D. Mass. L.R. 83.6.5

(a) Procedure Generally. The following procedures shall be employed in matters of alleged

attorney misconduct.

(b) Screening and Referral. All complaints of alleged attorney misconduct shall be screened

in the first instance by the judicial officer who presided over the case or matter, if any, in

which the misconduct occurred. If that judicial officer is unavailable, or if the proper

judicial officer cannot be readily determined, the clerk shall randomly assign the complaint

to a district judge other than the presiding judge for screening. Any judicial officer may

refer any matter of potential attorney misconduct to the presiding judge, as set forth below,

for review and possible further action. If the allegations of attorney misconduct are

reasonably plausible and potentially serious, the matter should be referred to the presiding

judge.

(c) Presiding Judge.

(1) Generally. After screening and referral, allegations of attorney misconduct shall be

handled by the presiding judge.

(2) Assignment of Presiding Judge. The presiding judge shall not be the judicial

officer who referred the matter for review or a judicial officer assigned to the case

or matter, if any, in which the matter arose. For cases arising in the Eastern

Division, the Miscellaneous Business Docket Judge shall be the presiding judge.

For cases arising in the Central Division, the presiding judge shall be the judge

assigned to the Western Division. For cases arising in the Western Division, the

presiding judge shall be the judge assigned to the Central Division. If the presiding

judge is disqualified under this rule, or recuses himself or herself, the matter will

be referred to the chief judge or, if he or she is disqualified, to the next active district

judge in order of seniority. Once a matter has been assigned to a particular judge

as the presiding judge, that judge shall remain the presiding judge for that matter

unless it is reassigned under L.R. 40.1(I).

(d) Initial Review and Action by Presiding Judge. The presiding judge shall conduct an

initial de novo review of the matter and shall take one or more of the following actions.

(1) No Action. The presiding judge may direct that no further action be taken, if he or

she concludes that the allegations do not describe a disciplinary violation or

otherwise are plainly without merit.

(2) Request for Explanation. The presiding judge may provide written notice to the

attorney specifying the alleged misconduct and affording the attorney an

opportunity to explain, either on the record or in writing, why he or she believes

that formal disciplinary proceedings should not be commenced. If the presiding

judge is satisfied with the explanation, he or she may direct that no further action

be taken, or take such other steps consistent with these rules as may be appropriate.

(3) Resolution by Consent. The presiding judge may take any action, or enter any

order, consistent with these rules to permit a resolution of any disciplinary matter

by settlement or consent.

(4) Review by Special Counsel. The presiding judge may appoint special counsel to

conduct an investigation, to make a report to the court, and to perform any other

duty set forth in the order of appointment. If the matter proceeds to a formal

disciplinary proceeding, the presiding judge may direct that special counsel may

continue to act and may present evidence, examine witnesses, and otherwise

participate in the proceeding.

(5) Temporary Suspension. The presiding judge may suspend the attorney on a

temporary basis pursuant to L.R. 83.6.6.

(6) Commencement of Formal Proceedings. The presiding judge may initiate formal

proceedings against the attorney, as set forth below.

(7) Other Action. The presiding judge may take any other action that is authorized by

law, not inconsistent with these rules, and reasonably necessary to the exercise of

his or her authority under these rules.

(e) Referrals to Other Authorities.

(1) State Bar Disciplinary Authorities. The presiding judge may refer the matter to a

state bar disciplinary authority with a request that the authority report its actions to

the court.

(2) Federal Authorities. In the case of an attorney for the United States or any

department of agency of the United States, the presiding judge may refer the matter

to the Department of Justice Office of Professional Responsibility, or to any other

federal office or agency with supervisory or disciplinary authority over the attorney,

with a request that the office or agency report its actions to the court.

(3) Effect of Referral. The presiding judge may continue to conduct any review,

investigation, or proceeding, and impose any discipline, notwithstanding the

referral of a matter to an outside authority. In the alternative, the presiding judge

may, in the interests of justice, stay or suspend any such review, investigation, or

proceeding pending resolution of same or a related matter by another authority.

(4) Notification to Clerk. The presiding judge shall notify the clerk of any referral to

an outside authority, who shall keep a record of all such referrals.

(f) Notice and Opportunity to Be Heard. No discipline shall be imposed against an attorney

pursuant to these rules without notice and an opportunity to be heard as to both the finding

of misconduct and the form of the discipline.

(g) Discovery. The presiding judge shall order such discovery as may be reasonably necessary

to ensure that the proceeding is fair to all parties. The presiding judge may, in his or her

discretion, order such additional discovery as may be appropriate under the circumstances.

(h) Requirement of Cooperation. Any attorney who is the subject of an investigation or

review, or a witness in such a matter, shall cooperate and shall reasonably and promptly

respond to inquiries from the court and its agents; provided, however, that an attorney may

make a valid assertion of his or her constitutional rights, any applicable privilege, or any

other right provided by law. Any failure to cooperate under this rule may itself result in

disciplinary action.

(i) Formal Disciplinary Proceedings.

(1) Show Cause Order. A formal disciplinary proceeding against an attorney shall

commence by the issuance of a show-cause order by the presiding judge. The show-cause order shall direct the attorney to appear and show cause why disciplinary

action should not be taken against the attorney for reasons stated in the order.

(2) Service of Notice. The order may be served upon the attorney by mailing a copy to

him or her at the address provided by the attorney pursuant to these local rules or

by any other means reasonably calculated to provide notice to the attorney.

(3) Special Counsel. If special counsel has not already been appointed, the presiding

judge may appoint such counsel to present evidence and examine witnesses at any

hearing and otherwise to participate in the proceeding.

(4) Written Response. The attorney shall file a written response to the show-cause

order within 28 days after service. If the attorney requests a hearing to resolve any

disputed issue of material fact raised in the response, or if the attorney does not

dispute the misconduct but wishes to be heard on the issue of the appropriate form

of discipline, the presiding judge shall set the matter for hearing.

(5) Hearing. The presiding judge shall hold a hearing as necessary and appropriate to

resolve any disputed issues of material fact, to determine whether any attorney

misconduct occurred, and to determine the appropriate form of discipline. The

respondent attorney may be represented by counsel and may, upon reasonable

request, present evidence and cross-examine witnesses. The presiding judge shall

make any factual findings on the record in open court or in a written order.

(6) Standard of Proof. Any factual predicate must be proved according to the standard

of proof applied in attorney discipline matters in the courts of the Commonwealth

of Massachusetts.

(7) Public Proceeding. Unless the presiding judge orders otherwise for good cause

shown, any such hearing shall be open to the public.

(8) Findings. The presiding judge shall issue a written order setting forth his or her

conclusions and the reasons therefor and the final disposition of the matter,

including any discipline imposed on the attorney. Any order imposing attorney

discipline shall be entered as a final judgment under Fed. R. Civ. P. 54.

(j) Reference to Magistrate Judge. The presiding judge may refer an attorney disciplinary

matter to a magistrate judge.

(1) Disqualification. The designated magistrate judge shall not be the judicial officer

who referred the matter for review or a judicial officer assigned to the case or

matter, if any, in which the matter arose.

(2) Preliminary Stage. If the matter is at the preliminary or informal stage, the

magistrate judge may review the matter, make a report and recommendation to the

court, or perform any other duty specified in the order of referral.

(3) Formal Disciplinary Proceedings. If the matter has proceeded to formal

disciplinary proceedings, the magistrate judge shall make a written report and

recommendation to the presiding judge, including proposed factual findings.

(4) Objections and District Judge Review. Any objections to a report and

recommendation, and any review by the presiding judge, shall proceed in

accordance with the requirements of 28 U.S.C. § 636(b)(1).

(k) Participation of Victims in Proceedings. The court shall give due regard to the victims

or potential victims of any attorney misconduct in the conduct of any proceedings and the

issuance of any disciplinary order. The court shall endeavor to provide notice of any

hearing to such persons and permit them to be heard as appropriate. The court shall also

consider whether an order of restitution is appropriate in any disciplinary order.

(l) Appeal.

(1) Generally. An appeal from a judgment or order entered under this rule may be

taken in accordance with the Federal Rules of Appellate Procedure and other

applicable federal law.

(2) Appeal by Court. An appeal may be taken on behalf of the court by the special

counsel who handled the proceeding, or by special counsel appointed for that

purpose, if the court, by a majority vote of the full court, so directs. Any district

judge, bankruptcy judge, or magistrate judge may request that the full court

consider taking an appeal in a particular matter. The court may delay entry of

judgment or take such other steps as may be reasonably necessary to preserve the

right of appeal while the matter is under consideration.