AMENDMENTS TO THE CALIFORNIA RULES OF COURT (2017)

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AMENDMENTS TO THE CALIFORNIA RULES OF COURT

Adopted by the Judicial Council on September 14–15, 2017, effective January 1, 2018

Rule 2.893. Appointment of interpreters in court proceedings .................................. 4

Rule 4.102. Uniform bail and penalty schedules—traffic, boating, fish and game,

forestry, public utilities, parks and recreation, business licensing ............................ 10

Rule 4.130. Mental competency proceedings ........................................................... 10

Division 5. Sentencing-Determinate Felony Sentencing Law ...................................... 12

Rule 4.403. Application ............................................................................................ 12

Rule 4.405. Definitions ............................................................................................. 13

Rule 4.406. Reasons.................................................................................................. 15

Rule 4.408. Criteria Listing of factors not exclusive; sequence not significant ....... 17

Rule 4.409. Consideration of criteria relevant factors .............................................. 18

Rule 4.410. General objectives in sentencing ........................................................... 18

Rule 4.411. Presentence investigations and reports .................................................. 19

Rule 4.411.5. Probation officer’s presentence investigation report .......................... 22

Rule 4.412. Reasons—agreement to punishment as an adequate reason and as

abandonment of certain claims ................................................................................. 23

Rule 4.413. Probation eligibility when probation is limited Grant of probation when

defendant is presumptively ineligible for probation ................................................. 24

Rule 4.415. Criteria affecting the imposition of mandatory supervision .................. 25

Rule 4.420. Selection of term of imprisonment ........................................................ 26

Rule 4.421. Circumstances in aggravation ............................................................... 27

Rule 4.423. Circumstances in mitigation .................................................................. 29

Rule 4.425. Criteria Factors affecting concurrent or consecutive sentences ............ 29

Rule 4.428. Criteria Factors affecting imposition of enhancements ......................... 30

Rule 4.433. Matters to be considered at time set for sentencing .............................. 31

Rule 4.435. Sentencing on revocation of probation, mandatory supervision, and

postrelease community supervision .......................................................................... 33

Rule 4.437. Statements in aggravation and mitigation ............................................. 34

Rule 4.447. Limitations on enhancements Sentencing of enhancements ................. 35

Rule 4.451. Sentence consecutive to or concurrent with indeterminate term or to

term in other jurisdiction ........................................................................................... 36

Rule 4.452. Determinate sentence consecutive to prior determinate sentence ......... 38

Rule 8.25. Service, filing, and filing fees ................................................................. 38

Rule 8.36. Substituting parties; substituting or withdrawing attorneys ................... 39

Rule 8.100. Filing the appeal ................................................................................... 39

Rule 8.137. Settled statement.................................................................................... 40

Rule 8.212. Service and filing of briefs ................................................................... 47

Rule 8.248. Prehearing conference .......................................................................... 48

Rule 8.256. Oral argument and submission of the cause ......................................... 49

Rule 8.264. Filing, finality, and modification of decision ....................................... 49

Rule 8.272. Remittitur.............................................................................................. 50

Rule 8.278. Costs on appeal ..................................................................................... 52

Rule 8.336. Preparing, certifying, and sending the record....................................... 52

Rule 8.380. Petition for writ of habeas corpus filed by petitioner not represented by

an attorney................................................................................................................. 53

Rule 8.384. Petition for writ of habeas corpus filed by an attorney for a party ........ 53

Rule 8.452. Writ petition to review order setting hearing under Welfare and

Institutions Code section 366.26 ............................................................................... 54

Rule 8.456. Writ petition under Welfare and Institutions Code section 366.28 to

review order designating or denying specific placement of a dependent child after

termination of parental rights .................................................................................... 54

Rule 8.495. Review of Workers’ Compensation Appeals Board cases .................... 55

Rule 8.500. Petition for review ................................................................................ 55

Rule 8.508. Petition for review to exhaust state remedies ....................................... 57

Rule 8.512. Ordering review .................................................................................... 57

Rule 8.528. Disposition............................................................................................ 58

Rule 8.532. Filing, finality, and modification of decision ....................................... 59

Rule 8.540. Remittitur.............................................................................................. 59

Rule 8.600. In general .............................................................................................. 60

Rule 8.630. Briefs by parties and amicus curiae ....................................................... 61

Rule 8.634. Transmitting exhibits; augmenting the record in the Supreme Court .. 62

Rule 8.882. Briefs by parties and amici curiae ........................................................ 62

Rule 8.887. Decisions .............................................................................................. 63

Rule 8.931. Petitions filed by persons not represented by an attorney ..................... 64

Rule 8.972. Petitions filed by persons not represented by an attorney ..................... 64

Rule 8.1005. Certification for transfer by the appellate division ............................. 65

Rule 8.1007. Transmitting record to Court of Appeal ............................................. 65

Rule 8.1018. Finality and remittitur ......................................................................... 66

Rule 10.40. Appellate Advisory Committee ............................................................ 67

Rule 10.62. Court Facilities Advisory Committee................................................... 67

Rule 10.67. Judicial Branch Workers’ Compensation Program Advisory Committee

................................................................................................................................... 68

Rule 10.102. Acceptance of gifts ............................................................................. 68

Rule 10.104. Limitation on contracting with former employees ............................. 69

Rule 10.452. Minimum education requirements, expectations, and

recommendations ...................................................................................................... 69

Rule 10.471. Minimum education requirements for Supreme Court and Court of

Appeal clerks/executive officers administrators ....................................................... 71

Rule 10.472. Minimum education requirements for Supreme Court and Court of

Appeal managing attorneys, supervisors, and other personnel ................................. 73

Rule 10.481. Approved providers; approved course criteria ................................... 75

Rule 10.1004. Court of Appeal administrative presiding justice ............................. 75

Rule 10.1008. Courts of Appeal with more than one division................................. 76

Rule 10.1020. Reviewing court clerk/executive officer administrator .................... 76

Rule 10.1028. Preservation and destruction of Court of Appeal records ................ 79

Standard 4.35. Court use of risk/needs assessments at sentencing ........................... 80

Rule 2.893. Appointment of interpreters in court proceedings

(a)

Application

This rule applies to all trial court proceedings in which the court appoints an

interpreter for a Limited English Proficient (LEP) person. This rule applies to

spoken language interpreters in languages designated and not designated by the

Judicial Council.

(b)

Definitions

As used in this rule:

(1)

“Designated language” means a language selected by the Judicial Council for

the development of a certification program under Government Code section

68562;

(2)

“Certified interpreter” means an interpreter who is certified by the Judicial

Council to interpret a language designated by the Judicial Council under

Government Code section 68560 et seq.;

(3)

“Registered interpreter” means an interpreter in a language not designated by

the Judicial Council, who is qualified by the court under the qualification

procedures and guidelines adopted by the Judicial Council, and who has

passed a minimum of an English fluency examination offered by a testing

entity approved by the Judicial Council under Government Code section

68560 et seq.;

(4)

“Noncertified interpreter” means an interpreter who is not certified by the

Judicial Council to interpret a language designated by the Judicial Council

under Government Code section 68560 et seq.;

(5)

“Nonregistered interpreter” means an interpreter in a language not designated

by the Judicial Council who has not been qualified under the qualification

procedures and guidelines adopted by the Judicial Council under Government

Code section 68560 et seq.;

(6)

“Provisionally qualified” means an interpreter who is neither certified nor

registered but has been qualified under the good cause and qualification

procedures and guidelines adopted by the Judicial Council under Government

Code section 68560 et seq.;

(7)

(c)

“Temporary interpreter” means an interpreter who is not certified, registered,

or provisionally qualified, but is used one time, in a brief, routine matter.

Appointment of certified or registered interpreters

If a court appoints a certified or registered court interpreter, the judge in the

proceeding must require the following to be stated on the record:

(d)

(1)

The language to be interpreted;

(2)

The name of the interpreter;

(3)

The interpreter’s current certification or registration number;

(4)

A statement that the interpreter’s identification has been verified as required

by statute;

(5)

A statement that the interpreter is certified or registered to interpret in the

language to be interpreted; and

(6)

A statement that the interpreter was administered the interpreter’s oath or that

he or she has an oath on file with the court.

Appointment or use of noncertified or nonregistered interpreters

(1)

When permissible

If after a diligent search a certified or registered interpreter is not available,

the judge in the proceeding may either appoint a noncertified or nonregistered

interpreter who has been provisionally qualified under (d)(3) or, in the

limited circumstances specified in (d)(4), may use a noncertified or

nonregistered interpreter who is not provisionally qualified.

(2)

Required record

In all cases in which a noncertified or nonregistered interpreter is appointed

or used, the judge in the proceeding must require the following to be stated

on the record:

(A)

The language to be interpreted;

(B)

A finding that a certified or registered interpreter is not available and a

statement regarding whether a Certification of Unavailability of

Certified or Registered Interpreter (form INT-120) for the language to

be interpreted is on file for this date with the court administrator;

(3)

(C)

A finding that good cause exists to appoint a noncertified or

nonregistered interpreter;

(D)

The name of the interpreter;

(E)

A statement that the interpreter is not certified or registered to interpret

in the language to be interpreted;

(F)

A finding that the interpreter is qualified to interpret in the proceeding

as required in (d)(3) or (d)(4); and

(G)

A statement that the interpreter was administered the interpreter’s oath.

Provisional qualification

(A)

(B)

A noncertified or nonregistered interpreter is provisionally qualified if

the presiding judge of the court or other judicial officer designated by

the presiding judge:

(i)

Finds the noncertified or nonregistered interpreter to be

provisionally qualified following the Procedures to Appoint a

Noncertified or Nonregistered Spoken Language Interpreter as

Either Provisionally Qualified or Temporary (form INT-100INFO); and

(ii)

Signs an order allowing the interpreter to be considered for

appointment on Qualifications of a Noncertified or Nonregistered

Spoken Language Interpreter (form INT-110). The period

covered by this order may not exceed a maximum of six months.

To appoint a provisionally qualified interpreter, in addition to the

matters that must be stated on the record under (d)(2), the judge in the

proceeding must state on the record:

(i)

A finding that the interpreter is qualified to interpret the

proceeding, following procedures adopted by the Judicial Council

(see forms INT-100-INFO, INT-110, and INT-120);

(ii)

A finding, if applicable, that good cause exists under (f)(1)(B)

for the court to appoint the interpreter beyond the time

ordinarily allowed in (f); and

(iii)

(4)

Temporary use

At the request of an LEP person, a temporary interpreter may be used to

prevent burdensome delay or in other unusual circumstances if:

(A)

(B)

(e)

If a party has objected to the appointment of the proposed

interpreter or has waived the appointment of a certified or

registered interpreter.

The judge in the proceeding finds on the record that:

(i)

The LEP person has been informed of their right to an

interpreter and has waived the appointment of a certified or

registered interpreter or an interpreter who could be

provisionally qualified by the presiding judge as provided in

(d)(3);

(ii)

Good cause exists to appoint an interpreter who is not certified,

registered, or provisionally qualified; and

(iii)

The interpreter is qualified to interpret that proceeding,

following procedures adopted by the Judicial Council (see

forms INT-100-INFO and INT-140).

The use of an interpreter under this subdivision is limited to a single

brief, routine matter before the court. The use of the interpreter in this

circumstance may not be extended to subsequent proceedings without

again following the procedure set forth in this subdivision.

Appointment of intermediary interpreters working between two languages

that do not include English

An interpreter who works as an intermediary between two languages that do not

include English (a relay interpreter) is not eligible to become certified or registered.

However, a relay interpreter can become provisionally qualified if the judge finds

that he or she is qualified to interpret the proceeding following procedures adopted

by the Judicial Council (see forms INT-100-INFO, INT-110, and INT-120). The

limitations in (f) below do not apply to relay interpreters.

(f)

Limit on appointment of provisionally qualified noncertified and

nonregistered interpreters

(1)

A noncertified or nonregistered interpreter who is provisionally qualified

under (d)(3) may not interpret in any trial court for more than any four

six-month periods, except in the following circumstances:

(A) A noncertified interpreter of Spanish may be allowed to interpret for no

more than any two six-month periods in counties with a population

greater than 80,000.

(B)

A noncertified or nonregistered interpreter may be allowed to interpret

more than any four six-month periods, or any two six-month periods

for an interpreter of Spanish under (f)(1)(A), if the judge in the

proceeding makes a specific finding on the record in each case in which

the interpreter is sworn that good cause exists to appoint the interpreter,

notwithstanding the interpreter’s failure to achieve Judicial Council

certification.

(2)

Except as provided in (f)(3), each six-month period under (f)(1) begins on the

date a presiding judge signs an order under (d)(3)(A)(ii) allowing the

noncertified or nonregistered interpreter to be considered for appointment.

(3)

If an interpreter is provisionally qualified under (d)(3) in more than one court

at the same time, each six-month period runs concurrently for purposes of

determining the maximum periods allowed in this subdivision.

(4)

Beginning with the second six-month period under (f)(1), a noncertified or

nonregistered interpreter may be appointed if he or she meets all of the

following conditions:

(A)

The interpreter has taken the State of California Court Interpreter

Written Exam at least once during the 12 calendar months before the

appointment;

(B)

The interpreter has taken the State of California’s court interpreter

ethics course for interpreters seeking appointment as a noncertified or

nonregistered interpreter, or is certified or registered in a different

language from the one in which he or she is being appointed; and

(C)

The interpreter has taken the State of California’s online court

interpreter orientation course, or is certified or registered in a different

language from the one in which he or she is being appointed.

(5)

Beginning with the third six-month period under (f)(1), a noncertified or

nonregistered interpreter may be appointed if he or she meets all of the

following conditions:

(A)

The interpreter has taken and passed the State of California Court

Interpreter Written Exam with such timing that he or she is eligible to

take a Bilingual Interpreting Exam; and

(B)

The interpreter has taken either the Bilingual Interpreting Exam or the

relevant Oral Proficiency Exam(s) for his or her language pairing at

least once during the 12 calendar months before the appointment.

(6)

The restrictions in (f)(5)(B) do not apply to any interpreter who seeks

appointment in a language pairing for which no exam is available.

(7)

The restrictions in (f)(4) and (5) may be waived by the presiding judge for

good cause whenever there are fewer than 25 certified or registered

interpreters enrolled on the Judicial Council’s statewide roster for the

language requiring interpretation.

Advisory Committee Comment

Subdivisions (c) and (d)(2). When a court reporter is transcribing the proceedings, or an

electronic recording is being made of the proceedings, a judge may satisfy the “on the record”

requirement by stating the required details of the interpreter appointment in open court. If there is

no court reporter and no electronic recording is being made, the “on the record” requirement may

be satisfied by stating the required details of the interpreter appointment and documenting them in

writing—such as in a minute order, the official clerk’s minutes, a formal order, or even a

handwritten document—that is entered in the case file.

Subdivision (d)(4). This provision is intended to allow for the one-time use of a noncertified or

nonregistered interpreter who is not provisionally qualified to interpret for an LEP person in a

courtroom event. This provision is not intended to be used to meet the extended or ongoing

interpretation needs of LEP court users.

Subdivision (b)(7) and (d)(4). When determining whether the matter before the court is a “brief,

routine matter” for which a noncertified or nonregistered interpreter who has not been

provisionally qualified may be used, the judicial officer should consider the complexity of the

matter at issue and likelihood of potential impacts on the LEP person’s substantive rights,

keeping in mind the consequences that could flow from inaccurate or incomplete interpretation of

the proceedings.

Rule 2.893 adopted effective January 1, 2018.

Rule 4.102. Uniform bail and penalty schedules—traffic, boating, fish and game,

forestry, public utilities, parks and recreation, business licensing

***

Note:

Courts may obtain copies of the Uniform Bail and Penalty Schedules by contacting:

Criminal Justice Services

Judicial Council of California

455 Golden Gate Avenue

San Francisco, CA 94102-3688

(415) 865-7611

www.courts.ca.gov/7532.htm

Rule 4.102 amended effective January 1, 2018; adopted as rule 850 effective January 1, 1965;

previously renumbered as rule 4.102 and amended effective January 1, 2001; previously

amended effective January 1, 1970, January 1, 1971, July 1, 1972, January 1, 1973, January 1,

1974, July 1, 1975, July 1, 1979, July 1, 1980, July 1, 1981, January 1, 1983, July 1, 1984, July 1,

1986, January 1, 1989, January 1, 1990, January 1, 1993, January 1, 1995, January 1, 1997,

July 1, 2004, January 1, 2007, July 1, 2013, and January 1, 2016.

Rule 4.130. Mental competency proceedings

(a)

Application

(1)

This rule applies to proceedings in the superior court under Penal Code

section 1367 et seq. to determine the mental competency of a criminal

defendant.

(2)

The requirements of subdivision (d)(2) apply only to a formal competency

evaluation ordered by the court under Penal Code section 1369(a).

(3)

The requirements of subdivision (d)(2) do not apply to a brief preliminary

evaluation of the defendant’s competency if:

(A)

The parties stipulate to a brief preliminary evaluation; and

(B)

The court orders the evaluation in accordance with a local rule of court

that specifies the content of the evaluation and the procedure for its

preparation and submission to the court.

(Subd (a) amended effective January 1, 2018.)

(b)–(c) * * *

(d)

Examination of defendant after initiation of mental competency proceedings

(1)

***

(2)

Any court-appointed experts must examine the defendant and advise the

court on the defendant’s competency to stand trial. Experts’ reports are to be

submitted to the court, counsel for the defendant, and the prosecution. The

report must include the following:

(A)

A brief statement of the examiner’s training and previous experience as

it relates to examining the competence of a criminal defendant to stand

trial and preparing a resulting report;

(B)

A summary of the examination conducted by the examiner on the

defendant, including a current diagnosis under the most recent version

of the Diagnostic and Statistical Manual of Mental Disorders, if

possible, of the defendant’s mental disorder and a summary of the

defendant’s mental status;

(C)

A detailed analysis of the competence of the defendant to stand trial

using California’s current legal standard, including the defendant’s

ability or inability to understand the nature of the criminal proceedings

or assist counsel in the conduct of a defense in a rational manner as a

result of a mental disorder;

(D)

A summary of an assessment—conducted for malingering or feigning

symptoms, if clinically indicated—which may include, but need not be

limited to, psychological testing;

(E)

Under Penal Code section 1369, a statement on whether treatment with

antipsychotic or other medication is medically appropriate for the

defendant, whether the treatment is likely to restore the defendant to

mental competence, a list of likely or potential side effects of the

medication, the expected efficacy of the medication, possible

alternative treatments, whether it is medically appropriate to administer

antipsychotic or other medication in the county jail, and whether the

defendant has capacity to make decisions regarding antipsychotic or

other medication. If an examining psychologist is of the opinion that a

referral to a psychiatrist is necessary to address these issues, the

psychologist must inform the court of this opinion and his or her

recommendation that a psychiatrist should examine the defendant;

(3)

(F)

A list of all sources of information considered by the examiner,

including legal, medical, school, military, regional center, employment,

hospital, and psychiatric records; the evaluations of other experts; the

results of psychological testing; police reports; criminal history;

statement of the defendant; statements of any witnesses to the alleged

crime; booking information, mental health screenings, and mental

health records following the alleged crime; consultation with the

prosecutor and defendant’s attorney; and any other collateral sources

considered in reaching his or her conclusion; and

(G)

A recommendation, if possible, for a placement or type of placement or

treatment program that is most appropriate for restoring the defendant

to competency.

***

(Subd (d) amended effective January 1, 2018.)

(e)–(f) * * *

Rule 4.130 amended effective January 1, 2018; adopted effective January 1, 2007.

Division 5. Sentencing-Determinate Felony Sentencing Law

Rule 4.403. Application

These rules apply to criminal cases in which the defendant is convicted of one or more

offenses punishable as a felony by (1) a determinate sentence imposed under Penal Code

part 2, title 7, chapter 4.5 (commencing with section 1170) and (2) an indeterminate

sentence imposed under section 1168(b) only if it is imposed relative to other offenses

with determinate terms or enhancements.

Rule 4.403 amended effective January 1, 2018; adopted as rule 403 effective July 1, 1977;

previously amended and renumbered effective January 1, 2001; previously amended effective

July 1, 2003, January 1, 2007, and January 1, 2017.

Advisory Committee Comment

The sentencing rules do not apply to offenses carrying a life term or other indeterminate sentences

for which sentence is imposed under section 1168(b).

The operative portions of section 1170 deal exclusively with prison sentences; and the mandate to

the Judicial Council in section 1170.3 is limited to criteria affecting the length of prison sentences,

sentences in county jail under section 1170(h), and the grant or denial of probation.

Rule 4.405. Definitions

As used in this division, unless the context otherwise requires:

(1)

***

(2)

“Base term” is the determinate term in prison term or county jail under section

1170(h) selected from among the three possible terms prescribed by statute; or the

determinate term in prison term or county jail under section 1170(h) prescribed by

law statute if a range of three possible terms is not prescribed; or the indeterminate

term in prison prescribed by statute.

(3)

***

(4)

“Aggravation,” or “circumstances in aggravation,” “mitigation,” or “circumstances

in mitigation” means factors that the court may consider in its broad sentencing

discretion in imposing one of the three authorized terms of imprisonment referred

to in section 1170(b) authorized by statute and under these rules.

(5)

“Mitigation” or circumstances in mitigation” means factors that the court may

consider in its broad discretion in imposing one of the three authorized terms of

imprisonment referred to in section 1170(b) or factors that may justify the court in

striking the additional punishment for an enhancement when the court has

discretion to do so.

(6)(5) “Sentence choice” means the selection of any disposition of the case that does not

amount to a dismissal, acquittal, or grant of a new trial.

(7)(6) “Section” means a section of the Penal Code.

(8)(7) “Imprisonment” means confinement in a state prison or county jail under section

1170(h).

(9)(8) “Charged” means charged in the indictment or information.

(10)(9) “Found” means admitted by the defendant or found to be true by the trier of fact

upon trial.

(11)(10) “Mandatory supervision” means the period of supervision defined in section

1170(h)(5)(A), (B).

(12)(11) “Postrelease community supervision” means the period of supervision governed

by section 3451 et seq.

(12) “Risk/needs assessment” means a standardized, validated evaluation tool designed

to measure an offender’s actuarial risk factors and specific needs that, if

successfully addressed, may reduce the likelihood of future criminal activity.

(13)–(16) * * *

Rule 4.405 amended effective January 1, 2018; 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, January 1, 2007, May 23, 2007, and January 1, 2017.

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. 270, the Legislature

amended the determinate sentencing law to remove the presumption that the court is to impose the

middle term on a sentencing triad, absent aggravating or mitigating circumstances. (See Sen. Bill

40; Stats. 2007, ch. 3.) It subsequently amended sections 186.22, 186.33, 1170.1, 12021.5,

12022.2, and 12022.4 to eliminate the presumptive middle term for an enhancement. (See Sen.

Bill 150; Stats. 2009, ch. 171.) Instead of finding facts in support of a sentencing choice, courts

are now required to state reasons for the exercise of judicial discretion in sentencing. 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.”

This language was subsequently changed to “three authorized terms of imprisonment” to

incorporate county jail sentences under section 1170(h) in light of more recent legislative

amendments to the determinate sentencing law. (See Assem. Bill 109; Stats. 2011, ch. 15.) 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.

“Enhancement.” The facts giving rise to an enhancement, the requirements for pleading and

proving those facts, and the court’s authority to strike the additional term are prescribed by

statutes. See, for example, sections 667.5 (prior prison terms), 12022 (being armed with a firearm

or using a deadly weapon), 12022.5 (using a firearm), 12022.6 (excessive taking or damage),

12022.7 (great bodily injury), 1170.1(e) (pleading and proof), and 1385(c) (authority to strike the

additional punishment). Note: A consecutive sentence is not an enhancement. (See section

1170.1(a); People v. Tassell (1984) 36 Cal.3d 77, 90 [overruled on other grounds in People v.

Ewoldt (1994) 7 Cal.4th 380, 401].)

“Sentence choice.” Section 1170(c) requires the judge to state reasons for the sentence choice.

This general requirement is discussed in rule 4.406.

“Imprisonment” in state prison or county jail under section 1170(h) is distinguished from

confinement in other types of facilities.

“Charged” and “found.” Statutes require that the facts giving rise to all enhancements be charged

and found. See section 1170.1(e).

Item (13), see sections 17.5(a)(9) and 3450(b)(9).

Item (15), see section 1229(e).

Rule 4.406. Reasons

(a)

How given

If the sentencing judge is required to give reasons for a sentence choice, the judge

must state in simple language the primary factor or factors that support the exercise

of discretion or, if applicable, state that the judge has no discretion. The statement

need not be in the language of the statute or these rules. It must be delivered orally

on the record. The court may give a single statement explaining the reason or

reasons for imposing a particular sentence or the exercise of judicial discretion, if

the statement identifies the sentencing choices where discretion is exercised and

there is no impermissible dual use of facts.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2007.)

(b)

When reasons required

Sentence choices that generally require a statement of a reason include, but are not

limited to:

(1)

Granting probation when the defendant is presumptively ineligible for

probation;

(2)

Imposing a prison sentence or sentence in county jail under section 1170(h)

and thereby denying probation Denying probation when the defendant is

presumptively eligible for probation;

(3)

Declining to commit an eligible juvenile found amenable to treatment to the

Department of Corrections and Rehabilitation, Division of Juvenile Justice an

eligible juvenile found amenable to treatment;

(4)

Selecting one of the three authorized prison terms in prison or county jail

under section 1170(h) referred to in section 1170(b) for either an offense a

base term or an enhancement;

(5)–(6) * * *

(7)

Striking the punishment for an enhancement;

(8)(7) Waiving a restitution fine;

(9)

Not committing an eligible defendant to the California Rehabilitation Center;

(10)(8) Striking an enhancement or prior conviction allegation Granting relief

under section 1385(a); and

(11)(9) Denying mandatory supervision in the interests of justice under section

1170(h)(5)(A).

(Subd (b) amended and renumbered effective January 1, 2018; previously amended

effective January 1, 2001, July 1, 2003, January 1, 2006, January 1, 2007, May 23, 2007,

and January 1, 2017.)

Rule 4.406 amended effective January 1, 2018; adopted as rule 406 effective January 1, 1991;

previously amended and renumbered effective January 1, 2001; previously amended effective

July 1, 2003, January 1, 2006, January 1, 2007, May 23, 2007, and January 1, 2017.

Advisory Committee Comment

This rule is not intended to expand the statutory requirements for giving reasons, and is not an

independent interpretation of the statutory requirements.

The court is not required to separately state the reasons for making each sentencing choice so

long as the record reflects the court understood it had discretion on a particular issue and its

reasons for making the particular choice. For example, if the court decides to deny probation and

impose the upper term of punishment, the court may simply state: “I am denying probation and

imposing the upper term because of the extensive losses to the victim and because the defendant’s

record is increasing in seriousness.” It is not necessary to state a reason after exercising each

decision.

The court must be mindful of impermissible dual use of facts in stating reasons for sentencing

choices. For example, the court is not permitted to use a reason to impose a greater term if that

reason also is either (1) the same as an enhancement that will be imposed, or (2) an element of the

crime. The court should not use the same reason to impose a consecutive sentence and to impose

an upper term of imprisonment. (People v. Avalos (1984) 37 Cal.3d 216, 233.) It is not improper

to use the same reason to deny probation and to impose the upper term. (People v. Bowen (1992)

11 Cal.App.4th 102, 106.)

Whenever relief is granted under section 1385, the court’s reasons for exercising that discretion

must be stated orally on the record and entered in the minutes if requested by a party or if the

proceedings are not recorded electronically or reported by a court reporter. (Pen. Code,

§ 1385(a).) Although no legal authority requires the court to state reasons for denying relief, such

a statement may be helpful in the appellate review of the exercise of the court’s discretion.

Rule 4.408. Criteria Listing of factors not exclusive; sequence not significant

(a)

The enumeration in these rules of some criteria for the making of discretionary

sentencing decisions does not prohibit the application of additional criteria

reasonably related to the decision being made. The listing of factors in these rules

for making discretionary sentencing decisions is not exhaustive and does not

prohibit a trial judge from using additional criteria reasonably related to the

decision being made. Any such additional criteria must be stated on the record by

the sentencing judge.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2007.)

(b)

***

Rule 4.408 amended effective January 1, 2018; adopted as rule 408 effective July 1, 1977;

previously renumbered effective January 1, 2001; previously amended effective January 1, 2007.

Advisory Committee Comment

Enumerations of criteria in these rules are not exclusive. The variety of circumstances presented

in felony cases is so great that no listing of criteria could claim to be all-inclusive. (Cf., Evid.

Code, § 351.)

Rule 4.409. Consideration of criteria relevant factors

Relevant criteria factors enumerated in these rules must be considered by the sentencing

judge, and will be deemed to have been considered unless the record affirmatively

reflects otherwise.

Rule 4.409 amended effective January 1, 2018; adopted as rule 409 effective July 1, 1977;

previously renumbered effective January 1, 2001; previously amended effective January 1, 2007.

Advisory Committee Comment

Relevant criteria factors are those applicable to the facts in the record of the case; not all criteria

factors will be relevant to each case. The judge’s duty is similar to the duty to consider the

probation officer’s report. Section 1203.

In deeming the sentencing judge to have considered relevant criteria factors, the rule applies the

presumption of Evidence Code section 664 that official duty has been regularly performed. (See

People v. Moran (1970) 1 Cal.3d 755, 762 [trial court presumed to have considered referring

eligible defendant to California Youth Authority in absence of any showing to the contrary, citing

Evidence Code section 664].)

Rule 4.410. General objectives in sentencing

(a)

***

(b)

Because in some instances these objectives may suggest inconsistent dispositions,

the sentencing judge must consider which objectives are of primary importance in

the particular case. The sentencing judge should be guided by statutory statements

of policy, the criteria in these rules, and the any other facts and circumstances of

relevant to the case.

(Subd (b) amended effective January 1, 2018; previously lettered effective July 1, 2003;

adopted as part of unlettered subd effective July 1, 1977; former subd (b) amended and

relettered as part of subd (a) effective July 1, 2003.)

Rule 4.410 amended effective January 1, 2018; adopted as rule 410 effective July 1, 1977;

previously renumbered effective January 1, 2001; previously amended effective July 1, 2003,

January 1, 2007, and January 1, 2017.

Advisory Committee Comment

Statutory expressions of policy include:

Welfare and Institutions Code section 1820 et seq., which provides partnership funding for county

juvenile ranches, camps, or forestry camps.

Section 1203(b)(3), which requires that eligible defendants be considered for probation and

authorizes probation if circumstances in mitigation are found or justice would be served.

Section 1170(a)(1), which expresses the policies of uniformity, proportionality of terms of

imprisonment to the seriousness of the offense, and the use of imprisonment as punishment. It

also states that “the purpose of sentencing is public safety achieved through punishment,

rehabilitation, and restorative justice.”

Sections 17.5, 1228, and 3450, which express the policies promoting reinvestment of criminal

justice resources to support community-based corrections programs and evidence-based practices

to improve public safety through a reduction in recidivism.

Other statutory provisions that prohibit the grant of probation in particular cases.

Rule 4.411. Presentence investigations and reports

(a)

Eligible defendant When required

If the defendant is eligible for probation or a term of imprisonment in county jail

under section 1170(h), the court must refer the matter to the probation officer for a

presentence investigation and report. Waivers of the presentence report should not

be accepted except in unusual circumstances. Except As provided in subdivision

(b), the court must refer the case to the probation officer for:

(1)

A presentence investigation and report if the defendant:

(2)

(A)

Is statutorily eligible for probation or a term of imprisonment in county

jail under section 1170(h); or

(B)

Is not eligible for probation but a report is needed to assist the court

with other sentencing issues, including the determination of the proper

amount of restitution fine;

A supplemental report if a significant period of time has passed since the

original report was prepared.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2007, and January 15, 2015.)

(b)

Ineligible defendant Waiver of the investigation and report

Even if the defendant is not eligible for probation or a term of imprisonment in

county jail under section 1170(h), the court should refer the matter to the probation

officer for a presentence investigation and report. The parties may stipulate to the

waiver of the probation officer’s investigation and report in writing or in open court

and entered in the minutes, and with the consent of the court. In deciding whether

to consent to the waiver, the court should consider whether the information in the

report would assist in the resolution of any current or future sentencing issues, or

would assist in the effective supervision of the person. A waiver under this section

does not affect the requirement under section 1203c that a probation report be

created when the court commits a person to state prison.

(Subd (b) amended effective January 1, 2018; previously amended effective January 1,

2015.)

(c)

Supplemental reports

The court must order a supplemental probation officer’s report in preparation for

sentencing proceedings that occur a significant period of time after the original

report was prepared.

(d)

Purpose of presentence investigation report

Probation officers’ reports are used by judges in determining the appropriate term

of imprisonment in prison or county jail under section 1170(h) and by the

Department of Corrections and Rehabilitation, Division of Adult Operations in

deciding on the type of facility and program in which to place a defendant. The

reports are also used by courts in deciding whether probation is appropriate,

whether a period of mandatory supervision should be denied in the interests of

justice under section 1170(h)(5)(A), and the appropriate length and conditions of

probation and mandatory supervision. Section 1203c requires a probation officer’s

report on every person sentenced to prison; ordering the report before sentencing in

probation-ineligible cases will help ensure a well-prepared report.

Rule 4.411 amended effective January 1, 2018; adopted as rule 418 effective July 1, 1977;

previously amended and renumbered as rule 411 effective January 1, 1991; previously

renumbered effective January 1, 2001; previously amended effective January 1, 2006, January 1,

2007, and January 1, 2015.

Advisory Committee Comment

Section 1203 requires a presentence report in every felony case in which the defendant is eligible

for probation. Subdivision (a) requires a presentence report in every felony case in which the

defendant is eligible for a term of imprisonment in county jail under section 1170(h). Because

such a probation investigation and report are valuable to the judge and to the jail and prison

authorities, waivers of the report and requests for immediate sentencing are discouraged, even

when the defendant and counsel have agreed to a prison sentence or a term of imprisonment in

county jail under section 1170(h).

When considering whether to waive a presentence investigation and report, courts should consider

that probation officers’ reports are used by (1) courts in determining the appropriate term of

imprisonment in prison or county jail under section 1170(h); (2) courts in deciding whether

probation is appropriate, whether a period of mandatory supervision should be denied in the

interests of justice under section 1170(h)(5)(A), and the appropriate length and conditions of

probation and mandatory supervision; (3) the probation department in supervising the defendant;

and (4) the Department of Corrections and Rehabilitation, Division of Adult Operations, in

deciding on the type of facility and program in which to place a defendant.

Notwithstanding a defendant’s statutory ineligibility for probation or term of imprisonment in

county jail under section 1170(h), a presentence investigation and report should be ordered to

assist the court in deciding the appropriate sentence and to facilitate compliance with section

1203c.

This rule does not prohibit pre-conviction, pre-plea reports as authorized by section 1203.7.

Subdivision (c) (a)(2) is based on case law that generally requires a supplemental report if the

defendant is to be resentenced a significant time after the original sentencing, as, for example,

after a remand by an appellate court, or after the apprehension of a defendant who failed to appear

at sentencing. The rule is not intended to expand on the requirements of those cases.

The rule does not require a new investigation and report if a recent report is available and can be

incorporated by reference and there is no indication of changed circumstances. This is particularly

true if a report is needed only for the Department of Corrections and Rehabilitation because the

defendant has waived a report and agreed to a prison sentence. If a full report was prepared in

another case in the same or another jurisdiction within the preceding six months, during which

time the defendant was in custody, and that report is available to the Department of Corrections

and Rehabilitation, it is unlikely that a new investigation is needed.

This rule does not prohibit pre-conviction, pre-plea reports as authorized by section 1203.7.

Rule 4.411.5. Probation officer’s presentence investigation report

(a)

Contents

A probation officer’s presentence report in a felony case must include at least the

following:

(1)–(4) * * *

(5)

Information concerning the victim of the crime, including:

(A)

***

(B)

Any physical or psychological injuries suffered by the victim;

(B)(C) The amount of the victim’s monetary loss, and whether or not it is

covered by insurance; and

(C)(D) Any information required by law.

(6)–(7) * * *

(8)

Any available, reliable risk/needs assessment information. The defendant’s

relevant risk factors and needs as identified by a risk/needs assessment, if

such an assessment is performed, and such other information from the

assessment as may be requested by the court.

(9)–(12) * * *

(13) Information pursuant to Penal Code section 29810(c):

(A)

Whether the defendant has properly complied with Penal Code section

29810 by relinquishing firearms identified by the probation officer’s

investigation or declared by the defendant on the Prohibited Persons

Relinquishment Form, and

(B)

Whether the defendant has timely submitted a completed Prohibited

Persons Relinquishment Form.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

1991, July 1, 2003, January 1, 2007, January 1, 2015, and January 1, 2017.)

(b)–(c) * * *

Rule 4.411.5 amended effective January 1, 2018; adopted as rule 419 effective July 1, 1981;

previously amended and renumbered as rule 411.5 effective January 1, 1991; previously

renumbered effective January 1, 2001; previously amended effective July 1, 2003, January 1,

2007, January 1, 2015, and January 1, 2017.

Rule 4.412. Reasons—agreement to punishment as an adequate reason and as

abandonment of certain claims

(a)

Defendant’s agreement as reason

It is an adequate reason for a sentence or other disposition that the defendant,

personally and by counsel, has expressed agreement that it be imposed and the

prosecuting attorney has not expressed an objection to it. The agreement and lack of

objection must be recited on the record. This section does not authorize a sentence

that is not otherwise authorized by law.

(b)

Agreement to sentence abandons section 654 claim

By agreeing to a specified term in prison or county jail under section 1170(h)

personally and by counsel, a defendant who is sentenced to that term or a shorter

one abandons any claim that a component of the sentence violates section 654’s

prohibition of double punishment, unless that claim is asserted at the time the

agreement is recited on the record.

Advisory Committee Comment

Subdivision (a). This subdivision is intended to relieve the court of an obligation to give reasons

if the sentence or other disposition is one that the defendant has accepted and to which the

prosecutor expresses no objection. The judge may choose to give reasons for the sentence even

though not obligated to do so.

Judges should also be aware that there may be statutory limitations on “plea bargaining” or on the

entry of a guilty plea on the condition that no more than a particular sentence will be imposed. At

the time this comment was drafted, Such limitations appeared, for example, in sections 1192.5

and 1192.7.

Subdivision (b). This subdivision is based on the fact that a defendant who, with the advice of

counsel, expresses agreement to a specified prison term of imprisonment normally is

acknowledging that the term is appropriate for his or her total course of conduct. This subdivision

applies to both determinate and indeterminate terms.

Rule 4.413. Probation eligibility when probation is limited Grant of probation when

defendant is presumptively ineligible for probation

(a)

Consideration of eligibility

The court must determine whether the defendant is eligible for probation. In most

cases, the defendant is presumptively eligible for probation; in some cases, the

defendant is presumptively ineligible; and in some cases, probation is not allowed.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2007.)

(b)

Probation in unusual cases when defendant is presumptively ineligible

If the defendant comes under a statutory provision prohibiting probation “except in

unusual cases where the interests of justice would best be served,” or a substantially

equivalent provision, the court should apply the criteria in (c) to evaluate whether

the statutory limitation on probation is overcome; and if it is, the court should then

apply the criteria in rule 4.414 to decide whether to grant probation.

(Subd (b) amended effective January 1, 2018; previously amended effective July 1, 2003,

and January 1, 2007.)

(c)

Facts showing unusual case Factors overcoming the presumption of

ineligibility

The following facts factors may indicate the existence of an unusual case in which

probation may be granted if otherwise appropriate:

(1)

Facts Factors relating to basis for limitation on probation

A fact factor or circumstance indicating that the basis for the statutory

limitation on probation, although technically present, is not fully applicable to

the case, including:

(2)

(A)

The fact factor or circumstance giving rise to the limitation on

probation is, in this case, substantially less serious than the

circumstances typically present in other cases involving the same

probation limitation, and the defendant has no recent record of

committing similar crimes or crimes of violence; and

(B)

***

Facts Factors limiting defendant’s culpability

A fact factor or circumstance not amounting to a defense, but reducing the

defendant’s culpability for the offense, including:

(A)–(C) * * *

(3)

Results of risk/needs assessment

Along with all other relevant information in the case, the court may consider

the results of a risk/needs assessment of the defendant, if one was performed.

The weight of a risk/needs assessment is for the court to consider in its

sentencing discretion.

(Subd (c) amended effective January 1, 2018; previously amended effective January 1,

2007.)

Rule 4.413 amended effective January 1, 2018; adopted as rule 413 effective January 1, 1991;

previously renumbered effective January 1, 2001; previously amended effective July 1, 2003, and

January 1, 2007.

Advisory Committee Comment

Subdivision (c)(3). Standard 4.35 of the California Standards of Judicial Administration provides

courts with additional guidance on using the results of a risk/needs assessment at sentencing.

Rule 4.415. Criteria affecting the imposition of mandatory supervision

(a)–(b) * * *

(c)

Criteria affecting conditions and length of mandatory supervision

In exercising discretion to select the appropriate period and conditions of

mandatory supervision, factors the court may consider include:

(1)–(7) * * *

(8)

The defendant’s specific needs and risk factors identified by a risk/needs

assessment, if available; and

(9)

***

(Subd (c) amended effective January 1, 2018.)

(d)

***

Rule 4.415 amended effective January 1, 2018; adopted effective January 1, 2015; previously

amended effective January 1, 2017.

Advisory Committee Comment

***

Subdivision (c)(8). Standard 4.35 of the California Standards of Judicial Administration provides

courts with additional guidance on using the results of a risk/needs assessment at sentencing.

Rule 4.420. Selection of term of imprisonment

(a)–(b) * * *

(c)

To comply with section 1170(b), a fact charged and found as an enhancement may

be used as a reason for imposing the upper a particular term only if the court has

discretion to strike the punishment for the enhancement and does so. The use of a

fact of an enhancement to impose the upper term of imprisonment is an adequate

reason for striking the additional term of imprisonment, regardless of the effect on

the total term.

(Subd (c) amended effective January 1, 2018; adopted effective January 1, 1991.)

(d)

A fact that is an element of the crime upon which punishment is being imposed

may not be used to impose a greater particular term.

(Subd (d) amended effective January 1, 2018; adopted effective January 1, 1991;

previously amended effective January 1, 2007, May 23, 2007, and January 1, 2008.)

(e)

***

Rule 4.420 amended effective January 1, 2018; 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, May 23, 2007, January 1, 2008, and January 1, 2017.

Rule 4.421. Circumstances in aggravation

Circumstances in aggravation include factors relating to the crime and factors relating to

the defendant.

(a)–(b) * * *

(c)

Other factors

Any other factors statutorily declared to be circumstances in aggravation or that

reasonably relate to the defendant or the circumstances under which the crime was

committed.

(Subd (c) amended effective January 1, 2018; adopted effective January 1, 1991;

previously amended effective January 1, 2007, and May 23, 2007.)

Rule 4.421 amended effective January 1, 2018; adopted as rule 421 effective July 1, 1977;

previously renumbered effective January 1, 2001; previously amended effective January 1, 1991,

January 1, 2007, May 23, 2007, and January 1, 2017.

Advisory Committee Comment

Circumstances in aggravation may justify imposition of the middle or upper of three possible

terms of imprisonment. (Section 1170(b).)

The list of circumstances in aggravation includes some facts that, if charged and found, may be

used to enhance the sentence. The This rule does not deal with the dual use of the facts; the

statutory prohibition against dual use is included, in part, in the comment to rule 4.420.

Conversely, such facts as infliction of bodily harm, being armed with or using a weapon, and a

taking or loss of great value may be circumstances in aggravation even if not meeting the

statutory definitions for enhancements or charged as an enhancement.

Facts concerning the defendant’s prior record and personal history may be considered. By

providing that the defendant’s prior record and simultaneous convictions of other offenses may

not be used both for enhancement and in aggravation, section 1170(b) indicates that these and

other facts extrinsic to the commission of the crime may be considered in aggravation in

appropriate cases. This resolves whatever ambiguity may arise from the phrase “circumstances in

aggravation . . . of the crime.” The phrase “circumstances in aggravation or mitigation of the

crime” necessarily alludes to extrinsic facts.

Refusal to consider the personal characteristics of the defendant in imposing sentence would also

may raise serious constitutional questions. The California Supreme Court has held that sentencing

decisions must take into account “the nature of the offense and/or the offender, with particular

regard to the degree of danger both present to society.” (In re Rodriguez (1975) 14 Cal.3d 639,

654, quoting In re Lynch (1972) 8 Cal.3d 410, 425.) In In re Rodriguez the court released

petitioner from further incarceration because “[I]it appears that neither the circumstances of his

offense nor his personal characteristics establish a danger to society sufficient to justify such a

prolonged period of imprisonment.” (Id. at p. 655, fn. omitted, italics added.) (Footnote omitted,

emphasis added.) “For the determination of sentences, justice generally requires . . . that there be

taken into account the circumstances of the offense together with the character and propensities of

the offender.” (Pennsylvania ex rel. Sullivan v. Ashe (1937) 302 U.S. 51, 55, quoted with

approval in Gregg v. Georgia (1976) 428 U.S. 153, 189.)

The scope of “circumstances in aggravation or mitigation” under section 1170(b) is, therefore,

coextensive with the scope of inquiry under the similar phrase in section 1203.

The 1990 amendments to this rule and the comment included the deletion of most section

numbers. These changes recognize changing statutory section numbers and the fact that there are

numerous additional code sections related to the rule, including numerous statutory enhancements

enacted since the rule was originally adopted.

Former subdivision (a)(4), concerning multiple victims, was deleted to avoid confusion; cases in

which that possible circumstance in aggravation was relied on were frequently reversed. Some of

the cases that had relied on that circumstance in aggravation were reversed on appeal because

there was only a single victim in a particular count.

Old age or youth of the victim may be circumstances in aggravation; see section 1170.85(b).

Other statutory circumstances in aggravation are listed, for example, in sections 422.76, 1170.7,

1170.71, 1170.8, and 1170.85.

Rule 4.423. Circumstances in mitigation

Circumstances in mitigation include factors relating to the crime and factors relating to

the defendant.

(a)–(b) * * *

(c)

Other factors

Any other factors statutorily declared to be circumstances in mitigation or that

reasonably relate to the defendant or the circumstances under which the crime was

committed.

(Subd (c) adopted effective January 1, 2018.)

Rule 4.423 amended effective January 1, 2018; adopted as rule 423 effective July 1, 1977;

previously renumbered effective January 1, 2001; previously amended effective January 1, 1991,

July 1, 1993, January 1, 2007, May 23, 2007, and January 1, 2017.

Advisory Committee Comment

See comment to rule 4.421.

This rule applies both to mitigation for purposes of motions under section 1170(b) and to

circumstances in mitigation justifying the court in striking the additional punishment provided for

an enhancement.

Some listed circumstances can never apply to certain enhancements; for example, “the amounts

taken were deliberately small” can never apply to an excessive taking under section 12022.6, and

“no harm was done” can never apply to infliction of great bodily injury under section 12022.7. In

any case, only the facts present may be considered for their possible effect in mitigation.

See also rule 4.409; only relevant criteria need be considered.

Since only the fact of restitution is considered relevant to mitigation, no reference to the

defendant’s financial ability is needed. The omission of a comparable factor from rule 4.421 as a

circumstance in aggravation is deliberate.

Rule 4.425. Criteria Factors affecting concurrent or consecutive sentences

Criteria Factors affecting the decision to impose consecutive rather than concurrent

sentences include:

(a)

Criteria Facts relating to crimes

Facts relating to the crimes, including whether or not:

(1)

The crimes and their objectives were predominantly independent of each

other;

(2)

The crimes involved separate acts of violence or threats of violence; or

(3)

The crimes were committed at different times or separate places, rather than

being committed so closely in time and place as to indicate a single period of

aberrant behavior.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

1991, and January 1, 2007.)

(b)

Other criteria facts and limitations

Any circumstances in aggravation or mitigation may be considered in deciding

whether to impose consecutive rather than concurrent sentences, except:

(1)

A fact used to impose the upper term;

(2)

A fact used to otherwise enhance the defendant’s sentence in prison or

county jail under section 1170(h); and

(3)

A fact that is an element of the crime may not be used to impose consecutive

sentences.

Subd (b) amended effective January 1, 2018; previously amended effective January 1,

1991, January 1, 2007, and January 1, 2017.)

Rule 4.425 amended effective January 1, 2018; adopted as rule 425 effective July 1, 1977;

previously renumbered effective January 1, 2001; previously amended effective January 1, 1991,

January 1, 2007, and January 1, 2017.

Rule 4.428. Criteria Factors affecting imposition of enhancements

(a)

Enhancements punishable by one of three terms

If an enhancement is punishable by one of three terms, the court must, in its

discretion, impose the term that best serves the interest of justice and state the

reasons for its sentence choice on the record at the time of sentencing. In exercising

its discretion in selecting the appropriate term, the court may consider factors in

mitigation and aggravation as described in these rules or any other factor authorized

by rule 4.408.

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.

(Subd (a) was adopted effective January 1, 2018.)

(b)

Striking enhancements under section 1385

If the court has discretion under section 1385(a) to strike an enhancement in the

interests of justice, the court also has the authority to strike the punishment for the

enhancement under section 1385(c). In determining whether to strike the entire

enhancement or only the punishment for the enhancement, the court may consider

the effect that striking the enhancement would have on the status of the crime as a

strike, the accurate reflection of the defendant’s criminal conduct on his or her

record, the effect it may have on the award of custody credits, and any other

relevant consideration.

(Subd (b) was adopted effective January 1, 2018.)

Rule 4.428 amended effective January 1, 2018; 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, May 23, 2007, January 1, 2008, and January 1, 2011.

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 terms of imprisonment

referred to in section 1170(b), or any enhancement, if probation is later revoked.

The circumstances identified and stated by the judge must be based on evidence

admitted at the trial or other circumstances properly considered under rule 4.420(b).

(Subd (b) amended effective January 1, 2018; previously amended effective July 28, 1977,

January 1, 2007, May 23, 2007, January 1, 2008, and January 1, 2017.)

(c)

If a sentence of imprisonment is to be imposed, or if the execution of a sentence of

imprisonment is to be suspended during a period of probation, the sentencing judge

must:

(1)

Determine, under section 1170(b), whether to impose one of the three

authorized terms of imprisonment referred to in section 1170(b), or any

enhancement, and state on the record the reasons for imposing that term;

(Subd (c) amended effective January 1, 2018; previously amended effective July 28, 1977,

July 1, 2003, January 1, 2007, May 23, 2007, and January 1, 2017.)

(2)–(5) * * *

(d)

***

(e)

When a sentence of imprisonment is imposed under (c) or under rule 4.435, the

sentencing judge must inform the defendant:

(1)–(2) * * *

(3)

Of any period of mandatory supervision imposed under section

1170(h)(5)(A), and (B), in addition to any period imprisonment for a

violation of mandatory supervision.

(Subd (e) amended effective January 1, 2018; previously amended effective July 28, 1977,

January 1, 1979, July 1, 2003, January 1, 2007, and January 1, 2017.)

Rule 4.433 amended effective January 1, 2018; 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, May 23, 2007, January 1, 2008, and January 1,

2017.

Rule 4.435. Sentencing on revocation of probation, mandatory supervision, and

postrelease community supervision

(a)

When the defendant violates the terms of probation, mandatory supervision, or

postrelease community supervision or is otherwise subject to revocation of

probation supervision, the sentencing judge may make any disposition of the case

authorized by statute. In deciding whether to permanently revoke supervision, the

judge may consider the nature of the violation and the defendant’s past

performance on supervision.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

1991.)

(b)

On revocation and termination of probation supervision under section 1203.2, when

the sentencing judge determines that the defendant will be committed to prison or

county jail under section 1170(h):

(1)

If the imposition of sentence was previously suspended, the judge must

impose judgment and sentence after considering any findings previously

made and hearing and determining the matters enumerated in rule 4.433(c).

The length of the sentence must be based on circumstances existing at the

time probation supervision was granted, and subsequent events may not be

considered in selecting the base term or in deciding whether to strike the

additional punishment for enhancements charged and found.

(2)

***

(Subd (b) amended effective January 1, 2018; previously amended effective July 1, 2003,

January 1, 2006, January 1, 2007, and January 1, 2017.)

Rule 4.435 amended effective January 1, 2018; adopted as rule 435 effective July 1, 1977;

previously renumbered effective January 1, 2001; previously amended effective January 1, 1991,

July 1, 2003, January 1, 2006, January 1, 2007, and January 1, 2017.

Advisory Committee Comment

Subdivision (a) makes it clear that there is no change in the court’s power, on finding cause to

revoke and terminate probation supervision under section 1203.2(a), to continue the defendant on

probation supervision.

The restriction of subdivision (b)(1) is based on In re Rodriguez (1975) 14 Cal.3d 639, 652:

“[T]he primary term must reflect the circumstances existing at the time of the offense.”

A judge imposing imprisonment on revocation of probation will have the power granted by

section 1170(d) to recall the commitment on his or her own motion within 120 days after the date

of commitment, and the power under section 1203.2(e) to set aside the revocation of probation,

for good cause, within 30 days after the court has notice that execution of the sentence has

commenced.

Consideration of conduct occurring after the granting of probation should be distinguished from

consideration of preprobation conduct that is discovered after the granting of an order of

probation and before sentencing following a revocation and termination of probation. If the

preprobation conduct affects or nullifies a determination made at the time probation was granted,

the preprobation conduct may properly be considered at sentencing following revocation and

termination of probation. (See People v. Griffith (1984) 153 Cal.App.3d 796, 801.) While People

v. Griffith refers only to probation, this rule likely will apply to any form of supervision.

Rule 4.437. Statements in aggravation and mitigation

(a)–(e) * * *

Advisory Committee Comment

Section 1170(b) states in part:

“At least four days prior to the time set for imposition of judgment, either party or the victim, or

the family of the victim if the victim is deceased, may submit a statement in aggravation or

mitigation to dispute facts in the record or the probation officer’s report, or to present additional

facts.”

This provision means that the statement is a document giving notice of intention to dispute

evidence in the record or the probation officer’s report, or to present additional facts.

The statement itself cannot be the medium for presenting new evidence, or for rebutting

competent evidence already presented, because the statement is a unilateral presentation by one

party or counsel that will not necessarily have any indicia of reliability. To allow its factual

assertions to be considered in the absence of corroborating evidence would, therefore, constitute a

denial of due process of law in violation of the United States (14th Amend.) and California (art. I,

§ 7) Constitutions.

“[I]t is now clear that the sentencing process, as well as the trial itself, must satisfy the

requirements of the Due Process Clause. Even though the defendant has no substantive right to a

particular sentence within the range authorized by statute, the sentencing is a critical stage of the

criminal proceeding at which he is entitled to the effective assistance of counsel . . . . The

defendant has a legitimate interest in the character of the procedure which leads to the imposition

of sentence . . . .” Gardner v. Florida (1977) 430 U.S. 349, 358.

The use of probation officers’ reports is permissible because the officers are trained objective

investigators. Williams v. New York (1949) 337 U.S. 241. Compare sections 1203 and 1204.

People v. Peterson (1973) 9 Cal.3d 717, 727, expressly approved the holding of United States v.

Weston (9th Cir. 1971) 448 F.2d 626 that due process is offended by sentencing on the basis of

unsubstantiated allegations that were denied by the defendant. Cf., In re Hancock (1977) 67

Cal.App.3d 943, 949.

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 ensure that the time limit on

pronouncing sentence is met.

Rule 4.447. Limitations on enhancements Sentencing of enhancements

No finding of an enhancement may be stricken or dismissed because imposition of the

term either is prohibited by law or exceeds limitations on the imposition of multiple

enhancements. The sentencing judge must impose sentence for the aggregate term of

imprisonment computed without reference to those prohibitions and limitations, and must

thereupon stay execution of so much of the term as is prohibited or exceeds the applicable

limit. The stay will become permanent on the defendant’s service of the portion of the

sentence not stayed.

(a)

Enhancements resulting in unlawful sentences

A court may not strike or dismiss an enhancement solely because imposition of the

term is prohibited by law or exceeds limitations on the imposition of multiple

enhancements. Instead, the court must:

(1)

Impose a sentence for the aggregate term of imprisonment computed without

reference to those prohibitions or limitations; and

(2)

Stay execution of the part of the term that is prohibited or exceeds the

applicable limitation. The stay will become permanent once the defendant

finishes serving the part of the sentence that has not been stayed.

(Subd (a) adopted effective January 1, 2018.)

(b)

Multiple enhancements

If a defendant is convicted of multiple enhancements of the same type, the court

must either sentence each enhancement or, if authorized, strike the enhancement or

its punishment. While the court may strike an enhancement, the court may not stay

an enhancement except as provided in (a) or as authorized by section 654.

(Subd (b) adopted effective January 1, 2018.)

Rule 4.447 amended effective January 1, 2018; adopted as rule 447 effective July 1, 1977;

previously amended and renumbered effective January 1, 2001; previously amended effective

July 28, 1977, January 1, 1991, July 1, 2003, and January 1, 2007.

Advisory Committee Comment

Subdivision (a). Statutory restrictions may prohibit or limit the imposition of an enhancement in

certain situations. (See, for example, sections 186.22(b)(1), 667(a)(2), 667.61(f), 1170.1(f) and

(g), 12022.53(e)(2) and (f), and Vehicle Code section 23558.)

Present practice of staying execution is followed to avoid violating a statutory prohibition or

exceeding a statutory limitation, while preserving the possibility of imposition of the stayed

portion should a reversal on appeal reduce the unstayed portion of the sentence. (See People v.

Gonzalez (2008) 43 Cal.4th 1118, 1129–1130; People v. Niles (1964) 227 Cal.App.2d 749, 756.)

Only the portion of a sentence or component thereof that exceeds a limitation is prohibited, and

this rule provides a procedure for that situation. This rule applies to both determinate and

indeterminate terms.

Subdivision (b). A court may stay an enhancement if section 654 applies. (See People v. Bradley

(1998) 64 Cal.App.4th 386; People v. Haykel (2002) 96 Cal.App.4th 146, 152.)

Rule 4.451. Sentence consecutive to or concurrent with indeterminate term or to

term in other jurisdiction

(a)

When a defendant is sentenced under section 1170 and the sentence is to run

consecutively to or concurrently with a sentence imposed under section 1168(b) in

the same or another proceeding, the judgment must specify the determinate term

imposed under section 1170 computed without reference to the indeterminate

sentence, must order that the determinate term be served consecutively to or

concurrently with the sentence under section 1168(b), and must identify the

proceedings in which the indeterminate sentence was imposed. The term under

section 1168(b), and the date of its completion or parole date of parole or

postrelease community supervision, and the sequence in which the sentences are

deemed or served, will be determined by correctional authorities as provided by

law.

Subd (a) amended effective January 1, 2018; previously amended effective January 1,

1979, July 1, 2003, and January 1. 2007.)

(b)

When a defendant is sentenced under sections 1168 or 1170 and the sentence is to

run consecutively to or concurrently with a sentence imposed by a court of the

United States or of another state or territory, the judgment must specify the

determinate term imposed under sections 1168(b) or 1170 computed without

reference to the sentence imposed by the other jurisdiction, must order that the

determinate term be served commencing on the completion of the sentence imposed

by the other jurisdiction, and must identify the other jurisdiction and the

proceedings in which the other sentence was imposed, and must indicate whether

the sentences are imposed concurrently or consecutively. If the term imposed is to

be served consecutively to the term imposed by the other jurisdiction, the court

must order that the California term be served commencing on the completion of the

sentence imposed by the other jurisdiction.

(Subd (b) amended effective January 1, 2018; previously amended January 1, 2007.)

Rule 4.451 amended effective January 1, 2018; adopted as rule 451 effective July 1, 1977;

previously renumbered effective January 1, 2001; previously amended effective January 1, 1979,

July 1, 2003, and January 1, 2007.

Advisory Committee Comment

Subdivision (a). The provisions of section 1170.1(a), which use a one-third formula to calculate

subordinate consecutive terms, can logically be applied only when all the sentences are imposed

under section 1170. Indeterminate sentences are imposed under section 1168(b). Since the

duration of the indeterminate term cannot be known to the court, subdivision (a) states the only

feasible mode of sentencing. (See People v. Felix (2000) 22 Cal.4th 651, 654–657; People v.

McGahuey (1981) 121 Cal.App.3d 524, 530–532.)

Subdivision (b). On the authority to sentence consecutively to the sentence of another

jurisdiction and the effect of such a sentence, see In re Helpman (1968) 267 Cal.App.2d 307 and

cases cited at note 3, id. at page 310, footnote 3. The mode of sentencing required by subdivision

(b) is necessary to avoid the illogical conclusion that the total of the consecutive sentences will

depend on whether the other jurisdiction or California is the first to pronounce judgment.

Rule 4.452. Determinate sentence consecutive to prior determinate sentence

If a determinate sentence is imposed under section 1170.1(a) consecutive to one or more

determinate sentences imposed previously in the same court or in other courts, the court

in the current case must pronounce a single aggregate term, as defined in section

1170.1(a), stating the result of combining the previous and current sentences. In those

situations:

(1)

***

(2)

The judge in the current case must make a new determination of which count, in the

combined cases, represents the principal term, as defined in section 1170.1(a). The

principal term is the term with the greatest punishment imposed including conduct

enhancements. If two terms of imprisonment have the same punishment, either

term may be selected as the principal term.

(3)

Discretionary decisions of the judges in the previous cases may not be changed by

the judge in the current case. Such decisions include the decision to impose one of

the three authorized terms of imprisonment referred to in section 1170(b), making

counts in prior cases concurrent with or consecutive to each other, or the decision

that circumstances in mitigation or in the furtherance of justice justified striking the

punishment for an enhancement. However, if a previously designated principal term

becomes a subordinate term after the resentencing, the subordinate term will be

limited to one-third the middle base term as provided in section 1170.1(a).

Rule 4.452 amended effective January 1, 2018; adopted as rule 452 effective January 1, 1991;

previously renumbered effective January 1, 2001; previously amended effective July 1, 2003,

January 1, 2007, May 23, 2007, and January 1, 2017.

Rule 8.25. Service, filing, and filing fees

(a)–(b) * * *

(c)

Filing fees

(1)–(3) * * *

(4)

If the party fails to take the action specified in a notice given under (2)(3), the

reviewing court may strike the document, but may vacate the striking of the

document for good cause.

(Subd (c) amended effective January 1, 2018; adopted effective October 28, 2011.)

Rule 8.25 amended effective January 1, 2018; adopted as rule 40.1 effective January 1, 2005;

previously amended and renumbered effective January 1, 2007; previously amended effective

January 1, 2009, July 1, 2010, January 1, 2011, October 28, 2011, and July 1, 2012.

Rule 8.36. Substituting parties; substituting or withdrawing attorneys

(a)–(b)

(c)

***

Withdrawing attorney

(1)

An attorney may request withdrawal by filing a motion to withdraw. Unless

the court orders otherwise, the motion need be served only on the party

represented and the attorneys directly affected.

(2)

The proof of service need not include the address of the party represented.

But if the court grants the motion, the withdrawing attorney must promptly

provide the court and the opposing party with the party’s current or last

known address and telephone number.

(3)

In all appeals and in original proceedings related to a superior court

proceeding, the reviewing court clerk must notify the superior court of any

ruling on the motion.

(4)

If the motion is filed in any proceeding pending in the Supreme Court after

grant of review, the clerk/executive officer of the Supreme Court clerk must

also notify the Court of Appeal of any ruling on the motion.

(Subd (c) amended effective January 1, 2018.)

Rule 8.36 amended effective January 1, 2018; repealed and adopted as rule 48 effective January

1, 2005; renumbered effective January 1, 2007.

Rule 8.100. Filing the appeal

(a)

***

(b)

Fee and deposit

(1)

Unless otherwise provided by law, the notice of appeal must be accompanied

by the $775 filing fee under Government Code sections 68926 and

68926.1(b), an application for a waiver of court fees and costs on appeal

under rule 8.26, or an order granting such an application. The fee may be paid

by check or money order payable to “Clerk/Executive Officer, Court of

Appeal”; if the fee is paid in cash, the clerk must give a receipt. The fee may

also be paid by any method permitted by the court pursuant to rules 2.258 and

8.78.

(2)

The appellant must also deposit $100 with the superior court clerk as required

under Government Code section 68926.1, unless otherwise provided by law

or the superior court waives the deposit.

(3)

The clerk must file the notice of appeal even if the appellant does not present

the filing fee, the deposit, or an application for, or order granting, a waiver of

fees and costs.

(Subd (b) amended effective January 1, 2018; previously amended effective August 17,

2003, January 1, 2007, July 1, 2009, July 27, 2012, and January 1, 2016.)

(c)–(g)

***

Rule 8.100 amended effective January 1, 2018; repealed and adopted as rule 1 effective January

1, 2002; previously amended and renumbered as rule 8.100 effective January 1, 2007; previously

amended effective January 1, 2003, August 17, 2003, January 1, 2008, July 1, 2009, July 27,

2012, January 1, 2014, and January 1, 2016.

Advisory Committee Comment

Subdivision (a). * * *

Subdivision (b). In the interest of consistency, subdivision (b)(1) recommends a preferred

wording—“Clerk, Court of Appeal”—for the name of the payee of checks or money orders for

the filing fee. The provision is not mandatory.

Subdivision (c)(2). * * *

Subdivision (e). * * *

Rule 8.137. Settled statement

(a)

Description

A settled statement is a summary of the superior court proceedings approved by the

superior court. An appellant may either elect under (b)(1) or move under (b)(2) to

use a settled statement as the record of the oral proceedings in the superior court,

instead of a reporter’s transcript.

(Subd (a) adopted effective January 1, 2018.)

(a)(b) Motion to use When a settled statement may be used

(1)

An appellant may elect in his or her notice designating the record on appeal

under rule 8.121 to use a settled statement as the record of the oral

proceedings in the superior court without filing a motion under (2) if:

(A)

The designated oral proceedings in the superior court were not reported

by a court reporter; or

(B)

The appellant has an order waiving his or her court fees and costs.

(1)(2) An appellant intending to proceed under this rule for reasons other than those

listed in (1) must serve and file in superior court with its notice designating

the record on appeal under rule 8.121 a motion to use a settled statement

instead of a reporter’s transcript or both a reporter’s and clerk’s transcripts.

(2)(A) The motion must be supported by a showing that:

(A)(i) A substantial cost saving will result and the statement can be

settled without significantly burdening opposing parties or the

court;

(B)(ii) The designated oral proceedings were not reported or cannot be

transcribed; or

(C)(iii) Although the appellant does not have a fee waiver, he or she is

unable to pay for a reporter’s transcript and funds are not

available from the Transcript Reimbursement Fund (see rule

8.130(c)). A party proceeding in forma pauperis is deemed

unable to pay for a transcript.

(3)(B) If the court denies the motion, the appellant must file a new notice

designating the record on appeal under rule 8.121 within 10 days after

the superior court clerk sends, or a party serves, the order of denial.

(3)

An appellant’s notice under (1) or motion under (2) must:

(A)

Specify the date of each oral proceeding to be included in the settled

statement;

(B)

(4)

Identify whether each proceeding designated under (A) was reported by

a court reporter and, if so, for each such proceeding:

(i)

Provide the name of the court reporter, if known; and

(ii)

Identify whether a certified transcript has previously been

prepared by checking the appropriate box on Appellant’s Notice

Designating Record on Appeal (Unlimited Civil Case) (form

APP-003) or, if that form is not used, placing an asterisk before

that proceeding in the notice.

If the designated oral proceedings in the superior court were reported by a

court reporter:

(A)

(B)

Within 10 days after the appellant serves either a notice under (1) or a

motion under (2), the respondent may serve and file a notice indicating

that he or she is electing to provide a reporter’s transcript in lieu of

proceeding with a settled statement. The respondent must also either:

(i)

Deposit a certified transcript of all of the proceedings designated

by the appellant under (3) and any additional proceedings

designated by the respondent under rule 8.130(b)(3)(C); or

(ii)

Serve and file a notice that the respondent is requesting

preparation, at the respondent’s expense, of a reporter’s transcript

of all proceedings designated by the appellant under (3) and any

additional proceedings designated by the respondent. This notice

must be accompanied by either the required deposit for the

reporter’s transcript under rule 8.130(b)(1) or the reporter’s

written waiver of the deposit in lieu of all or a portion of the

deposit under rule 8.130(b)(3)(A).

If the respondent timely deposits the certified transcript as required

under (i), the appellant’s motion to use a settled statement will be

dismissed. If the respondent timely files the notice and makes the

deposit or files the waiver as provided under (ii), the appellant’s

motion to use a settled statement will be dismissed and the clerk must

promptly send the reporter notice of the designation and of the deposit,

waiver, or both—and notice to prepare the transcript—as provided

under rule 8.130(d).

(Subd (b) relettered, renumbered and amended effective January 1, 2018; adopted as subd

(a); previously amended effective January 1, 2007, January 1, 2008 and January 1, 2016.)

(b)(c) Time to file; contents of proposed statement

(1)

Within 30 days after the superior court clerk sends, or a party serves, an order

granting a motion to use If the respondent does not file a notice under

(b)(4)(A) electing to provide a reporter’s transcript in lieu of proceeding with

a settled statement, the appellant must serve and file a proposed statement in

superior court within 30 days after filing its notice under (b)(1) or within 30

days after the superior court clerk sends, or a party serves, an order granting a

motion under (b)(2) a condensed narrative of the oral proceedings that the

appellant believes necessary for the appeal. Subject to the court’s approval in

settling the statement, the appellant may present some or all of the evidence

by question and answer.

(2)

Appellants who are not represented by an attorney are encouraged to file their

proposed statement on Proposed Statement on Appeal (Unlimited Civil Case)

(form APP-014). The court may order an appellant to use form APP-014. If

the condensed narrative describes less than all the testimony, the appellant

must state the points to be raised on appeal; the appeal is then limited to those

points unless, on motion, the reviewing court permits otherwise.

(3)

An appellant intending to use a settled statement instead of both reporter’s

and clerk’s transcripts must accompany the condensed narrative with copies

of all items required by rule 8.122(b)(1), showing the dates required by rule

8.122(b)(2).

(4)

Within 20 days after the appellant serves the condensed narrative, the

respondent may serve and file proposed amendments.

(5)

The proposed statement and proposed amendments may be accompanied by

copies of any document includable in the clerk’s transcript under rule

8.122(b)(3) and (4).

(Subd (c) relettered and amended effective January 1, 2018; adopted as subd (b);

previously amended effective January 1, 2007, January 1, 2008, and January 1, 2016.)

(d)

Contents of proposed statement

The proposed statement must:

(1)

Contain a statement of the points the appellant is raising on appeal. If the

condensed narrative under (2) covers only a portion of the oral proceedings,

the appeal is then limited to the points identified in the statement unless the

reviewing court determines that the record permits the full consideration of

another point or, on motion, the reviewing court permits otherwise.

(2)

(3)

Contain a condensed narrative of the oral proceedings that the appellant

specified under (b)(3).

(A)

The condensed narrative must include a concise factual summary of the

evidence and the testimony of each witness relevant to the points that

the appellant states under (1) are being raised on appeal. Subject to the

court’s approval in settling the statement, the appellant may present

some or all of the evidence by question and answer. Any evidence or

portion of a proceeding not included will be presumed to support the

judgment or order appealed from.

(B)

If one of the points that the appellant states will be raised on appeal is a

challenge to the giving, refusal, or modification of a jury instruction,

the condensed narrative must include any instructions submitted orally

and not in writing and must identify the party that requested the

instruction and any modification.

Have attached to it a copy of the judgment or order being appealed.

(Subd (d) adopted effective January 1, 2018.)

(e)

Respondent’s response to proposed statement

Within 20 days after the appellant serves the proposed statement, the respondent

may serve and file either:

(1)

Proposed amendments to the proposed statement; or

(2)

A notice indicating that he or she is electing to provide a reporter’s

transcript in lieu of proceeding with a settled statement. The respondent

must also either:

(A)

Deposit a certified transcript of all the proceedings specified by the

appellant under (b)(3) of this rule and any additional proceedings

designated by the respondent under rule 8.130(b)(3)(C); or

(B)

Serve and file a notice that the respondent is requesting preparation, at

the respondent’s expense, of a reporter’s transcript of all proceedings

specified by the appellant under (b)(3) of this rule and any additional

proceedings designated by the respondent. This notice must be

accompanied by either the required deposit for the reporter’s

transcript under rule 8.130(b)(1) or the reporter’s written waiver of

the deposit in lieu of all or a portion of the deposit under rule

8.130(b)(3)(A).

(Subd (e) adopted effective January 1, 2018.)

(c)(f) Settlement, preparation, and certification Review of appellant’s proposed

statement

(1)

The clerk must set a date for a settlement hearing by the trial judge that is No

later than 10 days after the respondent files proposed amendments or the time

to do so expires, whichever is earlier, and must give the parties at least five

days’ notice of the hearing date a party may request a hearing to review and

correct the proposed statement. No hearing will be held unless ordered by the

trial court judge, and the judge will not ordinarily order a hearing unless there

is a factual dispute about a material aspect of the trial court proceedings.

(2)

The trial court judge may order that a transcript be prepared as the record of

the oral proceedings instead of correcting a proposed statement on appeal if

the trial court proceedings were reported by a court reporter, the trial court

judge determines that doing so would save court time and resources, and the

court has a local rule permitting such an order. The court will pay for any

transcript ordered under this subdivision. At the hearing, the judge must settle

the statement and fix the times within which the appellant must prepare,

serve, and file it.

(3)

Except as provided in (2), if no hearing is ordered, no later than 10 days after

the time for requesting a hearing expires, the trial court judge must review the

proposed statement and any proposed amendments filed by the respondent

and take one of the following actions: If the respondent does not object to the

prepared statement within five days after it is filed, it will be deemed

properly prepared and the clerk must present it to the judge for certification.

(A)

If the proposed statement does not contain material required under (d),

the trial court judge may order the appellant to prepare a new proposed

statement. The order must identify the additional material that must be

included in the statement to comply with (d) and the date by which the

new proposed statement must be served and filed. If the appellant does

not serve and file a new proposed statement as directed, the appellant

will be deemed to be in default, and rule 8.140 will apply.

(B)

(4)

(5)

If the trial court judge does not issue an order under (A), the judge must

either:

(i)

Make any corrections or modifications to the statement necessary

to ensure that it is an accurate summary of the evidence and the

testimony of each witness relevant to the points that the appellant

states under (d)(1) are being raised on appeal; or

(ii)

Identify the necessary corrections and modifications, and order

the appellant to prepare a statement incorporating these

corrections and modifications.

If a hearing is ordered, the court must promptly set the hearing date and

provide the parties with at least 5 days’ written notice of the hearing date. No

later than 10 days after the hearing, the trial court judge must either: The

parties’ stipulation that the statement as originally served or as prepared is

correct is equivalent to the judge’s certification.

(A)

Make any corrections or modifications to the statement necessary to

ensure that it is an accurate summary of the evidence and the testimony

of each witness relevant to the points that the appellant states under

(d)(1) are being raised on appeal; or

(B)

Identify the necessary corrections and modifications and order the

appellant to prepare a statement incorporating these corrections and

modifications.

The trial court judge must not eliminate the appellant’s specification of

grounds of appeal from the proposed statement.

(Subd (f) relettered, renumbered, and amended effective January 1, 2018; adopted as subd

(c).)

(g)

Review of the corrected statement

(1)

If the trial court judge makes any corrections or modifications to the

proposed statement under (f), the clerk must serve copies of the corrected or

modified statement on the parties. If under (f) the trial court judge orders the

appellant to prepare a statement incorporating corrections and modifications,

the appellant must serve and file the corrected or modified statement within

the time ordered by the court. If the appellant does not serve and file a

corrected or modified statement as directed, the appellant will be deemed to

be in default and rule 8.140 will apply.

(2)

Within 10 days after the corrected or modified statement is served on the

parties, any party may serve and file proposed modifications or objections to

the statement.

(3)

Within 10 days after the time for filing proposed modifications or objections

under (2) has expired, the trial court judge must review the corrected or

modified statement and any proposed modifications or objections to the

statement filed by the parties. The procedures in (2) or in (f)(3) apply if the

trial court judge determines that further corrections or modifications are

necessary to ensure that the statement is an accurate summary of the evidence

and the testimony of each witness relevant to the points that the appellant

states under (d)(1) are being raised on appeal.

(Subd (g) adopted effective January 1, 2018.)

(h)

Certification of the statement on appeal

(1)

If the trial court judge does not order the preparation of a transcript under

(f)(2) in lieu of correcting the proposed statement or order any corrections or

modifications to the proposed statement under (f)(3), (f)(4), or (g)(3), the

judge must promptly certify the statement.

(2)

The parties may serve and file a stipulation that the statement as originally

served under (c) or as corrected or modified under (f)(3), (f)(4), or (g)(3) is

correct. Such a stipulation is equivalent to the judge’s certification of the

statement.

(3)

Upon certification of the statement under (1) or receipt of a stipulation under

(2), the certified statement must immediately be transmitted to the clerk for

filing of the record under rule 8.150.

(Subd (h) adopted effective January 1, 2018.)

Rule 8.137 amended effective January 1, 2018; repealed and adopted as rule 7 effective

January 1, 2002; previously amended and renumbered as rule 8.137 effective January 1,

2007; previously amended effective January 1, 2008, and January 1, 2016.

Rule 8.212. Service and filing of briefs

(a)

***

(b)

***

(c)

Service

(1)

***

(2)

If a brief is not filed electronically under rules 8.70–8.79, one electronic copy

of each brief must be submitted to the Court of Appeal. For purposes of this

requirement, the term “brief” does not include a petition for rehearing or an

answer thereto.

(A)–(B) * * *

(C)

(3)

If it would cause undue hardship for the party filing the brief to submit

an electronic copy of the brief to the Court of Appeal, the party may

instead serve four paper copies of the brief on the Supreme Court. If the

brief discloses material contained in a sealed or conditionally sealed

record, the party serving the brief must comply with rule 8.46(f) and

attach a cover sheet that contains the information required by rule

8.204(b)(10). The clerk/executive officer of the Court of Appeal clerk

must promptly notify the Supreme Court of any court order unsealing

the brief. In the absence of such notice, the clerk/executive officer of

the Supreme Court clerk must keep all copies of the unredacted brief

under seal.

***

(Subd (c) amended effective January 1, 2018; previously amended effective January 1,

2004, January 1, 2005, January 1, 2007, January 1, 2008, January 1, 2013, January 1,

2014, and January 1, 2015.)

Rule 8.212 amended effective January 1, 2018; repealed and adopted as rule 15 effective January

1, 2002; previously amended and renumbered effective January 1, 2007; previously amended

effective January 1, 2003, January 1, 2004, January 1, 2005, July 1, 2005, January 1, 2008,

January 1, 2010, January 1, 2011, January 1, 2013, January 1, 2014, and January 1, 2015.

Rule 8.248. Prehearing conference

(a)–(d) * * *

Rule 8.248 amended effective January 1, 2016; repealed and adopted as rule 21 effective January

1, 2003; previously amended and renumbered as rule 8.248 effective January 1, 2007.

Advisory Committee Comment

Subdivision (a). * * *

Subdivision (d). If a prehearing conference is ordered before the due date of the appellant’s

opening brief, the time to file the brief is not extended but tolled, in order to avoid unwarranted

lengthening of the briefing process. For example, if the conference is ordered 15 days after the

start of the normal 30-day briefing period, the rule simply suspends the running of that period;

when the period resumes, the party will not receive an automatic extension of a full 30 days but

rather the remaining 15 days of the original briefing period, unless the period is otherwise

extended.

Under subdivision (d) the tolling period continues “until the date [the Court of Appeal] sends

notice that the conference is concluded” (italics added). This provision is intended to

accommodate the possibility that the conference may not conclude on the date it begins.

Whether or not the conference concludes on the date it begins, subdivision (d) requires the

clerk/executive officer of the Court of Appeal clerk to send the parties a notice that the

conference is concluded. This provision is intended to facilitate the calculation of the new

briefing due dates.

Rule 8.256. Oral argument and submission of the cause

(a)

***

(b)

Notice of argument

The clerk/executive officer of the Court of Appeal clerk must send a notice of the

time and place of oral argument to all parties at least 20 days before the argument

date. The presiding justice may shorten the notice period for good cause; in that

event, the clerk/executive officer must immediately notify the parties by telephone

or other expeditious method.

(Subd (b) amended effective January 1, 2018.)

(c)–(e) * * *

Rule 8.256 amended effective January 1, 2018; repealed and adopted as rule 23 effective January

1, 2003; previously amended and renumbered effective January 1, 2007.

Rule 8.264. Filing, finality, and modification of decision

(a)

Filing the decision

(1)

The clerk/executive officer of the Court of Appeal clerk must promptly file

all opinions and orders of the court and promptly send copies showing the

filing date to the parties and, when relevant, to the lower court or tribunal.

(2)

***

(Subd (a) amended effective January 1, 2018.)

(b)

***

(c)

Modification of decision

(1)

A reviewing court may modify a decision until the decision is final in that

court. If the clerk’s office of the clerk/executive officer is closed on the date

of finality, the court may modify the decision on the next day the clerk’s

office is open.

(2)

***

(Subd (c) amended effective January 1, 2018.)

(d)

Consent to increase or decrease in amount of judgment

If a Court of Appeal decision conditions the affirmance of a money judgment on a

party’s consent to an increase or decrease in the amount, the judgment is reversed

unless, before the decision is final under (b), the party serves and files a copy of a

consent in the Court of Appeal. If a consent is filed, the finality period runs from

the filing date of the consent. The clerk/executive officer must send one filedendorsed copy of the consent to the superior court with the remittitur.

(Subd (d) amended effective January 1, 2018; previously amended effective January 1,

2016.)

Rule 8.264 amended effective January 1, 2018; repealed and adopted as rule 24 effective January

1, 2003; previously amended and renumbered as rule 8.264 effective January 1, 2007; previously

amended effective January 1, 2009, and January 1, 2016.

Rule 8.272. Remittitur

(a)

***

(b)

Clerk’s duties

(1)

(2)

If a Court of Appeal decision is not reviewed by the Supreme Court:

(A)

The clerk/executive officer of the Court of Appeal clerk must issue a

remittitur immediately after the Supreme Court denies review, or the

period for granting review expires, or the court dismisses review under

rule 8.528(b); and

(B)

The clerk/executive officer must send the lower court or tribunal the

Court of Appeal remittitur and a filed-endorsed copy of the opinion or

order.

After Supreme Court review of a Court of Appeal decision:

(A)

On receiving the Supreme Court remittitur, the clerk/executive officer

of the Court of Appeal clerk must issue a remittitur immediately if

there will be no further proceedings in the Court of Appeal; and

(B)

The clerk must send the lower court or tribunal the Court of Appeal

remittitur, a copy of the Supreme Court remittitur, and a filed-endorsed

copy of the Supreme Court opinion or order.

(Subd (b) amended effective January 1, 2018; previously amended effective January 1,

2007, and January 1, 2016.)

(c)

***

(d)

Notice

(1)

The remittitur is deemed issued when the clerk/executive officer enters it in

the record. The clerk/executive officer must immediately send the parties

notice of issuance of the remittitur, showing the date of entry.

(2)

If, without requiring further proceedings in the trial court, the decision

changes the length of a state prison sentence, applicable credits, or the

maximum permissible confinement to the Department of Corrections and

Rehabilitation, Division of Juvenile Justice, the clerk/executive officer must

send a copy of the remittitur and opinion or order to either the Department of

Corrections and Rehabilitation or the Division of Juvenile Justice.

(Subd (d) amended effective January 1, 2018; previously amended effective January 1,

2007.)

Rule 8.272 amended effective January 1, 2018; repealed and adopted as rule 26 effective January

1, 2003; previously amended effective January 1, 2007, January 1, 2008, and January 1, 2016.

Rule 8.278. Costs on appeal

(a)

***

(b)

Judgment for costs

(1)

The clerk/executive officer of the Court of Appeal clerk must enter on the

record, and insert in the remittitur, a judgment awarding costs to the

prevailing party under (a)(2) or as directed by the court under (a)(3), (a)(4),

or (a)(5).

(2)

If the clerk/executive officer fails to enter judgment for costs, the court may

recall the remittitur for correction on its own motion, or on a party’s motion

made not later than 30 days after the remittitur issues.

(Subd (b) amended effective January 1, 2018.)

(c)–(d) * * *

Rule 8.278 amended effective January 1, 2018; adopted effective January 1, 2008; previously

amended effective January 1, 2013, and January 1, 2016.

Rule 8.336. Preparing, certifying, and sending the record

(a)–(g) * * *

(h)

Supervision of preparation of record

Each clerk/executive officer of the Court of Appeal clerk, under the supervision of

the administrative presiding justice or the presiding justice, must take all

appropriate steps to ensure that superior court clerks and reporters promptly

perform their duties under this rule. This provision does not affect the superior

courts’ responsibility for the prompt preparation of appellate records.

(Subd (h) amended effective January 1, 2018.)

Rule 8.336 amended effective January 1, 2018; repealed and adopted as rule 32 effective January

1, 2004; previously amended and renumbered as rule 8.336 effective January 1, 2007; previously

amended effective January 1, 2010, January 1, 2014, January 1, 2016, and January 1, 2017.

Rule 8.380. Petition for writ of habeas corpus filed by petitioner not represented by

an attorney

(a)

Required Judicial Council form

A person who is not represented by an attorney and who petitions a reviewing court

for writ of habeas corpus seeking release from, or modification of the conditions of,

custody of a person confined in a state or local penal institution, hospital, narcotics

treatment facility, or other institution must file the petition on Petition for Writ of

Habeas Corpus (form MC-275). For good cause the court may permit the filing of

a petition that is not on that form, but the petition must be verified.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2006, January 1, 2007, and January 1, 2009.)

(b)–(c) * * *

Rule 8.380 amended effective January 1, 2018; repealed and adopted as rule 60 effective January

1, 2005; previously amended and renumbered as rule 8.380 effective January 1, 2007; previously

amended effective January 1, 2006, January 1, 2009, January 1, 2014, and January 1, 2016.

Rule 8.384. Petition for writ of habeas corpus filed by an attorney for a party

(a)

Form and content of petition and memorandum

(1)

A petition for habeas corpus filed by an attorney need not be filed on Petition

for Writ of Habeas Corpus (form MC-275) but must contain the information

requested in that form and must be verified. All petitions filed by attorneys,

whether or not on form MC-275, must be either typewritten or produced on a

computer, and must comply with this rule and rules 8.40(b)–(c) relating to

document covers and rule 8.204(a)(1)(A) relating to tables of contents and

authorities. A petition that is not on form MC-275 must also comply with the

remainder of rules 8.204(a) and 8.204–(b).

(Subd (a) amended effective January 1, 2018; adopted as part of subd (b) effective January

1, 2006; previously amended and lettered as subd (a) effective January 1, 2009; previously

amended effective January 1, 2016.)

(2)–(3) * * *

(b)–(d) * * *

Rule 8.384 amended effective January 1, 2018; adopted as rule 60.5 effective January 1, 2006;

previously amended and renumbered as rule 8.384 effective January 1, 2007; previously

amended effective January 1, 2009, January 1, 2014, January 1, 2016.

Rule 8.452. Writ petition to review order setting hearing under Welfare and

Institutions Code section 366.26

(a)

Petition

(1) * * *

(2)

The petition must be verified.

(2)(3) The petition must be accompanied by a memorandum.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2007, and July 1, 2010.)

(b)–(i) * * *

Rule 8.452 amended effective January 1, 2018; adopted as rule 38.1 effective January 1, 2005;

previously amended and renumbered effective January 1, 2007; previously amended effective

January 1, 2006, July 1, 2010, and January 1, 2017.

Rule 8.456. Writ petition under Welfare and Institutions Code section 366.28 to

review order designating or denying specific placement of a dependent child

after termination of parental rights

(a)

Petition

(1)

***

(2)

The petition must be verified.

(2)(3) The petition must be accompanied by a memorandum.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2007, and July 1, 2010.)

(b)–(i) * * *

Rule 8.456 amended effective January 1, 2018; adopted as rule 38.3 effective January 1, 2005;

previously amended and renumbered effective January 1, 2007; previously amended effective

January 1, 2006, February 24, 2006, July 1, 2010, and January 1, 2017.

Rule 8.495. Review of Workers’ Compensation Appeals Board cases

(a)

Petition

(1)–(2) * * *

(3)

The petition must be verified.

(3)(4) The petition must be accompanied by proof of service of a copy of the

petition on the Secretary of the Workers’ Compensation Appeals Board in

San Francisco, or two copies if the petition is served in paper form, and one

copy on each party who appeared in the action and whose interest is adverse

to the petitioner. Service on the board’s local district office is not required.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2007, and January 1, 2016.)

(b)–(c) * * *

Rule 8.495 amended effective January 1, 2018; repealed and adopted as rule 57 effective January

1, 2005; previously amended effective July 1, 2006, and January 1, 2016; previously amended

and renumbered as rule 8.494 effective January 1, 2007; previously renumbered as rule 8.495

effective January 1, 2009.

Rule 8.500. Petition for review

(a)–(d) * * *

(e)

Time to serve and file

(1)

A petition for review must be served and filed within 10 days after the Court

of Appeal decision is final in that court. For purposes of this rule, the date of

finality is not extended if it falls on a day on which the clerk’s office of the

clerk/executive officer is closed.

(2)

***

(3)

If a petition for review is presented for filing before the Court of Appeal

decision is final in that court, the clerk/executive officer of the Supreme

Court clerk must accept it and file it on the day after finality.

(4)–(5) * * *

(Subd (e) amended effective January 1, 2018; previously amended effective January 1,

2007, and January 1, 2009.)

(f)

Additional requirements

(1)

The petition must also be served on the superior court clerk and the

clerk/executive officer of the Court of Appeal clerk.

(2) * * *

(3)

The clerk/executive officer of the Supreme Court clerk must file the petition

even if its proof of service is defective, but if the petitioner fails to file a

corrected proof of service within 5 days after the clerk gives notice of the

defect the court may strike the petition or impose a lesser sanction.

(Subd (f) amended effective January 1, 2018; previously amended effective January 1,

2004, and January 1, 2007.)

(g)

***

Rule 8.500 amended effective January 1, 2018; repealed and adopted as rule 28 effective January

1, 2003; previously amended effective January 1, 2004, July 1, 2004, and January 1, 2009;

previously amended and renumbered effective January 1, 2007.

Advisory Committee Comment

Subdivision (a). * * *

Subdivision (e). * * *

Subdivision (f). The general requirements relating to service of documents in the appellate courts

are established by rule 8.25. Subdivision (f)(1) requires that the petition (but not an answer or

reply) be served on the clerk/executive officer of the Court of Appeal clerk. To assist litigants,

(f)(1) also states explicitly what is impliedly required by rule 8.212(c), i.e., that the petition must

also be served on the superior court clerk (for delivery to the trial judge).

Rule 8.508. Petition for review to exhaust state remedies

(a)–(b) * * *

(c)

Service

The petition must be served on the clerk/executive officer of the Court of Appeal

clerk but need not be served on the superior court clerk.

(Subd (c) amended effective January 1, 2018.)

Rule 8.508 amended effective January 1, 2018; adopted as rule 33.3 effective January 1, 2004;

previously amended and renumbered effective January 1, 2007.

Rule 8.512. Ordering review

(a)

Transmittal of record

On receiving a copy of a petition for review or on request of the Supreme Court,

whichever is earlier, the clerk/executive officer of the Court of Appeal clerk must

promptly send the record to the Supreme Court. If the petition is denied, the

clerk/executive officer of the Supreme Court clerk must promptly return the record

to the Court of Appeal if the record was transmitted in paper form.

(Subd (a) amended effective January 1, 2018; previously amended effective January 1,

2016.)

(b) * * *

(c)

Review on the court’s own motion

(1)

If no petition for review is filed, the Supreme Court may, on its own motion,

order review of a Court of Appeal decision within 30 days after the decision

is final in that court. Before the 30-day period or any extension expires, the

Supreme Court may order one or more extensions to a date not later than 90

days after the decision is final in the Court of Appeal. If any such period ends

on a day on which the clerk’s office of the clerk/executive officer is closed,

the court may order review on its own motion on the next day the clerk’s

office is open.

(2)

***

(Subd (c) amended effective January 1, 2018; adopted as subd (d); previously amended

and relettered effective January 1, 2004.)

(d) * * *

Rule 8.512 amended effective January 1, 2018; adopted as rule 28.2 effective January 1, 2003;

previously renumbered as rule 8.512 effective January 1, 2007; previously amended effective

January 1, 2004, and January 1, 2016.)

Rule 8.528. Disposition

(a)

***

(b)

Dismissal of review

(1)

The Supreme Court may dismiss review. The clerk/executive officer of the

Supreme Court clerk must promptly send an order dismissing review to all

parties and the Court of Appeal.

(2)

When the Court of Appeal receives an order dismissing review, the decision

of that court is final and its clerk/executive officer must promptly issue a

remittitur or take other appropriate action.

(3)

***

(Subd (b) amended effective January 1, 2018; previously amended effective January 1,

2017.)

(c)–(f) * * *

Rule 8.528 amended effective January 1, 2018; repealed and adopted as rule 29.3 effective

January 1, 2003; previously amended and renumbered as rule 8.528 effective January 1, 2007;

previously amended effective January 1, 2017.

Advisory Committee Comment

Subdivision (a). * * *

Subdivision (b). An earlier version of this rule purported to limit Supreme Court dismissals of

review to cases in which the court had “improvidently” granted review. In practice, however, the

court may dismiss review for a variety of other reasons. For example, after the court decides a

“lead” case, its current practice is to dismiss review in any pending companion case (i.e., a “grant

and hold” matter under rule 8.512(c)) that appears correctly decided in light of the lead case and

presents no additional issue requiring resolution by the Supreme Court or the Court of Appeal.

The Supreme Court may also dismiss review when a supervening event renders the case moot for

any reason, e.g., when the parties reach a settlement, when a party seeking personal relief dies, or

when the court orders review to construe a statute that is then repealed before the court can act.

Reflecting this practice, the Supreme Court now dismisses review—even in the rare case in which

the grant of review was arguably “improvident”—by an order that says simply that “review is

dismissed.”

An order of review ipso facto transfers jurisdiction of the cause to the Supreme Court. By the

same token, an order dismissing review ipso facto retransfers jurisdiction to the Court of Appeal.

The Court of Appeal has no discretion to exercise after the Supreme Court dismisses review: the

clerk/executive officer of the Supreme Court clerk must promptly send the dismissal order to the

Court of Appeal; when the clerk/executive officer of the Court of Appeal clerk files that order,

the Court of Appeal decision immediately becomes final.

If the decision of the Court of Appeal made final by (b)(2) requires issuance of a remittitur under

rule 8.272(a), the clerk/executive officer must issue the remittitur; if the decision does not require

issuance of a remittitur—e.g., if the decision is an interlocutory order (see rule 8.500(a)(1))—the

clerk/executive officer must take whatever action is appropriate in the circumstances.

Subdivision (d). * * *

Subdivision (e). * * *

Rule 8.532. Filing, finality, and modification of decision

(a)

Filing the decision

The clerk/executive officer of the Supreme Court clerk must promptly file all

opinions and orders issued by the court and promptly send copies showing the

filing date to the parties and, when relevant, to the lower court or tribunal.

(Subd (a) amended effective January 1, 2018.)

(b)–(c) * * *

Rule 8.532 amended effective January 1, 2018; repealed and adopted as rule 29.4 effective

January 1, 2003; previously amended and renumbered effective January 1, 2007.

Rule 8.540. Remittitur

(a)

***

(b)

Clerk’s duties

(1)

The clerk must issue a remittitur when a decision of the court is final. The

remittitur is deemed issued when the clerk enters it in the record.

(2)

After review of a Court of Appeal decision, the clerk/executive officer of the

Supreme Court clerk must address the remittitur to the Court of Appeal and

send that court a copy of the remittitur and a filed-endorsed copy of the

Supreme Court opinion or order. The clerk must send two copies of any

document sent in paper form.

(3)

After a decision in an appeal from a judgment of death or in a cause

transferred to the court under rule 8.552, the clerk must send the remittitur

and a filed-endorsed copy of the Supreme Court opinion or order to the lower

court or tribunal.

(4)

The clerk must comply with the requirements of rule 8.272(d).

(Subd (b) amended effective January 1, 2018; previously amended effective January 1,

2007, and January 1, 2016.)

(c)

***

Rule 8.540 amended effective January 1, 2018; repealed and adopted as rule 29.6 effective

January 1, 2003; previously amended and renumbered as rule 8.540 effective January 1, 2007;

previously amended effective January 1, 2016.

Rule 8.600. In general

(a)–(c) * * *

(d) Supervising preparation of record

The clerk/executive officer of the Supreme Court clerk, under the supervision of

the Chief Justice, must take all appropriate steps to ensure that superior court clerks

and reporters promptly perform their duties under the rules in this part. This

provision does not affect the superior courts’ responsibility for the prompt

preparation of appellate records in capital cases.

(Subd (d) amended effective January 1, 2018.)

(e)

***

Rule 8.600 amended effective January 1, 2018; repealed and adopted as rule 34 effective January

1, 2004; previously amended and renumbered effective January 1, 2007.

Rule 8.619. Certifying the trial record for completeness

(a)–(g)

(h)

***

Notice of delivery

When the clerk sends the record to the defendant’s appellate counsel, the clerk must

serve a notice of delivery on the clerk/executive officer of the Supreme Court clerk.

(Subd (h) amended effective January 1, 2018.)

Rule 8.619 amended effective January 1, 2018; adopted as rule 35.1 effective January 1, 2004;

previously amended and renumbered as rule 8.619 effective January 1, 2007; previously

amended effective January 1, 2017.

Rule 8.630. Briefs by parties and amicus curiae

(a)–(b)

(c)

***

Time to file

(1)

Except as provided in (2), the times to file briefs in an appeal from a

judgment of death are as follows:

(A)

The appellant’s opening brief must be served and filed within 210 days

after the record is certified as complete or the superior court clerk

delivers the completed record to the defendant’s appellate counsel,

whichever is later. The clerk/executive officer of the Supreme Court

clerk must promptly notify the defendant’s appellate counsel and the

Attorney General of the due date for the appellant’s opening brief.

(B)

The respondent’s brief must be served and filed within 120 days after

the appellant’s opening brief is filed. The clerk/executive officer of the

Supreme Court clerk must promptly notify the defendant’s appellate

counsel and the Attorney General of the due date for the respondent’s

brief.

(C)

If the clerk’s and reporter’s transcripts combined exceed 10,000 pages,

the time limits stated in (A) and (B) are extended by 15 days for each

1,000 pages of combined transcript over 10,000 pages.

(D)

The appellant must serve and file a reply brief, if any, within 60 days

after the respondent files its brief.

(2)

In any appeal from a judgment of death imposed after a trial that began

before January 1, 1997, the time to file briefs is governed by rule 8.360(c).

(3)

The Chief Justice may extend the time to serve and file a brief for good

cause.

(Subd (c) amended effective January 1, 2018; previously amended effective January 1,

2007.)

(d)–(h) * * *

Rule 8.630 amended effective January 1, 2018; repealed and adopted as rule 36 effective January

1, 2004; previously amended and renumbered as rule 8.630 effective January 1, 2007; previously

amended effective January 1, 2008, January 1, 2011, and January 1, 2016.

Rule 8.634. Transmitting exhibits; augmenting the record in the Supreme Court

(a)

***

(b)

Time to file notice of designation

No party may file a notice designating exhibits under rule 8.224(a) until the

clerk/executive officer of the Supreme Court clerk notifies the parties of the time

and place of oral argument.

(Subd (b) amended effective January 1, 2018; previously amended effective January 1,

2007.)

(c)

***

Rule 8.634 amended effective January 1, 2018; adopted as rule 36.1 effective January 1, 2003;

previously amended effective January 1, 2004; previously amended and renumbered effective

January 1, 2007.

Rule 8.882. Briefs by parties and amici curiae

(a)–(d) * * *

(e)

Service and filing

(1)

Copies of each brief must be served as required by rule 8.25 8.817.

(2)

Unless the court provides otherwise by local rule or order in the specific

case, only the original brief, with proof of service, must be filed in the

appellate division.

(3)

A copy of each brief must be served on the trial court clerk for delivery to

the judge who tried the case.

(4)

A copy of each brief must be served on a public officer or agency when

required by rule 8.29 8.817.

(5)

In misdemeanor appeals:

(A) Defendant’s appellate counsel must serve each brief for the defendant

on the People and must send a copy of each brief to the defendant

personally unless the defendant requests otherwise;

(B) The proof of service under (A) must state that a copy of the

defendant’s brief was sent to the defendant, or counsel must file a

signed statement that the defendant requested in writing that no copy

be sent; and

(C)

The People must serve two copies of their briefs on the appellate

counsel for each defendant who is a party to the appeal.

(Subd (e) amended effective January 1, 2018; adopted as subd (d); previously amended

and relettered effective January 1, 2009.)

Rule 8.882 amended effective January 1, 2018; adopted effective January 1, 2009; previously

amended effective January 1, 2009, January 1, 2010, January 1, 2013, March 1, 2014, and

January 1, 2016.

Rule 8.887. Decisions

(a)–(b) * * *

(c)

Opinions certified for publication

(1)

***

(2)

When the opinion is certified for publication, the clerk must immediately

send:

(A)

***

(B)

One copy to the Court of Appeal for the district. The copy must bear

the notation “This opinion has been certified for publication in the

Official Reports. It is being sent to assist the Court of Appeal in

deciding whether to order the case transferred to the court on the

court’s own motion under rules 8.1000–8.1018.” The clerk/executive

officer of the Court of Appeal clerk must promptly file that copy or

make a docket entry showing its receipt.

(Subd (c) amended effective January 1, 2018; previously amended effective January 1,

2011, and March 1, 2014.)

Rule 8.887 amended effective January 1, 2018; adopted effective January 1, 2009; previously

amended effective January 1, 2011, and March 1, 2014.

Rule 8.931. Petitions filed by persons not represented by an attorney

(a)

Petitions

A person who is not represented by an attorney and who petitions the appellate

division for a writ under this chapter must file the petition on Petition for Writ

(Misdemeanor, Infraction, or Limited Civil Case) (form APP-151). For good cause

the court may permit an unrepresented party to file a petition that is not on form

APP-151, but the petition must be verified.

(Subd (a) amended effective January 1, 2018.)

(b)–(d) * * *

Rule 8.931 amended effective January 1, 2018; adopted effective January 1, 2009; previously

amended effective January 1, 2009, January 1, 2011, January 1, 2014, and January 1, 2016.

Rule 8.972. Petitions filed by persons not represented by an attorney

(a)

Petitions

(1)

A person who is not represented by an attorney and who requests a writ under

this chapter must file the petition on a Petition for Writ (Small Claims) (form

SC-300). For good cause the court may permit an unrepresented party to file

a petition that is not on that form, but the petition must be verified.

(Subd (a) amended effective January 1, 2018.)

(2)–(3) * * *

(b)–(d) * * *

Rule 8.972 amended effective January 1, 2018; adopted effective January 1, 2016.

Rule 8.1005. Certification for transfer by the appellate division

(a)–(d) * * *

(e)

Superior court clerk’s duties

(1)

If the appellate division orders a case certified for transfer, the clerk must

promptly send a copy of the certification order to the clerk/executive officer

of the Court of Appeal clerk, the parties, and, in a criminal case, the Attorney

General.

(2)

***

(Subd (e) amended effective January 1, 2018; adopted as subd (f); previously amended and

relettered effective January 1, 2011.)

Rule 8.1005 amended effective January 1, 2018; repealed and adopted as rule 63 effective

January 1, 2003; previously amended and renumbered effective January 1, 2007; previously

amended effective January 1, 2010, and January 1, 2011.

Rule 8.1007. Transmitting record to Court of Appeal

(a)

Clerks’ duties

(1)

***

(2)

The clerk/executive officer of the Court of Appeal clerk must promptly notify

the parties when the clerk files the record.

(Subd (a) amended effective January 1, 2018; adopted as subd (b); previously amended

effective January 1, 2007, and July 1, 2009; previously amended and relettered effective

January 1, 2011.)

(b)

***

Rule 8.1007 amended effective January 1, 2018; repealed and adopted as rule 65 effective

January 1, 2003; previously amended and renumbered as rule 8.1010 effective January 1, 2007;

previously amended effective July 1, 2009; previously amended and renumbered effective

January 1, 2011.

Rule 8.1018. Finality and remittitur

(a)–(b) * * *

(c)

When the Court of Appeal issues a decision

If the Court of Appeal issues a decision on a case it has ordered transferred from

the appellate division of the superior court, filing, finality, and modification of that

decision are governed by rule 8.264 and remittitur is governed by rule 8.272,

except that the clerk/executive officer must address the remittitur to the appellate

division and send that court a copy of the remittitur and a filed-endorsed copy of

the Court of Appeal opinion or order. If the remittitur and opinion are sent in paper

format, two copies must be sent. On receipt of the Court of Appeal remittitur, the

appellate division clerk must promptly issue a remittitur if there will be no further

proceedings in that court.

(Subd (c) amended effective January 1, 2018; adopted as subd (a); previously relettered as

subd (b) effective January 1, 2009; previously amended and relettered as subd (c) effective

January 1, 2011; previously amended effective January 1, 2016.)

(d)

Documents to be returned

When the Court of Appeal denies or vacates transfer or issues a remittitur under (c),

the Court of Appeal clerk/executive officer must return to the appellate division any

part of the record sent nonelectronically to the Court of Appeal under rule 8.1007

and any exhibits that were sent nonelectronically.

(Subd (d) amended effective January 1, 2018; adopted as subd (c); previously relettered as

subd (d) effective January 1, 2009; previously amended effective January 1, 2011, and

January 1, 2016.)

Rule 8.1018 amended effective January 1, 2018; repealed and adopted as rule 69 effective

January 1, 2003; previously renumbered as rule 8.1018 effective January 1, 2007; previously

amended effective January 1, 2009, January 1, 2011, and January 1, 2016.

Rule 10.40. Appellate Advisory Committee

(a)–(b) * * *

(c)

Membership

The committee must include at least one member from each of the following

categories:

(1)–(3) * * *

(4)

Supreme Court clerk/executive officer administrator;

(5)

Appellate court clerk/executive officer administrator;

(6)–(11) * * *

(Subd (c) amended effective January 1, 2018; previously amended effective January 1,

2002, January 1, 2007, and July 1, 2014.)

Rule 10.40 amended effective January 1, 2018; adopted as rule 6.40 effective January 1, 1999;

previously amended and renumbered effective January 1, 2007; previously amended effective

January 1, 2002, and July 1, 2014.

Rule 10.62. Court Facilities Advisory Committee

(a)

***

(b)

Membership

The committee must include at least one member from each of the following

categories:

(1)

***

(2)

Appellate court clerk/executive officer administrator;

(3)–(7) * * *

The committee also includes the chair and vice-chair of the Trial Court Facility

Modification Advisory Committee, as non-voting members.

(Subd (b) amended effective January 1, 2018.)

Rule 10.62 amended effective January 1, 2018; adopted effective February 20, 2014.

Rule 10.67. Judicial Branch Workers’ Compensation Program Advisory

Committee

(a)–(b) * * *

(c)

Membership

The advisory committee consists of persons from trial courts and state judicial

branch entities knowledgeable about workers’ compensation matters, including

court executive officers, appellate court clerks/executive officers, and human

resources professionals.

(Subd (c) amended effective January 1, 2018.)

Rule 10.67 amended effective January 1, 2018; adopted effective January 1, 2015; previously

amended effective July 1, 2016.

Rule 10.102. Acceptance of gifts

(a)

***

(b)

Delegation of authority

The Administrative Director may delegate the authority to accept gifts to the

following, under any guidelines established by the Administrative Director:

(1)

***

(2)

The clerk/executive officer administrator of a Court of Appeal, for gifts to

that a Court of Appeal;

(3)

The clerk/executive officer of the Supreme Court, for gifts to the Supreme

Court; and

(4) * * *

(Subd (b) amended effective January 1, 2018; adopted effective January 1, 2004;

previously amended effective January 1, 2007, and January 1, 2016.)

Rule 10.102 amended effective January 1, 2018; adopted as rule 989.7 effective September 13,

1991; previously amended and renumbered as rule 6.102 effective January 1, 2004, and as rule

10.102 effective January 1, 2007; previously amended effective January 1, 2016.

Rule 10.104. Limitation on contracting with former employees

(a)–(b)

(c)

***

Policymaking position

“Policymaking position” includes:

(1)

***

(2)

In an appellate court, the clerk/executive officer administrator and any other

position designated by the court as a policymaking position; and

(3)

***

(Subd (c) amended effective January 1, 2018; previously amended effective January 1,

2016.)

(d)

***

Rule 10.104 amended effective January 1, 2018; adopted as rule 6.104 effective January 1, 2004;

previously amended and renumbered as rule 10.104 effective January 1, 2007; previously

amended effective January 1, 2016.

Rule 10.452. Minimum education requirements, expectations, and

recommendations

(a)–(c) * * *

(d)

Responsibilities of Chief Justice and administrative presiding justices

The Chief Justice and each administrative presiding justice:

(1)

Must grant sufficient leave to Supreme Court and Court of Appeal justices,

the clerk/executive officer administrator, and the managing attorney to enable

them to complete the minimum education requirements stated in rules

10.461, 10.471, and 10.472, respectively;

(2)

To the extent compatible with the efficient administration of justice, must

grant to all justices, the clerk/executive officer administrator, and the

managing attorney sufficient leave to participate in education programs

consistent with the education recommendations stated in rules 10.469 and

10.479. After a justice has completed any new justice education required

under rule 10.461 or after a justice has completed the first year on the bench,

the Chief Justice or the administrative presiding justice should grant each

justice at least eight court days per calendar year to participate in continuing

education relating to the justice’s responsibilities;

(3)

In addition to the educational leave required under (d)(1)–(2), should grant

leave to a justice, clerk/executive officer administrator, or managing attorney

to serve on education committees and as a faculty member at education

programs when the individual’s services have been requested for these

purposes by Judicial Council staff, the California Judges Association, or the

court. If a court’s calendar would not be adversely affected, the court should

grant additional leave for a justice, the clerk/executive officer administrator,

or the managing attorney to serve on an educational committee or as a faculty

member for judicial branch education;

(4)

Should establish an education plan for his or her court to facilitate the

involvement of justices, the clerk/executive officer administrator, and the

managing attorney as both participants and faculty in education activities;

(5)

Must ensure that justices, the clerk/executive officer administrator, and the

managing attorney are reimbursed by their court in accordance with the travel

policies issued by the Judicial Council for travel expenses incurred in

attending in-state education programs as a participant, except to the extent

that: (i) certain expenses are covered by the Judicial Council; or (ii) the

education provider or sponsor of the program pays the expenses. Provisions

for these expenses must be part of every court’s budget. The Chief Justice or

the administrative presiding justice may approve reimbursement of travel

expenses incurred by justices, the clerk/executive officer administrator, and

the managing attorney in attending out-of-state education programs as a

participant; and

(6)

***

(Subd (d) amended effective January 1, 2018; previously amended effective January 1,

2008, and January 1, 2016.)

(e)

***

(f)

Responsibilities of Supreme Court and Court of Appeal justices,

clerks/executive officers administrator, managing attorneys, and supervisors

Each court’s justices, clerk/executive officer administrator, managing attorney, and

supervisors:

(1)–(4) * * *

(5)

Must ensure that supervisors and other court personnel are reimbursed by

their court in accordance with the travel policies issued by the Judicial

Council for travel expenses incurred in attending in-state education programs

as a participant, except to the extent that: (i) certain expenses are covered by

the Judicial Council; or (ii) the education provider or sponsor of the program

pays the expenses. Provisions for these expenses must be part of every

court’s budget. The clerk/executive officer administrator or the managing

attorney may approve reimbursement of travel expenses incurred by

supervisors and other court personnel in attending out-of-state education

programs as a participant.

(Subd (f) amended effective January 1, 2018; adopted effective January 1, 2008;

previously amended effective January 1, 2016.)

(g)

***

Rule 10.452 amended effective January 1, 2018; adopted effective January 1, 2007; previously

amended effective January 1, 2008, January 1, 2012, and January 1, 2016.

Rule 10.471. Minimum education requirements for Supreme Court and Court of

Appeal clerks/executive officers administrators

(a)

Applicability

All clerks/executive officers of the California Supreme Court and Courts of Appeal

clerk/administrators must complete these minimum education requirements. All

clerks/executive officers administrator should participate in more education than is

required, related to each individual’s responsibilities and in accordance with the

education recommendations set forth in rule 10.479.

(Subd (a) amended effective January 1, 2018.)

(b)

Hours-based requirement

(1)

(2)

Each clerk/executive officer administrator must complete 30 hours of

continuing education every three years beginning on the following date:

(A)

For a new clerk/executive officer administrator, the first three-year

period begins on January 1 of the year following his or her hire.

(B)

For all other clerks/executive officers administrators, the first threeyear period begins on January 1, 2008.

The following education applies toward the required 30 hours of continuing

education:

(A)

***

(B)

Each hour of participation in traditional (live, face-to-face) education;

distance education such as broadcasts, videoconferences, and online

coursework; faculty service; and self-directed study counts toward the

requirement on an hour-for-hour basis. Each clerk/executive officer

administrator must complete at least half of his or her continuing

education hours requirement as a participant in traditional (live, faceto-face) education. The clerk/executive officer administrator may

complete the balance of his or her education hours requirement through

any other means with no limitation on any particular type of education.

(C)

A clerk/executive officer administrator who serves as faculty by

teaching legal or judicial education to a legal or judicial audience may

apply education hours as faculty service. Credit for faculty service

counts toward the continuing education requirement in the same

manner as all other types of education—on an hour-for-hour basis.

(Subd (b) amended effective January 1, 2018; previously amended effective January 1,

2012, and January 1, 2014.)

(c)

Extension of time

(1) * * *

(2)

If the Chief Justice or the administrative presiding justice grants a request for

an extension of time, the clerk/executive officer administrator, in consultation

with the Chief Justice or the administrative presiding justice, must also

pursue interim means of obtaining relevant educational content.

(3)

An extension of time to complete the hours-based requirement does not affect

the timing of the clerk/executive officer administrator’s next three-year

period.

(Subd (c) amended effective January 1, 2018.)

(d)

Record of participation; statement of completion

Each clerk/executive officer administrator is responsible for:

(1)–(3) * * *

(Subd (d) amended effective January 1, 2018.)

Rule 10.471 amended effective January 1, 2018; adopted effective January 1, 2008; previously

amended effective January 1, 2012, and January 1, 2014.

Rule 10.472. Minimum education requirements for Supreme Court and Court of

Appeal managing attorneys, supervisors, and other personnel

(a)

***

(b)

Content-based requirements

(1)–(2) * * *

(3)

The clerk/executive officer administrator, the managing attorney, or the

employee’s supervisor may determine the appropriate content, delivery

mechanism, and length of orientation based on the needs and role of each

individual employee.

(Subd (b) amended effective January 1, 2018.)

(c)

Hours-based requirements

(1)

***

(2)

Each court employee who is not a managing attorney, supervisor, or appellate

judicial attorney must complete 8 hours of continuing education every two

years, with the exception of employees who do not provide court

administrative or operational services. Those employees are not subject to the

continuing education hours-based requirement but must complete any

education or training required by law and any other education required by the

clerk/executive officer administrator.

(3)

***

(4)

Any education offered by an approved provider (see rule 10.481(a)) and any

other education, including education taken to satisfy a statutory, rules-based,

or other education requirement, that is approved by the clerk/executive

officer administrator, the managing attorney, or the employee’s supervisor as

meeting the criteria listed in rule 10.481(b) applies toward the orientation

education required under (b) and the continuing education required under

(c)(1) and (2).

(5)–(6) * * *

(7)

The clerk/executive officer administrator, the managing attorney, or the

employee’s supervisor may require supervisors and other court personnel to

participate in specific courses or to participate in education in a specific

subject matter area as part of their continuing education.

(Subd (c) amended effective January 1, 2018; previously amended effective January 1,

2012.)

(d)

Extension of time

(1)

For good cause, a justice (for that justice’s chambers staff), the managing

attorney, the clerk/executive officer administrator, or a supervisor, if

delegated by the clerk/executive officer administrator, or the employee’s

supervisor may grant a six-month extension of time to complete the education

requirements in this rule.

(2)

If the justice, managing attorney, clerk/executive officer administrator, or

supervisor grants a request for an extension of time, the managing attorney,

supervisor, or employee who made the request, in consultation with the

justice, managing attorney, clerk/executive officer administrator, or

supervisor, must also pursue interim means of obtaining relevant educational

content.

(3)

***

(Subd (d) amended effective January 1, 2018.)

(e)

***

Rule 10.472 amended effective January 1, 2018; adopted effective January 1, 2008; previously

amended effective January 1, 2012.

Rule 10.481. Approved providers; approved course criteria

(a)

***

(b)

Approved education criteria

Education is not limited to the approved providers referred to in (a). Any education

from another provider 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 education expectations and requirements for justices,

judges, and subordinate judicial officers or requirements for clerks/executive

officers administrators or court executive officers. Similarly, any education from

another provider that is approved by the clerk/executive officer 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 or the content-based or continuing

education requirements for probate court investigators, probate attorneys, and

probate examiners in rule 10.478.

(1)–(2) * * *

(Subd (b) amended effective January 1, 2018; previously amended effective January 1,

2008; and January 1, 2012.)

Rule 10.481 amended effective January 1, 2018; adopted as rule 10.471 effective January 1,

2007; previously amended and renumbered as rule 10.481 effective January 1, 2008; previously

amended effective January 1, 2012, and January 1, 2016.

Rule 10.1004. Court of Appeal administrative presiding justice

(a)–(b) * * *

(c)

Duties

The administrative presiding justice must perform any duties delegated by a

majority of the justices in the district with the Chief Justice’s concurrence. In

addition, the administrative presiding justice has responsibility for the following

matters:

(1)

Personnel

The administrative presiding justice has general direction and supervision of

the clerk/executive officer administrator and all court employees except those

assigned to a particular justice or division;

(2)–(7) * * *

(Subd (c) amended effective January 1, 2018; previously amended effective January 1,

2007.)

(d)

***

Rule 10.1004 amended effective January 1, 2018; repealed and adopted as rule 75 effective

January 1, 2005; previously amended and renumbered effective January 1, 2007.

Rule 10.1008. Courts of Appeal with more than one division

Appeals and original proceedings filed in a Court of Appeal with more than one division,

or transferred to such a court without designation of a division, may be assigned to

divisions in a way that will equalize the distribution of business among them. The

clerk/executive officer of the Court of Appeal clerk must keep records showing the

divisions in which cases and proceedings are pending.

Rule 10.1008 amended effective January 1, 2018; repealed and adopted as rule 47 effective

January 1, 2005; previously amended and renumbered effective January 1, 2007.

Rule 10.1020. Reviewing court clerk/executive officer administrator

(a)

Selection

A reviewing court may employ a clerk/executive officer administrator selected in

accordance with procedures adopted by the court.

(Subd (a) amended effective January 1, 2018.)

(b)

Responsibilities

Acting under the general direction and supervision of the administrative presiding

justice, the clerk/executive officer administrator is responsible for planning,

organizing, coordinating, and directing, with full authority and accountability, the

management of the clerk’s office of the clerk/executive officer and all nonjudicial

support activities in a manner that promotes access to justice for all members of the

public, provides a forum for the fair and expeditious resolution of disputes, and

maximizes the use of judicial and other resources.

(Subd (b) amended effective January 1, 2018.)

(c)

Duties

Under the direction of the administrative presiding justice, the clerk/executive

officer administrator has the following duties:

(1)

Personnel

The clerk/executive officer administrator directs and supervises all court

employees assigned to the clerk/executive officer administrator or by the

administrative presiding justice and ensures that the court receives a full

range of human resources support;

(2)

Budget

The clerk/executive officer administrator develops, administers, and monitors

the court budget and develops practices and procedures to ensure that annual

expenditures are within the budget;

(3)

Contracts

The clerk/executive officer administrator negotiates contracts on the court’s

behalf in accord with established contracting procedures and applicable laws;

(4)

Calendar management

The clerk/executive officer administrator employs and supervises efficient

calendar and caseflow management, including analyzing and evaluating

pending caseloads and recommending effective calendar management

techniques;

(5)

Technology

The clerk/executive officer administrator coordinates technological and

automated systems activities to assist the court;

(6)

Facilities

The clerk/executive officer administrator coordinates facilities, space

planning, court security, and business services support, including the

purchase and management of equipment and supplies;

(7)

Records

The clerk/executive officer administrator creates and manages uniform

record-keeping systems, collecting data on pending and completed judicial

business and the court’s internal operation as the court and Judicial Council

require;

(8)

Recommendations

The clerk/executive officer administrator identifies problems and

recommends policy, procedural, and administrative changes to the court;

(9)

Public relations

The clerk/execu

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