE.

(Applicable to the Supreme Judicial Court and Appeals Court.)

Section 1. Requests for Impoundment in Appellate Courts.

Requests for impoundment in proceedings in the Supreme Judicial Court and the Appeals Court shall be governed by the provisions of Trial Court Rule VIII with the following exceptions: This rule, and Trial Court Rule VIII when used in conjunction with this rule, shall govern impoundment in both civil and criminal proceedings. The term "clerk" shall mean the Clerk of the Supreme Judicial Court for the Commonwealth, the Clerk of the Supreme Judicial Court for Suffolk County, the Clerk of the Appeals Court and their assistants. Hearings, if any, on requests under this rule shall be scheduled by the court.

Section 2. Maintaining Confidentiality of Impounded Material in Cases on Appeal.

(a) Duties of Trial Court Clerks. When an appeal has been taken in a case in which material has been impounded, the clerk of the trial court shall notify the clerk of the appellate court, in writing, at the time of the transmission of the record that material was impounded by the trial court. Such notification shall specify those papers, documents or exhibits, or portions thereof, which were impounded below and shall include a copy of the order of impoundment, if any, or a reference to other authority for the impoundment.

(b) Duties of Appellate Court Clerk. Unless otherwise ordered by the appellate court, or otherwise provided in the trial court order of impoundment, material impounded in the trial court shall remain impounded in the appellate court. The clerk shall keep all impounded material separate from other papers in the case and unavailable for public inspection. Such impounded material shall be available to the court, the attorneys of record, the parties to the case and the clerk, unless otherwise ordered by the court.

(c) Duties of the Parties. When an appeal has been taken in a case in which material has been impounded, the parties shall protect the confidentiality of the impounded material. Unless it is necessary to do so, the parties shall not include impounded information in briefs and appendices filed with the court. During oral argument in public sessions the parties shall not disclose impounded material, provided that in cases where such disclosure is necessary the parties shall notify the clerk in advance and shall, in appropriate cases, make such disclosures in a manner which protects the confidentiality of the parties.

If material filed with the court contains impounded information, the parties shall so notify the clerk and shall identify the impounded material, which shall be unavailable for public inspection.

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Section 1. Confidentiality.

Except as provided in Section 2 of this rule, any written, recorded, or oral data, information and materials received or developed under a judicial performance enhancement program shall be confidential and shall not be disclosed. The identity of individuals who furnish information concerning judges under a program shall be confidential and shall not be disclosed.

Section 2. Disclosure.

(a) Information concerning an individual judge may be disclosed to that judge, to that judge's chief justice or administrative justice, to the Chief Administrative Justice, and to the judges supervising the judicial performance enhancement program, provided that it is presented in a manner that will not disclose the identity of any person furnishing any information.

(b) From time to time, the Supreme Judicial Court, or the supervisory committee may issue public statements or reports describing the judicial performance enhancement programs and the procedures used in such programs, and summarizing information compiled under such programs, provided that such statements and reports shall not identify, directly or indirectly, any individual judge or any person who furnished information concerning a judge or judges under a program.

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(1) Subpoenas to compel the testimony of a justice or clerk or assistant clerk of the Supreme Judicial Court or Appeals Court shall be governed by the provisions of Rule 1 of Trial Court Rule IX.

(2) Subpoenas to compel the production of court records or administrative records of a clerk, assistant clerk or other official keeper of records in the Supreme Judicial Court or Appeals Court shall be governed by the provisions of Rule 2 of Trial Rule IX.

(3) For purposes of this rule, the term "justice," as used in Trial Court Rule IX, shall mean a judge of the Supreme Judicial Court or Appeals Court; the terms "magistrate" or "clerk-magistrate," as used in Trial Court Rule IX, shall mean the Clerk of the Supreme Judicial Court for the Commonwealth, the Clerk of the Supreme Judicial Court for Suffolk County, the Clerk of the Appeals Court, and their employees.

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RULE 1. (a) Scope, Applicability and Purpose of Rules. These rules govern court-connected dispute resolution services provided in civil and criminal cases in every department of the Trial Court. The Ethical Standards in Rule 9 also apply to neutrals who provide court-connected dispute resolution services in the Supreme Judicial Court and the Appeals Court. The purpose of the rules is to increase access to court-connected dispute resolution services, to ensure that these services meet standards of quality and procedural fairness, and to foster innovation in the delivery of these services. The rules shall be construed so as to secure those ends. To the extent that there is any conflict between these rules and the Massachusetts Rules of Civil Procedure, the Massachusetts Rules of Criminal Procedure, the Massachusetts Rules of Appellate Procedure, the Massachusetts Rules of Domestic Relations Procedure, the Juvenile Court Rules, the Standards and Forms For Probation Offices of the Probate and Family Court Department (hereinafter the "Probation Standards") promulgated by the Office of the Commissioner of Probation effective July 1, 1994, or the Rules of the Supreme Judicial Court and the Appeals Court, then the Massachusetts Rules of Civil, Criminal, Appellate, and Domestic Relations Procedure, the Juvenile Court Rules, the Probation Standards, or the Supreme Judicial Court and Appeals Court rules shall control. The Supreme Judicial Court, the Appeals Court, the Chief Justice for Administration and Management, and each Trial Court department may adopt additional rules or administrative procedures to supplement these rules, provided that they are consistent with these rules.

(b) Guiding Principles. The interpretation of these rules shall be guided by the following principles:

(i) Quality. The judiciary, collaborating with others experienced in dispute resolution, is responsible for assuring the high quality of the dispute resolution services to which it refers the public.

(ii) Integrity. Dispute resolution services should be provided in accordance with ethical standards and with the best interest of the disputants as the paramount criterion.

(iii) Accessibility. Dispute resolution services should be available to all members of the public regardless of their ability to pay.

(iv) Informed choice of process and provider. Wherever appropriate, people should be given a choice of dispute resolution processes and providers and information upon which to base the choice.

(v) Self-determination. Wherever appropriate, people should be allowed to decide upon the issues to be discussed during a dispute resolution process, and to decide the terms of their agreements.

(vi) Timely services. Dispute resolution services, to be most effective, should be available early in the course of a dispute.

(vii) Diversity. The policies, procedures and providers of dispute resolution services should reflect the diverse needs and background of the public.

(viii) Qualification of neutrals. Dispute resolution services should be performed only by qualified neutrals. There are many ways in which a neutral may become competent, and there are many ways to determine qualifications of neutrals, such as assessing performance and considering a neutral's education, training, experience and subject matter expertise.

RULE 2. DEFINITIONS. As used in these rules, the following terms shall have the following meanings:

"Arbitration" means a process in which a neutral renders a binding or non-binding decision after hearing arguments and reviewing evidence.

"Case evaluation" means a process in which the parties or their attorneys present a summary of their cases to a neutral who renders a non-binding opinion of the settlement value of the case and/or a non-binding prediction of the likely outcome if the case is adjudicated.

"Clerk" means the clerk, clerk-magistrate, recorder, or register of a court, or a designated assistant clerk-magistrate, assistant recorder or assistant register of probate.

"Community mediation program" means a non-profit, charitable program whose goals are to promote the use of mediation and related conflict resolution services by volunteers to resolve disputes including those that come to, or might otherwise come to, the courts.

"Conciliation" means a process in which a neutral assists parties to settle a case by clarifying the issues and assessing the strengths and weaknesses of each side of the case, and, if the case is not settled, explores the steps which remain to prepare the case for trial.

"Court" means the Land Court, the Boston Municipal Court, or a division of the District Court, the Superior Court, the Probate and Family Court, the Housing Court or the Juvenile Court. The provisions of these rules addressed to courts shall apply to judges, clerks, probation officers and other employees of these courts. For the purposes of Rule 9, "court" also includes the appellate courts.

"Court-connected dispute resolution services" means dispute resolution services provided as the result of a referral by a court. "To refer," for purposes of this definition, means to provide a party to a case with the name of one or more dispute resolution services providers or to direct a party to a particular dispute resolution service provider.

"Dispute intervention" means a process used in the Probate and Family Court and in the Housing Court in which a neutral identifies the areas of dispute between the parties, and assists in the resolution of differences.

"Dispute resolution service" means any process in which an impartial third party is engaged to assist in the process of settling a case or otherwise disposing of a case without a trial, including arbitration, mediation, case evaluation, conciliation, dispute intervention, early neutral evaluation, mini-trial, summary jury trial, any combination of these processes, and any comparable process determined by the Chief Justice for Administration and Management of the Trial Court or the Supreme Judicial Court to be subject to these rules. The term "dispute resolution service" does not include a pretrial conference, an early intervention event, a screening, a trial, or an investigation.

"Early intervention" means a compulsory, judicially supervised event, early in the life of a case, with multiple objectives relating to both scheduling of litigation and selection of dispute resolution services.

"Early neutral evaluation" means case evaluation which occurs early in the life of a dispute.

"Immediate family" means the individual's spouse, domestic partner, guardian, ward, parents, children, and siblings.

"Mediation" means a voluntary, confidential process in which a neutral is invited or accepted by disputing parties to assist them in identifying and discussing issues of mutual concern, exploring various solutions, and developing a settlement mutually acceptable to the disputing parties.

"Mini-trial" means a two-step process to facilitate settlement in which (a) the parties' attorneys present a summary of the evidence and arguments they expect to offer at trial to a neutral in the presence of individuals with decision-making authority for each party, and (b) the individuals with decision-making authority meet with or without the neutral to discuss settlement of the case.

"Neutral" means an individual engaged as an impartial third party to provide dispute resolution services and includes but is not limited to a mediator, an arbitrator, a case evaluator, and a conciliator. "Neutral" also includes a master, clerk, clerk-magistrate, register, recorder, family service officer, housing specialist, probation officer, and any other court employee when that individual is engaged as an impartial third party to provide dispute resolution services. For purposes of Rule 9, "neutral" also means an administrator of a program providing court-connected dispute resolution services.

"Program" means an organization with which neutrals are affiliated, through membership on a roster or a similar relationship, which administers, provides and monitors dispute resolution services. A program may be operated by a court employee or by an organization independent of the court, including a corporation or a governmental agency. A program operated by a court employee may include one or more court employees or non-employees or a combination of court employees and non-employees on its roster.

"Provider" or "provider of dispute resolution services" means a program which provides dispute resolution services or a neutral who provides dispute resolution services.

"Screening" means an orientation session in which parties to a case and/or their attorneys receive information about dispute resolution services. The case is reviewed to determine whether referral to a dispute resolution service is appropriate, and, if so, to which one. In a screening, there may also be discussion to narrow the issues in the case, to set discovery parameters, or to address other case management issues.

"Summary jury trial" means a non-binding determination administered by the court in which (a) the parties' attorneys present a summary of the evidence and arguments they expect to offer at trial to a six-person jury chosen from the court's jury pool, (b) the jury deliberates and returns a non-binding decision on the issues in dispute, (c) the attorneys may discuss with the jurors their reaction to the evidence and reasons for the verdict, and (d) the presiding neutral may be available to conduct a mediation with the parties.

RULE 3. ADMINISTRATIVE STRUCTURE FOR COURT-CONNECTED DISPUTE RESOLUTION SERVICES.

(a) Appointment of Standing Committee on Dispute Resolution. There shall be a Standing Committee on Dispute Resolution consisting of up to twenty persons appointed by the Chief Justice for Administration and Management in consultation with the Chief Justices of the Trial Court departments. Each department of the Trial Court shall be represented on the standing committee. Members shall be appointed for three year terms and may be reappointed for additional terms when their terms expire. The Standing Committee shall be composed of: judges; other court personnel; attorneys; members of the public; academics; and providers of dispute resolution services. In order to achieve diversity in the membership of the Standing Committee, the Supreme Judicial Court shall make funds available for expenses associated with participation in the Committee.

(b) Duties of Standing Committee on Dispute Resolution. The Standing Committee shall advise the Chief Justice for Administration and Management of the Trial Court with respect to standards for court-connected dispute resolution services and the implementation and oversight of court-connected dispute resolution services throughout the Trial Court. The Standing Committee shall work to ensure access to court-connected dispute resolution services, to ensure the quality of the services, and to foster innovation in the delivery of the services.

(c) Trial Court Departments. The Chief Justice of each Trial Court department may appoint an advisory committee on that department's court-connected dispute resolution services composed of judges, other court personnel, attorneys, academics, members of the public, and providers of dispute resolution services, including representatives of community mediation programs where they provide services to that court department. In order to achieve diversity in the membership of an advisory committee, the court shall attempt to make funds available for expenses associated with participation in the committee. An advisory committee shall function so as to avoid conflict of interest or the appearance of conflict of interest. Each such Chief Justice may designate an employee as the department coordinator of court-connected dispute resolution services. Every Trial Court chief justice who approves dispute resolution programs pursuant to Rule 4(a) shall develop written policies and procedures governing program operations and record-keeping that will enable evaluation of the program.

(d) Local Dispute Resolution Services Coordinator. The First Justice or the justice with administrative supervision of each court or division within every Trial Court department shall designate one court staff member as the dispute resolution services coordinator for that court or division. By agreement of affected First Justices, one person may be designated as dispute resolution services coordinator for divisions or courts in more than one department which are located in the same or a nearby building. The dispute resolution services coordinator shall maintain information about court-connected dispute resolution services and assist the public in making informed choices about the use of those services. The coordinator, in collaboration with the program or programs to which the court division refers cases, shall develop a system to record and compile data as required by Rule 6(g).

(e) Technical Assistance for Implementation of Dispute Resolution Services. The Chief Justice for Administration and Management shall, subject to appropriation, provide advice and consultation to Trial Court departments, courts, advisory committees and designated dispute resolution staff to assist in developing and operating court-connected dispute resolution services in accordance with the rules.

RULE 4. IMPLEMENTATION OF COURT-CONNECTED DISPUTE RESOLUTION.

(a) Development of List of Approved Programs. (i) The Chief Justice of each Trial Court department, subject to review for compliance by the Chief Justice for Administration and Management, shall approve programs to receive court referrals in accordance with these rules. In order to be approved, programs must: agree to meet the operations standards in Rule 7; agree to ensure that the neutrals on their roster who provide court-connected dispute resolution services meet the qualifications standards in Rule 8; and agree to ensure that the neutrals on their roster follow the ethical standards in Rule 9 when providing court-connected dispute resolution services. The list of approved programs shall be developed and maintained through an open process which includes at least the following: advertisement of the opportunity to apply to be on the list; fair assessment of programs; efforts to ensure diversity among neutrals as to race, gender, ethnicity, experience, and training; policies about the length and termination of participation on the list; and procedures for removing a program from the list for cause and/or as a result of a complaint filed pursuant to Rule 4(f).

(ii) The Chief Justice for Administration and Management shall distribute a combined list of the programs approved pursuant to subparagraph (i). The list shall include information as to each program regarding geographic region, fees, and dispute resolution processes; and information as to each program's expertise, including process and subject matter expertise;

(b) Trial Court Department Plans. Each Trial Court department shall develop plans each fiscal year for the use of court-connected dispute resolution services by the courts in the department. The Chief Justice shall develop the plan in consultation with the department advisory committee, the department coordinator of court-connected dispute resolution services, and the courts in the department. Services may be provided only by programs on the list developed pursuant to paragraph (a) of Rule 4. The plan shall set forth information about court-connected dispute resolution services in the department, including at least the following: current status, goals and objectives, plans for the coming year, any plans for collaborating with other departments, a budget request, case selection and screening criteria, plans for early intervention, and needs for education programs. Where appropriate, each portion of the plan shall address: plans with respect to access to dispute resolution services, the quality of the services, and efforts to foster innovation in the delivery of services. Plans shall ensure that court-connected dispute resolution services are available to those who lack the financial resources to pay for the services and those who would not otherwise have access to the services. The plans shall be submitted by September 1 of each year to the Chief Justice for Administration and Management for review and approval.

(c) Pilot Programs for Mandatory Participation in Dispute Resolution Services. Any Trial Court department may propose to the Chief Justice for Administration and Management for review and approval an experimental pilot program which requires parties in civil cases to participate in non-binding forms of dispute resolution services. No Trial Court department shall administer such a pilot program without the approval of the Chief Justice for Administration and Management. Case types not suitable for dispute resolution services should be identified. The pilot program may provide for the mandatory participation of the parties and shall be assessed regularly to control quality. The minimal requirements for mandatory participation shall be as follows:

(i) each party shall be provided with an opportunity to terminate the dispute resolution services, upon motion to the court for good cause shown, but unwillingness to participate shall not be considered good cause;

(ii) the court shall give preference to a dispute resolution process upon which the parties agree;

(iii) the court shall explicitly inform parties that, although they are required to participate, they are not required to settle the case while participating in dispute resolution services; and

(iv) no fees may be charged for mandatory participation in dispute resolution services, but the court may charge fees for elective dispute resolution services.

(d) Funding of Court-connected Dispute Resolution Services. As part of the annual budget requests required by G. L. c. 211B, § 10(viii) and (x), the Chief Justice of each Trial Court department shall include a request for funding for court-connected dispute resolution services. The budget request shall provide for the funding of court-connected dispute resolution services for those parties who lack the financial resources to pay for the services or who would not otherwise have access to the services. Funds may be used for approved programs to provide screening and to provide and/or administer the services. Budget requests shall estimate funds needed to maintain previously funded services provided by approved programs. Additional amounts shall be used for the expansion or improvement of services or for innovative services. Expenditures shall be subject to the approval of the Chief Justice for Administration and Management after consultation with the Standing Committee.

(e) Contracts for Court-connected Dispute Resolution Services.

(i) If public funds are appropriated or otherwise available and allocated by the Chief Justice for Administration and Management of the Trial Court for contracts with court-connected dispute resolution programs, the Chief Justice for Administration and Management, in consultation with First Justices or other justices with administrative responsibility for courts and the Chief Justices of affected departments, shall issue one or more requests for proposals for dispute resolution services to be provided by contracts with approved programs, shall select programs through a competitive bidding process, and shall execute contracts for services on behalf of departments and courts which may extend for no more than three years. These contracts may provide for a program to receive payments approved under paragraph (d) and may provide that a court will refer all or most of its cases requiring dispute resolution services to one or more contracting programs.

(ii) If public funds are not involved, but courts seek an exclusive arrangement with a program or programs for court-connected dispute resolution services, the Chief Justice of the affected department or his or her designee shall, in consultation with the Chief Justice for Administration and Management, issue one or more requests for proposals to be provided by contracts with approved programs, shall select programs through a competitive process, and, with the approval of the Chief Justice for Administration and Management, shall execute contracts for services on behalf of departments and courts which may extend for no more that three years. These contracts may provide that a court will refer all or most of its cases requiring dispute resolution services to one or more contracting programs.

(iii) In selecting programs with which to contract, the Chief Justice for Administration and Management, or the Chief Justice of the department, as applicable, is encouraged to give preference to programs which demonstrate a record of and commitment to maintaining a diverse roster and operating in a manner which is accountable to the community.

(iv) The competitive bidding requirements in this subsection shall not apply to programs in which dispute resolution services are provided exclusively by court employees.

(f) Complaint Mechanism. The Chief Justice for Administration and Management, in consultation with the Chief Justices of the departments and with the advice of the Standing Committee, shall develop a uniform procedure for handling complaints regarding court-connected dispute resolution services.

RULE 5. EARLY NOTICE OF COURT-CONNECTED DISPUTE RESOLUTION SERVICES.

Clerks shall make information about court-connected dispute resolution services available to attorneys and unrepresented parties. This information should state that selection of court-connected dispute resolution services can occur at the early intervention event or sooner, and that no court may compel parties to mediate any aspect of an abuse prevention proceeding under G. L. c. 209A, §3. Insofar as possible, information should be available in the primary language of the parties. Attorneys shall: provide their clients with this information about court-connected dispute resolution services; discuss with their clients the advantages and disadvantages of the various methods of dispute resolution; and certify their compliance with this requirement on the civil cover sheet or its equivalent.

RULE 6. DUTIES OF COURTS WITH RESPECT TO COURT-CONNECTED DISPUTE RESOLUTION SERVICES.

(a) Referral of Cases. No court may refer cases to a provider of dispute resolution services unless the provider is an approved program included on the list developed pursuant to Rule 4(a). In all cases, courts shall inform parties that they are free to choose any approved program on the list, subject to such reasonable limitations as the court may impose, or any other provider of dispute resolution services. If the parties are unable or unwilling to choose a program from the list or another provider, a court may make a referral to a specific program on the list in which the court has confidence, whether or not the court has a contract for services with that program. The court shall make a reasonable effort to distribute such specific referrals fairly among programs on the list, taking into consideration geographic proximity, subject matter competence, special needs of the parties, and fee levels. In the alternative, a court may refer all or most of its cases requiring dispute resolution services to one or more approved programs in which the roster consists exclusively of one or more court employees or with which it has a contract for services pursuant to Rule 4(e). Notwithstanding the foregoing, a court may refer a case to a provider that is not on the list in exceptional circumstances, when special needs of the parties cannot be met by a program on the list. The judge shall report any such referral and the exceptional circumstances which required it to the Chief Justice of the department. In a criminal case, the court shall consult with the prosecuting attorney and obtain the approval of the defendant and, where applicable, the victim, before making a referral to a dispute resolution program.

(b) Screening. In civil cases, courts may require parties and/or their attorneys to attend a screening session or an early intervention event regarding court-connected dispute resolution services except for good cause shown.

(c) Time for Dispute Resolution. A court may establish a deadline for the completion of a court-connected dispute resolution process, which may be extended by the court upon a showing by the parties that continuation of the process is likely to assist in reaching resolution.

(d) Choice. No court shall require parties to participate in dispute resolution services without meeting the minimal requirements set forth in Rule 4(c), except that Probate and Family Courts may require parties to participate in dispute intervention. Except in a case affected by a pilot program under Rule 4(c) or a case involving such a referral to dispute intervention, the court shall inform litigants, both at the time of referral and at the beginning of the dispute resolution process, that the decision to participate in a dispute resolution process is voluntary.

(e) Space for Dispute Resolution Sessions. Courts may, subject to guidelines issued by the Chief Justice for Administration and Management of the Trial Court, provide available courthouse space or other resources for court-connected dispute resolution services provided by approved programs. The space provided shall be sufficiently private and readily accessible. Reasonable accommodation shall be made for disabled individuals.

(f) Communication with Program or Neutral. (i) The court shall give a program which is providing court-connected dispute resolution services sufficient information to process the case effectively.

(ii) The program shall give the court's administrative staff sufficient case-specific and aggregate information to permit monitoring and evaluation of the services.

(iii) Communication with the court during the dispute resolution process shall be conducted only by the parties or with their consent. The parties may agree, as part of the dispute resolution process, as to the scope of the information which they, the program, or the neutral will provide to the court. Absent an agreement of the parties and subject to the provisions of Rule 9 regarding confidentiality and subparagraph (iv) below, the program or neutral may provide only the following information to the court: a request by the parties for additional time to complete dispute resolution, the neutral's assessment that the case is inappropriate for dispute resolution, and the fact that the dispute resolution process has concluded without parties' having reached agreement.

(iv) At the conclusion of conciliation or dispute intervention, the program or neutral may communicate to the court recommendations, a list of those issues which are and are not resolved, and the program's or neutral's assessment that the case will go to trial or settle, provided that the parties are informed at the initiation of the process that such communication may occur.

(g) Data Collection. The court, in collaboration with the approved program or programs to which it refers cases, shall develop a system to record accurately and compile regularly data sufficient to track cases, monitor services, and provide any information required or requested by the applicable Trial Court department chief justice or the Chief Justice for Administration and Management.

(h) Intake and Selection. Every court shall evaluate cases to ensure that they are appropriate for dispute resolution based on the case selection criteria of the applicable department developed pursuant to Rule 4(b).

(i) Inappropriate Pressure to Settle. Courts shall inform parties that, unless otherwise required by law, they are not required to make offers and concessions or to settle in a court-connected dispute resolution process. Courts shall not impose sanctions for nonsettlement by the parties. The court shall give particular attention to the issues presented by unrepresented parties, such as the need for the neutral to memorialize the agreement and the danger of coerced settlement in cases involving an imbalance of power between the parties. In dispute intervention, in cases in which one or more of the parties is not represented by counsel, a neutral has a responsibility, while maintaining impartiality, to raise questions for the parties to consider as to whether they have the information needed to reach a fair and fully informed settlement of the case.

(j) Sanctions for Failure to Attend Sessions. A court may impose sanctions for failure without good cause to attend a mandatory screening session, an early intervention event, or a scheduled dispute resolution session.

RULE 7. DUTIES OF APPROVED PROGRAMS WITH RESPECT TO COURT-CONNECTED DISPUTE RESOLUTION SERVICES.

(a) Program Administration. Programs shall be monitored and evaluated on a regular basis. Settlement rates shall not be the sole criterion for evaluation. Every program shall evaluate its neutrals on a regular basis. Every program shall develop and comply with written policies and procedures governing program administration and operations, including policies regarding evaluation, facilities, communication with the court, data collection, pressure to settle, and intake and selection, which are consistent with policies developed by Trial Court departments pursuant to Rule 3(c) and with Rules 4(a) and 6(a), (e), (f), (g), (h) and (i). A program may refuse to accept a referral from a court if the case does not meet the program's intake and selection criteria.

(b) Diversity. Programs shall be designed with knowledge of and sensitivity to the diversity of the communities served. The design shall take into consideration such factors as the languages, dispute resolution styles, and ethnic traditions of communities likely to use the services. Programs shall not discriminate against staff, neutrals, volunteers, or clients on the basis of race, color, sex, age, religion, national origin, disability, political beliefs or sexual orientation. Programs shall actively strive to achieve diversity among staff, neutrals, and volunteers.

(c) Rosters. Programs shall (i) assemble, maintain and administer rosters of qualified neutrals in conformity with these rules; (ii) except in the case of programs in which the roster consists exclusively of court employees, make a reasonable effort to distribute referrals fairly among individuals on the list, taking into consideration geographic proximity, subject matter competence, special needs of the parties, scheduling, and fee levels; (iii) adopt a fair and reasonable method by which qualified individuals may join the roster at its inception, when vacancies occur, or when the caseload requires additional neutrals; and (iv) adopt a fair and reasonable method by which individuals may be removed from the roster, including a provision for a periodic review of the roster. The methods used by the program for adding and removing neutrals shall be set forth in writing and made available to individuals applying for affiliation.

(d) Presence of Advisers. Parties, in consultation with their attorneys, if any, shall be permitted to decide whether their attorney, advocate or other adviser will be present at court-connected dispute resolution sessions.

(e) Fees. Programs may charge fees for service. Parties shall not be charged a fee for attendance at a mandatory screening session or an early intervention event, or for dispute resolution services provided by court employees. Fees charged by a provider of court-connected dispute resolution services shall be approved by the Chief Justice of the applicable court department. The fee schedule shall provide for fee waived or reduced fee services to be made available to indigent and low income litigants. Fees may not be contingent upon the result of the dispute resolution process or the amount of the settlement. Neutrals may assist parties to negotiate an equitable allocation of fees.

(f) Dispute Resolution Sessions. The program shall make reasonable efforts to schedule dispute resolution sessions at the convenience of the parties. The program shall allow adequate time in the dispute resolution session to discuss issues and reach settlement.

(g) Written Agreement. If a settlement is reached, the agreement shall be prepared in writing and signed by the parties, who shall forward for docketing a notice of the disposition of the case to the clerk of the court in which the case is pending. The neutral may participate in the preparation of the written agreement. At the parties' request, the court may allow an oral agreement instead of a written one.

(h) Orientation and Supervision of Neutrals. The program shall ensure that neutrals are familiar with the policies and operations of the court and the program. The program shall supervise its neutrals. During dispute resolution sessions, newly trained neutrals shall have immediate access to an experienced neutral.

(i) Enforcement of Qualifications Standards and Ethical Standards. Each approved program shall be responsible for enforcing the qualifications standards in Rule 8 and the ethical standards in Rule 9, and for taking appropriate action if a neutral on its roster fails or ceases to meet the qualifications standards or violates the ethical standards. Appropriate actions include referral for further training, suspension from the roster, or removal from the roster. If the Chief Justice of a Trial Court Department directs a program to take such action as a result of a complaint about the neutral and the program refuses to act, the Chief Justice may revoke the program's status as a program approved to receive referrals from that department.

(i) Enforcement of Qualifications Standards and Ethical Standards. Each approved program shall be responsible for enforcing the qualifications standards in Rule 8 and the ethical standards in Rule 9, and for taking appropriate action if a neutral on its roster fails or ceases to meet the qualifications standards or violates the ethical standards. Appropriate actions include referral for further training, suspension from the roster, or removal from the roster. If the Chief Justice of a Trial Court Department directs a program to take such action as a result of a complaint about the neutral and the program refuses to act, the Chief Justice may revoke the program's status as a program approved to receive referrals from that department.

RULE 8. QUALIFICATIONS STANDARDS FOR NEUTRALS.

(a) Purpose and applicability. The purpose of setting qualifications standards for neutrals who receive court referrals is to foster high quality dispute resolution services. This rule shall apply to neutrals who provide mediation, arbitration, conciliation, case evaluation, dispute intervention, mini-trials or summary jury trials in court-connected programs.

(b) General Provisions.

(i) General Qualifications Requirements. To be qualified to provide dispute resolution services for cases referred by a court to an approved program, a neutral shall satisfy the requirements specified in this rule for the particular process which he or she provides unless exempted pursuant to Rule 8(k). A neutral may meet one or all of these requirements using the alternative method, if any, specified for the particular process, pursuant to Rule 8(j). To remain qualified, neutrals shall satisfy the continuing education and continuing evaluation requirements, if any, specified in this rule for the particular process.

(ii) Additional Qualifications. Trial Court Departments may establish additional qualifications for neutrals in approved programs in addition to those set forth in this rule provided they are consistent with these rules. In establishing such additional standards, court departments may provide for consideration of such factors as an individual's experience as a neutral, educational background, work experience, or subject matter expertise, and may also require such neutrals to complete specialized training or demonstrate subject matter expertise. Academic degrees and professional licensure may be among the factors considered but cannot be used as preclusive criteria by court departments in establishing additional qualifications for mediators or arbitrators participating in approved programs.

(iii) Competence. In qualifying mediators and arbitrators to handle court referrals, approved programs may consider such factors as an individual's experience as a mediator or arbitrator, educational background, work experience and subject matter expertise. Academic degrees and professional licensure may be among the factors considered but cannot be used as preclusive criteria by approved programs in qualifying mediators and arbitrators for inclusion in court panels. Academic degrees and professional licensure may be used as preclusive criteria for qualifying conciliators, case evaluators, mini-trial neutrals and summary jury trial neutrals.

(iv) Duties of the Chief Justice for Administration and Management. The Chief Justice for Administration and Management (CJAM) shall oversee and monitor the implementation of this rule, and suggest changes as needed. The CJAM shall, in consultation with the Standing Committee, develop guidelines for implementing the provisions of this rule. The CJAM shall collect, publish and distribute to approved programs any changes in the guidelines, and shall maintain the annual certifications submitted by approved programs as to the training, evaluation, mentoring and continuing education of neutrals.

(v) Duties of Approved Programs. Each approved program shall ensure that the neutrals on its roster meet the applicable training, mentoring, evaluation, continuing education, continuing evaluation, professional and experience requirements set forth in this rule and the guidelines adopted pursuant to Rule 8(b)(iv), and any additional qualification requirements adopted by a Trial Court Department. Each approved program shall ensure that the neutrals meet the standards set forth in the rule and guidelines, that any alternative method relied upon by a neutral to meet the standards is in compliance with Rule 8(j) and the guidelines, and that reliance upon the limited exemption is in compliance with Rule 8(k). To carry out these duties, each program shall take the following specific actions:

(a) Attest in its application for program approval that it will assign cases referred by a court only to neutrals who meet the qualifications standards;

(b) Maintain for the tenure of the neutral's association with the program, and for three years thereafter, documentation which demonstrates that the neutral meets the qualifications standards. Such documentation shall include, without limitation, the following:

(i) Name of the neutral;

(ii) Name of the training organization where the neutral satisfactorily completed any required training (or documentation of the neutral's compliance with the alternative method of meeting any training requirement pursuant to Rule 8(j));

(iii) Outcome of any required mentoring and evaluation for each neutral (or documentation of the neutral's compliance with the alternative method of meeting any evaluation requirement pursuant to Rule 8(j));

(iv) Documentation of the neutral's participation in any required continuing education and in any required continuing evaluation;

(v) Documentation demonstrating that the neutral meets any applicable requirements as to professional licensure, experience or subject matter expertise; and

(vi) Documentation demonstrating that the neutral qualifies for the limited exemption set forth in Rule 8(k).

(c) Certify annually to the AOTC that the neutrals on its roster meet the requirements for training, mentoring and evaluation, and continuing education set forth in this rule and the guidelines.

(d) Make the documentation demonstrating a neutral's qualification and the documentation demonstrating the program's compliance with the rules and the guidelines available to the AOTC and to the Chief Justices of the Trial Court Departments for inspection and copying upon request.

(c) Mediators.

(i) Training Requirement. A mediator shall successfully complete a basic mediation training course of at least thirty hours and a court orientation, both of which comply with the guidelines adopted pursuant to Rule 8(b)(iv). A mediator shall also complete any additional, specialized training required by a Trial Court Department.

(ii) Mentoring and Evaluation Requirement. A mediator shall complete the mentoring and evaluation requirements contained in the Guidelines adopted pursuant to Rule 8(b)(iv).

(iii) Continuing Education. A mediator shall participate in any continuing education required by the approved program with which he or she is affiliated or by the court department in which he or she is providing services.

(iv) Continuing Evaluation. A mediator shall participate in regular evaluation as required by Rule 7.

(d) Arbitrators.

(i) Training Requirement. An arbitrator shall successfully complete a basic arbitration training course of at least eight hours and a court orientation, both of which comply with the guidelines adopted pursuant to Rule 8 (b)(iv). An arbitrator shall also complete any additional, specialized training required by a Trial Court Department.

(ii) Mentoring and Evaluation Requirement. An arbitrator shall complete the mentoring and evaluation requirements contained in the guidelines adopted pursuant to Rule 8(b)(iv).

(iii) Continuing Education. An arbitrator shall participate in any continuing education required by the approved program with which he or she is affiliated or by the court department in which he or she is providing services.

(iv) Continuing Evaluation. An arbitrator shall participate in regular evaluation as required by Rule 7.

(e) Conciliators.

(i) Professional Qualifications. A conciliator must be admitted to the bar of the Commonwealth of Massachusetts, be in good standing with the Board of Bar Overseers, and have engaged in the practice of law within the Commonwealth of Massachusetts for at least three years.

(ii) Training Requirement. A conciliator shall successfully complete a conciliation training course of at least eight hours and a court orientation, both of which comply with the guidelines adopted pursuant to Rule 8(b)(iv). A conciliator shall also complete any additional, specialized training required by a trial court department.

(iii) Mentoring and Evaluation Requirement. A conciliator shall, if required to do so at the discretion of the approved program with which he or she is affiliated, complete the mentoring and evaluation requirements of that program contained in the guidelines adopted pursuant to Rule 8(b)(iv).

(iv) Continuing Education. A conciliator shall participate in any continuing education required by the approved program with which he or she is affiliated or by the court department in which he or she is providing services.

(v) Continuing Evaluation. A conciliator shall participate in regular evaluation as required by Rule 7.

(f) Case Evaluators.

(i) Professional Qualifications. A case evaluator must be admitted to the bar of the Commonwealth of Massachusetts, be in good standing with the Board of Bar Overseers, and must have seven years of trial experience within the Commonwealth of Massachusetts as an attorney or judge.

(ii) Training Requirement. A case evaluator shall successfully complete a basic case evaluation training of at least eight hours and a court orientation, both of which comply with the guidelines adopted pursuant to Rule 8(b)(iv). A case evaluator shall also complete any additional, specialized training required by a Trial Court Department for case evaluators.

(iii) Mentoring and Evaluation Requirement. A case evaluator shall complete the mentoring and evaluation requirements contained in the guidelines adopted pursuant to Rule 8(b)(iv).

(iv) Continuing Education. A case evaluator shall participate in any continuing education required by the approved program with which he or she is affiliated or by the court department in which he or she is providing services.

(v) Continuing Evaluation. A case evaluator shall participate in regular evaluation as required by Rule 7.

(g) Mini-Trial Neutrals.

(i) Professional Qualifications. A mini-trial neutral shall have at least ten years experience evaluating legal disputes as a judge, arbitrator, attorney, or executive level decision-maker.

(ii) Training Requirements. A mini-trial neutral shall successfully complete the training required for mediators in Rule 8(c)(i), and the training required for case evaluators in Rule 8(f)(ii).

(iii) Mentoring and Evaluation Requirement. A mini-trial neutral shall complete the mentoring and evaluation requirements contained in the guidelines adopted pursuant to Rule 8(b)(iv).

(iv) Continuing Education. A mini-trial neutral shall participate in any continuing education required by the approved program with which he or she is affiliated or by the court department in which he or she is providing services.

(v) Continuing Evaluation. A mini-trial neutral shall participate in regular evaluation as required by Rule 7.

(h) Summary Jury Trial Neutrals.

(i) Professional Qualifications. A summary jury trial neutral shall be an arbitrator qualified under this rule, an attorney, or a former judge, with at least ten years of experience as an arbitrator, trial attorney, or judge. The summary jury trial neutral must be in good standing in any jurisdiction in which he or she is licensed to practice law.

(ii) Continuing Education. A summary jury trial neutral shall participate in any continuing education required by the approved program with which he or she is affiliated or by the court department in which he or she is providing services.

(iii) Continuing Evaluation. A summary jury trial neutral shall participate in regular evaluation as required by Rule 7.

(i) Dispute Intervention Neutrals.

(i) Training Requirement. A provider of dispute intervention services shall successfully complete a training course and a court orientation, both of which comply with the guidelines adopted pursuant to Rule 8(b)(iv). A provider of dispute resolution services shall also complete any additional specialized training required by the Trial Court Department in which he or she is providing dispute intervention services.

(ii) Mentoring and Evaluation Requirement. A provider of dispute intervention services shall complete the mentoring and evaluation requirements set forth in the guidelines adopted pursuant to Rule 8(b)(iv).

(iii) Continuing Education. A provider of dispute resolution services shall participate in any continuing education required by the approved program with which he or she is affiliated or by the court department in which he or she is providing services.

(iv) Continuing Evaluation. A provider of dispute resolution services shall participate in regular evaluation as may be required by the relevant Trial Court Department.

(j) Alternative Methods of Satisfying Requirements. A neutral may be qualified by a program to handle cases referred by a court by demonstrating that he or she meets the alternative methods set forth in the guidelines of satisfying the training, mentoring and evaluation requirements set forth in this rule and the guidelines. Programs that seek to qualify neutrals through the alternative methods provision are required to compile necessary documentation pursuant to Rule 8(b)(v) and applicable guidelines.

(k) Limited Exemption from Training, Mentoring and Evaluation Requirements. As a general rule, all neutrals in approved programs shall satisfy the training, mentoring and evaluation requirements set forth in Rule 8. However, the Chief Justice of any Trial Court Department may elect, as a one-time exception to this rule, to exempt mediators, arbitrators, case evaluators, and conciliators from those requirements, subject to the provisions set forth below. The Chief Justice for Administration and Management shall establish a process for notification and a deadline for submission by departmental Chief Justices of their decision to utilize the exemption, and for programs to apply for the exemption.

(i) One Time Exemption of Certain Neutrals. This exemption will be a one-time option available only to those mediators, arbitrators, case evaluators and conciliators who meet the requirements set forth in Rule 8(k). No other neutral shall be exempted from the training, mentoring or evaluation requirements of Rule 8.

(ii) Designation of Neutrals. Each program approved on or before July 1, 2002, by a Department in which this exemption is available pursuant to this Rule and which continues as an approved program on the date on which Rule 8 becomes effective shall submit to the Chief Justice of that Department pursuant to the process established by the Chief Justice for Administration and Management, a list of any mediators, arbitrators, case evaluators and conciliators who qualify for the exemption. The program shall include a complete and detailed description of the qualifications of each such mediator, arbitrator, case evaluator or conciliator as evidence of his or her eligibility.

(iii) Requirements for Exemption. A program may consider a neutral eligible for this exemption only if he or she was serving as of July 1, 2002, on a panel of a program approved on or before that date which continues as an approved program on the date on which Rule 8 becomes effective. In addition, a program shall consider the neutral's overall experience and other factors under Rule 8 ( e.g. prior training, mentoring, evaluation, the recency of his or her experience and the number and types of cases handled). An eligible individual must have served in the process for which he or she is seeking exemption for five years during the last six years prior to July 1, 2002, and meet the following additional requirement:

(a) Mediators. Must have provided at least 300 hours of mediation during that period.

(b) Arbitrators. Must have provided at least 150 hours of arbitration during that period.

(c) Case Evaluators. Must have provided at least 100 hours of case evaluation during that period.

(d) Conciliators. Must have provided at least 100 hours of conciliation during that period.

(iv) Transferability of Exemption. A mediator, arbitrator, case evaluator or conciliator who qualifies for this exemption in a Trial Court Department shall be qualified to provide services in the process in which he or she is exempted in another approved program within that Department subject to the approval of the other program. A mediator, arbitrator, case evaluator or conciliator who seeks exemption in another Department must meet the exemption through a program approved in that other Department.

(v) Limitations on Exemption. This provision does not exempt any mediator, arbitrator, case evaluator or conciliator from complying with the continuing education and continuing evaluation requirements of Rule 8.

(l) Effective Date. The effective date of this rule shall be January 1, 2005, except that to be qualified to provide dispute intervention, individuals employed by the courts on the effective date of this rule shall have until January 1, 2007 to demonstrate compliance with the requirements set forth in this rule. Employees hired to provide dispute intervention after the effective date of this rule must satisfy all the requirements of this rule within thirty-six (36) months of the date of hire.

RULE 9. ETHICAL STANDARDS.

(a) Introduction. These Ethical Standards are designed to promote honesty, integrity and impartiality by all neutrals and other individuals involved in providing court-connected dispute resolution services. These standards seek to assure the courts and citizens of the Commonwealth that such services are of the highest quality, and to promote confidence in these dispute resolution services. In addition, these standards are intended as a foundation on which appellate courts and Trial Court departments can build their dispute resolution policies, programs and procedures to best serve the public. These Standards apply to all neutrals as defined in these Standards when they are providing court-connected dispute resolution services for the Trial Court and the appellate courts, including those who are state or other public employees. State and other public employees are subject to the Massachusetts Conflict of Interest Law, G. L. c. 268A, and therefore, to the extent that these standards are in any manner inconsistent with G. L. c. 268A, the statute shall govern. In addition, to the extent that these standards are in any manner inconsistent with the Standards and Forms For Probation Offices of the Probate and Family Court Department promulgated by the Office of the Commissioner of Probation effective July 1, 1994, the Probation Standards shall govern. All courts providing dispute resolution services and all court-connected dispute resolution programs shall provide the n