AMENDMENTS TO THE CALIFORNIA RULES OF COURT Adopted by the Judicial Council on August 26, 2016, effective on August 26, 2016, and January 1, 2017 Rule 10.804. Superior court financial policies and procedures 1 2 (

a) Adoption of financial policies and procedures by the Judicial Council 3 4 As part of its responsibility for regulating the budget and fiscal management of the 5 trial courts, the Judicial Council adopts Tthe Trial Court Financial Policies and 6 Procedures Manual. The manual contains regulations establishing budget 7 procedures, recordkeeping, must be consistent with the rules of court and policies 8 adopted by the Judicial Council and must include accounting standards, and other 9 financial guidelines for superior courts. and policies and procedures for 10 procurement and contracting by superior courts.

These policies and procedures 11 must not modify superior courts’ existing authority to procure, contract for, or use 12 goods or services or the requirement that a court have authorized funding available 13 in order to procure or contract for any good or service. The manual sets out a 14 system of fundamental internal controls that will enable the trial courts to monitor 15 their use of public funds, provide consistent and comparable financial statements, 16 and demonstrate accountability. 17 18 (Subd (

a) amended effective August 26, 2016; previously amended effective January 1, 19 2007, and July 1, 2015.) 20 21 (

b) Amendments Comment period for financial policies and procedures 22 23

(1) Before amending making any substantive amendments to the Trial Court 24 Financial Policies and Procedures Manual, the Judicial Council must make 25 it the amendments available to the superior courts, the California Department 26 of Finance, and the State Controller’s Office for 30 days for comment. 27 28

(2) The Judicial Council delegates to the Administrative Director, under 29

article VI,

section 6 of the California Constitution and other applicable law, 30 the authority to make technical changes and clarifications to the manual, 31 provided the changes and clarifications are consistent with council policies. 32 33 (Subd (

b) amended effective August 26, 2016; previously amended effective January 1, 34 2007, and July 1, 2015.) 35 36 (

c) Date of adherence to financial policies and procedures 37 38 Superior courts must adhere to the requirements contained in the Trial Court 39 Financial Policies and Procedures Manual, except as otherwise provided in the 40

manual. Superior courts must not be required to adhere to any substantive 1 amendment to the manual sooner than 60 days after the amendment is adopted. 2 3 (Subd (

c) amended effective August 26, 2016; previously amended January 1, 2007.) 4 5 Rule 10.804 amended effective August 26, 2016; adopted as rule 6.707 effective January 1, 2001; 6 previously amended and renumbered effective January 1, 2007; previously effective July 1, 2015. 7 8 Advisory Committee Comment 9 10 Subdivision (a). Procurement and contracting policies and procedures for judicial branch entities, 11 including superior courts, are addressed separately in the Judicial Branch Contracting Manual, 12 which the Judicial Council adopted under Public Contract Code

section 19206. 13 14 Subdivision (b)(2). Technical changes and clarifications include clarifying language that (1) does 15 not change any substantive requirement imposed on courts; and (2) corrects typographical errors 16 or citations, or makes reimbursement rate adjustments and other changes that result from changes 17 in federal, state, or local rules, regulations or applicable law. 18 19 Rule 10.491. Minimum education requirements for Judicial Council executives, 20 managers, supervisors, and other employees 21 22 (

a) Applicability 23 24 Orientation and ongoing professional development for Judicial Council staff 25 enables them to effectively provide service, leadership and expertise to the courts 26 and to enhance trust and confidence in the judicial branch. All Judicial Council 27 executives, managers, supervisors, and other employees must complete minimum 28 education requirements. These education requirements are included as a part of the 29 employee performance evaluation process. 30 31 (Subd (

a) amended effective January 1, 2017; previously amended effective January 1, 32 2016.) 33 34 (

b) Content-based requirements Education requirements for new employees and 35 new managers and supervisors 36 37

(1) Each new manager or supervisor must complete the New 38 Manager/Supervisor Orientation within six months of being hired or assigned 39 as a manager or supervisor. Each new employee with supervisory or 40 management responsibilities must complete the New Manager/Supervisor 41 Orientation within six months of being hired or appointed or as soon as 42 possible after being hired or appointed. 43

(2) Each new employee, including each new manager or supervisor, must 2 complete New Employee Orientation within six months of being hired and 3 should complete it as soon as possible after being hired. Each new employee, 4 including those with supervisory or management responsibilities, must 5 complete the New Employee Orientation within six months of being hired or 6 as soon as possible after being hired. 7 8

(3) The Administrative Director may require new managers, supervisors, and 9 other employees to complete specific compliance courses in addition to the 10 required orientation courses. Completion of the orientation courses counts 11 toward the education hours requirement in (c). 12 13 (Subd (

b) amended effective January 1, 2017; previously amended effective January 1, 14 2016.) 15 16 (

c) Hours-based requirements Continuing education requirements 17 18

(1) Each executive must complete 30 hours of continuing education every two 19 years. Each employee must complete 20 hours of continuing education every 20 two years, beginning on January 1, 2017. 21 22

(2) For new employees beginning employment after July 1 of any year, the 23 education hours may be prorated for that year at the discretion of the 24 employee’s supervisor. 25 26 (2)

(3) Each manager or supervisor must complete 18 hours of continuing education 27 every two years. The Administrative Director may require employees to 28 complete specific compliance courses or specific courses for management. 29 This compliance education applies toward the continuing education 30 requirement in (c)(1) on an hour-for-hour basis. 31 32 (3)

(4) Each employee who is not an executive, manager, or supervisor must 33 complete 12 hours of continuing education every two years. Education 34 offered by an approved provider described in rule 10.481(a), as well as 35 education that is approved by the employee’s supervisor as meeting the 36 criteria listed in rule 10.481(b), applies toward the employee’s continuing 37 education requirement. 38 39

(5) Continuing education may be live (face-to-face) or distance education, such 40 as webinars, videoconferencing, online courses, and broadcasts. 41 42

(4) (6) The orientation courses and the compliance courses required for new 1 managers, supervisors, and other employees under (

b) do not apply toward 2 the required hours of continuing education. Each new executive enters the 3 two-year continuing education period on the first day of the quarter following 4 his or her appointment, and each new manager, supervisor, and employee 5 enters the two-year continuing education period on the first day of the quarter 6 following the six-month period provided for his or her completion of the 7 orientation courses and the compliance courses required under (b); the 8 quarters begin on January 1, April 1, July 1, and October 1.

Each executive, 9 manager, supervisor, or employee who enters the two-year continuing 10 education period after it has begun must complete a prorated number of 11 continuing education hours for that two-year period, based on the number of 12 quarters remaining in it. Participation in education, whether as a learner or as 13 faculty, counts toward an employee’s continuing education requirement 14 under this rule on an hour-for-hour basis. 15 16

(5) Any education offered by an approved provider (see rule 10.481(a)) and any 17 other education, including education taken to satisfy a statutory, rules-based, 18 or other education requirement, that is approved by the employee’s 19 supervisor as meeting the criteria listed in rule 10.481(

b) applies toward the 20 continuing education required under (c)(1)–(3). 21 22

(6) Each hour of participation in traditional (live, face-to-face) education; 23 distance education such as broadcasts, videoconference courses, and online 24 coursework; and faculty service counts toward the requirement on an hour- 25 for-hour basis. The Administrative Director or an executive, manager, or 26 supervisor, if delegated by the Administrative Director, has discretion to 27 determine the number of hours, if any, of traditional (live, face-to-face) 28 education required to meet the continuing education requirement. 29 30

(7) An executive, manager, supervisor, or employee who serves as faculty by 31 teaching legal or judicial education to a legal or judicial audience may apply 32 education hours as faculty service. Credit for faculty service counts toward 33 the continuing education requirement in the same manner as all other types of 34 education— on an hour-for-hour basis. 35 36

(8) The Administrative Director of the Courts may require executives, managers, 37 supervisors, and other employees to complete specific AOC compliance 38 courses as part of the continuing education requirements. 39 40 (Subd (

c) amended effective January 1, 2017; previously amended effective January 1, 41 2012, July 1, 2013, and January 1, 2016.) 42 43

(

d) Extension of time 1 2

(1) For good cause, the Administrative Director or an executive, manager, or 3 supervisor, if delegated by the Administrative Director, may grant a one-year 4 extension of time to complete the education requirements in this rule. If an 5 extension is granted, the subsequent two-year compliance period begins 6 immediately after the extended compliance period ends, unless otherwise 7 determined by the Administrative Director. 8 9

(2) If the Administrative Director, or an executive, manager, or supervisor, 10 grants a request for an extension of time, the individual who made the 11 request, in consultation with the Administrative Director or the individual’s 12 supervisor, must also pursue interim means of obtaining relevant educational 13 content. 14 15 (

e) Records of participation 16 17

(1) An employee's completion of any course listed in the learning management 18 system is automatically tracked. 19 20

(2) An employee's completion of specified online training is automatically 21 tracked as well. 22 23

(3) Each employee is responsible for tracking completion of any training that is 24 not automatically tracked in the learning management system. After 25 completion of the training, the employee must enter it in the employee's 26 individual record in the learning management system. 27 28 (

f) Responsibilities of Administrative Director and of Judicial Council executives, 29 managers, and supervisors 30 31 The Administrative Director and each Judicial Council executive, manager, and 32 supervisor: 33 34

(1) Must grant sufficient time to all employees to enable them to complete the 35 minimum education requirements stated in (b)–(c); 36 37

(2) Should allow and encourage employees, in addition to participating as 38 students in education activities, to serve on employee education committees 39 and as faculty at judicial branch education programs when an employee’s 40 services have been requested for these purposes; 41 42

(3) Should establish an education plan for their employees to facilitate their 1 involvement as both participants and faculty in educational activities, and 2 should consult with each employee regarding his or her education needs and 3 requirements and professional development; and 4 5

(4) Must ensure that executives, managers, supervisors, and other employees are 6 reimbursed in accordance with the travel policies issued by the Judicial 7 Council for travel expenses incurred in attending in-state education programs 8 as a participant in order to complete the minimum education requirements in 9 (b)–(c). Provisions for these expenses must be part of the Judicial Council’s 10 budget.

The Administrative Director may approve reimbursement of travel 11 expenses incurred by executives, managers, supervisors, and other employees 12 in attending out-of-state education programs as participants. 13 14 Rule 10.491 amended effective January 1, 2017; adopted effective January 1, 2008; previously 15 amended effective July 1, 2008, January 1, 2012, July 1, 2013, and January 1, 2016. 16 17 Advisory Committee Comment 18 19 The time frame for completion of compliance courses based on statutory or regulatory mandates 20 is unaffected by the one-year extension in (d)(1). 21