(Supreme Judicial
Court Rule 3:09)
CANON 1
A Judge Should Uphold the Integrity
and Independence of the Judiciary
An independent and honorable judiciary
is indispensable to justice in our
society. A judge should participate
in establishing, maintaining, and
enforcing, and should himself observe,
high standards of conduct so that
the integrity and independence of
the judiciary may be preserved. The
provisions of this Code should be
construed and applied to further that
objective without any limitation upon
the Supreme Judicial Court in the
exercise of its power of general superintendence,
whether statutory or inherent, in
areas not delineated in the Code.
CANON 2
A Judge Should Avoid Impropriety and
the Appearance of Impropriety in All
His Activities
(A) A judge should respect and comply
with the law and should conduct himself
at all times in a manner that promotes
public confidence in the integrity
and impartiality of the judiciary.
(B) A judge should not allow his family,
social, or other relationships to
influence his judicial conduct or
judgment. He should not lend the prestige
of his office to advance the private
interests of others; nor should he
convey or permit others to convey
the impression that they are in a
special position to influence him.
He should not testify voluntarily
as a character witness.
(C) A judge shall not hold membership
in any organization that practices
invidious discrimination on the basis
of race, sex, religion, or national
origin. Amended effective Jan. 1,
1992.
CANON 3
A Judge Should Perform the Duties
of His Office Impartially and Diligently
The judicial duties of a judge take
precedence over all his other activities.
His judicial duties include all the
duties of his office prescribed by
law. In the performance of these duties,
the following standards apply:
(A) Adjudicative Responsibilities.
(1) A judge should be
faithful to the law and maintain
professional competence in it. He
should be unswayed by partisan interests,
public clamor, or fear of criticism.
(2) A judge should maintain order
and decorum in proceedings before
him.
(3) A judge should be patient, dignified,
and courteous to litigants, jurors,
witnesses, lawyers, and others with
whom he deals in his official capacity,
and should require similar conduct
of lawyers, and of his staff, court
officials, and others subject to
his direction and control.
(4) A judge should accord to every
person who is legally interested
in a proceeding, or his lawyer,
full right to be heard according
to law. He should not permit private
interviews, arguments or communications
designed to influence his judicial
action, where interests to be affected
thereby are not represented before
him, except in cases where provision
is made by law for ex parte application.
(5) A judge should dispose promptly
of the business of the court.
(6) A judge should abstain from
public comment about a pending or
impending proceeding in any court,
and should require similar abstention
on the part of court personnel subject
to his direction and control. This
subsection does not prohibit judges
from making public statements in
the course of their official duties
or from explaining for public information
the procedures of the court.
(B) Administrative Responsibilities.
(1) A judge should diligently discharge
his administrative responsibilities,
maintain professional competence in
judicial administration, and facilitate
the performance of the administrative
responsibilities of other judges and
court officials.
(2) A judge should require his staff
and court officials subject to his
direction and control to observe the
standards of fidelity and diligence
that apply to him.
(3) If a judge shall become aware
of unprofessional conduct by a judge
or a lawyer
(a) he shall, in the instance of a
judge, report his knowledge to the
Chief Justices of this court and of
the court of which the judge in question
is a member, and
(b) in the instance of a lawyer, he
shall initiate appropriate investigative
or disciplinary measures.
(4) A judge should not make unnecessary
appointments. He should exercise his
power of appointment only on the basis
of merit, avoiding nepotism and favoritism.
He should not approve compensation
of appointees beyond the fair value
of service rendered.
(5) A judge shall perform judicial
duties without bias or prejudice.
A judge shall not, in the performance
of judicial duties, by words or conduct
manifest bias or prejudice, including
but not limited to bias or prejudice
based upon race, sex, religion, national
origin, disability, age, sexual orientation
or socioeconomic status, and shall
not permit staff, court officials
and others subject to the judge's
direction and control to do so.
(6) A judge shall require lawyers
in proceedings before the judge to
refrain from manifesting, by words
or conduct, bias or prejudice based
upon race, sex, religion, national
origin, disability, age, sexual orientation
or socioeconomic status, against parties,
witnesses, counsel or others. This
Section 3B(6) does not preclude legitimate
advocacy when race, sex, religion,
national origin, disability, age,
sexual orientation or socioeconomic
status, or similar factors, are issues
in the proceeding.
(C) Disqualification.
(1) A judge should disqualify himself
in a proceeding in which his impartiality
might reasonably be questioned, including
but not limited to instances where:
(a) he has a personal bias or prejudice
concerning a party, or personal knowledge
of disputed evidentiary facts concerning
the proceeding;
(b) he served as a lawyer in the matter
of controversy, or a lawyer with whom
he previously practiced law served
during such association as a lawyer
concerning the matter, or the judge
or such lawyer has been a material
witness concerning it;
(c) he knows that he, individually
or as a fiduciary, or his spouse or
minor child residing in his household,
has a financial or other property
interest in the subject matter in
controversy or in a party to the proceeding,
which interest could be substantially
affected by the outcome of the proceedings;
(d) he or his spouse, or a person
within the third degree of relationship
to either of them, or the spouse of
such a person:
(i) is a party to the proceeding,
or an officer, director, or trustee
of a party;
(ii) is acting as a lawyer in the
proceeding;
(iii) is known by the judge to have
an interest that could be substantially
affected by the outcome of the proceeding;
(iv) is to the judge's knowledge likely
to be a material witness in the proceeding.
(2) A judge should inform himself
about his personal and fiduciary financial
interests, and make a reasonable effort
to inform himself about the personal
financial interest of his spouse and
minor children residing in his household.
(3) For the purposes of this section:
(a) the degree of relationship is
calculated according to the civil
law system;
(b) "fiduciary" includes
such relationships as executor, administrator,
trustee, and guardian;
(c) "financial interest"
means ownership of a substantial legal
or equitable interest, or a relationship
as director, advisor, or other active
participant in the affairs of a party,
except that:
(i) ownership in a mutual or common
investment fund that holds securities
is not a "financial interest"
in such securities unless the judge
participates in the management of
the fund;
(ii) an office in an educational,
religious, charitable, fraternal,
or civic organization is not a "financial
interest" in securities held
by the organization.
(iii) the proprietary interest of
a policyholder in a mutual insurance
company, of a depositor in a mutual
savings association, or a similar
proprietary interest, is a "financial
interest" in the organization
only if the outcome of the proceeding
could substantially affect the value
of the interest;
(iv) ownership of government securities
or of less than one-hundredth of one
percent of the total shares issued
and outstanding of any corporation
or of its parent or subsidiary corporations
is a "financial interest"
in the issuer of such
securities or its parent or subsidiaries
only if the outcome of the proceeding
could substantially affect the value
of the securities.
(D) Remittal of Disqualification.
A judge disqualified by the terms
of Canon 3(C)(1)(c) or Canon 3(C)(1)(d)
may, instead of withdrawing from the
proceeding, disclose on the record
the basis of his disqualification.
If, based on such disclosure, the
lawyers, after consultation with their
clients independently of the judge's
participation, agree in writing that
the judge's relationship is immaterial
or that his financial interest is
insubstantial, the judge is no longer
disqualified, and may participate
in the proceeding. The agreement,
signed by all lawyers, shall be incorporated
in the record of the proceeding.
Amended Nov.10, 1982, effective Jan.
1, 1983; amended effective Jan.1,
1992; Feb.11, 1992; amended October
1, 1998,
effective November 2, 1998.
CANON 4
A Judge May Engage in Activities to
Improve the Law, the Legal System,
and the Administration of Justice
A judge, subject to the proper performance
of his judicial duties, may engage
in the following quasi-judicial activities,
if in doing so he does not cast doubt
on his capacity to decide impartially
any issue that may come before him:
(A) He may speak, write, lecture,
teach, and participate in other activities
concerning the law, the legal system,
and the administration of justice.
(B) He may appear at a public hearing
before an executive or legislative
body or official on matters concerning
the law, the legal system, and the
administration of justice, and he
may otherwise consult with an executive
or legislative body or official, but
only on matters concerning the administration
of justice.
(C) He may serve as member, officer,
or director of an organization devoted
to the improvement of the law, the
legal system, or the administration
of justice. He may assist such an
organization in raising funds and
may participate in their management
and investment, but should not personally
participate in public fund raising
activities. He may make recommendations
to public and private fund granting
agencies on projects and programs
concerning the law, the legal system,
and the administration of justice.
CANON 5
A Judge Should Regulate His Extra-Judicial
Activities to Minimize the Risk of
Conflict with His Judicial Duties
(A) Avocational Activities.
A judge may write, lecture, teach,
and speak on nonlegal subjects, and
engage in the arts, sports, and other
social and recreational activities,
if such avocational activities do
not detract from the dignity of his
office or interfere with the performance
of his judicial duties.
(B) Civic and Charitable Activities.
A judge may participate in civic and
charitable activities that do not
reflect adversely upon his impartiality
or interfere with the performance
of his judicial duties. A judge may
serve as an officer, director, trustee,
or nonlegal advisor of an educational,
religious, charitable, fraternal,
or civic organization not conducted
for the economic or political advantage
of its members, subject to the following
limitations:
(1) A judge should not serve if it
is likely that the organization will
be engaged in proceedings that would
ordinarily come before him or will
be regularly engaged in adversary
proceedings in any court.
(2) A judge should not solicit funds
for any educational, religious, charitable,
fraternal, or civil organization,
or use or permit the use of the prestige
of his office for that purpose, but
he may be listed as an officer, director,
or trustee of such an organization.
He should not be a speaker or the
guest of honor at an organization's
fund raising events, but he may attend
such events.
(3) A judge should not give investment
advice to such an organization, but
he may serve on its board of directors
or trustees even though it has the
responsibility for approving investment
decisions.
(C) Financial Activities.
(1) A judge should refrain from financial
and business dealings that tend to
reflect adversely on his impartiality,
interfere with the proper performance
of his judicial position, or involve
him in frequent transactions with
lawyers or persons likely to come
before the court on which he serves.
(2) Subject to the requirements of
subsection (1), a judge may hold and
manage investments, including real
estate, and engage in other remunerative
activity permitted by Canon 4, but
should not serve as an officer, director,
manager, advisor, or employee of any
business.
(3) A judge should manage his investments
and other financial interests to minimize
the number of cases in which he is
disqualified. As soon as he can do
so without serious financial detriment,
he should divest himself of investments
and other financial interests that
might require frequent disqualification.
(4) Neither a judge nor a member of
his family residing in his household
should accept a gift, bequest, favor,
or loan from anyone except as follows:
(a) A judge may accept a gift of nominal
value incident to public recognition
of him; books supplied by publishers
on a complimentary basis for official
use; or an invitation to the judge
and his spouse to attend a bar-related
function or activity devoted to the
improvement of the law, the legal
system, or the administration of justice;
(b) a judge or a member of his family
residing in his household may accept
ordinary social hospitality; a gift,
bequest, favor, or loan from a relative;
a gift from a wedding, engagement,
confirmation, or like traditional
ceremonial occasion; a loan from a
lending institution in its regular
course of business on the same terms
generally available to persons who
are not judges; or a scholarship or
fellowship awarded on the same terms
applied to other applicants;
(c) a judge or a member of his family
residing in his household may accept
any other gift, bequest, favor, or
loan only if the donor is not a party
or other person whose interests have
come or are likely to come before
him, and, if its value exceeds $350,
the judge reports it in the same manner
as he reports compensation in Canon
6(C).
(5) For the purposes of this section
"member of his family residing
in his household" means any
relative of a judge by blood or marriage,
or a person treated by a judge as
a member of his family,
who resides in his household.
(6) A judge is not required by this
Code to disclose his income, debts,
or investments, except as
provided in this Canon and Canons
3 and 6.
(7) Information acquired by a judge
in his judicial capacity should not
be used or disclosed by him in financial
dealings or for any other purpose
not related to his judicial duties.
(D) Fiduciary Activities.
A judge should not serve as the executor,
administrator, trustee, guardian,
or other fiduciary, except for the
estate, trust, or person of a member
of his family, and then only if such
service will not then interfere with
the proper performance of his judicial
duties. "Member of his family"
includes a spouse, child, grandchild,
parent, grandparent, or other relative
or person with whom the judge maintains
a close familial relationship. As
a family fiduciary a judge is subject
to the following restrictions:
(1) He should not serve if it is likely
that as a fiduciary he will be engaged
in proceedings that would ordinarily
come before him, or if the estate,
trust, or ward becomes involved in
adversary proceedings in the court
on which he serves or one under its
appellate jurisdiction.
(2) While acting as a fiduciary, a
judge is subject to the same restrictions
on financial activities that apply
to him in his personal capacity.
(E) Arbitration.
A judge should not act as an arbitrator
or mediator.
(F) Practice of Law.
A judge should not practice law
(G) Extra-Judicial Appointments.
A judge should not accept appointment
to a governmental committee, commission,
or other position that is concerned
with issues of fact or policy on matters
other than the improvement of the
law, the legal system, or the administration
of justice. The foregoing is subject
to any limitations imposed by the
Constitution of the Commonwealth with
respect to any such appointment. A
judge, however, may represent his
country, state, or locality on ceremonial
occasions or in connection with historical,
educational, and cultural activities.
Amended March 26, 1997, effective
April 16, 1997; amended effective
May 26, 1998.
CANON 6
A Judge Should Regularly File Reports
of Compensation Received for Quasi-Judicial
and Extra-Judicial Activities A judge
may receive compensation and reimbursement
of expenses for the quasi-judicial
and extrajudicial activities permitted
by this Code, if the source of such
payments does not give the appearance
of influencing the judge in his judicial
duties or otherwise give the appearance
of impropriety, subject to the following
restrictions:
(A) Compensation.
Compensation should not exceed a reasonable
amount nor should it exceed what a
person who is not a judge would receive
for the same activity.
(B) Expense Reimbursement.
Expense reimbursement should be limited
to the actual cost of travel, food,
and lodging reasonably incurred by
the judge and, where appropriate to
the occasion, by his spouse. Any payment
in excess of such an amount is compensation.
(C) Public Reports.
A judge should report on or before
April 15 of each year, with respect
to the previous calendar year, the
date, place, and nature of any activity
for which he received compensation,
and the name of the payor and the
amount of compensation so received.
Compensation or income of a spouse
attributed to the judge by operation
of a community property law is not
extra-judicial compensation to the
judge. His report should be made and
should be filed as a public document
in the office of the Administrative
Assistant to the Supreme Judicial
Court (G.L. c. 211, §3A).
CANON 7
A Judge Should Refrain from Political
Activity
(A) Political Conduct in General.
(1) A judge should not:
(a) act as a leader or hold any office
in a political organization;
(b) make speeches for a political
organization or candidate or publicly
endorse a candidate for public office;
(c) solicit funds for or pay an assessment
or make a contribution to a political
organization or candidate, attend
political gatherings, or purchase
tickets for political party dinners,
for functions conducted to raise money
for incumbents of or for candidates
for election to any political office,
or for any other type of political
function.
(2) A judge should resign his office
when he becomes a candidate either
in a primary or in a general election
for elective office. On assuming his
judicial position, a judge shall resign
any elective public office he then
holds.
(3) A judge may engage in activity
in support or on behalf of measures
to improve the law,
the legal system, or the administration
of justice.
Amended June 7, 1985, effective July
1, 1985.
CANON 8
Compliance with the Code of Judicial
Conduct
(A) Retired Judges.
(1) A judge whose name has been placed
upon the list of retired judges eligible
to perform judicial duties, pursuant
to G.L. c. 32, §§ 65E-65G, should
comply with all provisions of this
Code of Judicial Conduct during the
term of such eligibility.
(2) A judge who has retired or resigned
from judicial office should not perform
court connected dispute resolution
services except on a pro bono publico
basis, enter an appearance, nor accept
an appointment to represent any party
in any court of the Commonwealth for
a period of six months following the
date of retirement, resignation or
most recent service as a retired judge
pursuant to G.L. c. 32, §§ 65E-65G.
Amended Dec. 2, 1983, effective Jan.
1, 1984; Oct. 24, 1989, effective
Jan. 1, 1990; May 1, 1998, effective
June 1, 1998.
Effective Date of Compliance
The effective date of compliance of
this Code is January 1, 1973.
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