AMENDMENTS TO THE CALIFORNIA RULES OF COURT Adopted by the Judicial Council on December 12, 2014, effective on January 1, 2015 Rule 4.411. Presentence investigations and reports ................................................... 2 1 Rule 4.411.5. Probation officer's presentence investigation report ........................... 3 2 Rule 4.415. Criteria affecting the imposition of mandatory supervision ................... 5 3 Rule 10.2. Judicial Council membership and terms .................................................. 7 4 Rule 10.50.

Governing Committee of the Center for Judicial Education and 5 Research ...................................................................................................................... 8 6 Rule 10.65. Trial Court Facility Modification Advisory Committee ........................ 8 7 Rule 10.66. Workload Assessment Advisory Committee ....................................... 10 8 Rule 10.67. Judicial Branch Workers’ Compensation Advisory Committee .......... 10 9 10

Rule 4.411. Presentence investigations and reports 1 2 (

a) Eligible defendant 3 4 If the defendant is eligible for probation or a term of imprisonment in county jail 5 under

section 1170(h), the court must refer the matter to the probation officer for a 6 presentence investigation and report. Waivers of the presentence report should not 7 be accepted except in unusual circumstances. 8 9 (Subd (

a) amended effective January 1, 2015; previously amended effective January 1, 10 2007.) 11 12 (

b) Ineligible defendant 13 14 Even if the defendant is not eligible for probation or a term of imprisonment in 15 county jail under

section 1170(h), the court should refer the matter to the probation 16 officer for a presentence investigation and report. 17 18 (Subd (

b) amended effective January 1, 2015.) 19 20 (c) * * * 21 22 (

d) Purpose of presentence investigation report 23 24 Probation officers' reports are used by judges in determining the appropriate term 25 of imprisonment in length of a prison or county jail sentence under

section 1170(h) 26 and by the Department of Corrections and Rehabilitation, Division of Adult 27 Operations in deciding on the type of facility and program in which to place a 28 defendant. , The reports and are also used by courts in deciding whether probation 29 is appropriate, whether a period of mandatory supervision should be denied in the 30 interests of justice under

section 1170(h)(5)(A), and the appropriate length and 31 conditions of probation and mandatory supervision.

Section 1203c requires a 32 probation officer's report on every person sentenced to prison; ordering the report 33 before sentencing in probation-ineligible cases will help ensure a well-prepared 34 report. 35 36 (Subd (

d) amended effective January 1, 2015; previously amended effective January 1, 37 2006 and January 1, 2007.) 38 39 Rule 4.411 amended effective January 1, 2015; adopted as rule 418 effective July 1, 1977; 40 previously amended and renumbered as rule 411 effective January 1, 1991; previously 41 renumbered effective January 1, 2001; previously amended effective January 1, 2006 and 42 January 1, 2007. 43

1 Advisory Committee Comment 2 3

Section 1203 requires a presentence report in every felony case in which the defendant is eligible 4 for probation. Subdivision (

a) requires a presentence report in every felony case in which the 5 defendant is eligible for a term of imprisonment in county jail under

section 1170(h). Because 6 such a probation investigation and report are valuable to the judge and to the jail and prison 7 authorities, waivers of the report and requests for immediate sentencing are discouraged, even 8 when the defendant and counsel have agreed to a prison sentence or a term of imprisonment in 9 county jail under

section 1170(h). 10 11 Notwithstanding a defendant's statutory ineligibility for probation or term of imprisonment in 12 county jail under

section 1170(h), a presentence investigation and report should be ordered to 13 assist the court in deciding the appropriate sentence and to facilitate compliance with

section 14 1203c. 15 16 This rule does not prohibit pre-conviction, pre-plea reports as authorized by

section 1203.7. 17 18 Subdivision (

c) is based on case law that generally requires a supplemental report if the defendant 19 is to be resentenced a significant time after the original sentencing, as, for example, after a 20 remand by an appellate court, or after the apprehension of a defendant who failed to appear at 21 sentencing. The rule is not intended to expand on the requirements of those cases. 22 23 The rule does not require a new investigation and report if a recent report is available and can be 24 incorporated by reference and there is no indication of changed circumstances.

This is particularly 25 true if a report is needed only for the Department of Corrections and Rehabilitation because the 26 defendant has waived a report and agreed to a prison sentence. If a full report was prepared in 27 another case in the same or another jurisdiction within the preceeding preceding six months, 28 during which time the defendant was in custody, and that report is available to the Department of 29 Corrections and Rehabilitation, it is unlikely that a new investigation is needed. 30 31 32 Rule 4.411.5. Probation officer's presentence investigation report 33 34 (

a) Contents 35 36 A probation officer's presentence investigation report in a felony case must include 37 at least the following: 38 39 (1)–(7) * * * 40 41

(8) Any available, reliable risk/needs assessment information. 42 43

(8) (9) An evaluation of factors relating to disposition. This

section must include: 1 2 (

A) A reasoned discussion of the defendant's suitability and eligibility for 3 probation, and, if probation is recommended, a proposed plan including 4 recommendations for the conditions of probation and any special need 5 for supervision; 6 7 (

B) If a prison sentence or term of imprisonment in county jail under 8

section 1170(

h) is recommended or is likely to be imposed, a reasoned 9 discussion of aggravating and mitigating factors affecting the sentence 10 length; and 11 12 (

C) If denial of a period of mandatory supervision in the interests of justice 13 is recommended, a reasoned discussion of the factors prescribed by rule 14 4.415(b); 15 16 (

D) If a term of imprisonment in county jail under

section 1170(

h) is 17 recommended, a reasoned discussion of the defendant’s suitability for 18 specific terms and length of period of mandatory supervision, including 19 the factors prescribed by rule 4.415(c); and 20 21 (C)(

E) A reasoned discussion of the defendant's ability to make restitution, 22 pay any fine or penalty that may be recommended, or satisfy any 23 special conditions of probation that are proposed. 24 25 Discussions of factors (

A) through (

D) affecting suitability for probation and 26 affecting the sentence length must refer to any sentencing rule directly 27 relevant to the facts of the case, but no rule may be cited without a reasoned 28 discussion of its relevance and relative importance. 29 30 (9)

(10) The probation officer's recommendation. When requested by the 31 sentencing judge or by standing instructions to the probation department, the 32 report must include recommendations concerning the length of any prison or 33 county jail term under

section 1170(

h) that may be imposed, including the 34 base term, the imposition of concurrent or consecutive sentences, and the 35 imposition or striking of the additional terms for enhancements charged and 36 found. 37 38 (10)

(11) Detailed information on presentence time spent by the defendant in 39 custody, including the beginning and ending dates of the period or periods of 40 custody; the existence of any other sentences imposed on the defendant 41 during the period of custody; the amount of good behavior, work, or 42 participation credit to which the defendant is entitled; and whether the sheriff 43

or other officer holding custody, the prosecution, or the defense wishes that a 1 hearing be held for the purposes of denying good behavior, work, or 2 participation credit. 3 4 (11)

(12) A statement of mandatory and recommended restitution, restitution 5 fines, other fines, and costs to be assessed against the defendant, including 6 chargeable probation services and attorney fees under

section 987.8 when 7 appropriate, findings concerning the defendant's ability to pay, and a 8 recommendation whether any restitution order should become a judgment 9 under

section 1203(

j) if unpaid. 10 11 (Subd (

a) amended effective January 1, 2015; previously amended effective January 1, 12 1991, July 1, 2003, and January 1, 2007.) 13 14 (b)–(c) * * * 15 16 Rule 4.411.5 amended effective January 1, 2015; adopted as rule 419 effective July 1, 1981; 17 previously amended and renumbered as rule 411.5 effective January 1, 1991; previously 18 renumbered effective January 1, 2001; previously amended effective July 1, 2003 and January 1, 19 2007. 20 21 Rule 4.415. Criteria affecting the imposition of mandatory supervision 22 23 (

a) Presumption 24 25 When imposing a term of imprisonment in county jail under

section 1170(h), the 26 court must suspend execution of a concluding portion of the term to be served as a 27 period of mandatory supervision unless the court finds, in the interests of justice, 28 that mandatory supervision is not appropriate in a particular case. Because

section 29 1170(h)(5)(

A) establishes a statutory presumption in favor of the imposition of a 30 period of mandatory supervision in all applicable cases, denials of a period of 31 mandatory supervision should be limited. 32 33 (

b) Criteria for denying mandatory supervision in the interests of justice 34 35 In determining that mandatory supervision is not appropriate in the interests of 36 justice under

section 1170(h)(5)(A), the court’s determination must be based on 37 factors that are specific to a particular case or defendant. Factors the court may 38 consider include: 39 40

(1) Consideration of the balance of custody exposure available after imposition 41 of presentence custody credits; 42 43

(2) The defendant’s present status on probation, mandatory supervision, 1 postrelease community supervision, or parole; 2 3

(3) Specific factors related to the defendant that indicate a lack of need for 4 treatment or supervision upon release from custody; and 5 6

(4) Whether the nature, seriousness, or circumstances of the case or the 7 defendant’s past performance on supervision substantially outweigh the 8 benefits of supervision in promoting public safety and the defendant’s 9 successful reentry into the community upon release from custody. 10 11 (

c) Criteria affecting conditions and length of mandatory supervision 12 13 In exercising discretion to select the appropriate period and conditions of 14 mandatory supervision, factors the court may consider include: 15 16

(1) Availability of appropriate community corrections programs; 17 18

(2) Victim restitution, including any conditions or period of supervision 19 necessary to promote the collection of any court-ordered restitution; 20 21

(3) Consideration of length and conditions of supervision to promote the 22 successful reintegration of the defendant into the community upon release 23 from custody; 24 25

(4) Public safety, including protection of any victims and witnesses; 26 27

(5) Past performance and present status on probation, mandatory supervision, 28 postrelease community supervision, and parole; 29 30

(6) The balance of custody exposure after imposition of presentence custody 31 credits; 32 33

(7) Consideration of the statutory accrual of post-sentence custody credits for 34 mandatory supervision under

section 1170(h)(5)(

B) and sentences served in 35 county jail under

section 4019(a)(6); 36 37

(8) The defendant’s specific needs and risk factors identified by a validated 38 risk/needs assessment, if available; and 39 40

(9) The likely effect of extended imprisonment on the defendant and any 41 dependents. 42 43

(

d) Statement of reasons for denial of mandatory supervision 1 2 Notwithstanding rule 4.412(a), when a court denies a period of mandatory 3 supervision in the interests of justice, the court must state the reasons for the denial 4 on the record. 5 6 Rule 4.415 adopted effective January 1, 2015. 7 8 Advisory Committee Comment 9 10 Penal Code

section 1170.3 requires the Judicial Council to adopt rules of court that prescribe 11 criteria for the consideration of the court at the time of sentencing regarding the court’s decision 12 to “[d]eny a period of mandatory supervision in the interests of justice under paragraph (5) of 13 subdivision (

h) of

Section 1170 or determine the appropriate period of and conditions of 14 mandatory supervision.” 15 16 Subdivision (a). Penal Code

section 1170(h)(5)(A): “Unless the court finds, in the interests of 17 justice, that it is not appropriate in a particular case, the court, when imposing a sentence pursuant 18 to paragraph (1) or (2) of this subdivision, shall suspend execution of a concluding portion of the 19 term for a period selected at the court’s discretion.” 20 21 Subdivisions (b)(3), (b)(4), and (c)(3).

The Legislature has declared that “[s]trategies supporting 22 reentering offenders through practices and programs, such as standardized risk and needs 23 assessments, transitional community housing, treatment, medical and mental health services, and 24 employment, have been demonstrated to significantly reduce recidivism among offenders in other 25 states.” (Pen. Code, § 17.7(a).) 26 27 Subdivision (c)(7). Under Penal Code

section 1170(h)(5)(B), defendants serving a period of 28 mandatory supervision are entitled to day-for-day credits: “During the period when the defendant 29 is under such supervision, unless in actual custody related to the sentence imposed by the court, 30 the defendant shall be entitled to only actual time credit against the term of imprisonment 31 imposed by the court.” In contrast, defendants serving terms of imprisonment in county jails 32 under Penal Code

section 1170(

h) are entitled to conduct credits under Penal Code

section 33 4019(a)(6). 34 35 Rule 10.2. Judicial Council membership and terms 36 37 (a)–(d) * * * 38 39 (

e) Restrictions on advisory committee membership 40 41 Unless otherwise provided by these rules or the Chief Justice waives this provision, 42 neither council members nor nonvoting advisory council members may 43

concurrently serve on a council advisory committee. This provision does not apply 1 to members of the following advisory committees: 2 3 (1)–(3) * * * 4 5 (Subd (

e) amended effective January 1, 2015; previously amended effective January 1, 6 2007 and August 14, 2009.) 7 8 Rule 10.2 amended effective January 1, 2015; adopted as rule 6.2 effective January 1, 1999; 9 previously amended and renumbered effective January 1, 2007 and August 14, 2009. 10 11 Rule 10.50. Governing Committee of the Center for Judicial Education and 12 Research 13 14 (a)–(c) * * * 15 16 (

d) Membership 17 18 The committee consists of at least the following members: 19 20

(1) Eight Eleven sitting judicial officers, including at least one appellate court 21 justice and one immediate past presiding judge; 22 23

(2) Three judicial administrators, including a supervisor or manager from a trial 24 or appellate court; 25 26

(3) The Administrative Director of the Courts as an advisory member; 27 28 (4)–(5) * * * 29 30 (Subd (

d) amended effective January 1, 2015; adopted as subd (c); previously relettered 31 and amended effective December 18, 2001.) 32 33 (e)–(f) * * * 34 35 Rule 10.50 amended effective January 1, 2015; adopted as rule 6.50 effective January 1, 1999; 36 previously amended effective December 18, 2001; previously amended and renumbered effective 37 January 1, 2007. 38 39 Rule 10.65. Trial Court Facility Modification Advisory Committee 40 41 (

a) Area of focus 42 43

The committee makes recommendations to the council on facilities modifications, 1 maintenance, and operations; environmental services; and utility management. 2 3 (

b) Additional duties 4 5 In addition to the duties specified in rule 10.34, the committee: 6 7

(1) Makes recommendations to the council on policy issues, business practices, 8 and budget monitoring and control for all facility-related matters in existing 9 branch facilities. 10 11

(2) Makes recommendations to the council on funding and takes additional 12 action in accordance with council policy, both for facility modifications and 13 for operations and maintenance. 14 15

(3) Collaborates with the Court Facilities Advisory Committee in the 16 development of the capital program, including providing input to design 17 standards, prioritization of capital projects, and methods to reduce 18 construction cost without impacting long-term operations and maintenance 19 cost. 20 21

(4) Provides quarterly and annual reports on the facilities modification program 22 in accordance with the council policy. 23 24 (

c) Membership 25 26 The committee consists of members from the following categories: 27 28

(1) Trial court judges; and 29 30

(2) Court executive officers. 31 32 The committee includes the chair and vice-chair of the Court Facilities Advisory 33 Committee, as nonvoting members. 34 35 Rule 10.65 adopted effective January 1, 2015. 36 37 Advisory Committee Comment 38 39 The Judicial Council policy referred to in the rule is contained in the Trial Court Facility 40 Modifications Policy adopted by the council. 41 42

Rule 10.66. Workload Assessment Advisory Committee 1 2 (

a) Area of focus 3 4 The committee makes recommendations to the council on judicial administration 5 standards and measures that provide for the equitable allocation of resources across 6 courts to promote the fair and efficient administration of justice. 7 8 (

b) Additional duties 9 10 In addition to the duties specified in rule 10.34, the committee must recommend: 11 12

(1) Improvements to performance measures and implementation plans and any 13 modifications to the Judicial Workload Assessment and the Resource 14 Assessment Study Model; 15 16

(2) Processes, study design, and methodologies that should be used to measure 17 and report on court administration; and 18 19

(3) Studies and analyses to update and amend case weights through time studies, 20 focus groups, or other methods. 21 22 (

c) Membership 23 24

(1) The advisory committee consists of an equal number of superior court 25 judicial officers and court executive officers reflecting diverse aspects of 26 state trial courts, including urban, suburban, and rural locales; size and 27 adequacy of resources; number of authorized judgeships; and for judicial 28 officers, diversity of case type experience. 29 30

(2) A judicial officer and court executive officer may be from the same court. 31 32 Rule 10.66 adopted effective January 1, 2015. 33 34 Rule 10.67. Judicial Branch Workers’ Compensation Advisory Committee 35 36 (

a) Area of focus 37 38 The committee makes recommendations to the council for improving the statewide 39 administration of the Judicial Branch Workers’ Compensation Program and on 40 allocations to and from the Judicial Branch Workers’ Compensation Fund 41 established under Government Code

section 68114.10. 42 43

(

b) Additional duties 1 2 In addition to the duties specified in rule 10.34, the committee must review: 3 4

(1) The progress of the Judicial Branch Workers’ Compensation Program; 5 6

(2) The annual actuarial report; and 7 8

(3) The annual allocation, including any changes to existing methodologies for 9 allocating workers’ compensation costs. 10 11 (

c) Membership 12 13 The advisory committee consists of persons from trial courts and state judicial 14 branch entities knowledgeable about workers’ compensation matters, including 15 court executive officers, appellate court clerk/administrators, and human resources 16 professionals. 17 18 Rule 10.67 adopted effective January 1, 2015. 19 20 Advisory Committee Comment 21 22 The Judicial Branch Workers’ Compensation Program is administered by the Judicial Council 23 staff under rule 10.350. 24