California Rules of Court — Rule 4.115 — Criminal case assignment (effective on January 1, 2008)
Cal. R. Ct. 4.115
California Rules of Court
AMENDMENTS TO THE CALIFORNIA RULES OF COURT Adopted by the Judicial Council on December 7, 2007, effective on January 1, 2008. 1 2 3 4 5 6 7 Rule 4.115. Criminal case assignment............................................................ 2 Rule 4.201. Voir dire i n criminal cases........................................................... 3 Rule 4.405.
Definitions ................................................................................... 3 Rule 4.420. Selection of t erm of imprisonment.............................................. 4 Rule 4.428. Criteria affecting imposition of enhancements ........................... 5 Rule 4.433. Matters to b e considered at time set for sentencing .................... 5 Rule 4.437. Statements in aggravation and mitigation ................................... 6 Rule 7.1101.
Qualifications and continuing education required of counsel appointed by the court in guardianships and conservatorships 8 ..................... 6 9 Rule 10.468. Content-based and hours-based education for superior court judges and subordinate judicial officers regularly assigned to hear 10 probate proceedings 11 .................................................................................... 11 12 Rule 10.478. Content-based and hours-based education for court investigators, probate attorneys, and probate examiners 13 ............................ 15 14 15 Rule 10.481.
Approved providers; approved course criteria ........................ 20 Rule 10.776.
Definitions ............................................................................... 21 16 Rule 10.777. Qualifications of court investigators, probate attorneys, and probate examiners 17 ....................................................................................... 22 18
Rule 4.115. Criminal case assignment 1 2 (
a) Master calendar departments 3 4 5 6 7 8 9 10 11 12 13 14 15 16 To ensure that the court’s policy on continuances is firm and uniformly applied, that pretrial proceedings and trial assignments are handled consistently, and that cases are tried on a date certain, each court not operating on a direct calendaring system must assign all criminal matters to one or more master calendar departments. The presiding judge of a master calendar department must conduct or supervise the conduct of all arraignments and pretrial hearings and conferences and assign to a trial department any case requiring a trial or dispositional hearing. (Subd (
a) lettered effective January 1, 2008; adopted as unlettered subd effective January 1, 1985.) (
b) Trial calendaring and continuances 17 18 19 Any request for a continuance, including a request to trail the trial date, must 20 comply with rule 4.113 and the requirement in
section 1050 to show good 21 cause to continue a hearing in a criminal proceeding. Active management of 22 trial calendars is necessary to minimize the number of statutory dismissals. 23 Accordingly, courts should avoid calendaring or trailing criminal cases for 24 trial to the last day permitted for trial under
section 1382. Courts must 25 implement calendar management procedures, in accordance with local 26 conditions and needs, to ensure that criminal cases are assigned to trial 27 28 29 30 31 32 33 34 departments before the last day permitted for trial under
section 1382. (Subd (
b) adopted effective January 1, 2008.) Rule 4.115 amended effective January 1, 2008; adopted as
section 10 of the Standards of Judicial Administration effective January 1, 1985; amended and renumbered effective January 1, 2001; previously amended effective January 1, 2007. 35 36 Advisory Committee Comment 37 Subdivision (
b) clarifies that the “good cause” showing for a continuance under
section 1050 38 applies in all criminal cases, whether or not the case is in the 10-day grace period provided for in 39
section 1382. The Trial Court Presiding Judges Advisory Committee and Criminal Law Advisory 40 Committee observe that the “good cause” requirement for a continuance is separate and distinct 41 from the “good cause” requirement to avoid dismissals under
section 1382. There is case law 42 stating that the prosecution is not required to show good cause to avoid a dismissal under
section 43 1382 during the 10-day grace period because a case may not be dismissed for delay during that 44 10-day period. (See, e.g., Bryant v. Superior Court (1986) 186 Cal.App.3d 483, 488.) Yet, both 45 the plain language of
section 1050 and case law show that there must be good cause for a 46 continuance under
section 1050 during the 10-day grace period. (See, e.g.,
section 1050 and 2
1 People v. Henderson (2004) 115 Cal.App.4th 922, 939–940.) Thus, a court may not dismiss a 2 case during the 10-day grace period under
section 1382, but the committees believe that the court 3 must deny a request for a continuance during the 10-day grace period that does not comply with 4 5 the good cause requirement under
section 1050. 6 The decision in Henderson states that when the prosecutor seeks a continuance but fails to show 7 good cause under
section 1050, the trial court “must nevertheless postpone the hearing to another 8 date within the statutory period.” (115 Cal.App.4th at p. 940.) That conclusion, however, may be 9 contrary to the plain language of
section 1050, which requires a court to deny a continuance if the 10 moving party fails to show good cause. The conclusion also appears to be dicta, as it was not a 11 contested issue on appeal. Given this uncertainty, the rule is silent as to the remedy for failure to 12 show good cause for a requested continuance during the 10-day grace period. The committees 13 note that the remedies under
section 1050.5 are available and, but for the Henderson dicta, a court 14 would appear to be allowed to deny the continuance request and commence the trial on the 15 16 17 18 19 20 21 22 23 24 25 scheduled trial date. Rule 4.201. Voir dire in criminal cases * * * Rule 4.201 amended effective January 1, 2006; adopted as rule 228.2 effective June 6, 1990; previously amended and renumbered effective January 1, 2001. 26 27 Advisory Committee Comment 28 Although Code of Civil Procedure
section 223 creates a preference for nonsequestered voir dire 29 (People v. Roldan (2005) 35 Cal.4th 646, 691), a judge may conduct sequestered voir dire on 30 questions concerning media reports of the case and on any other issue deemed advisable. (See, 31 e.g., Cal. Stds. Jud. Admin., std. 4.30(a)(3).) To determine whether such issues are present, a 32 judge may consider factors including the charges, the nature of the evidence that is anticipated to 33 be presented, and any other relevant factors.
To that end, a judge should always inform jurors of 34 the possibility of sequestered voir dire if the voir dire is likely to elicit answers that the juror may 35 believe are sensitive in nature. It should also be noted that when written questionnaires are used, 36 jurors must be advised of the right to request a hearing in chambers on sensitive questions rather 37 than answering them on the questionnaire. (Copley Press Inc. v. Superior Court (1991) 228 38 39 40 41 42 43 44 45 46 47 48 Cal.App.3d 77, 87.) Rule 4.405.
Definitions As used in this division, unless the context otherwise requires: (1)–(10) * * * Rule 4.405 amended effective May 23, 2007; adopted as rule 405 effective July 1, 1977; previously renumbered effective January 1, 2001; previously amended effective July 28, 1977, January 1, 1991, July 1, 2003, and January 1, 2007. 3
1 2 3 4 5 Advisory Committee Comment “Base term” is the term of imprisonment selected under
section 1170(
b) from the three possible terms. (See
section 1170(a)(3); People v. Scott (1994) 9 Cal.4th 331, 349.) Following the United States Supreme Court decision in Cunningham v. California (2007) 549 U.S.__ [127 S.Ct. 856.], the Legislature amended the determinate sentencing law. (See Sen. Bill 40; Stats. 2007, ch. 3.) To comply with those changes, these rules were also amended. In light of those amendments, for clarity, the phrase “base term” in (4) and (5) was replaced with “one of the three authorized prison terms.” It is an open question whether the
definitions in (4) and (5) apply to enhancements for which the statute provides for three possible terms. The Legislature in SB 40 amended
section 1170(
b) but did not modify sections 1170.1(d), 12022.2(a), 12022.3(b), or any other
section providing for an enhancement with three possible terms. The latter sections provide that “the court shall impose the middle term unless there are circumstances in aggravation or mitigation.” (See, e.g.,
section 1170.1(d).) It is possible, although there are no cases addressing the point, that this enhancement triad with the presumptive imposition of the middle term runs afoul of Cunningham. Because of this open question, rule 4.428(
b) was deleted. 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 * * * Rule 4.420. Selection of term of imprisonment (a) * * * (
b) In exercising his or her discretion in selecting one of the three authorized prison terms referred to in
section 1170(b), the sentencing judge may consider circumstances in aggravation or mitigation, and any other factor reasonably related to the sentencing decision. The relevant circumstances may be obtained from the case record, the probation officer’s report, other reports and statements properly received, statements in aggravation or mitigation, and any further evidence introduced at the sentencing hearing. 32 33 34 35 36 37 38 (Subd (
b) amended effective January 1, 2008; previously amended effective July 28, 1977, January 1, 1991, January 1, 2007, and May 23, 2007.) (c) * * * (
d) A fact that is an element of the crime upon which punishment is being 39 imposed may not be used to impose a greater term. 40 41 42 43 44 45 46 (Subd (
d) amended effective January 1, 2008; adopted effective January 1, 1991; previously amended effective January 1, 2007, and May 23, 2007.) (e) * * * 4
1 2 3 4 5 6 7 8 Rule 4.420 amended effective January 1, 2008; adopted as rule 439 effective July 1, 1977; previously amended and renumbered as rule 420 effective January 1, 1991; previously renumbered effective January 1, 2001; previously amended effective July 28, 1977, January 1, 2007, and May 23, 2007. Rule 4.428. Criteria affecting imposition of enhancements Imposing or not imposing enhancement 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 No reason need be given for imposing a term for an enhancement that was charged and found true. If the judge has statutory discretion to strike the additional term for an enhancement in the furtherance of justice under
section 1385(
c) or based on circumstances in mitigation, the court may consider and apply any of the circumstances in mitigation enumerated in these rules or, under rule 4.408, any other reasonable circumstances in mitigation or in the furtherance of justice. The judge should not strike the allegation of the enhancement. Rule 4.428 amended effective January 1, 2008; adopted as rule 428 effective January 1, 1991; previously renumbered effective January 1, 2001; previously amended effective January 1, 1998, July 1, 2003, January 1, 2007, and May 23, 2007. Rule 4.433. Matters to be considered at time set for sentencing (a) * * * (
b) If the imposition of a sentence is to be suspended during a period of probation after a conviction by trial, the trial judge must identify and state circumstances that would justify imposition of one of the three authorized prison terms referred to in
section 1170(
b) if probation is later revoked 31 32 . The 33 circumstances identified and stated by the judge must be, based on evidence admitted at the trial 34 or other circumstances properly considered under rule 35 4.420(b). 36 37 38 39 40 41 42 43 44 45 (Subd (
b) amended effective January 1, 2008; previously amended effective July 28, 1977, January 1, 2007, and May 23, 2007.) (c)–(e) * * * Rule 4.433 amended effective January 1, 2008; adopted as rule 433 effective July 1, 1977; previously renumbered effective January 1, 2001; previously amended effective July 28, 1977, January 1, 1979, July 1, 2003, January 1, 2007, and May 23, 2007. 5
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Rule 4.437. Statements in aggravation and mitigation (a)–(e) * * * Rule 4.437 amended effective May 23, 2007; adopted as rule 437 effective July 1, 1977; previously renumbered effective January 1, 2001; previously amended effective July 28, 1977, January 1, 1991, and January 1, 2007. Advisory Committee Comment
Section 1170(
b) states in part: * * * The requirement that the statement include notice of intention to rely on new evidence will enhance fairness to both sides by avoiding surprise and helping to assure ensure that the time limit on pronouncing sentence is met. 16 17 18 19 20 21 22 23 Title 7. Probate Rules
Chapter 23. Court-Appointed Counsel in Probate Proceedings 24 25 26 27 28
Chapter 23 adopted effective January 1, 2008. Rule 7.1101. Qualifications and continuing education required of counsel 29 appointed by the court in guardianships and conservatorships 30 31 (
a) Definitions 32 33 34 35 As used in this rule, the following terms have the meanings stated below: 36 (1) “Appointed counsel” or “counsel appointed by the court” are legal 37 counsel appointed by the court under Probate Code sections 1470 or 38 1471, including counsel in private practice and deputy public defenders 39 directly responsible for the performance of legal services under the 40 41 court’s appointment of a county’s public defender. 42
(2) A “probate guardianship” or “probate conservatorship” is a 43 guardianship or conservatorship proceeding under division 4 of the 44 45 Probate Code. 6
1 (3) “LPS” and “LPS Act” refer to the Lanterman-Petris-Short Act, Welfare 2 3 and Institutions Code
section 5000 et seq. 4
(4) An “LPS conservatorship” is a conservatorship proceeding for a 5 gravely disabled person under
chapter 3 of the LPS Act, Welfare and 6 7 Institutions Code sections 5350–5371. 8
(5) A “contested matter” in a probate or LPS conservatorship proceeding is 9 a matter that requires a noticed hearing and in which written objections 10 are filed by any party or made by the conservatee or proposed 11 12 conservatee orally in open court. 13 14 (6) “AOC” is the Administrative Office of the Courts. (
b) Qualifications of appointed counsel in private practice 15 16 17 Except as provided in this rule, each counsel in private practice appointed by 18 the court on or after January 1, 2008, must be an active member of the State 19 Bar of California for at least three years immediately before the date of 20 appointment, with no disciplinary proceedings pending and no discipline 21 imposed within the 12 months immediately preceding the date of first 22 23 availability for appointment after January 1, 2008; and
(1) Appointments to represent minors in guardianships 24 25 or an appointment to represent a minor in a guardianship: F 26 27 (
A) Within the five years immediately before the date of first 28 veavailability for appointment after January 1, 2008, must ha 29 30 represented at least three wards or proposed wards in probate guardianships, three children in juvenile court dependency or 31 ngs 32 delinquency proceedings, or three children in custody proceedi 33 34 ) under the Family Code; or (B At the time of appointment, must be qualified: 35 36 (
i) For appointments to represent children in juvenile 37 ourt’s 38 dependency proceedings under rule 5.660 and the c 39 local rules governing court-appointed juvenile court 40 41
i) dependency counsel; or (i For appointments to represent children in custody 42 2, 43 proceedings under the Family Code under rule 5.24 7
including the alternative experience requirements of rule 1 2 3 5.242(g). 4 (
C) Counsel qualified for appointments in guardianships under (B) 5 must satisfy the continuing education requirements of this rule in 6 addition to the education or training requirements of the rules 7 8 mentioned in (B).
(2) Appointments to represent conservatees or proposed conservatees For an appointment to represent a conservatee or a proposed 9 10 11 12 conservatee, within the five years immediately before the date of first 13 availability for appointment after January 1, 2008, counsel in private 14 15 practice must have: (
A) Represented at least three conservatees or proposed conservatees in either probate or LPS conservatorships; or 16 17 18 19 20 (
B) Completed any three of the following five tasks: 21 (
i) Represented petitioners for the appointment of a conservator 22 at commencement of three probate conservatorship 23 proceedings, from initial contact with the petitioner through 24 25 the hearing and issuance of Letters of Conservatorship; 26 (ii) Represented a petitioner, a conservatee or a proposed 27 conservatee, or an interested third party in two contested 28 probate or LPS conservatorship matters.
A contested matter that qualifies under this item and also qualifies under (i) 29 30 31 may be applied toward satisfaction of both items; 32 (iii) Represented a party for whom the court could appoint legal 33 counsel in a total of three matters described in Probate Code 34 sections 1470, 1471, 1954, 2356.5, 2357, 2620.2, 3140, or 35 36 3205; 37 (iv) Represented fiduciaries in three separate cases for settlement 38 of a court-filed account and report, through filing, hearing, 39 and settlement, in any combination of probate 40 conservatorships or guardianships, decedent’s estates, or 41 42 trust proceedings under division 9 of the Probate Code; or 8
1 (
v) Prepared five wills or trusts, five durable powers of attorney 2 for health care, and five durable powers of attorney for asset 3 4 management. 5
(3) Private counsel qualified under (1) or (2) must also be covered by 6 professional liability insurance satisfactory to the court in the amount 7 8 of at least $100,000 per claim and $300,000 per year. (
c) Qualifications of deputy public defenders performing legal services on 9 court appointments of the public defender 10 11 12
(1) Except as provided in this rule, beginning on January 1, 2008, each 13 county deputy public defender with direct responsibility for the 14 performance of legal services in a particular case on the appointment of 15 the county public defender under Probate Code sections 1470 or 1471 16 must be an active member of the State Bar of California for at least 17 18 three years immediately before the date of appointment; and either 19 (
A) Satisfy the experience requirements for private counsel in (b)(1) 20 for appointments in guardianships or (b)(2) for appointments in 21 22 conservatorships; or 23 (
B) Have a minimum of three years’ experience representing minors 24 in juvenile dependency or delinquency proceedings or patients in 25 postcertification judicial proceedings or conservatorships under 26 27 the LPS Act. 28
(2) A deputy public defender qualified under (1) must also be covered by 29 professional liability insurance satisfactory to the court in the amount 30 of at least $100,000 per claim and $300,000 per year, or be covered for 31 professional liability at an equivalent level by a self-insurance program 32 33 for the professional employees of his or her county. 34
(3) A deputy public defender who is not qualified under this rule may 35 periodically substitute for a qualified deputy public defender with direct responsibility for the performance of legal services in a particular case. 36 37 In that event, the county public defender or his or her designee, who 38 may be the qualified supervisor, must certify to the court that the 39 substitute deputy is working under the direct supervision of a deputy 40 41 public defender who is qualified under this rule. (
d) Transitional provisions on qualifications 42 43 9
(1) Counsel appointed before January 1, 2008, may continue to represent 2 their clients through March 2008, whether or not they are qualified 3 under (
b) or (c). After March 2008, through conclusion of these 4 matters, the court may retain or replace appointed counsel who are not 5 qualified under (
b) or (
c) or may appoint qualified co-counsel to assist 6 7 them. 8
(2) In January, February, and March 2008, the court may appoint counsel 9 in new matters who have not filed the certification of qualifications 10 required under (
h) at the time of appointment but must replace counsel appointed under this paragraph who have not filed the certificate before April 1, 2008. 11 12 13 (
e) Exemption for small courts 14 15 16
(1) Except as provided in (2), the qualifications required under (
b) or (c) 17 may be waived by a court with four or fewer authorized judges if it 18 19 cannot find qualified counsel or for other grounds of hardship. 20
(2) A court may not waive the insurance or self-insurance requirements of 21 22 (b)(3) or (c)(2). 23
(3) A court waiving the qualifications required under (
b) or (
c) must make 24 express written findings showing the circumstances supporting the 25 waiver and disclosing all alternatives considered, including 26 appointment of qualified counsel from adjacent counties and other 27 28 alternatives not selected. (
f) Continuing education of appointed counsel 29 30 31 Beginning on January 1, 2008, counsel appointed by the court must complete 32 three hours of education each calendar year that qualifies for mandatory 33 continuing legal education credit for State Bar–certified specialists in estate 34 35 planning, trust, and probate law. (
g) Additional court-imposed qualifications, education, and other 36 requirements 37 38 39 The qualifications in (
b) and (
c) and the continuing education requirement in 40 (
f) are minimums. A court may establish higher qualification or continuing 41 education requirements, including insurance requirements; require initial 42 education or training; and impose other requirements, including an application by private counsel. 43 10
1 (
h) Certification of qualifications and continuing education 2 3 4
(1) Each counsel appointed or eligible for appointment by the court before 5 January 1, 2008, including deputy public defenders, must certify to the 6 court in writing before April 1, 2008, that he or she satisfies the 7 qualifications under (
b) or (
c) to be eligible for a new appointment on 8 9 or after that date. 10
(2) After March 2008, each counsel must certify to the court that he or she 11 is qualified under (
b) or (
c) before becoming eligible for an 12 13 appointment under this rule. 14
(3) Beginning in 2009, each appointed counsel must certify to the court 15 before the end of March of each year that he or she has completed the 16 17 continuing education required for the preceding calendar year. 18
(4) Certifications required under this subdivision must be submitted to the 19 20 court but are not to be filed or lodged in a case file. (
i) Reporting 21 22 23 The AOC may require courts to report appointed counsel’s qualifications and 24 completion of continuing education required by this rule to ensure 25 26 27 28 29 compliance with Probate Code
section 1456. Rule 7.1101 adopted effective January 1, 2008. Rule 10.468. Content-based and hours-based education for superior court 30 judges and subordinate judicial officers regularly assigned to hear 31 probate proceedings 32 33 (
a) Definitions 34 35 36 37 As used in this rule, the following terms have the meanings stated below: 38 39 (1) “Judge” means a judge of the superior court. 40 (2) “Subordinate judicial officer” has the meaning specified in rule 41 42 10.701(a). 43 (3) “Judicial officer” means a judge or a subordinate judicial officer. 11
1 2 (4) “Probate proceedings” are decedents’ estates, guardianships and 3 conservatorships under division 4 of the Probate Code, trust 4 proceedings under division 9 of the Probate Code, and other matters 5 governed by provisions of that code and the rules in title 7 of the California Rules of Court. 6 7 8
(5) A judicial officer “regularly assigned to hear probate proceedings” is a 9 10 judicial officer who is: 11 (
A) Assigned to a dedicated probate department where probate 12 13 proceedings are customarily heard on a full-time basis; 14 (
B) Responsible for hearing most of the probate proceedings filed in a 15 16 court that does not have a dedicated probate department; or 17 (
C) Responsible for hearing probate proceedings on a regular basis in 18 a department in a branch or other location remote from the main 19 or central courthouse, whether or not he or she also hears other 20 kinds of matters in that department and whether or not there is a 21 dedicated probate department in the main or central courthouse; 22 23 or 24 (
D) Designated by the presiding judge of a court with four or fewer 25 26 authorized judges. 27 28 (6) “AOC” is the Administrative Office of the Courts. 29 (7) “CJER” is the AOC Education Division/Center for Judicial Education 30 31 and Research. 32 33 (8) “CJA” is the California Judges Association. (
b) Content-based requirements 34 35 36
(1) Each judicial officer beginning a regular assignment to hear probate 37 proceedings after the effective date of this rule—unless he or she is 38 returning to this assignment after less than two years in another 39 assignment—must complete , as soon as possible but not to exceed six months from the assignment’s commencement date, 6 hours of 40 41 education on probate guardianships and conservatorships, including 42 43 court-supervised fiduciary accounting. 12
(2) The education required in (1) is in addition to the New Judge 2 Orientation program for new judicial officers and the B. E. Witkin 3 Judicial College required under rule 10.462(c)(1)(
A) and (
C) and may 4 be applied toward satisfaction of the 30 hours of continuing education 5 expected of judges and required of subordinate judicial officers under 6 7 rule 10.462(d). 8
(3) The education required in (1) must be provided by CJER, CJA, or the 9 judicial officer’s court. CJER is responsible for identifying content for 10 this education and will share the identified content with CJA and the 11 12 courts. 13
(4) The education required in (1) may be by traditional (face to face) or 14 distance-learning means, such as broadcasts, videoconferences, or 15 16 online coursework, but may not be by self-study. (
c) Hours-based continuing education 17 18 19
(1) In a court with five or more authorized judges, each judicial officer 20 regularly assigned to hear probate proceedings must complete 18 hours of continuing education every three years, with a minimum of six hours 21 22 required in the first year, on probate guardianships and 23 conservatorships, including court-supervised fiduciary accounting. The 24 three-year period begins on January 1 of the year following the judicial 25 officer’s completion of the education required in (b)(1) or, if he or she 26 is exempt from that education, on January 1 of the year the assignment 27 28 commenced after the effective date of this rule. 29
(2) In a court with four or fewer authorized judges, each judicial officer 30 regularly assigned to hear probate proceedings must complete nine hours of continuing education every three years, with a minimum of 31 32 three hours per year, on probate guardianships and conservatorships, 33 including court-supervised fiduciary accounting. The three-year period 34 begins on January 1 of the year following the judicial officer’s 35 completion of the education required in (b)(1) or, if he or she is exempt 36 from that education, on January 1 of the year the assignment 37 38 commenced after the effective date of this rule. 39
(3) The first continuing education period for judicial officers who were 40 regularly assigned to hear probate proceedings before the effective date 41 of this rule and who continue in the assignment after that date is two 42 years, from January 1, 2008, through December 31, 2009, rather than 43 three years. The continuing education requirements in (1) are prorated 13
for the first continuing education under this paragraph. The first full 1 2 three-year period of continuing education for judicial officers under this 3 4 paragraph begins on January 1, 2010. 5
(4) The number of hours of education required in (1) or (2) may be reduced 6 proportionately for judicial officers whose regular assignment to hear 7 8 probate proceedings is for a period of less than three years. 9
(5) The education required in (1) or (2) may be applied toward satisfaction 10 of the 30 hours of continuing education expected of judges or required 11 12 of subordinate judicial officers under rule 10.462(d). 13
(6) A judicial officer may fulfill the education requirement in (1) or (2) 14 through AOC-sponsored education, a provider listed in rule 10.481(a), 15 or a provider approved by the judicial officer’s presiding judge as 16 17 meeting the education criteria specified in rule 10.481(b). 18
(7) The education required in (1) or (2) may be by traditional (face-to-face) 19 or distance-learning means, such as broadcasts, videoconferences, or 20 21 online coursework but may not be by self-study. 22
(8) A judicial officer who serves as faculty for a California court-based 23 audience, as defined in rule 10.462(d)(4), for education required in (1) 24 or (2) may be credited with three hours of participation for each hour of 25 presentation the first time a course is given and two hours for each hour 26 27 of presentation each subsequent time the course is given. (
d) Extension of time 28 29 30 The provisions of rule 10.462(
e) concerning extensions of time apply to the 31 content-based and hours-based education required under (
b) and (
c) of this 32 33 rule. (
e) Record keeping and reporting 34 35 36
(1) The provisions of rule 10.462(
f) and (
g) concerning, respectively, 37 tracking participation, record keeping, and summarizing participation 38 by judges and tracking participation by subordinate judicial officers, 39 40 apply to the education required under this rule. 41
(2) Presiding judges’ records of judicial officer participation in the 42 education required by this rule are subject to audit by the AOC under 43 rule 10.462. The AOC may require courts to report participation by 14
judicial officers in the education required by this rule to ensure 1 2 3 4 5 6 compliance with Probate Code
section 1456. Rule 10.468 adopted effective January 1, 2008. Rule 10.478. Content-based and hours-based education for court 7 investigators, probate attorneys, and probate examiners 8 9 (
a) Definitions 10 11 12 As used in this rule, the following terms have the meanings specified below, 13 14 unless the context or subject matter otherwise require: 15
(1) A “court investigator” is a person described in Probate Code
section 16 1454(
a) employed by or under contract with a court to provide the 17 investigative services for the court required or authorized by law in 18 guardianships, conservatorships, and other protective proceedings 19 20 under division 4 of the Probate Code; 21
(2) A “probate attorney” is an active member of the State Bar of California 22 who is employed by a court to perform the functions of a probate 23 examiner and also to provide legal analysis, recommendations, advice, 24 25 and other services to the court pertaining to probate proceedings; 26
(3) A “probate examiner” is a person employed by a court to review filings 27 in probate proceedings in order to assist the court and the parties to get 28 the filed matters properly ready for consideration by the court in 29 accordance with the requirements of the Probate Code, the rules in title 30 31 7 of the California Rules of Court, and the court’s local rules; 32 (4) “Probate proceedings” are decedents’ estates, guardianships and 33 conservatorships under division 4 of the Probate Code, trust 34 proceedings under division 9 of the Probate Code, and other matters 35 governed by provisions of that code and the rules in title 7 of the 36 37 California Rules of Court; 38 39 (5) “AOC” is the Administrative Office of the Courts; 40 (6) “CJER” is the AOC Education Division/Center for Judicial Education 41 and Research. 15
1 (
b) Content-based requirements for court investigators 2 3 4
(1) Each court investigator must complete 18 hours of education within 5 one year of his or her start date after the effective date of this rule. The 6 7 education must include the following general topics: 8 9 (
A) Court process and legal proceedings; 10 (
B) Child abuse and neglect and the effect of domestic violence on 11 children (guardianship investigators); elder and dependent adult 12 abuse, including undue influence and other forms of financial 13 14 abuse (conservatorship investigators); 15 16 (
C) Medical issues; 17 (
D) Access to and use of criminal-record information, confidentiality, 18 19 ethics, conflicts of interest; 20 (
E) Accessing and evaluating community resources for children and 21 22 mentally impaired elderly or developmentally disabled adults; and 23 (
F) Interviewing children and persons with mental function or 24 25 communication deficits. 26
(2) A court investigator may fulfill the education requirement in (1) 27 through AOC-sponsored education, a provider listed in rule 10.481(a), 28 or a provider approved by the court executive officer or the court 29 investigator’s supervisor as meeting the education criteria specified in 30 31 32 33 34 35 36 37 rule 10.481(b).
(3) The education required in (1) may be applied to the specific-job portion of the orientation course required for all new court employees under rule 10.474(b)(2)(
D) and the continuing education required for all nonmanagerial or nonsupervisory court employees under rule 10.474(c)(2). 38
(4) The education required in (1) may be by traditional (face-to-face) or 39 distance-learning means, such as broadcasts, videoconferences, or on- 40 41 line coursework, but may not be by self-study. (
c) Content-based education for probate attorneys 42 43 16
(1) Each probate attorney must complete 18 hours of education within six months of his or her start date after January 1, 2008, in probate-related 2 3 topics, including guardianships, conservatorships, and court-supervised 4 5 fiduciary accounting.
(2) A probate attorney may fulfill the education requirement in (1) through 6 AOC-sponsored education, a provider listed in rule 10.481(a), or a 7 8 provider approved by the court executive officer or the probate 9 attorney’s supervisor as meeting the education criteria specified in rule 10 11 10.481(b). 12
(3) The education required in (1) may be applied to the specific-job portion 13 of the orientation course required for all new court employees under 14 rule 10.474(b)(2)(
D) and the continuing education required for all nonmanagerial or nonsupervisory court employees under rule 10.474(c)(2). 15 16 17 18
(4) The education required in (1) may be by traditional (face-to-face) or 19 distance-learning means, such as broadcasts, videoconferences, or on- 20 21 line coursework, but may not be by self-study. (
d) Content-based education for probate examiners 22 23 24
(1) Each probate examiner must complete 30 hours of education within one 25 year of his or her start date after January 1, 2008, in probate-related 26 topics, of which 18 hours must be in guardianships and 27 28 conservatorships, including court-appointed fiduciary accounting. 29
(2) A probate examiner may fulfill the education requirement in (1) 30 through AOC-sponsored education, a provider listed in rule 10.481(a), 31 or a provider approved by the court executive officer or the probate 32 examiner’s supervisor as meeting the education criteria specified in rule 33 34 10.481(b). 35
(3) The education required in (1) may be applied to the specific-job portion 36 of the orientation course required for all new court employees under 37 rule 10.474(b)(2)(
D) and the continuing education required for all nonmanagerial or nonsupervisory court employees under rule 10.474(c)(2). 38 39 40 41
(4) The education required in (1) may be by traditional (face-to-face) or 42 distance-learning means, such as broadcasts, videoconferences, or 43 online coursework, but may not be by self-study. 17
1 (
e) Hours-based education for court investigators 2 3 4
(1) Each court investigator must complete 12 hours of continuing 5 education on some or all of the general topics listed in (b)(1) each 6 calendar year. For court investigators employed by or performing 7 services under contract with the court before the effective date of this rule, the first calendar year the education is required begins on January 8 9 1, 2008. For court investigators who begin their employment or 10 performance of services under contract with the court after the effective 11 date of this rule, the first year this education is required begins on 12 January 1 of the year immediately following completion of the 13 14 education required in (b). 15
(2) A court investigator may fulfill the education requirement in (1) 16 through AOC-sponsored education, a provider listed in rule 10.481(a), or a provider approved by the court executive officer or the court 17 18 investigator’s supervisor as meeting the education criteria specified in 19 20 rule 10.481(b). 21
(3) The education required in (1) may be applied to the continuing 22 education required for all nonmanagerial or nonsupervisory court 23 24 employees under rule 10.474(c)(2). 25
(4) The education required in (1) may be by traditional (face-to-face) or 26 distance-learning means, such as broadcasts, videoconferences, or 27 28 online coursework, but may not be by self-study. (
f) Hours-based education for probate attorneys 29 30 31
(1) Each probate attorney must complete 12 hours of continuing education 32 each calendar year in probate-related subjects, of which six hours per 33 year must be in guardianships and conservatorships, including court- 34 supervised fiduciary accounting. For probate attorneys employed by or 35 performing services under contract with the court before the effective 36 date of this rule, the first calendar year the education is required begins 37 on January 1, 2008.
For probate attorneys who begin their employment 38 with the court after the effective date of this rule, the first year this education is required begins on January 1 of the year immediately following completion of the education required in (c). 39 40 41
(2) A probate attorney may fulfill the education requirement in (1) through 42 AOC-sponsored education, a provider listed in rule 10.481(a), or a 43 18
provider approved by the court executive officer or the probate 1 2 attorney’s supervisor as meeting the education criteria specified in rule 3 4 10.481(b). 5
(3) The education required in (1) may be applied to the continuing 6 education required for all nonmanagerial or nonsupervisory court 7 8 employees under rule 10.474(c)(2). 9
(4) The education required in (1) may be by traditional (face-to-face) or 10 distance-learning means, such as broadcasts, videoconferences, or 11 12 online coursework, but may not be by self-study. (
g) Hours-based education for probate examiners 13 14 15
(1) Each probate examiner must complete 12 hours of continuing education 16 each calendar year in probate-related subjects, of which six hours per 17 year must be in guardianships and conservatorships, including court- 18 appointed fiduciary accounting. For probate examiners employed by 19 the court before the effective date of this rule, the first calendar year the 20 education is required begins on January 1, 2008. For probate examiners who begin their employment with the court after the effective date of 21 22 this rule, the first year this education is required begins on January 1 of the year immediately following completion of the education required in (d). 23 24 25 26
(2) A probate examiner may fulfill the education requirement in (1) 27 through AOC-sponsored education, a provider listed in rule 10.481(a), 28 or a provider approved by the court executive officer or the probate 29 examiner’s supervisor as meeting the education criteria specified in rule 30 31 10.481(b). 32
(3) The education required in (1) may be applied to the continuing 33 education required for all nonmanagerial or nonsupervisory court 34 35 employees under rule 10.474(c)(2). 36
(4) The education required in (1) may be by traditional (face-to-face) or 37 distance-learning means, such as broadcasts, videoconferences, or 38 39 online coursework, but may not be by self-study. (
h) Extension of time 40 41 42 The provisions of rule 10.474(
d) concerning extensions of time apply to the 43 content-based and hours-based education required under this rule. 19
1 (
i) Record keeping and reporting 2 3 4
(1) The provisions of rule 10.474(
e) concerning the responsibilities of 5 courts and participating court employees to keep records and track the 6 completion of educational requirements apply to the education required 7 8 under this rule. 9
(2) The AOC may require courts to report participation by court 10 investigators, probate attorneys, and probate examiners in the education 11 required by this rule as necessary to ensure compliance with Probate 12 13 14 15 16 17 18 19 20 21 22 23 24 Code
section 1456. Rule 10.478 adopted effective January 1, 2008. Rule 10.481. Approved providers; approved course criteria (
a) Approved providers Any education program offered by any of the following providers that is relevant to the work of the courts or enhances the individual participant’s ability to perform his or her job may be applied toward the education requirements and expectations stated in rules 10.461–10.479, except for the requirements stated in rules 10.461(b), 10.462(b)(c), and 10.473(b), for which specific providers are required: 25 26 27 28 29 (1)–(26) * * * 30 31
(27) The Rutter Group; and 32 33
(28) American Board of Trial Advocates.; and 34 35 36 37 38 39 40 41 42 43
(29) California Association of Superior Court Investigators. (Subd (
a) amended effective January 1, 2008.) (
b) Approved education criteria Education is not limited to the approved providers listed in (a). Any education from a provider not listed in (
a) that is approved by the Chief Justice, the administrative presiding justice, or the presiding judge as meeting the criteria listed below may be applied toward the continuing 20
education expectations and requirements for justices, judges, and subordinate judicial officers or requirements for clerk/administrators or court executive officers. Similarly, any education from a provider not listed in (
a) that is approved by the clerk/administrator, the court executive officer, or the employee’s supervisor as meeting the criteria listed below may be applied toward the orientation or continuing education requirements for managers, supervisors, and other employees 1 2 3 4 5 6 or the content-based or continuing 7 8 education for probate court investigators, probate attorneys, and probate 9 10 11 12 13 14 15 16 17 18 19 20 examiners in rule 10.478. (1)–(2) * * * (Subd (
b) amended effective January 1, 2008.) Rule 10.481 amended and renumbered effective January 1, 2008; adopted as rule 10.471 effective January 1, 2007. Division 4. Trial Court Administration
Chapter 7. Qualifications of Court Investigators, Probate Attorneys, and 21 Probate Examiners 22 23 24 25 26
Chapter 7 adopted effective January 1, 2008. Rule 10.776.
Definitions 27 28 As used in the rules in this chapter, the following terms have the meanings stated below: 29 30 31 32
(1) A “court investigator” is a person described in Probate Code
section 1454(a) 33 employed by or under contract with a court to provide the investigative 34 services for the court required or authorized by law in guardianships, 35 conservatorships, and other protective proceedings under division 4 of the 36 37 Probate Code; 38
(2) A “probate examiner” is a person employed by a court to review filings in 39 probate proceedings in order to assist the court and the parties to get the filed 40 matters ready for consideration by the court in accordance with the 41 requirements of the Probate Code, title 7 of the California Rules of Court, 42 43 and the court’s local rules; 21
(3) A “probate attorney” is an active member of the State Bar of California who 2 is employed by a court to perform the functions of a probate examiner and 3 also to provide legal analysis, recommendations, advice, and other services to 4 5 the court pertaining to probate proceedings; 6 (4) “Probate proceedings” are decedents’ estates, guardianships and 7 conservatorships under division 4 of the Probate Code, trust proceedings 8 under division 9 of the Probate Code, and other matters governed by 9 provisions of that code and the rules in title 7 of the California Rules of 10 11 Court; 12
(5) An “accredited educational institution” is a college or university, including a 13 community or junior college, accredited by a regional accrediting organization recognized by the Council for Higher Education Accreditation; and 14 15 16 17 18 19 20 21 (6) “AOC” is the Administrative Office of the Courts. Rule 10.776 adopted effective January 1, 2008. Rule 10.777. Qualifications of court investigators, probate attorneys, and 22 probate examiners 23 24 (
a) Qualifications of court investigators 25 26 27 Except as otherwise provided in this rule, a person who begins employment 28 with a court or enters into a contract to perform services with a court as a 29 30 court investigator on or after January 1, 2008, must: 31
(1) Have a bachelor of arts or bachelor of science degree in a science, a 32 social science, a behavioral science, liberal arts, or nursing from an 33 34 accredited educational institution; and 35
(2) Have a minimum of two years’ employment experience performing 36 casework or investigations in a legal, financial, law enforcement, or 37 38 social services setting. (
b) Qualifications of probate attorneys 39 40 41 Except as otherwise provided in this rule, a person who begins employment 42 43 with a court as a probate attorney on or after January 1, 2008, must: 22
1 2
(1) Be an active member of the State Bar of California for: 3 4 (
A) A minimum of five years; or 5 (
B) A minimum of two years, plus a minimum of five years’ current 6 or former active membership in the equivalent organization of 7 another state or eligibility to practice in the highest court of 8 9 another state or in a court of the United States; and 10
(2) Have a minimum of two years’ total experience, before or after 11 admission as an active member of the State Bar of California, in one or 12 13 more of the following positions: 14 15 (
A) Court-employed staff attorney; 16 17 (
B) Intern, court probate department (minimum six-month period); 18 (
C) Court-employed probate examiner or court-employed or court- 19 20 contracted court investigator; 21 22 (
D) Attorney in a probate-related public or private legal practice; 23 24 (
E) Deputy public guardian or conservator; 25 (
F) Child protective services or adult protective services worker or 26 27 juvenile probation officer; or 28 (
G) Private professional fiduciary appointed by a court or employee of 29 a private professional fiduciary or bank or trust company 30 appointed by a court, with significant fiduciary responsibilities, 31 32 including responsibility for court accountings. (
c) Qualifications of probate examiners 33 34 35 Except as otherwise provided in this rule, a person who begins employment 36 37 with a court as a probate examiner on or after January 1, 2008, must have: 38
(1) A bachelor of arts or bachelor of science degree from an accredited 39 educational institution and a minimum of two years’ employment 40 41 experience with one or more of the following employers: 42 43 (
A) A court; 23
1 2 (
B) A public or private law office; or (
C) A public administrator, public guardian, public conservator, or private professional fiduciary; or 3 4 5 6
(2) A paralegal certificate or an Associate of Arts degree from an 7 accredited educational institution and a minimum of a total of four 8 years’ employment experience with one or more of the employers listed 9 10 in (1); or 11
(3) A juris doctor degree from an educational institution approved by the 12 American Bar Association or accredited by the Committee of Bar 13 Examiners of the State Bar of California and a minimum of six months’ 14 15 employment experience with an employer listed in (1). (
d) Additional court-imposed qualifications and requirements 16 17 18 The qualifications in (a), (b), and (
c) are minimums. A court may establish 19 higher qualification standards for any position covered by this rule and may 20 require applicants to comply with its customary hiring or personal-service 21 contracting practices, including written applications, personal references, 22 23 personal interviews, or entrance examinations. (
e) Exemption for smaller courts 24 25 26 The qualifications required under this rule may be waived by a court with 27 eight or fewer authorized judges if it cannot find suitable qualified 28 candidates for the positions covered by this rule or for other grounds of 29 hardship. A court electing to waive a qualification under this subdivision 30 must make express written findings showing the circumstances supporting 31 the waiver and disclosing all alternatives considered, including those not 32 33 selected. (
f) Record keeping and reporting 34 35 36 The AOC may require courts to report on the qualifications of the court 37 investigators, probate attorneys, or probate examiners hired or under contract 38 under this rule, and on waivers made under (e), as necessary to ensure 39 40 41 42 43 compliance with Probate Code