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SELECTED STATUTES REGARDING § 5499.30 Unlawful Advertising of Legal

DUTIES OF ATTORNEYS AND DISCIPLINE Services to Obtain Workers’
Compensation Benefits 12
BUSINESS AND PROFESSIONS CODE
§ 6400 Definitions 12
§ 30 State Bar Licensees Furnish
Social Security Number to § 6401 Chapter application exceptions 13
State Bar 1
§ 6401.5 Practice of law by nonlawyers 13
§ 31 Licensee or Applicant Not in
Compliance with a Judgment or § 6401.6 Legal document assistant;
Order for Support; Enforcement limitation on service; services
of Obligation; Licensee or of attorney 13
Applicant Appearing on List of
500 Largest Tax Delinquencies; § 6402 Registration Requirement;
Refusal to Issue, Reactivate, Registration of Disbarred and
Reinstate, or Renew License, or Suspended Lawyers Prohibited 14
Suspension of License; Inclusion
of Statement on Application § 6402.1 Registration eligibility 14
Regarding Requirement to Pay
State Tax Obligation 3 § 6402.2 Required Continuing Legal
Education Hours 14
§ 125.6 Discrimination in the
Performance of Licensed Activity 4 § 6403 Contents of registration
applications 14
§ 135.5 Legislative Findings and
Declarations; State Benefits; § 6404 Fees 15
Citizenship or Immigration
Status; Licensures 4 § 6405 Bonds 15

§ 476 Inapplicability of Division to § 6406 Certificates of registration;

Certain Persons; Application duration; renewal 16
of § 494.5 5
§ 6407 Register; Identification cards 17
§ 490 Suspension of License;
Licensee Convicted of a Crime 5 § 6408 Disclosure of registration
required 18
§ 490.5 Suspension of License;
Licensee Failure to Comply § 6408.5 Advertisements and solicitation;
with Child Support Order or required disclaimers 18
Judgment 5
§ 6409 Retention of original documents
§ 494.5 Tax Delinquencies; Licensees prohibited 18
Included on Certified Lists 5
§ 6409.1 Venues for Disputes 18
§ 801 Medical Malpractice Actions
Reporting Requirement– § 6410 Written contracts; contents;
Insurers and Attorneys 10 rescinding and voiding 18
§ 802 Unauthorized Rendering of § 6410.5 First in-person or telephonic
Professional Services– solicitation; disclaimers and
Reporting Requirement statements prior to conversation 19
Following Settlement,
Judgment or Arbitration Award 11 § 6411 Unlawful acts 21

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§ 6412 Recovery of damages from § 10130 Real Estate Broker /

bonds; filing of new bonds Salesperson–License Required;
required 21 Complaints for Violation;
Prosecution 26
§ 6412.1 Remedies for violation;
attorney’s fees 21 § 10131 Real Estate Brokers–Defined 26

§ 6412.5 Waivers from client 21 § 10133 Real Estate Brokers–

Exemptions from Licensing
§ 6413 Revocation of registration 22 Requirements 26

§ 6414 Appeal of revocation of § 10133.1 Inapplicability of Certain Code

registration 22 Sections to Particular Persons
or Association 27
§ 6415 Penalties 22
§ 10147.6 Mortgage Loan Modifications–
§ 6450 Paralegals–Definition; Scope Licensee Offering to Perform
and Limitations of Lawful Modification for Compensation;
Activities; Qualifications; Notice to Borrower; Violations 28
Certification 22
§ 10177 Real Estate Licenses–Grounds
§ 6451 Paralegals–Attorney for Revocation or Denial;
Supervision 23 Disciplinary Action 29

§ 6452 Paralegals–Identification § 17529 Unsolicited Commercial E-mail–

Requirements; Liability of Legislative Findings and
Supervising Attorney 23 Declarations 31

§ 6453 Paralegals–Duty of § 17529.1 Unsolicited Commercial E-mail–

Confidentiality 24 Definitions 32

§ 6454 Paralegals–Terminology 24 § 17529.2 Unsolicited Commercial E-mail–

Restrictions 33
§ 6455 Paralegals–Violations; Civil
and Criminal Remedies; § 17529.3 Unsolicited Commercial E-mail–
Attorney Fees 24 Internet Service Provider Policy 33

§ 6456 Paralegals–Exemptions 24 § 17529.4 Unlawful Collection of E-mail

Addresses 33
§ 7190 Advertisement or Promotional
Materials; Use of Public § 17529.5 Commercial E-mail Containing
Official’s Name or Position; Falsified or Misleading
Disclaimer 24 Information 34

§ 10026 Advance Fee 24 § 17529.8 Unsolicited Commercial E-mail–

Remedies 35
§ 10085 Advance Fee Agreements–
Materials Used to Obtain; § 17529.9 Unsolicited Commercial E-mail–
Submission to Commissioner; Severable Provisions 35
Orders; Violations 25
§ 17538.41 Advertisement Transmitted by
§ 10085.6 Mortgage Loan Modifications– Text Message 35
Performed by Licensee;
Prohibitions; Violations 25

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§ 17538.43 Unsolicited Advertisement § 22443.1 Immigration Consultants–

Transmitted by Telephone Bond; Requirements; Filing
Facsimile Machine 36 Fee Disclosure; Posting of
Information 45
§ 17538.45 Electronic Mail Advertisement–
Definitions 37 § 22443.2 Immigration Consultants–
Cease and Desist Order for
§ 22440 Engaging in the Business or Failure to Maintain Bond or
Acting in the Capacity of an Pass Background Check 46
Immigration Consultant 38
§ 22443.3 Immigration Consultants–
§ 22441 Immigration Consultants; Bond, Necessity to File with
Definitions 38 Secretary of State 46

§ 22441.1 Immigration Consultants– § 22444 Immigration Consultants–

Requirement for Background Illegal Acts 46
Check 39
§ 22445 Violations; Penalties and
§ 22442 Immigration Consultants– Punishment 47
Written Contract; Requisite
Provisions 39 § 22446.5 Civil Actions; Attorneys’ Fees;
Priority of Cases 47
§ 22442.1 Immigration Consultants–
Required Receipts and § 22447 Damage Recovery for the
Accounting 40 Bond or Deposit; Effect of
Reduction of Principal Amount 48
§ 22442.2 Immigration Consultants–
Posted Notice; Advertisement § 22448 Cause of Action;
Notice; Required Information; Commencement; Accrual 48
Written Disclosure 40
§ 22449 Immigration Consultants–Fees
§ 22442.3 Immigration Consultants– for Providing Consultations,
Translation of Specified Phrases; Legal Advice, or Notary Public
Bonding Requirements; Services Associated with Filing
Remedies and Penalties 41 Application under Deferred
Action for Childhood Arrivals
§ 22442.4 Immigration Consultants– Program; Conditions; Penalties;
Provision of Fingerprint Professional Discipline 48
Images and Other Information
to Department of Justice 42 CIVIL CODE

§ 22442.5 Immigration Consultants– § 43.95 Immunity from Liability for

Client Trust Account for Referrals by Professional
Immigration Reform Act Society 49
Services 43
§ 54.27 Construction-Related
§ 22442.6 Immigration Consultants– Accessibility Claim–
Immigration Reform Act Prelitigation Letters and
Services; Refunding of Complaints to Education
Advance Payment; Entities; Requirements 49
Statement of Accounting 43
§ 55.3 Construction-Related
§ 22443 Immigration Consultants– Accessibility Claim–Defined 51
Forms and Documents;
Client Copies; Retention 45

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§ 55.31 Construction-Related § 1717.5 Action on Contract Based on

Accessibility Claim–Demand Book Account;  Award of
Letter Requirements; Attorney's Fees for the
Prohibitions 53 Prevailing Party;  Effect of
Written Agreement; Scope of
§ 55.32 Construction-Related Application 72
Accessibility Claim–Attorney
Requirements When Providing § 1940.05 “Immigration or citizenship
a Demand Letter; Violations 54 status”–Defined 73

§ 55.54 Service of Summons and § 2944.6 Mortgage Loan Modifications–

Complaint in Construction- Person Offering to Perform
Related Accessibility Claim 56 Modification for a Fee; Notice
to Borrower; Violations 73
§ 55.55 Construction-Related
Accessibility Claim–Attorney’s § 2944.7 Mortgage Loan Modifications–
Fees and Costs; Additional Person Offering to Perform
Factors to Consider 64 Modification for a Fee;
Prohibitions; Violations 73
§ 55.56 Construction-Related
Accessibility Claim– § 2944.8 Mortgage Loan Modifications–
Statutory Damages; Full Negotiating or Offering to
and Equal Access Denied; Perform Mortgage Loan
Reduction in Liability 64 Modification for a Fee;
Additional Penalties Where
§ 55.61 Gender Discrimination in Victim is Senior Citizen or
Services Compliance Act– Disabled Person 74
Short Title 68
§ 2944.10 Mortgage Loan Modifications–
§ 55.62 Gender Discrimination in Negotiating or Offering to
Services Claim–Definitions; Perform Mortgage Loan
Attorney Requirements When Modification for a Fee;
Providing a Demand Letter; Additional Penalties Where
Advisory Notice; Penalties 68 Victim is Senior Citizen or
Disabled Person 75
§ 55.63 Pamphlet or Informational
Materials for Use by § 2945.1 Foreclosure Consultants–
Businesses; Rights and Defined 75
Obligations; Provision of
Pamphlet 70 § 3339.10 Immigration or Citizenship
Status Irrelevant to Issues of
§ 1714.10 Attorney-Client Civil Conspiracy; Liability or Remedy in
Proof and Pre-Pleading Court Specified Proceedings;
Determination; Defense; Discovery 77
Limitations; Appeal 71
CODE OF CIVIL PROCEDURE
§ 1717 Action on Contract;  Award of
Attorney's Fees and Costs; § 128 Inherent Powers of the Court 77
 Prevailing Party;  Deposit of
Amounts in Insured, Interest- § 128.5 Frivolous Actions or Delaying
Bearing Account;  Damages Tactics–Award of Expenses,
Not Based on Contract 71 Including Attorney’s Fees on
Motion 78

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§ 128.7 Pleadings, Petitions and Other § 364 Ninety Days Prior Notice of
Papers; Required Name, Intention to Commence
Address, Telephone Number, Action–Definitions 92
and Signature of Attorney of
Record or Party; Remedies § 365 Failure to Comply With
and Sanctions 80 Provisions 92

§ 170.1 Judges–Grounds for § 411.35 Malpractice Actions;

Disqualification 81 Architects, Engineers, Land
Surveyors; Attorney’s
§ 170.6 Judicial Offices–Prejudice Certification of Case Review
Against Parties or Attorneys; and Consultation; Reliance on
Motion and Affidavit; Notice Res Ipsa Loquitur or Failure to
Reassignment; Limit on Inform of the Consequences
Motions; Continuance; of a Procedure Exceptions;
Cumulative Remedies; Failure to File 92
Severability 84
§ 425.50 Construction-Related
§ 170.9 Gifts to Judges–Acceptance; Accessibility Claim–Complaint
Limits; Exceptions; Requirements 94
Adjustments; Travel Expenses 86
§ 425.55 Legislative Findings and
§ 177.5 Judicial Officers–Sanctions 88 Declarations Regarding the
Protection of the Civil Rights
§ 206 Criminal Actions–Discussions of Persons with Disabilities;
with Jury After Discharge 88 “High-Frequency Litigant”
Defined 96
§ 283 Authority to Bind Client 89
§ 527.6 Injunction and Temporary
§ 284 Substitution–Consent or Order 89 Restraining Order Prohibiting
Harassment–Appearance In
§ 285 Notice to Adversary 89 Court by Guardian 97

§ 285.1 Withdrawal in Domestic § 527.8 Employees Subject to Unlawful

Relations Matters 89 Violence or Threat of Violence
at the Workplace; Temporary
§ 285.2 Withdrawal When Public Restraining Order; Order After
Funding Reduced 89 Hearing; Constitutional
Protections for Speech and
§ 285.3 Withdrawal Pursuant to 285.2– Activities 102
When Tolling Required 90
§ 527.85 Officers Authorized to Maintain
§ 285.4 Appointment Pursuant to 285.2– Order on School Campus or
No Compensation 90 Facility; Threat of Violence
Made Off School Campus;
§ 286 Death or Disability– Temporary Restraining Order
Appearance 90 and Order After Hearing;
Violation of Restraining Order 107
§ 340.3 Commencement of Actions 90
§ 566 Persons Ineligible for
§ 340.6 Limitations: Commencement Appointment; Consent;
of Action Against an Attorney 91 Undertaking on Ex Parte
Application 111

§ 568 Powers of Receivers 111

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§ 638 Reference by Agreement of § 1281.92 Restrictions Against Private

the Parties; Purposes 112 Arbitration Company from
Administering Consumer
§ 639 Direction of a Reference; Arbitration or Related Services 120
Application; Motion of the
Court 112 § 1281.96 Private Arbitration Companies;
Publication of Consumer
§ 907 Appeal Frivolous or Taken Arbitration Information; Liability 120
Solely for Delay 113
§ 1281.97 Fees and Costs of Arbitration
§ 1002 Settlement Agreement Initiation; Breach; Sanctions 1205
Provisions or Court Orders
Preventing Disclosure of § 1281.98 Fees and Costs of Arbitration
Factual Information Relating Continuance; Breach; Sanctions
to Action 113 1205

§ 1015 Nonresident Party; Service § 1281.99 Breach of Arbitration

on Clerk or Attorney 114 Agreement; Sanctions 1206

§ 1021 Attorney’s Fees–Determined § 1282.4 Right to be Represented by

by Agreement 114 Attorney at Arbitration
Proceeding; Condition for
§ 1029.8 Damages for Injury Caused Representation by Out-of-State
by an Unlicensed Person who Attorney 123
Provides Services for which a
License is Required 114 § 1284.3 Consumer Arbitrations;
Agreements to Pay Fees and
§ 1032 Definitions; Prevailing Party’s Costs; Waiver for Indigents 125
Right to Recover Costs;
Stipulations 115 § 1297.119 Arbitrator Immunity 126

§ 1033 Judicial Discretion to Award § 1518 When Fiduciary Property

Costs–Limited Civil Case or Escheats to State 126
Small Claims Division 115
§ 1564.5 Abandoned IOLTA (Interest
§ 1033.5 Costs Allowed Under Section on Lawyers’ Trust Account)
1032 116 Property Account;
Establishment, Deposits,
§ 1141.18 Arbitrators, Qualifications; and Transfers 127
Compensation; Method of
Selection; Disqualification 117 § 2018.010 Client Defined 127

§ 1209 Acts and Omissions § 2018.020 Policy 127

Constituting Contempt 118
§ 2018.030 Limitations on Discovery 127
§ 1281.85 Neutral Arbitrators–
Applicability § 2018.040 Scope 127
of Ethics Standards 119
§ 2018.050 Crime or Fraud Exception 128
§ 1281.9 Neutral Arbitrations; Disclosure
of Information; Disqualification; § 2018.060 In Camera Hearing Request 128
Waiver 119

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§ 2018.070 Exception: State Bar § 16956 Security for Claims Against

Disciplinary Charges Pending; Limited Liability Partnership;
Client Approval; Confidentiality 128 Requirements; Evidence of
Compliance 136
§ 2018.080 Breach of Attorney’s Duty
Arising Out of Attorney-Client § 16958 Law Governing Foreign
Relationship 128 Limited Liability Partnership 143

§ 2025.220 Transcription of Deposition § 16959 Foreign Limited Liability

Testimony; Allocation of Costs; Partnerships Transacting
Requirements for Distribution Intrastate Business;
and Retention of Copies 128 Registration and Filing
Requirements; Fee; Time of
§ 2025.510 Transcription of deposition Registration; Form; Penalty;
testimony; allocation of costs; “Transact Intrastate Business”
requirements for distribution Defined; Resignation of Agent
and retention of copies 129 for Service of Process 144

§ 2031.240 Partial Objection to Demand EDUCATION CODE

for Inspection; Privilege Log 130
§ 69740 Definitions 146
CORPORATIONS CODE
§ 69741 Establishment of Program 147
§ 10830 Formation; Requirements;
Supervision 130 § 69741.5 Amount of Assistance 147

§ 16100 Uniform Partnership Act of § 69742 Eligibility Criteria 147

1994 131
§ 69743 Other Loan Repayment
§ 16101 Uniform Partnership Act– Programs 148
Definitions 131
§ 69743.5 Selection of Participants;
§ 16306 Joint and Severable Liability; Repayment 148
Personal Liability; Registered
Limited Liability Partnerships 133 § 69744 Use of Funds 148

§ 16951 Types of Limited Liability § 69745 Loans Which May be Repaid;

Partnerships to be Recognized 134 Length of Repayment 148

§ 16952 Requirements for Name 134 § 69746 Commission Not Responsible

after Participant’s Eligibility
§ 16953 Registration; Contents; Fee; Expires 148
Filing; Form; Compliance with
Requirements 134 § 69746.5 Annual Report to Legislature 148

§ 16954 Amended Registration; Notice EVIDENCE CODE

of Termination 136
§ 175 “Person” – Defined 149
§ 16955 Conversion of Domestic
Partnership; Rights and § 250 “Writing” – Defined 149
Obligations 136
§ 351.3 Evidence of Immigration Status
in Civil Actions Not Governed
by § 351.2 149

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§ 351.4 Evidence of Immigration § 955 When Lawyer Must Claim

Status in Criminal Actions 149 Privilege 153

§ 703.5 Competency to Testify 149 § 956 Services of Lawyer Obtained

to Aid in Commission of
§ 911 Refusing to Be or Have Crime or Fraud 153
Another as a Witness, or
Disclosing or Producing any § 956.5 Prevention of Criminal Act
Matter 150 Likely to Result in Death or
Substantial Bodily Harm 154
§ 912 Privilege, Waiver 150
§ 957 Parties Claiming Under
Deceased Client 154
§ 913 Comments on, and Inferences
from the Exercise of the
§ 958 Breach of Duty Arising Out of
Privilege 150 Lawyer-Client Relationship in
Issue 154
§ 914 Claim of Privilege,
Determination of; Limitations § 959 Intention or Competence of
on Punishment for Contempt 151 Client Executing Attested
Document in Issue 154
§ 915 Disclosure of Privileged
Information in Ruling on § 960 Intention of Deceased Client
Claim of Privilege 151 With Respect to Writing
Affecting Interest in Property
§ 916 Privileged Information– in Issue 154
Exclusion Where Persons
Authorized to Claim Privilege § 961 Validity of Writing Affecting
are Not Present 151 Interest in Property Executed
by Deceased Client in Issue 154
§ 917 Confidential Communications–
Presumptions; Burden of Proof 152 § 962 Two or More Clients Retaining
Same Lawyer in Matter of
§ 918 Claim of Privilege–Error in Common Interest 154
Overruling 152
§ 965 Lawyer Referral Service-
§ 919 Erroneously Compelled Client Privilege–Definitions 154
Disclosure– Admissibility;
Claim of Privilege; Coercion 152
§ 966 Lawyer Referral Service-
Client Privilege 155
§ 920 Repeal by Implication of Other
Statutes Related to Privilege 152
§ 967 Lawyer Referral Service-
§ 950 Lawyer Defined 152 Client Privilege–Claiming of
Privilege 155
§ 951 Client Defined 152
§ 968 Lawyer Referral Service-
§ 952 Confidential Communication Client Privilege–Exceptions to
Between Client and Lawyer Privilege 155
Defined 152
§ 1119 Written or Oral Communications
§ 953 Holder of Privilege Defined 153 During Mediation Process;
Admissibility 156
§ 954 Who May Claim Privilege 153
§ 1270 “A Business” 156

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§ 1271 Business Record 156 § 10004 Family Law Facilitator Act–

Services Provided 162
§ 1272 Absence of Entry in Business
Records 156 § 10005 Family Law Facilitator Act–
Additional Duties 163
§ 1552 Printed Representation of
Computer Generated § 10006 Family Law Facilitator Act–
Information or Computer Hearing 163
Program 156
§ 10007 Family Law Facilitator Act–
§ 1553 Evidence–Printed Cost 163
Representation of Images
Stored on Video or Digital § 10008 Family Law Facilitator Act–
Medium; Burden of Proof 157 Child Support; Services
Provided 163
§ 1563 Witness Fees 157
§ 10010 Family Law Facilitator Act–
FAMILY CODE Minimum Standards 164

§ 1612 Premarital Agreements, § 10011 Family Law Facilitator Act–

Subject Matter 158 Funding 164

§ 1615 Premarital Agreements, § 10012 Family Law Facilitator Act–

Enforceability 159 Separate Meetings with Parties
When History of Domestic
§ 2033 Family Law Attorney’s Real Violence is Alleged 164
Property Lien; Notice;
Objections 160 § 10013 Family Law Facilitator Act–
Notice Regarding Attorney-
§ 8800 Unethical for Attorney to Client Relationship 164
Represent Both Prospective
Adopting Parents and Natural § 10014 Family Law Facilitator Act–
Parents–Conflict of Interest 160 Public Comments Prohibited 164

§ 8812 Requirements for Payment of § 10015 Family Law Facilitator Act–

Attorneys’ Fees, etc., by Judicial Counsel Forms 164
Prospective Adopting Parents
to the Birth Parents 161 § 17520 License Applicants;
Compliance with Support
§ 10000 Family Law Facilitator Act 162 Orders; License Issuance,
Renewal, and Suspension;
§ 10001 Family Law Facilitator Act– Review 165
Legislative Findings and
Declaration 162 FINANCIAL CODE

§ 10002 Family Law Facilitator Office– § 22161 Loan Making and Brokering–
Superior Court Appointment False, Deceptive or Misleading
of Licensed Attorneys as Advertisements, Statements
Facilitators 162 or Representations 171

§ 10003 Family Law Facilitator Act–

Application of Division 162

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GOVERNMENT CODE § 31000.6 Employment of Legal Counsel

to Assist Assessor or Sheriff;
§ 6252 Local and State Agency; Conflicts of Interest 187
Public Person, Agency, and
Records; Definitions 171 § 68085.35 High-Frequency Litigant Fees;
Deposit and Distribution 188
§ 6254 Exemption of Particular
Records 172 § 68500.3 References to Administrative
Office of the Courts 188
§ 6254.3 Disclosure of Public Records;
Public Agency Employees 181 § 68903 Contract for Publication of
Official Reports 188
§ 6254.5 Disclosures of Public Records;
Waiver of Exemptions 182 § 70660 Fee for Storage 188

§ 6261 Inspection of State Agencies § 70661 Fee for Document Search 188
Expenditures and
Disbursements 182 § 71622.5 2011 Realignment Legislation–
Declaration Regarding
§ 8287 Law Revision Commission Information 189
Assistance of Board of
Governors 182 INSURANCE CODE

§ 11121 Definition of State Body 183 § 750 Unlawful to Receive

Consideration for Referral of
§ 11140 Policy of State 183 Clients 189

§ 11141 Nomination for Appointments; § 750.4 Exemptions from Section 750 190
Compliance with Policy 183
§ 750.5 Permissible Acts for Attorneys
§ 12011.5 Judicial Vacancies, State Bar and Law Firms under Section
Evaluation of Candidates 183 750 190

§ 12921 Civil Rights; Employment and § 1724 Prohibition Against Sharing a

Housing without Discrimination 186 Commission Between an
Attorney and an Insurance
§ 19990.6 State Attorneys and Agent, Broker or Solicitor 190
Administrative Law Judges;
Service on Governmental § 1871 Legislative Intent 190
Bodies 186
§ 1871.1 Investigation of Fraudulent
§ 26540 Defending Persons Accused Claims, Access to Public
of Crimes 187 Records 191

§ 26543 Prohibition Against Acting as § 1871.4 Unlawful to Make False or

Private Counsel in Cases Fraudulent Statements or
Against State Governmental Representations for Purpose
Agencies 187 of Obtaining or Denying
Compensation; Penalties 191
§ 26810 Authority of Court Clerk to
Photocopy, Microphotocopy, § 1871.5 Ineligibility to Receive or
Reproduce, and Store Retain Compensation,
Documents Transferred Conviction of Workers’
Under Probate Code Sections Compensation Fraud 192
732 and 8200 187

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§ 1871.6 Provisions of Section 1871.4 § 139.32 Financial Interests Disclosure;

Do Not Limit Applicability of Prohibited Referrals; Penalties;
Section 781 of the Penal Code 192 Exemptions 213

§ 1871.7 Unlawful Solicitation of § 139.45 Promulgation of Regulations

Business 192 re False or Misleading
Advertising; Definitions 215
§ 1872 Creation of Bureau of
Fraudulent Claims 197 § 244 Violation of Rights to Report
Suspected Immigration Status
§ 1872.8 Annual Special Purpose of Employee or Family
Assessment; Distribution of Member 216
Proceeds; Duties of Bureau
of Fraudulent Claims 197 § 1102.5 Employee’s Right to Disclose
Information to Government or
§ 1872.83 Reporting Incidents of Fraud Law Enforcement Agency;
to Appropriate Disciplinary Employer Prohibited from
Body 198 Retaliation; Civil Penalty;
Confidential Communications 216
§ 1872.95 Medical & Chiropractic Boards
and State Bar; Investigation § 5430 Short title 217
|of Motor Vehicle or Disability
Insurance Fraud by Licensees 201 § 5431 Purpose 217

§ 1877.5 Insurer Communications § 5432 Advertisement to Solicit

Under this Article are Workers’ Compensation
Privileged; Immunity from Claims; Mandatory Notice or
Civil Liability 202 Statement 217

INTERNAL REVENUE CODE § 5433 Advertisements and Lead

Generating Devices; Mandatory
§ 6041 Information at Source 202 Disclosure; Deceptive or
Misleading Names or
§ 6045 Returns of Brokers 203 Advertising Techniques 218

§ 6050I Returns Relating to Cash § 5434 Violation; Misdemeanor 218

Received in Trade or Business 207
PENAL CODE
§ 6050W Returns Relating to Payments
Made in Settlement of Payment § 76 Threats Against Public Officials,
Card and for Third-Party Appointees, Judges, Staff or
Network Transactions 210 Their Families; Intent and
Ability to Carry Out Threat;
LABOR CODE Punishment 219

§ 98.6 Discrimination, Discharge, or § 118 Perjury Defined; Proof 219

Refusal to Hire for Exercise of
Employee Rights; Reinstatement § 118a False Affidavit as to Perjurious
and Reimbursement; Refusal to Testimony; Subsequent
Reinstate as Misdemeanor; Testimony 220
Applicability 212
§ 126 Punishment 220

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§ 127 Subornation of Perjury– § 137 Influencing the Testimony or

Definition, Punishment 220 Information Given to Law
Enforcement Officials 228
§ 128 Procuring the Execution of an
Innocent Person; Punishment 220 § 138 Witnesses–Offering or
Accepting Bribes 229
§ 132 Offering False Evidence 220
§ 141 Intentional Alteration of
§ 132.5 Witnessing Crimes, Evidence with Intent to Charge
Consideration for Providing Person with a Crime; By
Information; Violations; Peace Officer or Prosecuting
Penalties 220 Attorney 229

§ 132.5 Witnesses, Findings and § 158 Common Barratry Defined;

Declarations of the Legislature; Punishment 229
Prohibitions on Recovering
Money for Information; § 166 Contempt Constituting
Offenses, Exceptions 221 Misdemeanor 229

§ 133 Deceiving a Witness 222 § 506 Misappropriation of the

Property of Another by One
§ 134 Preparing False Evidence 222 Controlling or Intrusted with
the Property 231
§ 135 Destroying Evidence 222
§ 506a Account or Debt Collectors;
§ 135.5 Tampering with Evidence in Definition; Prosecution;
a Disciplinary Proceeding Punishment 232
Against a Public Safety
Officer 222 § 549 Penalties for Referrals with
Intent to Violate Insurance
§ 136 Definitions 222 Code Section 1871.1 or
1871.4 232
§ 136.1 Intimidation of Witnesses and
Victims; Offenses; Penalties; § 550 Fraudulent Insurance Claims;
Enhancement; Aggravation 223 Felony Violations 232

§ 136.2 Witness or Victim–Good Cause § 551 Unlawful Consideration for

Belief of Harm to, Intimidation Referring Insured to an
of, or Dissuasion of; Court Automotive Repair Dealer 235
Order; Violation of Orders 224
§ 633.05 City Attorney–Evidence
§ 136.3 Court Order to Protect the Obtained by Overhearing or
Address or Location of a Recording Communications
Protected Party 228 That Could be Lawfully
Overheard or Recorded 235
§ 136.5 Intent to Use Deadly Weapon
to Intimidate Witness; Offense; § 646 Soliciting Personal Injury
Penalty 228 Claims with the Intent of
Suing Out of State; Offense;
§ 136.7 Revealing Names and Punishment 236
Addresses of Witnesses or
Victims by Sexual Offender § 936.5 Special Counsel and Special
with the Intent that Another Investigators–Superior Court
Prisoner will Initiate Harassing Judge May Employ 236
Correspondence 228

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§ 987.2 Assigned Counsel and Public § 14156 Effect of Title on Other

Defenders–Compensation; Programs 247
Multi-County Representation;
Recovery of Costs 236 POLITICAL REFORM ACT

§ 1050 Precedence of Criminal Cases; § 82011 Code Reviewing Body 247

Procedures for Continuances 238
§ 82019 Designated Employee 248
§ 1050.5 Sanctions for Failure to Comply
With Notice Requirements for § 82041 Local Government Agency 248
Continuances 239
§ 82048 Public Official 248
§ 1424 Disqualification of the District
Attorney 240 § 82049 State Agency 249

§ 1424.5 Deliberate and Intentional § 87311.5 Applicability of Administrative

Withholding of Relevant, Procedure Act: Local
Material Exculpatory Procedures 249
Evidence or Information 240
§ 91013 Late Filing of Statement of
§ 1524 Search Warrant; Special Economic Interest; Penalties 249
Master; Attorney Work
Product 241 § 91013.5 Collection of Unpaid Penalties 249

§ 1525 Search Warrant; Probable § 91013.7 Application for Judgment to

Cause 245 Collect Penalties 250

§ 5065.5 Sale of Crime Story by PROBATE CODE

Convicted Criminal Offender;
 Notification of California § 86 Undue Influence Defined 250
Department of Corrections
and Rehabilitation and § 700 Definitions for This Chapter 250
Notification of Victim 245
§ 701 Attorney Defined 250
§ 14150 Alternative Dispute Resolution
Programs 245 § 702 Deposit Defined 250

§ 14151 District Attorney Establishment § 703 Depositor Defined 250

of Program Providing
Alternative Dispute Resolution 246 § 704 Document Defined 251

§ 14152 District Attorney Referral of § 710 Preservation of Documents

Potential Misdemeanor Cases 246 Transferred to Attorney 251
§ 14153 Consent to Participate in § 711 Notice of Loss or Destruction
Alternative Dispute Resolution 246 of Document 251
§ 14154 Court Referral of § 712 Liability for Lost or Destroyed
Misdemeanor Cases 246 Document 251
§ 14155 Referral of Case Back to § 713 No Duty as to Content of
District Attorney or Court; Document; Provision of Legal
Recommendation for Services Arising from
Prosecution or Dismissal 247 Document Retention 251

2021 xiii
 TABLE OF CONTENTS

§ 714 Attorney Compensation for § 9880 Purchases or Interests

Preservation of Documents; Prohibited 257
No Lien Rights Created 251
§ 9881 Orders Authorizing Purchase;
§ 715 Notice and Acknowledgment Requirements 257
of Deposit, Form and Content 251
§ 9882 Orders Authorizing Purchase;
§ 716 Preservation and Standard of Will Authorization 258
Care–Effect of Compliance
with Section 715 252 § 9883 Petitions; Confirmation of Sale;
Notice of Hearing; Orders;
§ 720 Termination of Deposit 252 Conveyance 258

§ 730 Termination of Deposit– § 9884 Purchases Pursuant to

Attorney 252 Contract 258

§ 731 Termination of Deposit– § 9885 Options to Purchase 258

Methods 252
§ 10804 Estate Attorney Acting as
§ 732 Termination of Deposit After Personal Representative–
Notice to Reclaim Mailed, Court Approval of
Methods of Transfer 252 Compensation 258

§ 733 Notice to State Bar of § 12252 Subsequent Administration of

Transfers Under Section 732 253 Estate– Appointment of
Personal Representative,
§ 734 Termination of Deposit, Death Notice 258
of Depositor 253
§ 15642 Grounds for Removal of a
§ 735 Termination of Deposit– Trustee 259
Death or Incapacity of Attorney 253
§ 15686 Trustee’s Fee 260
§ 2468 Disabled Attorney–Petition
for Appointment of Practice § 15687 Attorney Acting as Trustee–
Administrator; Notice and Compensation for Legal
Hearing, Contents, Services Performed 260
Compensation, Termination 254
§ 15688 Public Guardian Appointed as
§ 2586 Court Examination of Estate Trustee; Authorized Payments 261
Plan of a Conservatee 254
§ 17200 Trusts–Existence of; Petitions
§ 2620.2 Failure to File Account by to Appoint a Practice
Conservator or Guardian; Administrator for a Deceased
Court Appointed Counsel 255 or Disabled Member 261

§ 2645 Attorney Guardian or § 21360 Application of Definitions 263

Conservator, Compensation
for Legal Services Performed 256 § 21362 “Care Custodian” and “Health
and Social Services”–Defined 263
§ 9764 Deceased Attorney–Petition
for Appointment of Practice § 21364 “Cohabitant”–Defined 263
Administrator; Notice and
Hearing, Contents, § 21366 “Dependent Adult”–Defined 263
Compensation, Termination 256

xiv 2021
 TABLE OF CONTENTS

§ 21368 “Domestic Partner”–Defined 264 WELFARE AND INSTITUTIONS CODE

§ 21370 “Independent Attorney”– § 15610.07 Abuse of an Elder or a

Defined 264 Dependent Adult; Defined 268
§ 21374 “Related by Blood or Affinity” § 15610.17 Care Custodian 268
and “Spouse or Domestic
Partner”–Defined 264
§ 15610.30 “Financial Abuse” of Elder or
§ 21380 Presumption of Fraud or Undue Dependent Adult–Defined 269
Influence; Costs and Attorney’s
Fees 264 § 15610.67 “Serious Bodily Injury”–
Defined 270
§ 21382 Inapplicability of Section 21380
to Specified Instruments or § 15610.70 “Undue Influence”–Defined 270
Transfers 265
§ 15657.03 Abused Elder or Dependent
§ 21384 Donative Transfer Not Subject Adult–Protective Orders 270
to Section 21380; Certificate
of Independent Review 265
§ 15657.1 Attorney’s Fees; Factors 275
§ 21386 Donative Transfer that Fail
Under this Part 266

§ 21388 Property Transfers; Liability;

Notice 266

§ 21390 Disqualification Despite

Contrary Provision 266

§ 21392 Effective Date 266

PUBLIC CONTRACT CODE

§ 10353.5 Legal Services Contract 266

PUBLIC RESOURCE CODE

§ 40432 Legal Representative 267

VEHICLE CODE

§ 12801.2 Prohibited Financial

Compensation for Filling Out
Original Driver’s License
Application for Another;
Violations; Civil Penalties 267

WATER CODE

§ 186 Powers of Board Necessary

for Exercise of its Duties;
Employment of Legal
Counsel and Other Persons;
Organization; Representation
by Attorney General 268

2021 xv
xvi 2021
 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

[Publisher’s Note: This publication is updated annually. consistent with subsection (d) of Section
Unless otherwise indicated, statutory provisions are effective 1621 of Title 8 of the United States Code.
on January 1 following enactment. To assist readers with
legislative research, following each provision is a brief note (b) A licensee failing to provide the federal employer
which includes the chapter number and year of relevant identification number, or the individual taxpayer
legislation. For selected provisions, an operative date is identification number or social security number shall be
provided; however, this publication is not intended to be a reported by the licensing board to the Franchise Tax
substitute for legal advice or comprehensive legal research Board. If the licensee fails to provide that information
of original sources.] after notification pursuant to paragraph (1) of
subdivision (b) of Section 19528 of the Revenue and
Taxation Code, the licensee shall be subject to the
BUSINESS AND PROFESSIONS CODE penalty provided in paragraph (2) of subdivision (b) of
Section 19528 of the Revenue and Taxation Code.
§ 30 State Bar Licensees Furnish Social
Security Number to State Bar (c) In addition to the penalty specified in subdivision
(b), a licensing board shall not process an application
(a) (1) Notwithstanding any other law, any board, for an initial license unless the applicant provides its
as defined in Section 22, the State Bar of federal employer identification number, or individual
California, and the Department of Real Estate taxpayer identification number or social security
shall, at the time of issuance of the license, number where requested on the application.
require that the applicant provide its federal
employer identification number, if the applicant is (d) A licensing board shall, upon request of the
a partnership, or the applicant's social security Franchise Tax Board or the Employment Development
number for all other applicants. Department, furnish to the board or the department, as
applicable, the following information with respect to
(2) (A) In accordance with Section 135.5, a every licensee:
board, as defined in Section 22, the State Bar
of California, and the Department of Real (1) Name.
Estate shall require either the individual
taxpayer identification number or social (2) Address or addresses of record.
security number if the applicant is an
(3) Federal employer identification number if
individual for a license or certificate, as
the licensee is a partnership, or the licensee's
defined in subparagraph (2) of subdivision
individual taxpayer identification number or social
(e), and for purposes of this subdivision.
security number for all other licensees.
(B) In implementing the requirements of
(4) Type of license.
subparagraph (A), a licensing board shall not
require an individual to disclose either (5) Effective date of license or a renewal.
citizenship status or immigration status for
purposes of licensure. (6) Expiration date of license.

(C) A licensing board shall not deny (7) Whether license is active or inactive, if
licensure to an otherwise qualified and known.
eligible individual based solely on the
individual’s citizenship status or immigration (8) Whether license is new or a renewal.
status.
(e) For the purposes of this section:
(D) The Legislature finds and declares that
(1) “Licensee” means a person or entity, other
the requirements of this subdivision are
than a corporation, authorized by a license,
certificate, registration, or other means to engage

2021 BUSINESS AND PROFESSIONS CODE 1

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

in a business or profession regulated by this code the identification of persons affected by state tax laws,
or referred to in Section 1000 or 3600. for purposes of compliance with Section 17520 of the
Family Code, for purposes of measuring employment
(2) “License” includes a certificate, registration, outcomes of students who participate in career
or any other authorization needed to engage in a technical education programs offered by the California
business or profession regulated by this code or Community Colleges, and for purposes of collecting
referred to in Section 1000 or 3600. funds owed to the State Bar by licensees pursuant to
Section 6086.10 and Section 6140.5 and, to that end,
(3) “Licensing board” means any board, as
the information furnished pursuant to this section shall
defined in Section 22, the State Bar of California,
be used exclusively for those purposes.
and the Department of Real Estate.
(k) If the board utilizes a national examination to
(f) The reports required under this section shall be
issue a license, and if a reciprocity agreement or comity
filed on magnetic media or in other machine-readable
exists between the State of California and the state
form, according to standards furnished by the Franchise
requesting release of the individual taxpayer
Tax Board or the Employment Development
identification number or social security number, any
Department, as applicable.
deputy, agent, clerk, officer, or employee of any
(g) Licensing boards shall provide to the Franchise Tax licensing board described in subdivision (a) may release
Board or the Employment Development Department an individual taxpayer identification number or social
the information required by this section at a time that security number to an examination or licensing entity,
the board or the department, as applicable, may only for the purpose of verification of licensure or
require. examination status.

(h) Notwithstanding Chapter 3.5 (commencing with (l) For the purposes of enforcement of Section 17520
Section 6250) of Division 7 of Title 1 of the Government of the Family Code, and notwithstanding any other law,
Code, a federal employer identification number, a board, as defined in Section 22, the State Bar of
individual taxpayer identification number, or social California, and the Department of Real Estate shall at
security number furnished pursuant to this section shall the time of issuance of the license require that each
not be deemed to be a public record and shall not be licensee provide the individual taxpayer identification
open to the public for inspection. number or social security number of each individual
listed on the license and any person who qualifies for
(i) A deputy, agent, clerk, officer, or employee of a the license. For the purposes of this subdivision,
licensing board described in subdivision (a), or any “licensee” means an entity that is issued a license by
former officer or employee or other individual who, in any board, as defined in Section 22, the State Bar of
the course of their employment or duty, has or has had California, the Department of Real Estate, and the
access to the information required to be furnished Department of Motor Vehicles.
under this section, shall not disclose or make known in
any manner that information, except as provided (m) The department shall, upon request by the Office
pursuant to this section, to the Franchise Tax Board, the of the Chancellor of the California Community Colleges,
Employment Development Department, the Office of furnish to the chancellor's office, as applicable, the
the Chancellor of the California Community Colleges, a following information with respect to every licensee:
collections agency contracted to collect funds owed to
(1) Name.
the State Bar by licensees pursuant to Sections 6086.10
and 6140.5, or as provided in subdivisions (j) and (k). (2) Federal employer identification number if
the licensee is a partnership, or the licensee's
(j) It is the intent of the Legislature in enacting this
individual taxpayer identification number or social
section to utilize the federal employer identification
security number for all other licensees.
number, individual taxpayer identification number, or
social security number for the purpose of establishing (3) Date of birth.

2 BUSINESS AND PROFESSIONS CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(4) Type of license. (5) It shall be immediately and securely

destroyed when no longer needed for the purpose
(5) Effective date of license or a renewal. authorized in subdivision (n).

(6) Expiration date of license. (r) The department or the chancellor's office may
share licensure information with a third party who
(n) The department shall make available information
contracts to perform the function described in
pursuant to subdivision (m) only to allow the
subdivision (n), if the third party is required by contract
chancellor's office to measure employment outcomes
to follow the requirements of this section. (Added by
of students who participate in career technical
Stats. 1986, ch. 1361. Amended by Stats. 1988, ch.
education programs offered by the California
1333, effective September 26, 1988; Stats. 1991, ch.
Community Colleges and recommend how these
654; Stats. 1994, ch. 1135; Stats. 1997, ch. 604; Stats.
programs may be improved. Licensure information
1997, ch. 605; Stats 1999, ch. 652; Stats. 2006, ch. 658;
made available by the department pursuant to this
Stats. 2013, ch. 352; Stats. 2014, ch. 752; Stats. 2015,
section shall not be used for any other purpose.
ch. 389; Stats. 2016, ch. 770; Stats. 2015, ch. 389; Stats.
(o) The department may make available information 2016, ch. 770; Stats. 2017, ch. 828; Stats. 2018, ch. 838;
pursuant to subdivision (m) only to the extent that Stats. 2019, ch. 351.)
making the information available complies with state
and federal privacy laws. § 31 Licensee or Applicant Not in
Compliance with a Judgment or Order for Support;
(p) The department may, by agreement, condition or
limit the availability of licensure information pursuant
Enforcement of Obligation; Licensee or Applicant
to subdivision (m) in order to ensure the security of the
Appearing on List of 500 Largest Tax Delinquencies;
information and to protect the privacy rights of the Refusal to Issue, Reactivate, Reinstate, or Renew
individuals to whom the information pertains. License, or Suspension of License; Inclusion of
Statement on Application Regarding Requirement
(q) All of the following apply to the licensure to Pay State Tax Obligation
information made available pursuant to subdivision
(m): (a) As used in this section, “board” means any entity
listed in Section 101, the entities referred to in Sections
(1) It shall be limited to only the information 1000 and 3600, the State Bar, the Department of Real
necessary to accomplish the purpose authorized Estate, and any other state agency that issues a license,
in subdivision (n). certificate, or registration authorizing a person to
engage in a business or profession.
(2) It shall not be used in a manner that permits
third parties to personally identify the individual (b) Each applicant for the issuance or renewal of a
or individuals to whom the information pertains. license, certificate, registration, or other means to
engage in a business or profession regulated by a board
(3) Except as provided in subdivision (n), it shall who is not in compliance with a judgment or order for
not be shared with or transmitted to any other support shall be subject to Section 17520 of the Family
party or entity without the consent of the Code.
individual or individuals to whom the information
pertains. (c) “Compliance with a judgment or order for
support” has the meaning given in paragraph (4) of
(4) It shall be protected by reasonable security subdivision (a) of Section 17520 of the Family Code.
procedures and practices appropriate to the
(d) Each licensee or applicant whose name appears
nature of the information to protect that
on a list of the 500 largest tax delinquencies pursuant
information from unauthorized access,
to Section 7063 or 19195 of the Revenue and Taxation
destruction, use, modification, or disclosure.
Code shall be subject to Section 494.5.

2021 BUSINESS AND PROFESSIONS CODE 3

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(e) Each application for a new license or renewal of a (3) Nothing in this section shall be interpreted to
license shall indicate on the application that the law apply to discrimination by employers with regard
allows the California Department of Tax and Fee to employees or prospective employees, nor shall
Administration and the Franchise Tax Board to share this section authorize action against any club
taxpayer information with a board and requires the license issued pursuant to Article 4 (commencing
licensee to pay the licensee’s state tax obligation and with Section 23425) of Chapter 3 of Division 9
that the licensee’s license may be suspended if the because of discriminatory membership policy.
state tax obligation is not paid.
(4) The presence of architectural barriers to an
(f) For purposes of this section, “tax obligation” individual with physical disabilities that conform
means the tax imposed under, or in accordance with, to applicable state or local building codes and
Part 1 (commencing with Section 6001), Part 1.5 regulations shall not constitute discrimination
(commencing with Section 7200), Part 1.6 (commencing under this section.
with Section 7251), Part 1.7 (commencing with Section
7280), Part 10 (commencing with Section 17001), or (b) (1) Nothing in this section requires a person
Part 11 (commencing with Section 23001) of Division 2 licensed pursuant to Division 2 (commencing with
of the Revenue and Taxation Code. (Added by Stats. Section 500) to permit an individual to participate
1991, ch. 110. Amended by Stats. 1991, ch. 542; Stats. in, or benefit from, the licensed activity of the
2010, ch. 328; Stats. 2011, ch. 455; Stats. 2013, ch. 352; licensee where that individual poses a direct
Stats. 2019, ch. 351.) threat to the health or safety of others. For this
purpose, the term “direct threat” means a
significant risk to the health or safety of others
§ 125.6 Discrimination in the Performance of that cannot be eliminated by a modification of
Licensed Activity policies, practices, or procedures or by the
provision of auxiliary aids and services.
(a) (1) With regard to an applicant, every person
who holds a license under the provisions of this (2) Nothing in this section requires a person
code is subject to disciplinary action under the licensed pursuant to Division 2 (commencing with
disciplinary provisions of this code applicable to Section 500) to perform a licensed activity for
that person if, because of any characteristic listed which the person is not qualified to perform.
or defined in subdivision (b) or (e) of Section 51 of
the Civil Code, the person refuses to perform the (c) (1) “Applicant,” as used in this section, means a
licensed activity or aids or incites the refusal to person applying for licensed services provided by
perform that licensed activity by another licensee, a person licensed under this code.
or if, because of any characteristic listed or
defined in subdivision (b) or (e) of Section 51 of (2) “License,” as used in this section, includes
the Civil Code, the person makes any “certificate,” “permit,” “authority,” and “registration”
discrimination, or restriction in the performance or any other indicia giving authorization to
of the licensed activity. engage in a business or profession regulated by
this code. (Added by Stats. 1992, ch. 913.
(2) Nothing in this section shall be interpreted to Amended by Stats. 2007, ch. 568; Stats. 2019, ch.
prevent a physician or health care professional 351.)
licensed pursuant to Division 2 (commencing with
Section 500) from considering any of the § 135.5 Legislative Findings and Declarations;
characteristics of a patient listed in subdivision (b) State Benefits; Citizenship or Immigration Status;
or (e) of Section 51 of the Civil Code if that Licensures
consideration is medically necessary and for the
(a) The Legislature finds and declares that it is in the
sole purpose of determining the appropriate
best interests of the State of California to provide
diagnosis or treatment of the patient.
persons who are not lawfully present in the United
States with the state benefits provided by all licensing

4 BUSINESS AND PROFESSIONS CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

acts of entities within the department, and therefore licensee for conviction of a crime that is independent of
enacts this section pursuant to subsection (d) of Section the authority granted under subdivision (a) only if the
1621 of Title 8 of the United States Code. crime is substantially related to the qualifications,
functions, or duties of the business or profession for
(b) Notwithstanding subdivision (a) of Section 30, and which the licensee’s license was issued.
except as required by subdivision (e) of Section
7583.23, no entity within the department shall deny (c) A conviction within the meaning of this section
licensure to an applicant based on his or her citizenship means a plea or verdict of guilty or a conviction
status or immigration status. following a plea of nolo contendere. An action that a
board is permitted to take following the establishment
(c) Every board within the department shall of a conviction may be taken when the time for appeal
implement all required regulatory or procedural has elapsed, or the judgment of conviction has been
changes necessary to implement this section no later affirmed on appeal, or when an order granting
than January 1, 2016. A board may implement the probation is made suspending the imposition of
provisions of this section at any time prior to January 1, sentence, irrespective of a subsequent order under
2016. (Added by Stats. 2014, ch. 752.) Section 1203.4 of the Penal Code.

(d) The Legislature hereby finds and declares that the

§ 476 Inapplicability of Division to Certain application of this section has been made unclear by
Persons; Application of § 494.5 the holding in Petropoulos v. Department of Real Estate
(2006) 142 Cal.App.4th 554, and that the holding in that
(a) Except as provided in subdivision (b), nothing in case has placed a significant number of statutes and
this division shall apply to the licensure or regulations in question, resulting in potential harm to
registration of persons pursuant to Chapter 4 the consumers of California from licensees who have
(commencing with Section 6000) of Division 3, or been convicted of crimes. Therefore, the Legislature
pursuant to Division 9 (commencing with Section finds and declares that this section establishes an
23000) or pursuant to Chapter 5 (commencing with independent basis for a board to impose discipline
Section 19800) of Division 8. upon a licensee, and that the amendments to this
section made by Chapter 33 of the Statutes of 2008 do
(b) Section 494.5 shall apply to the licensure of
not constitute a change to, but rather are declaratory
persons authorized to practice law pursuant to
of, existing law. (Added by Stats. 1974, ch. 1321
Chapter 4 (commencing with Section 6000) of
Amended by Stats. 2008, ch. 33; Stats. 2008, ch. 179;
Division 3, and the licensure or registration of
Stats. 2010, ch. 328.)
persons pursuant to Chapter 5 (commencing with
Section 19800) of Division 8 or pursuant to Division 9
(commencing with Section 23000). (Added by Stats. § 490.5 Suspension of License; Licensee Failure
1972, ch. 903. Amended by Stats. 1983, ch. 721; to Comply with Child Support Order or Judgment
Stats. 2011, ch. 455.)
A board may suspend a license pursuant to Section
17520 of the Family Code if a licensee is not in
§ 490 Suspension of License; Licensee
compliance with a child support order or judgment.
Convicted of a Crime (Added by Stats. 1994, ch. 906. Amended by Stats.
2010, ch. 328.)
(a) In addition to any other action that a board is
permitted to take against a licensee, a board may
suspend or revoke a license on the ground that the § 494.5 Tax Delinquencies; Licensees Included
licensee has been convicted of a crime, if the crime is on Certified Lists
substantially related to the qualifications, functions, or
duties of the business or profession for which the (a) (1) Except as provided in paragraphs (2), (3), and
license was issued. (4), a state governmental licensing entity shall
refuse to issue, reactivate, reinstate, or renew a
(b) Notwithstanding any other provision of law, a license and shall suspend a license if a licensee’s
board may exercise any authority to discipline a name is included on a certified list.

2021 BUSINESS AND PROFESSIONS CODE 5

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(2) The Department of Motor Vehicles shall Department of Insurance, the Department of
suspend a license if a licensee’s name is included Motor Vehicles, the State Bar of California, the
on a certified list. Any reference in this section to Department of Real Estate, and any other state
the issuance, reactivation, reinstatement, agency, board, or commission that issues a
renewal, or denial of a license shall not apply to license, certificate, or registration authorizing an
the Department of Motor Vehicles. individual to engage in a profession or occupation,
including any certificate, business or occupational
(3) The State Bar of California may recommend license, or permit or license issued by the
to refuse to issue, reactivate, reinstate, or renew a Department of Motor Vehicles or the Department
license and may recommend to suspend a license of the California Highway Patrol. “State
if a licensee’s name is included on a certified list. governmental licensing entity” shall not include
The word “may” shall be substituted for the word the Contractors State License Board.
“shall” relating to the issuance of a temporary
license, refusal to issue, reactivate, reinstate, (c) The State Board of Equalization and the Franchise
renew, or suspend a license in this section for Tax Board shall each submit its respective certified list
licenses under the jurisdiction of the California to every state governmental licensing entity. The
Supreme Court. certified lists shall include the name, social security
number or taxpayer identification number, and the last
(4) The Department of Alcoholic Beverage known address of the persons identified on the
Control may refuse to issue, reactivate, reinstate, certified lists.
or renew a license, and may suspend a license, if a
licensee’s name is included on a certified list. (d) Notwithstanding any other law, each state
governmental licensing entity shall collect the social
(b) For purposes of this section: security number or the federal taxpayer identification
number from all applicants for the purposes of
(1) “Certified list” means either the list provided matching the names of the certified lists provided by
by the State Board of Equalization or the list the State Board of Equalization and the Franchise Tax
provided by the Franchise Tax Board of persons Board to applicants and licensees.
whose names appear on the lists of the 500
largest tax delinquencies pursuant to Section 7063 (e) (1) Each state governmental licensing entity
or 19195 of the Revenue and Taxation Code, as shall determine whether an applicant or licensee
applicable. is on the most recent certified list provided by the
State Board of Equalization and the Franchise Tax
(2) “License” includes a certificate, registration, or Board.
any other authorization to engage in a profession or
occupation issued by a state governmental licensing (2) If an applicant or licensee is on either of the
entity. “License” includes a driver’s license issued certified lists, the state governmental licensing
pursuant to Chapter 1 (commencing with Section entity shall immediately provide a preliminary
12500) of Division 6 of the Vehicle Code. “License” notice to the applicant or licensee of the entity’s
excludes a vehicle registration issued pursuant to intent to suspend or withhold issuance or renewal
Division 3 (commencing with Section 4000) of the of the license. The preliminary notice shall be
Vehicle Code. delivered personally or by mail to the applicant’s
or licensee’s last known mailing address on file
(3) “Licensee” means an individual authorized with the state governmental licensing entity
by a license to drive a motor vehicle or authorized within 30 days of receipt of the certified list.
by a license, certificate, registration, or other Service by mail shall be completed in accordance
authorization to engage in a profession or with Section 1013 of the Code of Civil Procedure.
occupation issued by a state governmental
licensing entity. (A) The state governmental licensing entity
shall issue a temporary license valid for a
(4) “State governmental licensing entity” means period of 90 days to any applicant whose
any entity listed in Section 101, 1000, or 19420, name is on a certified list if the applicant is
the office of the Attorney General, the otherwise eligible for a license.

6 BUSINESS AND PROFESSIONS CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(B) The 90-day time period for a temporary include the address and telephone number of the
license shall not be extended. Only one Franchise Tax Board, and shall emphasize the necessity
temporary license shall be issued during a of obtaining a release from the Franchise Tax Board as a
regular license term and the term of the condition for the issuance, renewal, or continued valid
temporary license shall coincide with the status of a license or licenses.
first 90 days of the regular license term. A
license for the full term or the remainder of (1) The notice shall inform the applicant that the
the license term may be issued or renewed state governmental licensing entity shall issue a
only upon compliance with this section. temporary license, as provided in subparagraph
(A) of paragraph (2) of subdivision (e), for 90
(C) In the event that a license is suspended calendar days if the applicant is otherwise eligible
or an application for a license or the renewal and that upon expiration of that time period, the
of a license is denied pursuant to this license will be denied unless the state
section, any funds paid by the applicant or governmental licensing entity has received a
licensee shall not be refunded by the state release from the State Board of Equalization or
governmental licensing entity. the Franchise Tax Board, whichever is applicable.

(f) (1) A state governmental licensing entity shall (2) The notice shall inform the licensee that any
refuse to issue or shall suspend a license pursuant license suspended under this section will remain
to this section no sooner than 90 days and no suspended until the state governmental licensing
later than 120 days of the mailing of the entity receives a release along with applications
preliminary notice described in paragraph (2) of and fees, if applicable, to reinstate the license.
subdivision (e), unless the state governmental
licensing entity has received a release pursuant to (3) The notice shall also inform the applicant or
subdivision (h). The procedures in the licensee that if an application is denied or a
administrative adjudication provisions of the license is suspended pursuant to this section, any
Administrative Procedure Act (Chapter 4.5 moneys paid by the applicant or licensee shall not
(commencing with Section 11400) and Chapter 5 be refunded by the state governmental licensing
(commencing with Section 11500) of Part 1 of entity. The state governmental licensing entity
Division 3 of Title 2 of the Government Code) shall shall also develop a form that the applicant or
not apply to the denial or suspension of, or refusal licensee shall use to request a release by the State
to renew, a license or the issuance of a temporary Board of Equalization or the Franchise Tax Board.
license pursuant to this section. A copy of this form shall be included with every
notice sent pursuant to this subdivision.
(2) Notwithstanding any other law, if a board,
bureau, or commission listed in Section 101, other (h) If the applicant or licensee wishes to challenge the
than the Contractors State License Board, fails to submission of their name on a certified list, the
take action in accordance with this section, the applicant or licensee shall make a timely written
Department of Consumer Affairs shall issue a request for release to the State Board of Equalization or
temporary license or suspend or refuse to issue, the Franchise Tax Board, whichever is applicable. The
reactivate, reinstate, or renew a license, as State Board of Equalization or the Franchise Tax Board
appropriate. shall immediately send a release to the appropriate
state governmental licensing entity and the applicant or
(g) Notices shall be developed by each state licensee, if any of the following conditions are met:
governmental licensing entity. For an applicant or
licensee on the State Board of Equalization’s certified (1) The applicant or licensee has complied with
list, the notice shall include the address and telephone the tax obligation, either by payment of the
number of the State Board of Equalization, and shall unpaid taxes or entry into an installment payment
emphasize the necessity of obtaining a release from the agreement, as described in Section 6832 or 19008
State Board of Equalization as a condition for the of the Revenue and Taxation Code, to satisfy the
issuance, renewal, or continued valid status of a license unpaid taxes.
or licenses. For an applicant or licensee on the
Franchise Tax Board’s certified list, the notice shall

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(2) The applicant or licensee has submitted a whichever is applicable, to complete a review of the
request for release not later than 45 days after applicant’s or licensee’s request for release shall not
the applicant’s or licensee’s receipt of a constitute the diligence required under this section
preliminary notice described in paragraph (2) of which would justify the issuance of a release. An
subdivision (e), but the State Board of Equalization applicant or licensee shall have the burden of
or the Franchise Tax Board, whichever is establishing that they diligently responded to notices
applicable, will be unable to complete the release from the state governmental licensing entity or the
review and send notice of its findings to the State Board of Equalization or the Franchise Tax Board
applicant or licensee and state governmental and that any delay was not without good cause.
licensing entity within 45 days after the State
Board of Equalization’s or the Franchise Tax (j) The State Board of Equalization or the Franchise
Board’s receipt of the applicant’s or licensee’s Tax Board shall create release forms for use pursuant to
request for release. Whenever a release is granted this section. When the applicant or licensee has
under this paragraph, and, notwithstanding that complied with the tax obligation by payment of the
release, the applicable license or licenses have unpaid taxes, or entry into an installment payment
been suspended erroneously, the state agreement, or establishing the existence of a current
governmental licensing entity shall reinstate the financial hardship as defined in paragraph (3) of
applicable licenses with retroactive effect back to subdivision (h), the State Board of Equalization or the
the date of the erroneous suspension and that Franchise Tax Board, whichever is applicable, shall mail
suspension shall not be reflected on any license a release form to the applicant or licensee and provide
record. a release to the appropriate state governmental
licensing entity. Any state governmental licensing entity
(3) The applicant or licensee is unable to pay the that has received a release from the State Board of
outstanding tax obligation due to a current Equalization and the Franchise Tax Board pursuant to
financial hardship. “Financial hardship” means this subdivision shall process the release within five
financial hardship as determined by the State business days of its receipt. If the State Board of
Board of Equalization or the Franchise Tax Board, Equalization or the Franchise Tax Board determines
whichever is applicable, where the applicant or subsequent to the issuance of a release that the
licensee is unable to pay any part of the licensee has not complied with their installment
outstanding liability and the applicant or licensee payment agreement, the State Board of Equalization or
is unable to qualify for an installment payment the Franchise Tax Board, whichever is applicable, shall
arrangement as provided for by Section 6832 or notify the state governmental licensing entity and the
Section 19008 of the Revenue and Taxation Code. licensee in a format prescribed by the State Board of
In order to establish the existence of a financial Equalization or the Franchise Tax Board, whichever is
hardship, the applicant or licensee shall submit applicable, that the licensee is not in compliance and
any information, including information related to the release shall be rescinded. The State Board of
reasonable business and personal expenses, Equalization and the Franchise Tax Board may, when it
requested by the State Board of Equalization or is economically feasible for the state governmental
the Franchise Tax Board, whichever is applicable, licensing entity to develop an automated process for
for purposes of making that determination. complying with this subdivision, notify the state
governmental licensing entity in a manner prescribed
(i) An applicant or licensee is required to act with by the State Board of Equalization or the Franchise Tax
diligence in responding to notices from the state Board, whichever is applicable, that the licensee has
governmental licensing entity and the State Board of not complied with the installment payment agreement.
Equalization or the Franchise Tax Board with the Upon receipt of this notice, the state governmental
recognition that the temporary license will lapse or the licensing entity shall immediately notify the licensee on
license suspension will go into effect after 90 days and a form prescribed by the state governmental licensing
that the State Board of Equalization or the Franchise entity that the licensee’s license will be suspended on a
Tax Board must have time to act within that period. An specific date, and this date shall be no longer than 30
applicant’s or licensee’s delay in acting, without good days from the date the form is mailed. The licensee
cause, which directly results in the inability of the State shall be further notified that the license will remain
Board of Equalization or the Franchise Tax Board,

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

suspended until a new release is issued in accordance be adopted as emergency regulations in accordance
with this subdivision. with the rulemaking provisions of the Administrative
Procedure Act (Chapter 3.5 (commencing with Section
(k) The State Board of Equalization and the Franchise 11340) of Part 1 of Division 3 of Title 2 of the
Tax Board may enter into interagency agreements with Government Code). The adoption of these regulations
the state governmental licensing entities necessary to shall be deemed an emergency and necessary for the
implement this section. immediate preservation of the public peace, health,
and safety, or general welfare. The regulations shall
(l) Notwithstanding any other law, a state become effective immediately upon filing with the
governmental licensing entity, with the approval of the Secretary of State.
appropriate department director or governing body,
may impose a fee on a licensee whose license has been (p) The State Board of Equalization, the Franchise Tax
suspended pursuant to this section. The fee shall not Board, and state governmental licensing entities, as
exceed the amount necessary for the state appropriate, shall adopt regulations as necessary to
governmental licensing entity to cover its costs in implement this section.
carrying out the provisions of this section. Fees
imposed pursuant to this section shall be deposited in (q) (1) Neither the state governmental licensing
the fund in which other fees imposed by the state entity, nor any officer, employee, or agent, or
governmental licensing entity are deposited and shall former officer, employee, or agent of a state
be available to that entity upon appropriation in the governmental licensing entity, may disclose or use
annual Budget Act. any information obtained from the State Board of
Equalization or the Franchise Tax Board, pursuant
(m) The process described in subdivision (h) shall to this section, except to inform the public of the
constitute the sole administrative remedy for denial, refusal to renew, or suspension of a license
contesting the issuance of a temporary license or the or the issuance of a temporary license pursuant to
denial or suspension of a license under this section. this section. The release or other use of
information received by a state governmental
(n) Any state governmental licensing entity receiving licensing entity pursuant to this section, except as
an inquiry as to the licensed status of an applicant or authorized by this section, is punishable as a
licensee who has had a license denied or suspended misdemeanor. This subdivision may not be
under this section or who has been granted a interpreted to prevent the State Bar of California
temporary license under this section shall respond that from filing a request with the Supreme Court of
the license was denied or suspended or the temporary California to suspend a member of the bar
license was issued only because the licensee appeared pursuant to this section.
on a list of the 500 largest tax delinquencies pursuant
to Section 7063 or 19195 of the Revenue and Taxation (2) A suspension of, or refusal to renew, a
Code. Information collected pursuant to this section by license or issuance of a temporary license
any state agency, board, or department shall be subject pursuant to this section does not constitute denial
to the Information Practices Act of 1977 (Chapter 1 or discipline of a licensee for purposes of any
(commencing with Section 1798) of Title 1.8 of Part 4 of reporting requirements to the National
Division 3 of the Civil Code). Any state governmental Practitioner Data Bank and shall not be reported
licensing entity that discloses on its internet website or to the National Practitioner Data Bank or the
other publication that the licensee has had a license Healthcare Integrity and Protection Data Bank.
denied or suspended under this section or has been
granted a temporary license under this section shall (3) Upon release from the certified list, the
prominently disclose, in bold and adjacent to the suspension or revocation of the applicant’s or
information regarding the status of the license, that the licensee’s license shall be purged from the state
only reason the license was denied, suspended, or governmental licensing entity’s internet website
temporarily issued is because the licensee failed to pay or other publication within three business days.
taxes. This paragraph shall not apply to the State Bar of
California.
(o) Any rules and regulations issued pursuant to this
section by any state agency, board, or department may

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(r) If any provision of this section or the application (commencing with Section 4999.10) shall send a complete
thereof to any person or circumstance is held invalid, report to the Board of Behavioral Sciences as to any
that invalidity shall not affect other provisions or settlement or arbitration award over ten thousand dollars
applications of this section that can be given effect ($10,000) of a claim or action for damages for death or
without the invalid provision or application, and to this personal injury caused by that person’s negligence, error,
end the provisions of this section are severable. or omission in practice, or by his or her rendering of
unauthorized professional services. The report shall be
(s) All rights to review afforded by this section to an sent within 30 days after the written settlement
applicant shall also be afforded to a licensee. agreement has been reduced to writing and signed by all
parties thereto or within 30 days after service of the
(t) Unless otherwise provided in this section, the arbitration award on the parties.
policies, practices, and procedures of a state
governmental licensing entity with respect to license (c) Every insurer providing professional liability
suspensions under this section shall be the same as insurance to a dentist licensed pursuant to Chapter 4
those applicable with respect to suspensions pursuant (commencing with Section 1600) shall send a complete
to Section 17520 of the Family Code. report to the Dental Board of California as to any
settlement or arbitration award over ten thousand dollars
(u) No provision of this section shall be interpreted to ($10,000) of a claim or action for damages for death or
allow a court to review and prevent the collection of personal injury caused by that person’s negligence, error,
taxes prior to the payment of those taxes in violation of or omission in practice, or rendering of unauthorized
the California Constitution. professional services. The report shall be sent within 30
days after the written settlement agreement has been
(v) This section shall apply to any licensee whose
reduced to writing and signed by all parties thereto or
name appears on a list of the 500 largest tax
within 30 days after service of the arbitration award on
delinquencies pursuant to Section 7063 or 19195 of the
the parties.
Revenue and Taxation Code on or after July 1, 2012.
(Added by Stats. 2011, ch. 455. Amended by Stats. (d) Every insurer providing liability insurance to a
2012, ch. 327; Stats. 2020, ch. 312.) veterinarian licensed pursuant to Chapter 11
(commencing with Section 4800) shall send a complete
§ 801 Medical Malpractice Actions Reporting report to the Veterinary Medical Board of any settlement
or arbitration award over ten thousand dollars ($10,000)
Requirement–Insurers and Attorneys
of a claim or action for damages for death or injury caused
(a) Except as provided in Section 801.01 and by that person’s negligence, error, or omission in practice,
subdivisions (b), (c), (d), and (e) of this section, every or rendering of unauthorized professional service. The
insurer providing professional liability insurance to a report shall be sent within 30 days after the written
person who holds a license, certificate, or similar authority settlement agreement has been reduced to writing and
from or under any agency specified in subdivision (a) of signed by all parties thereto or within 30 days after service
Section 800 shall send a complete report to that agency as of the arbitration award on the parties.
to any settlement or arbitration award over three
(e) Every insurer providing professional liability
thousand dollars ($3,000) of a claim or action for damages
insurance to a person licensed pursuant to Chapter 6
for death or personal injury caused by that person’s
(commencing with Section 2700) shall send a complete
negligence, error, or omission in practice, or by his or her
report to the Board of Registered Nursing as to any
rendering of unauthorized professional services. The
settlement or arbitration award over ten thousand dollars
report shall be sent within 30 days after the written
($10,000) of a claim or action for damages for death or
settlement agreement has been reduced to writing and
personal injury caused by that person’s negligence, error,
signed by all parties thereto or within 30 days after service
or omission in practice, or by his or her rendering of
of the arbitration award on the parties.
unauthorized professional services. The report shall be
(b) Every insurer providing professional liability sent within 30 days after the written settlement
insurance to a person licensed pursuant to Chapter 13 agreement has been reduced to writing and signed by all
(commencing with Section 4980), Chapter 14 parties thereto or within 30 days after service of the
(commencing with Section 4990), or Chapter 16 arbitration award on the parties.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(f) The insurer shall notify the claimant, or if the Section 800 (except a person licensed pursuant to
claimant is represented by counsel, the insurer shall notify Chapter 3 (commencing with Section 1200) or Chapter
the claimant’s attorney, that the report required by 5 (commencing with Section 2000) or the Osteopathic
subdivision (a), (b), or (c) has been sent to the agency. If Initiative Act) who does not possess professional
the attorney has not received this notice within 45 days liability insurance as to that claim shall, within 30 days
after the settlement was reduced to writing and signed by after the written settlement agreement has been
all of the parties, the arbitration award was served on the reduced to writing and signed by all the parties thereto
parties, or the date of entry of the civil judgment, the or 30 days after service of the judgment or arbitration
attorney shall make the report to the agency. award on the parties, be reported to the agency that
issued the license, certificate, or similar authority. A
(g) Notwithstanding any other provision of law, no complete report shall be made by appropriate means
insurer shall enter into a settlement without the written by the person or his or her counsel, with a copy of the
consent of the insured, except that this prohibition shall communication to be sent to the claimant through his
not void any settlement entered into without that written or her counsel if the person is so represented, or
consent. The requirement of written consent shall only be directly if he or she is not. If, within 45 days of the
waived by both the insured and the insurer. conclusion of the written settlement agreement or
service of the judgment or arbitration award on the
(h) For purposes of this section, “insurer” means the parties, counsel for the claimant (or if the claimant is
following: not represented by counsel, the claimant himself or
herself) has not received a copy of the report, he or she
(1) The insurer providing professional liability
shall himself or herself make the complete report.
insurance to the licensee.
Failure of the licensee or claimant (or, if represented by
(2) The licensee, or his or her counsel, if the counsel, their counsel) to comply with this section is a
licensee does not possess professional liability public offense punishable by a fine of not less than fifty
insurance. dollars ($50) or more than five hundred dollars ($500).
Knowing and intentional failure to comply with this
(3) A state or local governmental agency, section or conspiracy or collusion not to comply with
including, but not limited to, a joint powers this section, or to hinder or impede any other person in
authority, that self-insures the licensee. As used in the compliance, is a public offense punishable by a fine
this paragraph, “state governmental agency” of not less than five thousand dollars ($5,000) nor more
includes, but is not limited to, the University of than fifty thousand dollars ($50,000).
California. (Added by Stats. 1975, ch. 1. Amended
by Stats. 1979, ch. 923; Stats. 1989, ch. 886; Stats. (b) Every settlement, judgment, or arbitration award
1989, ch. 398; Stats. 1991, ch. 1091, Stats. 1991, over ten thousand dollars ($10,000) of a claim or action
ch. 359; Stats. 1994, ch. 468; Stats. 1994, ch. 1206; for damages for death or personal injury caused by
Stats. 1995, ch. 5; Stats. 1997, ch. 359; Stats. 2002, negligence, error or omission in practice, or by the
ch. 1085; Stats. 2004, ch. 467; Stats. 2006, ch. 538; unauthorized rendering of professional services, by a
Stats. 2010, ch. 308; Stats. 2011, ch. 381; Stats. marriage and family therapist, a clinical social worker,
2017, ch. 520.) or a professional clinical counselor licensed pursuant to
Chapter 13 (commencing with Section 4980), Chapter
14 (commencing with Section 4990), or Chapter 16
§ 802 Unauthorized Rendering of Professional (commencing with Section 4999.10), respectively, who
Services–Reporting Requirement Following does not possess professional liability insurance as to
Settlement, Judgment or Arbitration Award that claim shall within 30 days after the written
settlement agreement has been reduced to writing and
(a) Every settlement, judgment, or arbitration award signed by all the parties thereto or 30 days after service
over three thousand dollars ($3,000) of a claim or of the judgment or arbitration award on the parties be
action for damages for death or personal injury caused reported to the agency that issued the license,
by negligence, error or omission in practice, or by the certificate, or similar authority. A complete report shall
unauthorized rendering of professional services, by a be made by appropriate means by the person or his or
person who holds a license, certificate, or other similar her counsel, with a copy of the communication to be
authority from an agency specified in subdivision (a) of sent to the claimant through his or her counsel if he or

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

she is so represented, or directly if he or she is not. If, § 6400 Definitions

within 45 days of the conclusion of the written
settlement agreement or service of the judgment or (a) “Unlawful detainer assistant” means any
arbitration award on the parties, counsel for the individual who for compensation renders assistance or
claimant (or if he or she is not represented by counsel, advice in the prosecution or defense of an unlawful
the claimant himself or herself) has not received a copy detainer claim or action, including any bankruptcy
of the report, he or she shall himself or herself make a petition that may affect the unlawful detainer claim or
complete report. Failure of the marriage and family action.
therapist, clinical social worker, or professional clinical
counselor or claimant (or, if represented by counsel, his (b) “Unlawful detainer claim” means a proceeding,
or her counsel) to comply with this section is a public filing, or action affecting rights or liabilities of any
offense punishable by a fine of not less than fifty dollars person that arises under Chapter 4 (commencing with
($50) nor more than five hundred dollars ($500). Section 1159) of Title 3 of Part 3 of the Code of Civil
Knowing and intentional failure to comply with this Procedure and that contemplates an adjudication by a
section, or conspiracy or collusion not to comply with court.
this section or to hinder or impede any other person in
(c) “Legal document assistant” means:
that compliance, is a public offense punishable by a
fine of not less than five thousand dollars ($5,000) nor (1) Any person who is not exempted under
more than fifty thousand dollars ($50,000). (Added Section 6401 and who provides, or assists in
by Stats. 1975, ch. 1. Amended by Stats. 1979, ch. 923; providing, or offers to provide, or offers to assist
Stats. 1989, ch. 398; Stats. 1997, ch. 359; Stats. 2001, in providing, for compensation, any self-help
ch. 728; Stats. 2002, ch. 1085; Stats. 2005, ch. 674; service to a member of the public who is
Stats. 2006, ch. 223; Stats. 2011, ch. 381.) representing themselves in a legal matter, or who
holds themselves out as someone who offers that
§ 5499.30 Unlawful Advertising of Legal Services to service or has that authority. This paragraph does
not apply to any individual whose assistance
Obtain Workers’ Compensation Benefits
consists merely of secretarial or receptionist
(a) Any individual, firm, corporation, partnership, services.
organization, or association which prints, displays,
(2) A corporation, partnership, association, or
publishes, distributes, or broadcasts or causes or
other entity that employs or contracts with any
permits to be advertised, printed, displayed,
person not exempted under Section 6401 who, as
published, distributed, or broadcast any advertising
part of their responsibilities, provides, or assists in
which purports to provide legal services for obtaining
providing, or offers to provide, or offers to assist
workers’ compensation benefits shall include the
in providing, for compensation, any self-help
name of at least one attorney associated with the
service to a member of the public who is
individual, firm, corporation, partnership,
representing themselves in a legal matter or holds
organization, or association in all such advertising.
themselves out as someone who offers that
(b) As used in this section, the term “legal services” service or has that authority. This paragraph does
includes any service which refers potential clients to not apply to an individual whose assistance
any attorney. consists merely of secretarial or receptionist
services.
(c) A violation of this section is a misdemeanor,
punishable by imprisonment in the county jail for not (d) “Self-help service” means all of the following:
more than one year, or by a fine not exceeding ten
(1) Completing legal documents in a ministerial
thousand dollars ($10,000), or both. (Added by Stats.
manner, selected by a person who is representing
1993, ch. 120.)
themselves in a legal matter, by typing or
otherwise completing the documents at the
person’s specific direction.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(2) Providing general published factual is supervised by a licensee of the State Bar of California
information that has been written or approved by who has malpractice insurance.
an attorney, pertaining to legal procedures, rights,
or obligations to a person who is representing (d) A licensed real estate broker or licensed real
themselves in a legal matter, to assist the person estate salesperson, as defined in Chapter 3
in representing themselves. This service in and of (commencing with Section 10130) of Part 1 of Division
itself, does not require registration as a legal 4, who acts pursuant to subdivision (b) of Section
document assistant. 10131 on an unlawful detainer claim as defined in
subdivision (b) of Section 6400, and who is a party to
(3) Making published legal documents available the unlawful detainer action.
to a person who is representing themselves in a
legal matter. (e) An immigration consultant, as defined in Chapter
19.5 (commencing with Section 22440) of Division 8.
(4) Filing and serving legal forms and documents
at the specific direction of a person who is (f) A person registered as a process server under
representing themselves in a legal matter. Chapter 16 (commencing with Section 22350) of Division
8 or a person registered as a professional photocopier
(e) “Compensation” means money, property, or under Chapter 20 (commencing with Section 22450) of
anything else of value. Division 8.
(f) A legal document assistant, including any legal (g) A person who provides services relative to the
document assistant employed by a partnership or preparation of security instruments or conveyance
corporation, shall not provide any self-help service for documents as an integral part of the provision of title
compensation, unless the legal document assistant is or escrow service.
registered pursuant to Section 6402.
(h) A person who provides services that are regulated
(g) A legal document assistant may not provide any
by federal law.
kind of advice, explanation, opinion, or
recommendation to a consumer about possible legal (i) A person who is employed by, and provides
rights, remedies, defenses, options, selection of forms,
services to, a supervised financial institution, holding
or strategies. A legal document assistant shall complete
company, subsidiary, or affiliate. (Added by Stats.
documents only in the manner prescribed by paragraph
2002, ch. 1018. Amended by Stats. 2019, ch. 128)
(1) of subdivision (d). (Added by Stats. 2002, ch. 1018.
Amended by Stats. 2015, ch. 295; Stats. 2019, ch. 128;
Stats. 2020, ch. 370.) § 6401.5 Practice of law by nonlawyers

This chapter does not sanction, authorize, or

§ 6401 Chapter application exceptions
encourage the practice of law by nonlawyers.
This chapter does not apply to any person engaged in Registration under this chapter, or an exemption from
any of the following occupations, provided that the registration, does not immunize any person from
person does not also perform the duties of a legal prosecution or liability pursuant to Section 6125,
document assistant in addition to those occupations: 6126, 6126.5, or 6127. (Added by Stats. 2002, ch.
1018.)
(a) Any government employee who is acting in the
course of their employment.
§ 6401.6 Legal document assistant; limitation on
(b) A licensee of the State Bar of California, or their service; services of attorney
employee, paralegal, or agent, or an independent
contractor while acting on behalf of a licensee of the A legal document assistant may not provide service to a
State Bar. client who requires assistance that exceeds the
definition of self-help service in subdivision (d) of
(c) Any employee of a nonprofit, tax exempt Section 6400, and shall inform the client that the client
corporation who either assists clients free of charge or

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

requires the services of an attorney. (Added by Stats. (d) A certificate of completion from a paralegal
2002, ch. 1018.) program approved by the American Bar Association.
(Added by Stats. 2002, ch. 1018.)

§ 6402 Registration Requirement; Registration

of Disbarred and Suspended Lawyers Prohibited § 6402.2 Required Continuing Legal Education
Hours
A legal document assistant or unlawful detainer
assistant shall be registered pursuant to this chapter To be eligible to renew registration under this chapter,
by the county clerk in the county in which their the registrant shall complete 15 hours of continuing
principal place of business is located, and in which legal education courses, which meet the requirements
they maintain a branch office, and provide proof that of Section 6070, during the two-year period preceding
the registrant has satisfied the bonding requirement renewal. A registrant is not required to complete legal
of Section 6405. No person who has been disbarred ethics education as part of the required 15 hours of
or suspended from the practice of law pursuant to continuing legal education courses. (Added by Stats.
Article 6 (commencing with Section 6100) of Chapter 2015, ch. 295. Amended by Stats. 2018, ch. 776.
4 may, during the period of any disbarment or Repealed as of January 1, 2021, pursuant to Section
suspension, register as a legal document assistant or 6401.7.)
unlawful detainer assistant.

The Department of Consumer Affairs shall develop the § 6403 Contents of registration applications
application required to be completed by a person for
purposes of registration as a legal document assistant. (a) The application for registration of a natural person
The application shall specify the types of proof that the shall contain all of the following statements about the
applicant shall provide to the county clerk in order to applicant:
demonstrate the qualifications and requirements of
(1) Name, age, address, and telephone number.
Section 6402.1. (Added by Stats. 2002, ch. 1018.
Amended by Stats. 2015, ch. 295; Stats. 2019, ch. 128.) (2) Whether the applicant has been convicted of
a felony, or of a misdemeanor under Section 6126
§ 6402.1 Registration eligibility or 6127, or found liable under Section 6126.5.

To be eligible to apply for registration under this (3) Whether the applicant has been held liable
chapter as a legal document assistant, the applicant in a civil action by final judgment or entry of a
shall possess at least one of the following: stipulated judgment, if the action alleged fraud,
the use of an untrue or misleading representation,
(a) A high school diploma or general equivalency or the use of an unfair, unlawful, or deceptive
diploma, and either a minimum of two years of law business practice.
related experience under the supervision of a licensed
attorney, or a minimum of two years experience, prior (4) Whether the applicant has ever been
to January 1, 1999, providing self-help service. convicted of a misdemeanor violation of this
chapter.
(b) A baccalaureate degree in any field and either a
minimum of one year of law related experience under (5) Whether the applicant has had a civil
the supervision of a licensed attorney, or a minimum of judgment entered against them in an action
one year of experience, prior to January 1, 1999, arising out of the applicant’s negligent, reckless,
providing self-help service. or willful failure to properly perform their
obligation as a legal document assistant or
(c) A certificate of completion from a paralegal unlawful detainer assistant.
program that is institutionally accredited but not
approved by the American Bar Association, that requires (6) Whether the applicant has had a registration
successful completion of a minimum of 24 semester revoked pursuant to Section 6413.
units, or the equivalent, in legal specialization courses.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(7) If the application is for a renewal of (d) The applications made under this section shall be
registration, a statement by the applicant that made under penalty of perjury.
they have completed the legal education courses
required by Section 6402.2. (e) The county clerk shall retain the application for
registration for a period of three years following the
(b) The application for registration of a natural person expiration date of the application, after which time the
shall be accompanied by the display of personal application may be destroyed if it is scanned or if the
identification, such as a California driver’s license, birth conditions specified in Section 26205.1 of the
certificate, or other identification acceptable to the Government Code are met. If the application is
county clerk to adequately determine the identity of scanned, the scanned image shall be retained for a
the applicant. period of 10 years, after which time that image may be
destroyed and, notwithstanding Section 26205.1 of the
(c) The application for registration of a partnership or Government Code, no reproduction thereof need be
corporation shall contain all of the following made or preserved. (Added by Stats. 2002, ch. 1018.
statements about the applicant: Amended by Stats. 2007, ch. 402; Stats. 2015, ch. 295;
Stats. 2019, ch. 128.)
(1) The names, ages, addresses, and telephone
numbers of the general partners or officers.
§ 6404 Fees
(2) Whether the general partners or officers
have ever been convicted of a felony, or a An applicant shall pay a fee of one hundred seventy-
misdemeanor under Section 6126 or 6127 or five dollars ($175) to the county clerk at the time the
found liable under Section 6126.5. applicant files an application for initial registration or
renewal of registration. An additional fee of ten dollars
(3) Whether the general partners or officers ($10) shall be paid to the county clerk for each
have ever been held liable in a civil action by final additional identification card. (Added by Stats. 2002,
judgment or entry of a stipulated judgment, if the ch. 1018. Amended by Stats. 2015, ch. 295; Stats. 2019,
action alleged fraud, the use of an untrue or ch. 128.)
misleading representation, or the use of an unfair,
unlawful, or deceptive business practice.
§ 6405 Bonds
(4) Whether the general partners or officers
have ever been convicted of a misdemeanor (a) (1) An application for a certificate of registration
violation of this chapter. by an individual shall be accompanied by a bond
of twenty-five thousand dollars ($25,000)
(5) Whether the general partners or officers executed by a corporate surety qualified to do
have had a civil judgment entered against them in business in this state and conditioned upon
an action arising out of a negligent, reckless, or compliance with this chapter. The total aggregate
willful failure to properly perform the obligations liability on the bond shall be limited to twenty-five
of a legal document assistant or unlawful detainer thousand dollars ($25,000).
assistant.
(2) An application for a certificate of registration
(6) Whether the general partners or officers by a partnership or corporation shall be
have ever had a registration revoked pursuant to accompanied by a bond executed by a corporate
Section 6413. surety qualified to do business in this state and
conditioned upon compliance with this chapter in
(7) If the application is for a renewal of the following amount, based on the total number
registration, a statement by the applicant that the of legal document assistants and unlawful
individuals performing legal document assistant or detainer assistants employed by the partnership
unlawful detainer assistant services have or corporation:
completed the legal education courses required
by Section 6402.2. (A) Twenty-five thousand dollars ($25,000)
for one to four assistants.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(B) Fifty thousand dollars ($50,000) for five (f) If the certificate is revoked, the bond or cash
to nine assistants. deposit shall be returned to the bonding party or
depositor subject to subdivision (g) and the right of a
(C) One hundred thousand dollars person to recover against the bond or cash deposit
($100,000) for 10 or more assistants. An under Section 6412.
application for a certificate of registration by
a person employed by a partnership or (g) The county clerk may retain a cash deposit until
corporation shall be accompanied by a bond the expiration of three years from the date the
of twenty-five thousand dollars ($25,000) registrant has ceased to do business, or three years
only if the partnership or corporation has not from the expiration or revocation date of the
posted a bond in the amount required by registration, in order to ensure there are no
this subdivision. outstanding claims against the deposit. A judge may
order the return of the deposit prior to the expiration
(3) If a partnership or corporation increases the of three years upon evidence satisfactory to the judge
number of assistants it employs above the that there are no outstanding claims against the
number stated in its application for a certificate of deposit.
registration, the partnership or corporation shall
promptly increase the bond to the applicable (h) The bond required by this section shall be in favor
amount in subparagraphs (B) or (C) of paragraph of the State of California for the benefit of any person
(2) based on the actual number of assistants it who is damaged as a result of the violation of this
employs, and shall promptly submit the increased chapter or by the fraud, dishonesty, or incompetency of
bond to the county clerk. an individual, partnership, or corporation registered
under this chapter. The bond required by this section
(4) The bond may be terminated pursuant to shall also indicate the name of the county in which it
Section 995.440 of, and Article 13 (commencing will be filed. (Added by Stats. 2002, ch. 1018. Amended
with Section 996.310) of Chapter 2 of Title 14 of by Stats. 2015, ch. 295.)
Part 2 of, the Code of Civil Procedure.

(b) The county clerk shall, upon filing of the bond, § 6406 Certificates of registration; duration;
deliver the bond forthwith to the county recorder for renewal
recording. The recording fee specified in Section 27361
of the Government Code shall be paid by the registrant. (a) If granted, a certificate of registration shall be
The fee may be paid to the county clerk who shall effective for a period of two years, until the date the
transmit it to the recorder. bond expires, or until the total number of legal
document assistants and unlawful detainer assistants
(c) The fee for filing, canceling, revoking, or employed by a partnership or corporation exceeds the
withdrawing the bond is seven dollars ($7). number allowed for the amount of the bond in effect,
whichever occurs first. Thereafter, a registrant shall
(d) The county recorder shall record the bond and file a new certificate of registration or a renewal of
any notice of cancellation, revocation, or withdrawal of the certificate of registration and pay the fee required
the bond, and shall thereafter mail the instrument, by Section 6404, and increase the amount of the bond
unless specified to the contrary, to the person named in if required to comply with subdivision (a) of Section
the instrument and, if no person is named, to the party 6405. A certificate of registration that is currently
leaving it for recording. The recording fee specified in effective may be renewed up to 60 days prior to its
Section 27361 of the Government Code for notice of expiration date and the effective date of the renewal
cancellation, revocation, or withdrawal of the bond shall be the date the current registration expires. The
shall be paid to the county clerk, who shall transmit it renewal shall be effective for a period of two years
to the county recorder. from the effective date or until the expiration date of
the bond, or until the total number of legal document
(e) In lieu of the bond required by subdivision (a), a
assistants and unlawful detainer assistants employed
registrant may deposit the amount required by
by a partnership or corporation exceeds the number
subdivision (a) in cash with the county clerk.
allowed for the dollar amount of the bond in effect,
whichever occurs first.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(b) Except as provided in subdivisions (d) to (f), that the issuance of a certificate of registration is not
inclusive, an applicant shall be denied registration or likely to expose consumers to a significant risk of harm
renewal of registration if the applicant has been any of based on a review of the application and any other
the following: information relating to the applicant’s unlawful act or
unfair practice described in paragraphs (1) to (5),
(1) Convicted of a felony, or of a misdemeanor inclusive, of subdivision (b). The director shall order
under Section 6126 or 6127, or found liable under the applicant’s certificate of registration to be denied if
Section 6126.5. the director determines that issuance of a certificate of
registration is likely to expose consumers to a
(2) Held liable in a civil action by final judgment significant risk of harm based on a review of the
or entry of a stipulated judgment, if the action application and any other information relating to the
alleged fraud, or the use of an untrue or applicant’s unlawful act or unfair practice described in
misleading representation, or the use of an unfair, paragraphs (1) to (5), inclusive, of subdivision (b). The
unlawful, or deceptive business practice. director shall send to the applicant and the county clerk
a written decision listing the reasons registration shall
(3) Convicted of a misdemeanor violation of this
be granted or denied within 30 days of the submission
chapter.
of the matter.
(4) Had a civil judgment entered against them
(f) If the director orders that the certificate of
in an action arising out of the applicant’s
registration be granted, the applicant may resubmit the
negligent, reckless, or willful failure to properly
application, with the appropriate application fee and
perform their obligation as a legal document
the written decision of the director. The county clerk
assistant or unlawful detainer assistant.
shall grant the certificate of registration to the
(5) Had their registration revoked pursuant to applicant within three business days of being supplied
Section 6413. this information. (Added by Stats. 2002, ch. 1018.
Amended by Stats. 2015, ch. 295; Stats. 2019, ch. 128.)
(c) If the county clerk finds that the applicant has
failed to demonstrate having met the requisite
requirements of Section 6402, 6402.1, or 6402.2, or § 6407 Register; Identification cards
that any of the paragraphs of subdivision (b) apply, the
(a) The county clerk shall maintain a register of legal
county clerk, within three business days of submission
document assistants, and a register of unlawful
of the application and fee, shall return the application
detainer assistants, assign a unique number to each
and fee to the applicant with a notice to the applicant
legal document assistant, or unlawful detainer
indicating the reason for the denial and the method of
assistant, and issue an identification card to each one.
appeal.
Upon renewal of registration, the same number shall
(d) The denial of an application may be appealed by be assigned, provided that the applicant is renewing
the applicant by submitting, to the director, the registration in the same county in which they were
following: previously registered and there is no lapse of three or
more years in the period of registration.
(1) The completed application and notice from
the county clerk specifying the reasons for the (b) The identification card shall be a card not less
denial of the application. than three and one-quarter by two inches, and shall
contain at the top, the title “Legal Document Assistant”
(2) A copy of any final judgment or order that or “Unlawful Detainer Assistant,” as appropriate,
resulted from any conviction or civil judgment followed by the registrant’s name, address, registration
listed on the application. number, date of expiration, and county of registration.
It shall also contain a photograph of the registrant in
(3) Any relevant information the applicant the lower left corner. The identification card for a
wishes to include for the record. partnership or corporation registration shall be issued
in the name of the partnership or corporation, and shall
(e) The director shall order the applicant’s certificate not contain a photograph. The front of the card, above
of registration to be granted if the director determines the title, shall also contain the following statement in

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

12-point boldface type: “This person is not a lawyer.” § 6409 Retention of original documents
The front of the card, at the bottom, shall also contain prohibited
the following statement in 12-point boldface type: “The
county clerk has not evaluated this person’s No legal document assistant or unlawful detainer
knowledge, experience, or services.” (Added by Stats. assistant shall retain in their possession original
2002, ch. 1018. Amended by Stats. 2009, ch. 458; Stats. documents of a client. A legal document assistant or an
2015, ch. 295; Stats. 2019, ch. 128.) unlawful detainer assistant shall immediately return all
of a client’s original documents to the client in any one
§ 6408 Disclosure of registration required or more of the following circumstances:

The registrant’s name, business address, telephone (a) If the client so requests at any time.
number, registration number, and county of
registration shall appear in any solicitation or (b) If the written contract required by Section 6410 is
advertisement, and on any printed papers or not executed or is rescinded, canceled, or voided for
documents prepared or used by the registrant, any reason.
including, but not limited to, contracts, letterhead,
business cards, correspondence, documents, forms, (c) If the services described pursuant to paragraph
claims, petitions, checks, receipts, and pleadings. The (1) of subdivision (b) of Section 6410 have been
registrant’s name, business address, telephone completed. (Added by Stats. 2002, ch. 1018. Amended
number, registration number, expiration date of the by Stats. 2019, ch. 128.)
registration, and county of registration shall appear on
the written contract required to be provided to a
client pursuant to Section 6410, as well as on any § 6409.1 Venues for Disputes
Internet Web site maintained by the registrant, and in
any solicitation, advertisement, document, or Notwithstanding any other law, the venue for an action
correspondence prepared or used by the registrant in arising out of a dispute between a legal document
electronic form. (Added by Stats. 2002, ch. 1018. assistant or unlawful detainer assistant and their client
Amended by Stats. 2015, ch. 295.) shall be the county in which the client has their primary
residence. (Added by Stats. 2015, ch. 295. Amended by
§ 6408.5 Advertisements and solicitation; Stats. 2019, ch. 128.)
required disclaimers
§ 6410 Written contracts; contents; rescinding
(a) All advertisements or solicitations published,
and voiding
distributed, or broadcast offering legal document
assistant or unlawful detainer assistant services shall (a) Every legal document assistant or unlawful
include the following statement: “I am not an attorney. detainer assistant who enters into a contract or
I can only provide self-help services at your specific agreement with a client to provide services shall, prior
direction.” This subdivision does not apply to classified to providing any services, provide the client with a
or “yellow pages” listings in a telephone or business written contract, the contents of which shall be
directory of three lines or less that state only the name, prescribed by regulations adopted by the Department
address, and telephone number of the legal document of Consumer Affairs.
assistant or unlawful detainer assistant.
(b) The written contract shall include all of the
(b) If the advertisement or solicitation is in a language following provisions:
other than English, the statement required by
subdivision (a) shall be in the same language as the (1) The services to be performed.
advertisement or solicitation. (Added by Stats. 2002, ch.
(2) The costs of the services to be performed.
1018.)

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(3) The contact information of the county clerk’s pursuant to Section 6409.1, the venue for an action
office for the county in which the legal document arising out of a dispute between a legal document
assistant or unlawful detainer assistant is assistant or unlawful detainer assistant and their client
registered, including the address, phone number, shall be the county in which the client has their primary
and, if available, internet website. residence.
(4) There shall be printed on the face of the
(e) Failure of a legal document assistant or unlawful
contract in 12-point boldface type a statement
that the legal document assistant or unlawful detainer assistant to comply with subdivisions (a), (b),
detainer assistant is not an attorney and may not (c), and (d) shall make the contract or agreement for
perform the legal services that an attorney services voidable at the option of the client. Upon the
performs. voiding of the contract, the legal document assistant or
unlawful detainer assistant shall immediately return in
(5) The contract shall contain a statement in 12- full any fees paid by the client.
point boldface type that the county clerk has not
evaluated or approved the registrant’s knowledge (f) In addition to any other right to rescind, the client
or experience, or the quality of the registrant’s shall have the right to rescind the contract within 24
services. hours of the signing of the contract. The client may
(6) The contract shall contain a statement in 12- cancel the contract by giving the legal document
point boldface type that the consumer may obtain assistant or the unlawful detainer assistant any written
information regarding free or low-cost statement to the effect that the contract is canceled. If
representation through a local bar association or the client gives notice of cancellation by mail addressed
legal aid foundation and that the consumer may to the legal document assistant or unlawful detainer
contact local law enforcement, a district attorney, assistant, with first class postage prepaid, cancellation
or a legal aid foundation if the consumer believes is effective upon the date indicated on the postmark.
that they have been a victim of fraud, the Upon the voiding or rescinding of the contract or
unauthorized practice of law, or any other injury. agreement for services, the legal document assistant or
unlawful detainer assistant shall immediately return to
(7) The contract shall contain a statement in 12- the client any fees paid by the client, except fees for
point boldface type that a legal document services that were actually, necessarily, and reasonably
assistant or unlawful detainer assistant is not performed on the client’s behalf by the legal document
permitted to engage in the practice of law, assistant or unlawful detainer assistant with the client’s
including providing any kind of advice, knowing and express written consent. The
explanation, opinion, or recommendation to a requirements of this subdivision shall be conspicuously
consumer about possible legal rights, remedies, set forth in the written contract. (Added by Stats. 2002,
defenses, options, selection of forms, or ch. 1018. Amended by Stats. 2015, ch. 295; Stats. 2019,
strategies. ch. 128.)

(c) The contract shall be written both in English and in

any other language comprehended by the client and § 6410.5 First in-person or telephonic solicitation;
principally used in any oral sales presentation or disclaimers and statements prior to conversation
negotiation leading to execution of the contract. The legal
(a) It is unlawful for any legal document assistant or
document assistant or the unlawful detainer assistant is unlawful detainer assistant, in the first contact with a
responsible for translating the contract into the language prospective client of legal document or unlawful
principally used in any oral sales presentation or detainer assistant services, to enter into a contract or
negotiation leading to the execution of the contract. agreement for services or accept any compensation
unless the legal document assistant or the unlawful
(d) A written contract entered into on or after detainer assistant states orally, clearly, affirmatively,
January 1, 2016, shall contain a statement that, and expressly all of the following, before making any

2021 BUSINESS AND PROFESSIONS CODE 19

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

other statement, except statements required by law in before that prospective client is offered any contract or
telephonic or home solicitations, and a greeting, or agreement for signature, the legal document assistant
asking the prospective client any questions: or unlawful detainer assistant shall give the prospective
client a clearly legible copy of the signed notice. A legal
(1) The identity of the person making the document assistant or unlawful detainer assistant shall
solicitation. not ask or require a prospective client or a client to sign
any other form of acknowledgment regarding this
(2) The trade name of the person represented notice.
by the person making the solicitation, if any.
NOTICE TO CONSUMER
(3) The kind of services being offered for sale.
DO NOT SIGN ANYTHING
(4) The statement: “I am not an attorney” and, if
BEFORE YOU READ THIS PAGE
the person offering legal document assistant or
unlawful detainer assistant services is a In the first conversation when you contacted [the
partnership or a corporation, or uses a fictitious unlawful detainer assistant or the legal document
business name, “[name] is not a law firm. I/we assistant], did they explain . . . . . . . . .
cannot represent you in court, advise you about
[Name of unlawful detainer assistant or legal
your legal rights or the law, or select legal forms
document assistant] is not an attorney.
for you.”
[Name of corporation or partnership, if any, that is
(5) The county in which the legal document offering legal document assistant services or
assistant or unlawful detainer assistant is unlawful detainer assistant services] is not a law
registered and their registration number. firm.

(6) The expiration date of the legal document [They/name of the business] cannot represent you
assistant’s or unlawful detainer assistant’s current in court.
registration period. [They/name of the business] cannot advise you
about your legal rights or the law.
(b) After the legal document assistant or unlawful
detainer assistant makes the oral statements required [They/name of the business] cannot select legal
pursuant to subdivision (a), and before the legal forms for you.
document assistant or unlawful detainer assistant
[They/name of the business] is registered in
enters into a contract or agreement for services or
[county name] and the registration number is
accepts any compensation, the legal document
[registration number].
assistant or unlawful detainer assistant shall provide
the prospective client with a “Notice to Consumer” set [They/name of the business]’s registration is valid
forth below. After allowing the prospective client time until [date of expiration of registration], after
to read the notice, the legal document assistant or which it must be renewed.
unlawful detainer assistant shall ask the prospective
To confirm that [they/name of business] is
client to sign and date the notice. If the first contact is
registered, you may contact the [county name]
not in person, the legal document assistant or unlawful
clerk’s office at [office address], [or] [office phone
detainer assistant shall provide the notice to the
number], [or] [if available, office internet website].
prospective client at the first in-person meeting or mail
the notice to the prospective client before entering into Choose one:
a contract or agreement for services or accepting any
Yes, they explained.
compensation. The notice shall be set forth in black,
bold, 12-point type on a separate, white, 8 1/2 by 11- No, they did not explain.
inch sheet of paper that contains no other print or
Date:
graphics, and shall be in the form set forth below. The
notice shall contain only the appropriate name or other Signature:
designation from those indicated in brackets below. At
(c) The legal document assistant or unlawful detainer
the time a prospective client signs the notice and
assistant shall be responsible for translating, if

20 BUSINESS AND PROFESSIONS CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

necessary, the “Notice to Consumer” required pursuant § 6412 Recovery of damages from bonds; filing
to subdivision (b) into the language principally used in of new bonds required
any oral sales presentation or negotiation. (Added by
Stats. 2002, ch. 1018. Amended by Stats. 2015, ch. 295, (a) Any owner or manager of residential or
Stats. 2016, ch. 86; Stats. 2019, ch. 128.) commercial rental property, tenant, or other person
who is awarded damages in any action or proceeding
for injuries caused by the acts of a registrant while in
§ 6411 Unlawful acts the performance of their duties as a legal document
assistant or unlawful detainer assistant may recover
It is unlawful for any person engaged in the business
damages from the bond or cash deposit required by
or acting in the capacity of a legal document
Section 6405.
assistant or unlawful detainer assistant to do any of
the following: (b) If there has been a recovery against a bond or cash
deposit under subdivision (a) and the registration has not
(a) Make false or misleading statements to the
been revoked pursuant to Section 6413, the registrant
consumer concerning the subject matter, legal issues,
shall file a new bond or deposit an additional amount of
or self-help service being provided by the legal
cash within 30 days to reinstate the bond or cash deposit
document assistant or unlawful detainer assistant.
to the amount required by Section 6405. If the registrant
(b) Make any guarantee or promise to a client or does not file a bond, or deposit this amount within 30
prospective client, unless the guarantee or promise is in days, the registrant’s certificate of registration shall be
writing and the legal document assistant or unlawful revoked. (Added by Stats. 2002, ch. 1018. Amended by
detainer assistant has a reasonable factual basis for Stats. 2019, ch. 128.)
making the guarantee or promise.
§ 6412.1 Remedies for violation; attorney’s fees
(c) Make any statement that the legal document
assistant or unlawful detainer assistant can or will (a) Any person injured by the unlawful act of a legal
obtain favors or has special influence with a court, or a document assistant or unlawful detainer assistant shall
state or federal agency. retain all rights and remedies cognizable under law.
The penalties, relief, and remedies provided in this
(d) Provide assistance or advice which constitutes the
chapter are not exclusive, and do not affect any other
unlawful practice of law pursuant to Section 6125,
penalties, relief, and remedies provided by law.
6126, or 6127.
(b) Any person injured by a violation of this chapter
(e) Engage in the unauthorized practice of law,
by a legal document assistant or unlawful detainer
including, but not limited to, giving any kind of advice,
assistant may file a complaint and seek redress in any
explanation, opinion, or recommendation to a
superior court for injunctive relief, restitution, and
consumer about possible legal rights, remedies,
damages. Attorney’s fees shall be awarded to the
defenses, options, selection of forms, or strategies. A
prevailing plaintiff. A claim under this chapter may be
legal document assistant shall complete documents
maintained in small claims court, if the claim and relief
only in the manner prescribed by subdivision (d) of
sought are within the small claims court’s jurisdiction.
Section 6400.
(Added by Stats. 2002, ch. 1018.)
(f) Use in the person’s business name or advertising
the words “legal aid,” “legal services,” or any similar
§ 6412.5 Waivers from client
term that has the capacity, tendency, or likelihood to
mislead members of the public about that person’s A legal document assistant or an unlawful detainer
status as a nonprofit corporation or governmentally assistant may neither seek nor obtain a client’s waiver
supported organization offering legal services without of any of the provisions of this chapter. Any waiver of
charge to indigent people, or employing licensees of the provisions of this chapter is contrary to public
the State Bar to provide those services. (Added by policy, and is void and unenforceable. (Added by Stats.
Stats. 2002, ch. 1018. Amended by Stats. 2019, ch. 2002, ch. 1018.)
128.)

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

§ 6413 Revocation of registration education, training, or work experience, who either

contracts with or is employed by an attorney, law firm,
The county clerk shall revoke the registration of a legal corporation, governmental agency, or other entity, and
document assistant or unlawful detainer assistant upon who performs substantial legal work under the direction
receipt of an official document or record stating that the and supervision of an active member of the State Bar of
registrant has been found guilty of the unauthorized California, as defined in Section 6060, or an attorney
practice of law pursuant to Section 6125, 6126, or 6127, practicing law in the federal courts of this state, that has
has been found guilty of a misdemeanor violation of this been specifically delegated by the attorney to him or her.
chapter, has been found liable under Section 6126.5, or Tasks performed by a paralegal include, but are not
that a civil judgment has been entered against the limited to, case planning, development, and
registrant in an action arising out of the registrant’s management; legal research; interviewing clients; fact
negligent, reckless, or willful failure to properly perform gathering and retrieving information; drafting and
their obligation as a legal document assistant or unlawful analyzing legal documents; collecting, compiling, and
detainer assistant. The county clerk shall be given notice utilizing technical information to make an independent
of the disposition in any court action by the city attorney, decision and recommendation to the supervising
district attorney, or plaintiff, as applicable. A registrant attorney; and representing clients before a state or
whose registration is revoked pursuant to this section federal administrative agency if that representation is
may reapply for registration three years after the permitted by statute, court rule, or administrative rule or
revocation. (Added by Stats. 2002, ch. 1018. Amended regulation.
by Stats. 2019, ch. 128.)
(b) Notwithstanding subdivision (a), a paralegal shall
not do the following:
§ 6414 Appeal of revocation of registration
(1) Provide legal advice.
A registrant whose certificate is revoked shall be
entitled to challenge the decision in a court of (2) Represent a client in court.
competent jurisdiction. (Added by Stats. 2002, ch.
1018.) (3) Select, explain, draft, or recommend the use
of any legal document to or for any person other
than the attorney who directs and supervises the
§ 6415 Penalties paralegal.

A failure, by a person who engages in acts of a legal (4) Act as a runner or capper, as defined in
document assistant or unlawful detainer assistant, to Sections 6151 and 6152.
comply with any of the requirements of Section
6401.6, 6402, 6408, or 6410, subdivision (a), (b), or (5) Engage in conduct that constitutes the
(c) of Section 6411, or Section 6412.5 is a unlawful practice of law.
misdemeanor punishable by a fine of not less than
one thousand dollars ($1,000) or more than two (6) Contract with, or be employed by, a natural
thousand dollars ($2,000), as to each client with person other than an attorney to perform
respect to whom a violation occurs, or imprisonment paralegal services.
for not more than one year, or by both that fine and
(7) In connection with providing paralegal
imprisonment. Payment of restitution to a client
services, induce a person to make an investment,
shall take precedence over payment of a fine.
purchase a financial product or service, or enter a
(Added by Stats. 2002, ch. 1018.)
transaction from which income or profit, or both,
purportedly may be derived.
§ 6450 Paralegals–Definition; Scope and
(8) Establish the fees to charge a client for the
Limitations of Lawful Activities; Qualifications;
services the paralegal performs, which shall be
Certification established by the attorney who supervises the
paralegal’s work. This paragraph does not apply to
(a) “Paralegal” means a person who holds himself or
fees charged by a paralegal in a contract to
herself out to be a paralegal, who is qualified by
provide paralegal services to an attorney, law

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

firm, corporation, governmental agency, or other be responsible for keeping a record of the paralegal’s
entity as provided in subdivision (a). certifications.

(c) A paralegal shall possess at least one of the (e) A paralegal does not include a nonlawyer who
following: provides legal services directly to members of the
public, or a legal document assistant or unlawful
(1) A certificate of completion of a paralegal detainer assistant as defined in Section 6400, unless the
program approved by the American Bar person is a person described in subdivision (a).
Association.
(f) This section shall become operative on January 1,
(2) A certificate of completion of a paralegal 2004. (Added by Stats. 2000, ch. 439. Amended by
program at, or a degree from, a postsecondary Stats. 2001, ch. 311; Stats. 2002, ch. 664; Stats. 2006, ch.
institution that requires the successful completion 567.)
of a minimum of 24 semester, or equivalent, units
in law-related courses and that has been
accredited by a national or regional accrediting § 6451 Paralegals–Attorney Supervision
organization or approved by the Bureau for
Private Postsecondary and Vocational Education. It is unlawful for a paralegal to perform any services for
a consumer except as performed under the direction
(3) A baccalaureate degree or an advanced and supervision of the attorney, law firm, corporation,
degree in any subject, a minimum of one year of government agency, or other entity that employs or
law-related experience under the supervision of contracts with the paralegal. Nothing in this chapter
an attorney who has been an active member of shall prohibit a paralegal who is employed by an
the State Bar of California for at least the attorney, law firm, governmental agency, or other
preceding three years or who has practiced in the entity from providing services to a consumer served
federal courts of this state for at least the by one of these entities if those services are
preceding three years, and a written declaration specifically allowed by statute, case law, court rule, or
from this attorney stating that the person is federal or state administrative rule or regulation.
qualified to perform paralegal tasks. “Consumer” means a natural person, firm, association,
organization, partnership, business trust, corporation,
(4) A high school diploma or general or public entity. (Added by Stats. 2000, ch. 439.
equivalency diploma, a minimum of three years Amended by Stats. 2001, ch. 311.)
of law-related experience under the supervision
of an attorney who has been an active member
of the State Bar of California for at least the § 6452 Paralegals–Identification Requirements;
preceding three years or who has practiced in Liability of Supervising Attorney
the federal courts of this state for at least the
preceding three years, and a written declaration (a) It is unlawful for a person to identify himself or
from this attorney stating that the person is herself as a paralegal on any advertisement, letterhead,
qualified to perform paralegal tasks. This business card or sign, or elsewhere unless he or she has
experience and training shall be completed no met the qualifications of subdivision (c) of Section 6450
later than December 31, 2003. and performs all services under the direction and
supervision of an attorney who is an active member of
(d) Every two years, commencing January 1, 2007, the State Bar of California or an attorney practicing law
any person that is working as a paralegal shall be in the federal courts of this state who is responsible for
required to certify completion of four hours of all of the services performed by the paralegal. The
mandatory continuing legal education in legal ethics business card of a paralegal shall include the name of
and four hours of mandatory continuing legal education the law firm where he or she is employed or a
in either general law on in an area of specialized law. All statement that he or she is employed by or contracting
continuing legal education courses shall meet the with a licensed attorney.
requirements of Section 6070. Certification of these
continuing education requirements shall be made with (b) An attorney who uses the services of a paralegal is
the paralegal’s supervising attorney. The paralegal shall liable for any harm caused as the result of the

2021 BUSINESS AND PROFESSIONS CODE 23

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

paralegal’s negligence, misconduct, or violation of this § 6456 Paralegals–Exemptions

chapter. (Added by Stats. 2000, ch. 439.)
An individual employed by the state as a paralegal,
legal assistant, legal analyst, or similar title, is exempt
§ 6453 Paralegals–Duty of Confidentiality from the provisions of this chapter. (Added by Stats.
2000, ch. 439.)
A paralegal is subject to the same duty as an attorney
specified in subdivision (e) of Section 6068 to maintain
inviolate the confidentiality, and at every peril to § 7190 Advertisement or Promotional
himself or herself to preserve the attorney client Materials; Use of Public Official’s Name or Position;
privilege, of a consumer for whom the paralegal has Disclaimer
provided any of the services described in subdivision (a)
of Section 6450. (Added by Stats. 2000, ch. 439.) (a) The name or position of a public official may not
be used in an advertisement or any promotional
material by a person licensed under this chapter,
§ 6454 Paralegals–Terminology without the written authorization of the public official.
A printed advertisement or promotional material that
The terms “paralegal,” “legal assistant,” “attorney
uses the name or position of a public official with that
assistant,” “freelance paralegal,” “independent
public official’s written authorization, shall also include
paralegal,” and “contract paralegal” are synonymous
a disclaimer in at least 10-point roman boldface type,
for purposes of this chapter. (Added by Stats. 2000,
that shall be in a color or print which contrasts with the
ch. 439.)
background so as to be easily legible, and set apart
from any other printed matter. The disclaimer shall
§ 6455 Paralegals–Violations; Civil and Criminal consist of a statement that reads “The name of (specify
Remedies; Attorney Fees name of public official) does not imply that (specify
name of public official) endorses this product or service
(a) Any consumer injured by a violation of this in (his or her) official capacity and does not imply an
chapter may file a complaint and seek redress in endorsement by any governmental entity.” If the
superior court for injunctive relief, restitution, and advertisement is broadcast, this statement shall be
damages. Attorney’s fees shall be awarded in this read in a clearly audible tone of voice.
action to the prevailing plaintiff.
(b) For purposes of this section, “public official”
(b) Any person who violates the provisions of Section means a member, officer, employee, or consultant of a
6451 or 6452 is guilty of an infraction for the first local government agency, as defined in Section 82041
violation, which is punishable upon conviction by a fine of the Government Code, or state agency, as defined in
of up to two thousand five hundred dollars ($2,500) as Section 82049 of the Government Code. (Added by
to each consumer with respect to whom a violation Stats. 1994, ch. 1135.)
occurs, and is guilty of a misdemeanor for the second
and each subsequent violation, which is punishable
upon conviction by a fine of two thousand five hundred § 10026 Advance Fee
dollars ($2,500) as to each consumer with respect to
(a) The term “advance fee,” as used in this part, is a
whom a violation occurs, or imprisonment in a county
fee, regardless of the form, that is claimed, demanded,
jail for not more than one year, or by both that fine and
charged, received, or collected by a licensee for
imprisonment. Any person convicted of a violation of
services requiring a license, or for a listing, as that term
this section shall be ordered by the court to pay
is defined in Section 10027, before fully completing the
restitution to the victim pursuant to Section 1202.4 of
service the licensee contracted to perform or
the Penal Code. (Added by Stats. 2000, ch. 439.
represented would be performed. Neither an advance
Amended by Stats. 2007, ch. 43.)
fee nor the services to be performed shall be separated
or divided into components for the purpose of avoiding
the application of this division.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(b) For the purposes of this section, the term used to solicit prospective sellers, and radio and
“advance fee” does not include: television advertising be submitted to him or her at
least 10 calendar days before they are used. Should the
(1) “Security” as that term is used in Section commissioner determine that any such matter, when
1950.5 of the Civil Code. used alone or with any other matter, would tend to
mislead he or she may, within 10 calendar days of the
(2) A “screening fee” as that term is used in date he or she receives same, order that it not be used,
Section 1950.6 of the Civil Code. disseminated, nor published. Any person or entity
using, disseminating, or publishing any matter which
(3) A fee that is claimed, demanded, charged,
the commissioner has ordered, pursuant to this section,
received, or collected for the purpose of
not to be used, published, or disseminated shall be
advertising the sale, lease, or exchange of real
guilty of a misdemeanor punishable by a fine not
estate, or of a business opportunity, in a
exceeding two thousand five hundred dollars ($2,500)
newspaper of general circulation, any other
or by imprisonment in the county jail not exceeding six
written publication, or through electronic media
months, or both, for each such use, dissemination, or
comparable to any type of written publication,
publication. The commissioner may determine the form
provided that the electronic media or the
of the advance fee agreements, and all material used in
publication is not under the control or ownership
soliciting prospective owners and sellers shall be used
of the broker.
in the form and manner which he or she determines is
(4) A fee earned for a specific service under a necessary to carry out the purposes and intent of this
“limited service” contract. For purposes of this part. Any violation of any of the provisions of this part
section, a “limited service” contract is a written or of the rules, regulations, orders or requirements of
agreement for real estate services described in the commissioner thereunder shall constitute grounds
subdivision (a), (b), or (c) of Section 10131, and for disciplinary action against a licensee, or for
pursuant to which such services are promoted, proceedings under Section 10081 of this code, or both.
advertised, or presented as stand-alone services, These sanctions are in addition to the criminal
to be performed on a task-by-task basis, and for proceedings hereinbefore provided. (Added by Stats.
which compensation is received as each separate, 1959, ch. 2117. Amended by Stats. 1983, ch. 1092;
contracted-for task is completed. To qualify for Stats. 1990, ch. 728; Stats. 2009, ch. 630, operative
this exclusion, all services performed pursuant to October 11, 2009.)
the contract must be described in subdivision (a),
(b), or (c) of Section 10131.
§ 10085.6 Mortgage Loan Modifications–
(c) A contract between a real estate broker and a Performed by Licensee; Prohibitions; Violations
principal that requires payment of a commission to the
(a) Notwithstanding any other provision of law, it
broker after the contract is fully performed does not
shall be unlawful for any licensee who negotiates,
represent an agreement for an advance fee.
attempts to negotiate, arranges, attempts to arrange,
(d) This section does not exempt from regulation the or otherwise offers to perform a mortgage loan
charging or collecting of a fee under Section 1950.5 or modification or other form of mortgage loan
1950.6 of the Civil Code, but instead regulates fees that forbearance for a fee or other compensation paid by
are not subject to those sections. (Added by Stats. the borrower, to do any of the following:
2010, ch. 85.)
(1) Claim, demand, charge, collect, or receive
any compensation until after the licensee has fully
§ 10085 Advance Fee Agreements–Materials performed each and every service the licensee
Used to Obtain; Submission to Commissioner; contracted to perform or represented that he,
Orders; Violations she, or it would perform.

The commissioner may require that any or all materials (2) Take any wage assignment, any lien of any
used in obtaining advance fee agreements, including type on real or personal property, or other
but not limited to the contract forms, letters or cards security to secure the payment of compensation.

2021 BUSINESS AND PROFESSIONS CODE 25

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(3) Take any power of attorney from the (a) Sells or offers to sell, buys or offers to buy, solicits
borrower for any purpose. prospective sellers or purchasers of, solicits or obtains
listings of, or negotiates the purchase, sale or exchange
(b) A violation of this section by a natural person who of real property or a business opportunity.
is a licensee is a public offense punishable by a fine not
exceeding ten thousand dollars ($10,000), by (b) Leases or rents or offers to lease or rent, or places
imprisonment in the county jail for a term not to for rent, or solicits listings of places for rent, or solicits
exceed one year, or by both that fine and for prospective tenants, or negotiates the sale,
imprisonment, or if by a corporation, the violation is purchase or exchanges of leases on real property, or on
punishable by a fine not exceeding fifty thousand a business opportunity, or collects rents from real
dollars ($50,000). These penalties are cumulative to any property, or improvements thereon, or from business
other remedies or penalties provided by law. opportunities.

(c) This section shall apply only to mortgages and (c) Assists or offers to assist in filing an application
deeds of trust secured by residential real property for the purchase or lease of, or in locating or entering
containing four or fewer dwelling units. (Added by upon, lands owned by the state or federal government.
Stats. 2009, ch. 630. Amended by Stats. 2012, ch. 569.)
(d) Solicits borrowers or lenders for or negotiates
loans or collects payments or performs services for
§ 10130 Real Estate Broker / Salesperson– borrowers or lenders or note owners in connection
License Required; Complaints for Violation; with loans secured directly or collaterally by liens on
Prosecution real property or on a business opportunity.

It is unlawful for any person to engage in the business (e) Sells or offers to sell, buys or offers to buy, or
of, act in the capacity of, advertise as, or assume to act exchanges or offers to exchange a real property sales
as a real estate broker or a real estate salesperson contract, or a promissory note secured directly or
within this state without first obtaining a real estate collaterally by a lien on real property or on a business
license from the department, or to engage in the opportunity, and performs services for the holders
business of, act in the capacity of, advertise as, or thereof. (Added by Stats. 1943, ch. 127. Amended by
assume to act as a mortgage loan originator within this Stats. 1955, ch. 1678; Stats. 1959, ch. 2116; Stats. 1959,
state without having obtained a license endorsement. ch. 2117; Stats. 1960, ch. 45; Stats. 1961, ch. 886; Stats.
1965, ch. 172; Stats. 1984, ch. 177.)
The commissioner may prefer a complaint for violation
of this section before any court of competent
jurisdiction, and the commissioner and his or her § 10133 Real Estate Brokers–Exemptions from
counsel, deputies or assistants may assist in presenting Licensing Requirements
the law or facts at the trial.
(a) The acts described in Section 10131 are not acts
It is the duty of the district attorney of each county in for which a real estate license is required if performed
this state to prosecute all violations of this section in by:
their respective counties in which the violations occur.
(Added by Stats. 1943, ch. 127. Amended by Stats. 1969, (1) A regular officer of a corporation or a
ch. 138; Stats. 2012, ch. 569.) general partner of a partnership with respect to
real property owned or leased by the corporation
or partnership, respectively, or in connection with
§ 10131 Real Estate Brokers–Defined the proposed purchase or leasing of real property
by the corporation or partnership, respectively, if
A real estate broker within the meaning of this part is a the acts are not performed by the officer or
person who, for a compensation or in expectation of a partner in expectation of special compensation.
compensation, regardless of the form or time of
payment, does or negotiates to do one or more of the (2) A person holding a duly executed power of
following acts for another or others: attorney from the owner of the real property with
respect to which the acts are performed.

26 BUSINESS AND PROFESSIONS CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(3) An attorney at law in rendering legal services Credits Act of 1923,” in loaning or advancing
to a client. money or credit so secured.

(4) A receiver, trustee in bankruptcy or other (5) Any person licensed to practice law in this
person acting under order of a court of competent state, not actively and principally engaged in the
jurisdiction. business of negotiating loans secured by real
property, when that person renders services in
(5) A trustee for the beneficiary of a deed of the course of his or her practice as an attorney at
trust when selling under authority of that deed of law, and the disbursements of that person,
trust. whether paid by the borrower or other person,
are not charges or costs and expenses regulated
(b) The exemptions in subdivision (a) are not by or subject to the limitations of Article 7
applicable to a person who uses or attempts to use (commencing with Section 10240), and the fees
them for the purpose of evading the provisions of this and disbursements are not shared, directly or
part. (Added by Stats. 1943, ch. 127. Amended by indirectly, with the person negotiating the loan or
Stats. 1953, ch. 871; Stats. 1985, ch. 476.) the lender.

(6) Any person licensed as a finance lender

§ 10133.1 Inapplicability of Certain Code Sections
when acting under the authority of that license.
to Particular Persons or Association
(7) Any cemetery authority as defined by
(a) Subdivisions (d) and (e) of Section 10131, Section Section 7018 of the Health and Safety Code, that
10131.1, Article 5 (commencing with Section 10230), is authorized to do business in this state or its
and Article 7 (commencing with Section 10240) of this authorized agent.
code and Section 1695.13 of the Civil Code do not apply
to any of the following: (8) Any person authorized in writing by a savings
institution to act as an agent of that institution, as
(1) Any person or employee thereof doing authorized by Section 6520 of the Financial Code
business under any law of this state, any other or comparable authority of the Office of the
state, or the United States relating to banks, trust Comptroller of the Currency of the United States
companies, savings and loan associations, Department of the Treasury by its regulations,
industrial loan companies, pension trusts, credit when acting under the authority of that written
unions, or insurance companies. authorization.
(2) Any nonprofit cooperative association (9) Any person who is licensed as a securities
organized under Chapter 1 (commencing with broker or securities dealer under any law of this
Section 54001) of Division 20 of the Food and state, or of the United States, or any employee,
Agricultural Code, in loaning or advancing money officer, or agent of that person, if that person,
in connection with any activity mentioned therein. employee, officer, or agent is acting within the
scope of authority granted by that license in
(3) Any corporation, association, syndicate, joint
connection with a transaction involving the offer,
stock company, or partnership engaged
sale, purchase, or exchange of a security
exclusively in the business of marketing
representing an ownership interest in a pool of
agricultural, horticultural, viticultural, dairy,
promissory notes secured directly or indirectly by
livestock, poultry, or bee products on a
liens on real property, which transaction is subject
cooperative nonprofit basis, in loaning or
to any law of this state or the United States
advancing money to the members thereof or in
regulating the offer or sale of securities.
connection with any business of that type.
(10) Any person licensed as a residential
(4) Any corporation securing money or credit
mortgage lender or servicer when acting under
from any federal intermediate credit bank
the authority of that license.
organized and existing pursuant to the provisions
of an act of Congress entitled the “Agricultural

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(11) Any organization that has been approved by or purchasers for, or negotiating, loans secured directly
the United States Department of Housing and or collaterally by a lien on real property.
Urban Development pursuant to Section
106(a)(1)(iii) of the federal Housing and Urban (c) (1) Subdivision (d) of Section 10131 does not
Development Act of 1968 (12 U.S.C. Sec. 1701x), apply to an employee of a real estate broker who,
to provide counseling services, or an employee of on behalf of the broker, assists the broker in
such an organization, when those services are meeting the broker’s obligations to its customers
provided at no cost to the borrower and are in in residential mortgage loan transactions, as
connection with the modification of the terms of a defined in Section 50003 of the Financial Code,
loan secured directly or collaterally by a lien on where the lender is an institutional lender, as
residential real property containing four or fewer defined in Section 50003 of the Financial Code,
dwelling units. provided the employee does not participate in
any negotiations occurring between the
(12) Any person licensed as a PACE program principals.
administrator when acting under the authority of
that license. (2) A broker shall exercise reasonable
supervision and control over the activities of
(13) A PACE solicitor, when enrolled by a person nonlicensed employees acting under this
licensed as a program administrator and acting subdivision, and shall comply with Section 10163
pursuant to an agreement with that program for each location where the nonlicensed persons
administrator licensee. are employed.

(14) A PACE solicitor agent, when enrolled by a (d) This section does not restrict the ability of the
person licensed as a program administrator and commissioner to discipline a broker or corporate broker
acting pursuant to an agreement between a PACE licensee or its designated officer, or both the corporate
solicitor and that program administrator licensee. broker licensee and its designated officer, for
misconduct of a nonlicensed employee acting under
(b) Persons described in paragraph (1), (2), or (3), as this subdivision, or, pursuant to Section 10080, to
follows, are exempt from the provisions of subdivisions adopt, amend, or repeal rules or regulations governing
(d) and (e) of Section 10131 or Section 10131.1 with the employment or supervision of an employee who is
respect to the collection of payments or performance a nonlicensed person as described in this subdivision.
of services for lenders or on notes of owners in
connection with loans secured directly or collaterally by (e) This section shall become operative on January 1,
liens on real property: 2019. (Added by Stats. 1961, ch. 886. Amended by Stats.
1965, ch. 305; Stats. 1968, ch. 397; Stats. 1972, ch. 185;
(1) The person makes collections on 10 or less of Stats. 1976, ch. 480; Stats. 1979, ch. 655; Stats. 1980, ch.
those loans, or in amounts of forty thousand 676; Stats. 1980, ch. 423; Stats. 1981, ch. 263; Stats.
dollars ($40,000) or less, in any calendar year. 1981, ch. 714; Stats. 1981, ch. 724; Stats. 1982, ch. 466;
Stats. 1982, ch. 711; Stats. 1982, ch. 1082; Stats. 1984,
(2) The person is a corporation licensed as an ch. 868; Stats. 1987, ch. 1401; Stats. 1989, ch. 1116;
escrow agent under Division 6 (commencing with Stats. 1989, ch. 1386; Stats. 1994, ch. 994; Stats. 1998,
Section 17000) of the Financial Code and the ch. 485; Stats. 1999, ch. 407; Stats. 2002, ch. 167; Stats.
payments are deposited and maintained in the 2009, ch. 630, operative October 11, 2009; Stats. 2016,
escrow agent’s trust account. ch. 177; Stats. 2017, ch. 475; Stats. 2018, ch. 285.)
(3) An employee of a real estate broker who is
acting as the agent of a person described in § 10147.6 Mortgage Loan Modifications–Licensee
paragraph (4) of subdivision (b) of Section Offering to Perform Modification for Compensation;
10232.4.
Notice to Borrower; Violations
For purposes of this subdivision, performance of
(a) Any licensee who negotiates, attempts to
services does not include soliciting borrowers, lenders,
negotiate, arranges, attempts to arrange, or otherwise
offers to perform a mortgage loan modification or

28 BUSINESS AND PROFESSIONS CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

other form of mortgage loan forbearance for a fee or possible time, it is necessary that this act take effect
other form of compensation paid by the borrower, shall immediately.
provide the following to the borrower, as a separate
statement, in not less than 14-point bold type, prior to
entering into any fee agreement with the borrower: § 10177 Real Estate Licenses–Grounds for
Revocation or Denial; Disciplinary Action
It is not necessary to pay a third party to arrange for a
loan modification or other form of forbearance from The commissioner may suspend or revoke the license
your mortgage lender or servicer. You may call your of a real estate licensee, delay the renewal of a license
lender directly to ask for a change in your loan terms. of a real estate licensee, or deny the issuance of a
Nonprofit housing counseling agencies also offer these license to an applicant, who has done any of the
and other forms of borrower assistance free of charge. following, or may suspend or revoke the license of a
A list of nonprofit housing counseling agencies corporation, delay the renewal of a license of a
approved by the United States Department of Housing corporation, or deny the issuance of a license to a
and Urban Development (HUD) is available from your corporation, if an officer, director, or person owning or
local HUD office or by visiting www.hud.gov. controlling 10 percent or more of the corporation's
stock has done any of the following:
(b) If loan modification or other mortgage loan
forbearance services are offered or negotiated in one of (a) Procured, or attempted to procure, a real estate
the languages set forth in Section 1632 of the Civil Code, license or license renewal, for themself or a
a translated copy of the statement in subdivision (a) shall salesperson, by fraud, misrepresentation, or deceit, or
be provided to the borrower in that foreign language. by making a material misstatement of fact in an
application for a real estate license, license renewal, or
(c) A violation of this section by a natural person who reinstatement.
is a licensee is a public offense punishable by a fine not
exceeding ten thousand dollars ($10,000), by (b) (1) Entered a plea of guilty or no contest to, or
imprisonment in the county jail for a term not to been found guilty of, or been convicted of, a
exceed one year, or by both that fine and felony, or a crime substantially related to the
imprisonment, or if by a corporation, the violation is qualifications, functions, or duties of a real estate
punishable by a fine not exceeding fifty thousand licensee, and the time for appeal has elapsed or
dollars ($50,000). These penalties are cumulative to any the judgment of conviction has been affirmed on
other remedies or penalties provided by law. appeal, irrespective of an order granting
probation following that conviction, suspending
(d) This section shall apply only to mortgages and the imposition of sentence, or of a subsequent
deeds of trust secured by residential real property order under Section 1203.4 of the Penal Code
containing four or fewer dwelling units. (Added by allowing that licensee to withdraw that licensee’s
Stats. 2009, ch. 630, operative October 11, 2009.) plea of guilty and to enter a plea of not guilty, or
dismissing the accusation or information.
[Publisher’s Note: The following paragraph concerns
Business and Professions Code 10147.6 and was added (2) Notwithstanding paragraph (1), and with the
by Stats. 2009, ch. 630, but not codified. It is provided recognition that sentencing may not occur for
below for your information.] months or years following the entry of a guilty
plea, the commissioner may suspend the license
SEC. 14. This act is an urgency statute necessary for the of a real estate licensee upon the entry by the
immediate preservation of the public peace, health, or licensee of a guilty plea to any of the crimes
safety within the meaning of Article IV of the described in paragraph (1). If the guilty plea is
Constitution and shall go into immediate effect. The withdrawn, the suspension shall be rescinded and
facts constituting the necessity are: With foreclosures the license reinstated to its status prior to the
at historic levels, foreclosure rescue scams are suspension. The department shall notify a person
pervasive and rampant. In order to prevent financially whose license is subject to suspension pursuant to
stressed homeowners from being victimized and to this paragraph of that person’s right to have the
provide them with needed protection at the earliest issue of the suspension heard in accordance with
Section 10100.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(c) Knowingly authorized, directed, connived at, or (i) Used their employment by a governmental
aided in the publication, advertisement, distribution, or agency in a capacity giving access to records, other than
circulation of a material false statement or public records, in a manner that violates the
representation concerning their designation or confidential nature of the records.
certification of special education, credential, trade
organization membership, or business, or concerning a (j) Engaged in any other conduct, whether of the
business opportunity or a land or subdivision, as same or of a different character than specified in this
defined in Chapter 1 (commencing with Section 11000) section, that constitutes fraud or dishonest dealing.
of Part 2, offered for sale.
(k) Violated any of the terms, conditions, restrictions,
(d) Willfully disregarded or violated the Real Estate and limitations contained in an order granting a
Law (Part 1 (commencing with Section 10000)) or restricted license.
Chapter 1 (commencing with Section 11000) of Part 2
or the rules and regulations of the commissioner for (l) (1) Solicited or induced the sale, lease, or listing
the administration and enforcement of the Real Estate for sale or lease of residential property on the
Law and Chapter 1 (commencing with Section 11000) of grounds, wholly or in part, of loss of value,
Part 2. increase in crime, or decline of the quality of the
schools due to the present or prospective entry
(e) Willfully used the term “realtor” or a trade name into the neighborhood of a person or persons
or insignia of membership in a real estate organization having a characteristic listed in subdivision (a) or
of which the licensee is not a member. (d) of Section 12955 of the Government Code, as
those characteristics are defined in Sections
(f) Acted or conducted themself in a manner that 12926 and 12926.1 of, subdivision (m) and
would have warranted the denial of their application paragraph (1) of subdivision (p) of Section 12955
for a real estate license, or either had a license denied of, and Section 12955.2 of, the Government Code.
or had a license issued by another agency of this state,
another state, or the federal government revoked, (2) Notwithstanding paragraph (1), with respect
surrendered, or suspended for acts that, if done by a to familial status, paragraph (1) shall not be
real estate licensee, would be grounds for the construed to apply to housing for older persons,
suspension or revocation of a California real estate as defined in Section 12955.9 of the Government
license, if the action of denial, revocation, surrender, or Code. With respect to familial status, nothing in
suspension by the other agency or entity was taken paragraph (1) shall be construed to affect Sections
only after giving the licensee or applicant fair notice of 51.2, 51.3, 51.4, 51.10, 51.11, and 799.5 of the
the charges, an opportunity for a hearing, and other Civil Code, relating to housing for senior citizens.
due process protections comparable to the Subdivision (d) of Section 51 and Section 4760 of
Administrative Procedure Act (Chapter 3.5 the Civil Code and subdivisions (n), (o), and (p) of
(commencing with Section 11340), Chapter 4 Section 12955 of the Government Code shall
(commencing with Section 11370), and Chapter 5 apply to paragraph (1).
(commencing with Section 11500) of Part 1 of Division
3 of Title 2 of the Government Code), and only upon an (m) Violated the Franchise Investment Law (Division 5
express finding of a violation of law by the agency or (commencing with Section 31000) of Title 4 of the
entity. Corporations Code) or regulations of the Commissioner
of Business Oversight pertaining thereto.
(g) Demonstrated negligence or incompetence in
performing an act for which the officer, director, or (n) Violated the Corporate Securities Law of 1968
person is required to hold a license. (Division 1 (commencing with Section 25000) of Title 4
of the Corporations Code) or the regulations of the
(h) As a broker licensee, failed to exercise reasonable Commissioner of Business Oversight pertaining thereto.
supervision over the activities of that licensee’s
salespersons, or, as the officer designated by a (o) Failed to disclose to the buyer of real property, in
corporate broker licensee, failed to exercise reasonable a transaction in which the licensee is an agent for the
supervision and control of the activities of the buyer, the nature and extent of a licensee's direct or
corporation for which a real estate license is required. indirect ownership interest in that real property. The

30 BUSINESS AND PROFESSIONS CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

direct or indirect ownership interest in the property by possibly a threat to the continued usefulness of the
a person related to the licensee by blood or marriage, most successful tool of the computer age.
by an entity in which the licensee has an ownership
interest, or by any other person with whom the (c) Complaints from irate business and home
licensee has a special relationship shall be disclosed to computer users regarding spam have skyrocketed, and
the buyer. polls have reported that 74 percent of respondents
favor making mass spamming illegal and only 12
(p) Violated Article 6 (commencing with Section percent are opposed, and that 80 percent of
10237). respondents consider spam very annoying.

(q) Violated or failed to comply with Chapter 2 (d) According to Ferris Research Inc., a San Francisco
(commencing with Section 2920) of Title 14 of Part 4 of consulting group, spam will cost United States
Division 3 of the Civil Code, relating to mortgages. organizations more than ten billion dollars
($10,000,000,000) this year, including lost productivity
If a real estate broker that is a corporation has not done and the additional equipment, software, and
any of the foregoing acts, either directly or through its manpower needed to combat the problem. California
employees, agents, officers, directors, or persons is 12 percent of the United States population with an
owning or controlling 10 percent or more of the emphasis on technology business, and it is therefore
corporation's stock, the commissioner may not deny estimated that spam costs California organizations well
the issuance or delay the renewal of a real estate over 1.2 billion dollars ($1,200,000,000).
license to, or suspend or revoke the real estate license
of, the corporation, provided that any offending officer, (e) Like junk faxes, spam imposes a cost on users,
director, or stockholder, who has done any of the using up valuable storage space in e-mail inboxes, as
foregoing acts individually and not on behalf of the well as costly computer band width, and on networks
corporation, has been completely disassociated from and the computer servers that power them, and
any affiliation or ownership in the corporation. A discourages people from using e-mail.
decision by the commissioner to delay the renewal of a
real estate license shall toll the expiration of that (f) Spam filters have not proven effective.
license until the results of any pending disciplinary
actions against that licensee are final or until the (g) Like traditional paper “junk” mail, spam can be
licensee voluntarily surrenders the licensee’s license, annoying and waste time, but it also causes many
whichever is earlier. (Added by Stats. 2011, ch. 717, additional problems because it is easy and inexpensive
operative July 1, 2012. Amended by Stats. 2012, ch. to create, but difficult and costly to eliminate.
181, operative January 1, 2014; Stats. 2016, ch. 800;
(h) The “cost shifting” from deceptive spammers to
Stats. 2017, ch. 561; Stats. 2018, ch. 285; Stats. 2019,
Internet business and e-mail users has been likened to
ch. 143.)
sending junk mail with postage due or making
telemarketing calls to someone’s pay per minute
§ 17529 Unsolicited Commercial E-mail– cellular phone.
Legislative Findings and Declarations
(i) Many spammers have become so adept at
The Legislature hereby finds and declares all of the masking their tracks that they are rarely found, and
following: are so technologically sophisticated that they can
adjust their systems to counter special filters and
(a) Roughly 40 percent of all e-mail traffic in the other barriers against spam and can even
United States is comprised of unsolicited commercial e- electronically commandeer unprotected computers,
mail advertisements (hereafter spam) and industry turning them into spam launching weapons of mass
experts predict that by the end of 2003 half of all e-mail production.
traffic will be comprised of spam.
(j) There is a need to regulate the advertisers who
(b) The increase in spam is not only an annoyance but use spam, as well as the actual spammers, because
is also an increasing drain on corporate budgets and the actual spammers can be difficult to track down
due to some return addresses that show up on the

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display as “unknown” and many others being obvious (e) “Domain name” means any alphanumeric
fakes and they are often located offshore. designation that is registered with or assigned by any
domain name registrar as part of an electronic address
(k) The true beneficiaries of spam are the on the Internet.
advertisers who benefit from the marketing derived
from the advertisements. (f) “Electronic mail” or “e-mail” means an electronic
message that is sent to an e-mail address and
(l) In addition, spam is responsible for virus
transmitted between two or more telecommunications
proliferation that can cause tremendous damage both
devices, computers, or electronic devices capable of
to individual computers and to business systems.
receiving electronic messages, whether or not the
(m) Because of the above problems, it is necessary message is converted to hard copy format after receipt,
that spam be prohibited and that commercial viewed upon transmission, or stored for later retrieval.
advertising e-mails be regulated as set forth in this “Electronic mail” or “e-mail” includes electronic
article. (Added by Stats. 2003, ch. 487.) messages that are transmitted through a local, regional,
or global computer network.

§ 17529.1 Unsolicited Commercial E-mail– (g) “Electronic mail address” or “e-mail address”
Definitions means a destination, commonly expressed as a string of
characters, to which electronic mail can be sent or
For the purpose of this article, the following definitions delivered. An “electronic mail address” or “e-mail
apply: address” consists of a user name or mailbox and a
reference to an Internet domain.
(a) “Advertiser” means a person or entity that
advertises through the use of commercial e-mail (h) “Electronic mail service provider” means any
advertisements. person, including an Internet service provider, that is an
intermediary in sending or receiving electronic mail or
(b) “California electronic mail address” or “California
that provides to end users of the electronic mail service
e-mail address” means any of the following:
the ability to send or receive electronic mail.
(1) An e-mail address furnished by an electronic
(i) “Initiate” means to transmit or cause to be
mail service provider that sends bills for furnishing
transmitted a commercial e-mail advertisement or
and maintaining that e-mail address to a mailing
assist in the transmission of a commercial e-mail
address in this state.
advertisement by providing electronic mail addresses
(2) An e-mail address ordinarily accessed from a where the advertisement may be sent, but does not
computer located in this state. include the routine transmission of the advertisement
through the network or system of a
(3) An e-mail address furnished to a resident of telecommunications utility or an electronic mail service
this state. provider through its network or system.

(c) “Commercial e-mail advertisement” means any (j) “Incident” means a single transmission or delivery
electronic mail message initiated for the purpose of to a single recipient or to multiple recipients of an
advertising or promoting the lease, sale, rental, gift unsolicited commercial e-mail advertisement
offer, or other disposition of any property, goods, containing substantially similar content.
services, or extension of credit.
(k) “Internet” has the meaning set forth in paragraph
(d) “Direct consent” means that the recipient has (6) of subdivision (e) of Section 17538.
expressly consented to receive e-mail advertisements
from the advertiser, either in response to a clear and (l) “Preexisting or current business relationship,” as
conspicuous request for the consent or at the used in connection with the sending of a commercial e-
mail advertisement, means that the recipient has made
recipient’s own initiative.
an inquiry and has provided his or her e-mail address,

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or has made an application, purchase, or transaction, (a) Initiate or advertise in an unsolicited commercial
with or without consideration, regarding products or e-mail advertisement from California or advertise in an
services offered by the advertiser. Commercial e-mail unsolicited commercial e-mail advertisement sent from
advertisements sent pursuant to the exemption California.
provided for a preexisting or current business
relationship shall provide the recipient of the (b) Initiate or advertise in an unsolicited commercial
commercial e-mail advertisement with the ability to e-mail advertisement to a California electronic mail
“opt out” from receiving further commercial e-mail address, or advertise in an unsolicited commercial e-
advertisements by calling a toll free telephone number mail advertisement sent to a California electronic mail
or by sending an “unsubscribe” e-mail to the advertiser address.
offering the products or services in the commercial e-
mail advertisement. This opt out provision does not (c) The provisions of this section are severable. If any
apply to recipients who are receiving free e-mail service provision of this section or its application is held invalid,
with regard to commercial e-mail advertisements sent that invalidity shall not affect any other provision or
by the provider of the e-mail service. application that can be given effect without the invalid
provision or application. (Added by Stats. 2003, ch.
(m) “Recipient” means the addressee of an unsolicited 487.)
commercial e-mail advertisement. If an addressee of an
unsolicited commercial e-mail advertisement has one or
§ 17529.3 Unsolicited Commercial E-mail–
more e-mail addresses to which an unsolicited
commercial e-mail advertisement is sent, the addressee Internet Service Provider Policy
shall be deemed to be a separate recipient for each e-
Nothing in this article shall be construed to limit or
mail address to which the e-mail advertisement is sent.
restrict the adoption, implementation, or enforcement
(n) “Routine transmission” means the transmission, by a provider of Internet access service of a policy of
routing, relaying, handling, or storing of an electronic declining to transmit, receive, route, relay, handle, or
mail message through an automatic technical process. store certain types of electronic mail messages. (Added
“Routine transmission” shall not include the sending, or by Stats. 2003, ch. 487.)
the knowing participation in the sending, of unsolicited
commercial e-mail advertisements. § 17529.4 Unlawful Collection of E-mail Addresses
(o) “Unsolicited commercial e-mail advertisement” (a) It is unlawful for any person or entity to collect
means a commercial e-mail advertisement sent to a electronic mail addresses posted on the Internet if the
recipient who meets both of the following criteria: purpose of the collection is for the electronic mail
addresses to be used to do either of the following:
(1) The recipient has not provided direct
consent to receive advertisements from the (1) Initiate or advertise in an unsolicited
advertiser. commercial e-mail advertisement from California,
or advertise in an unsolicited commercial e-mail
(2) The recipient does not have a preexisting or
advertisement sent from California.
current business relationship, as defined in
subdivision (l), with the advertiser promoting the (2) Initiate or advertise in an unsolicited
lease, sale, rental, gift offer, or other disposition commercial e-mail advertisement to a California
of any property, goods, services, or extension of electronic mail address, or advertise in an
credit. (Added by Stats. 2003, ch. 487. Amended unsolicited commercial e-mail advertisement sent
by Stats. 2004, ch. 183.) to California electronic mail address.

(b) It is unlawful for any person or entity to use an

§ 17529.2 Unsolicited Commercial E-mail–
electronic mail address obtained by using automated
Restrictions means based on a combination of names, letters, or
numbers to do either of the following:
Notwithstanding any other provision of law, a person or
entity may not do any of the following:

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(1) Initiate or advertise in an unsolicited (b) (1) (A) In addition to any other remedies
commercial e-mail advertisement from California, provided by any other provision of law, the
or advertise in an unsolicited commercial e-mail following may bring an action against a
advertisement sent from California. person or entity that violates any provision
of this section:
(2) Initiate or advertise in an unsolicited
commercial e-mail advertisement to a California (i) The Attorney General.
electronic mail address, or advertise in an
unsolicited commercial e-mail advertisement sent (ii) An electronic mail service provider.
to a California electronic mail address.
(iii) A recipient of an unsolicited
(c) It is unlawful for any person to use scripts or other commercial e-mail advertisement, as
automated means to register for multiple electronic defined in Section 17529.1.
mail accounts from which to do, or to enable another
person to do, either of the following: (B) A person or entity bringing an action
pursuant to subparagraph (A) may recover
(1) Initiate or advertise in an unsolicited either or both of the following:
commercial e-mail advertisement from California,
or advertise in an unsolicited commercial e-mail (i) Actual damages.
advertisement sent from California.
(ii) Liquidated damages of one
(2) Initiate or advertise in an unsolicited thousand dollars ($1,000) for each
commercial e-mail advertisement to a California unsolicited commercial e-mail
electronic mail address, or advertise in an advertisement transmitted in violation
unsolicited commercial e-mail advertisement sent of this section, up to one million dollars
to a California electronic mail address. (Added by ($1,000,000) per incident.
Stats. 2003, ch. 487.)
(C) The recipient, an electronic mail service
provider, or the Attorney General, if the
§ 17529.5 Commercial E-mail Containing Falsified prevailing plaintiff, may also recover
or Misleading Information reasonable attorney’s fees and costs.

(a) It is unlawful for any person or entity to advertise (D) However, there shall not be a cause of
in a commercial e-mail advertisement either sent from action under this section against an electronic
California or sent to a California electronic mail address mail service provider that is only involved in
under any of the following circumstances: the routine transmission of the e-mail
advertisement over its computer network.
(1) The e-mail advertisement contains or is
accompanied by a third-party’s domain name (2) If the court finds that the defendant
without the permission of the third party. established and implemented, with due care,
practices and procedures reasonably designed to
(2) The e-mail advertisement contains or is effectively prevent unsolicited commercial e-mail
accompanied by falsified, misrepresented, or advertisements that are in violation of this section,
forged header information. This paragraph does the court shall reduce the liquidated damages
not apply to truthful information used by a third recoverable under paragraph (1) to a maximum of
party who has been lawfully authorized by the one hundred dollars ($100) for each unsolicited
advertiser to use that information. commercial e-mail advertisement, or a maximum of
one hundred thousand dollars ($100,000) per
(3) The e-mail advertisement has a subject line incident.
that a person knows would be likely to mislead a
recipient, acting reasonably under the (3) (A) A person who has brought an action
circumstances, about a material fact regarding the against a party under this section shall not
contents or subject matter of the message. bring an action against that party under
Section 17529.8 or 17538.45 for the same

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commercial e-mail advertisement, as unsolicited commercial e-mail advertisements that are

defined in subdivision of Section 17529.1. in violation of this article, the court shall reduce the
liquidated damages recoverable under subdivision (a)
(B) A person who has brought an action to a maximum of one hundred dollars ($100) for each
against a party under Section 17529.8 or unsolicited commercial e-mail advertisement, or a
17538.45 shall not bring an action against maximum of one hundred thousand dollars ($100,000)
that party under this section for the same per incident. (Added by Stats. 2003, ch. 487.)
commercial e-mail advertisement, as defined
in subdivision (c) of Section 17529.1.
§ 17529.9 Unsolicited Commercial E-mail–
(c) A violation of this section is a misdemeanor, Severable Provisions
punishable by a fine of not more than one thousand
dollars ($1,000), imprisonment in a county jail for not The provisions of this article are severable. If any
more than six months, or both that fine and provision of this article or its application is held
imprisonment. (Added by Stats. 2003, ch. 487. invalid, that invalidity shall not affect any other
Amended by Stats. 2004, ch. 571; Stats. 2005, ch. 247.) provision or application that can be given effect
without the invalid provision or application. (Added
by Stats. 2003, ch. 487.)
§ 17529.8 Unsolicited Commercial E-mail–
Remedies
§ 17538.41 Advertisement Transmitted by Text
(a) (1) In addition to any other remedies provided Message
by this article or by any other provisions of law, a
recipient of an unsolicited commercial e-mail (a) (1) Except as provided in subdivision (b), (c), (d),
advertisement transmitted in violation of this or (e), no person, entity conducting business,
article, an electronic mail service provider, or the candidate, or political committee in this state shall
Attorney General may bring an action against an transmit, or cause to be transmitted, a text
entity that violates any provision of this article to message advertisement to a mobile telephony
recover either or both of the following: services handset, pager, or two way messaging
device that is equipped with short message
(A) Actual damages. capability or any similar capability allowing the
transmission of text messages. A text message
(B) Liquidated damages of one thousand advertisement is a message, the principal purpose
dollars ($1,000) for each unsolicited of which is to promote the sale of goods or
commercial e-mail advertisement services, or to promote a political purpose or
transmitted in violation of Section 17529.2, objective, to the recipient, and consisting of
up to one million dollars ($1,000,000) per advertising material for the lease, sale, rental, gift
incident. offer, or other disposition of any realty, goods,
services, or extension of credit, or advertising
(2) The recipient, an electronic mail service
material for political purposes.
provider, or the Attorney General, if the prevailing
plaintiff, may also recover reasonable attorney’s (2) This section shall apply when a text message
fees and costs. advertisement is transmitted to a number assigned
for mobile telephony service, pager service, or two
(3) However, there shall not be a cause of action
way messaging service to a California resident.
against an electronic mail service provider that is
only involved in the routine transmission of the (b) This section shall not apply to text messages
unsolicited commercial e-mail advertisement over transmitted at the direction of a person or entity offering
its computer network. mobile telephony service, pager service, or two way
messaging service if the subscriber is offered an option
(b) If the court finds that the defendant established
to not receive those text messages.
and implemented, with due care, practices and
procedures reasonably designed to effectively prevent

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(c) This section shall not apply to text messages (B) Transcribe text or images, or both, from
transmitted by a business, candidate, or political an electronic signal received over a regular
committee that has an existing relationship with the telephone line onto paper.
subscriber if the subscriber is offered an option not to
receive text messages from that business, candidate, or (2) “Unsolicited advertisement” means any
political committee. material advertising the commercial availability or
quality of any property, goods, or services that is
(d) This section shall not apply to text messages transmitted to any person or entity without that
transmitted by an affiliate of a business that has an person’s or entity’s prior express invitation or
existing relationship with the subscriber, but only if the permission. Prior express invitation or permission
subscriber has provided consent to the business with may be obtained for a specific or unlimited
which he or she has that relationship to receive text number of advertisements and may be obtained
messages from affiliates of that business. “Affiliate” for a specific or unlimited period of time.
means any company that controls, is controlled by, or is
under common control with, another company. (b) (1) It is unlawful for a person or entity, if either
the person or entity or the recipient is located
(e) This section shall not apply to electronic mail within California, to use any telephone
messages that are forwarded, without the knowledge of facsimile machine, computer, or other device
the sender, to a mobile telephony services handset, to send, or cause another person or entity to use
pager, or two way messaging device. such a device to send, an unsolicited
advertisement to a telephone facsimile machine.
(f) Subdivision (a) shall not impose an obligation on a
person or entity offering mobile telephony service, pager (2) In addition to any other remedy provided by
service, or two way messaging service to control the law, including a remedy provided by the Telephone
transmission of a text message unless the message is Consumer Act (47 U.S.C. Sec. 227 and following), a
transmitted at the direction of that person or entity. person or entity may bring an action for a
violation of this subdivision seeking the following
(g) For purposes of this section, “mobile telephony relief:
service” means commercially available interconnected
mobile phone services that provide access to the public (A) Injunctive relief against further
switched telephone network (PSTN) via mobile violations.
communication devices employing radiowave
(B) Actual damages or statutory damages
technology to transmit calls, including cellular
of five hundred dollars ($500) per violation,
radiotelephone, broadband Personal Communications
whichever amount is greater.
Services (PCS), and digital Specialized Mobile Radio
(SMR). (Added by Stats. 2002, ch. 699. Amended by (C) Both injunctive relief and damages as
Stats. 2005, ch. 711.) set forth in subparagraphs (A) and (B). If the
court finds that the defendant willfully or
knowingly violated this subdivision, the court
§ 17538.43 Unsolicited Advertisement Transmitted may, in its discretion, increase the amount of
by Telephone Facsimile Machine the award to an amount equal to not more
than three times the amount otherwise
(a) As used in this section, the following terms have
available under subparagraph (B).
the following meanings:
(c) It is unlawful for a person or entity, if either the
(1) “Telephone facsimile machine” means
person or entity or the recipient is located in California,
equipment that has the capacity to do either or
to do either of the following:
both of the following:
(1) Initiate any communication using a
(A) Transcribe text or images, or both, from
telephone facsimile machine that does not clearly
paper into an electronic signal and to
mark, in a margin at the top or bottom of each
transmit that signal over a regular telephone
transmitted page or on the first page of each
line.

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transmission, the date and time sent, an (2) “Unsolicited electronic mail advertisement”
identification of the business, other entity, or means any electronic mail advertisement that
individual sending the message, and the meets both of the following requirements:
telephone number of the sending machine or of
the business, other entity, or individual. (A) It is addressed to a recipient with
whom the initiator does not have an existing
(2) Use a computer or other electronic device to business or personal relationship.
send any message via a telephone facsimile
machine unless it is clearly marked, in a margin at (B) It is not sent at the request of or with
the top or bottom of each transmitted page of the the express consent of the recipient.
message or on the first page of the transmission,
the date and time it is sent and the identification of (3) “Electronic mail service provider” means any
the business, other entity, or individual sending the business or organization qualified to do business
message and the telephone number of the sending in California that provides registered users the
machine or of the business, other entity, or ability to send or receive electronic mail through
individual. equipment located in this state and that is an
intermediary in sending or receiving electronic
(d) This section shall not apply to a facsimile sent by mail.
or on behalf of a professional or trade association that
is a tax-exempt nonprofit organization and in (4) “Initiation” of an unsolicited electronic mail
furtherance of the association’s tax-exempt purpose to advertisement refers to the action by the initial
a member of the association, provided that all of the sender of the electronic mail advertisement. It
following conditions are met: does not refer to the actions of any intervening
electronic mail service provider that may handle
(1) The member voluntarily provided the or retransmit the electronic message.
association the facsimile number to which the
facsimile was sent. (5) “Registered user” means any individual,
corporation, or other entity that maintains an
(2) The facsimile is not primarily for the purpose electronic mail address with an electronic mail
of advertising the commercial availability or service provider.
quality of any property, goods, or services of one
or more third parties. (b) No registered user of an electronic mail service
provider shall use or cause to be used that electronic
(3) The member who is sent the facsimile has mail service provider’s equipment located in this state
not requested that the association stop sending in violation of that electronic mail service provider’s
facsimiles for the purpose of advertising the policy prohibiting or restricting the use of its service or
commercial availability or quality of any property, equipment for the initiation of unsolicited electronic
goods, or services of one or more third parties. mail advertisements.
(Added by Stats. 2005, ch. 667.)
(c) No individual, corporation, or other entity shall
use or cause to be used, by initiating an unsolicited
§ 17538.45 Electronic Mail Advertisement– electronic mail advertisement, an electronic mail
Definitions service provider’s equipment located in this state in
violation of that electronic mail service provider’s policy
(a) For purposes of this section, the following words prohibiting or restricting the use of its equipment to
have the following meanings: deliver unsolicited electronic mail advertisements to its
registered users.
(1) “Electronic mail advertisement” means any
electronic mail message, the principal purpose of (d) An electronic mail service provider shall not be
which is to promote, directly or indirectly, the sale required to create a policy prohibiting or restricting the
or other distribution of goods or services to the use of its equipment for the initiation or delivery of
recipient. unsolicited electronic mail advertisements.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(e) Nothing in this section shall be construed to limit believes that, in a given case at some future
or restrict the rights of an electronic mail service date, a showing that notice was supplied via
provider under Section 230(c)(1) of Title 47 of the electronic means between the sending and
United States Code, any decision of an electronic mail receiving computers could be held to
service provider to permit or to restrict access to or use constitute actual notice to the sender for
of its system, or any exercise of its editorial function. purposes of this paragraph.

(f) (1) In addition to any other action available (4) (A) An electronic mail service provider
under law, any electronic mail service provider who has brought an action against a party
whose policy on unsolicited electronic mail for a violation under Section 17529.8 shall
advertisements is violated as provided in this not bring an action against that party under
section may bring a civil action to recover the this section for the same unsolicited
actual monetary loss suffered by that provider by commercial electronic mail advertisement.
reason of that violation, or liquidated damages of
fifty dollars ($50) for each electronic mail message (B) An electronic mail service provider
initiated or delivered in violation of this section, who has brought an action against a party
up to a maximum of twenty-five thousand dollars for a violation of this section shall not bring
($25,000) per day, whichever amount is greater. an action against that party under Section
17529.8 for the same unsolicited commercial
(2) In any action brought pursuant to paragraph electronic mail advertisement. (Added by
(1), the court may award reasonable attorney’s Stats. 1998, ch. 863. Amended by Stats.
fees to a prevailing party. 2003, ch. 487; Stats. 2004, ch. 183.)

(3) (A) In any action brought pursuant to

paragraph (1), the electronic mail service § 22440 Engaging in the Business or Acting in the
provider shall be required to establish as an Capacity of an Immigration Consultant
element of its cause of action that prior to
the alleged violation, the defendant had It is unlawful for any person, for compensation, other
actual notice of both of the following: than persons authorized to practice law or authorized
by federal law to represent persons before the Board of
(i) The electronic mail service Immigration Appeals or the United States Citizenship
provider’s policy on unsolicited and Immigration Services, to engage in the business or
electronic mail advertising. act in the capacity of an immigration consultant within
this state except as provided by this chapter. (Added by
(ii) The fact that the defendant’s Stats. 1986, ch. 248. Amended by Stats. 2004, ch. 557.)
unsolicited electronic mail
advertisements would use or cause to
be used the electronic mail service § 22441 Immigration Consultants; Definitions
provider’s equipment located in this
state. (a) A person engages in the business or acts in the
capacity of an immigration consultant when that
(B) In this regard, the Legislature finds that person gives nonlegal assistance or advice on an
with rapid advances in Internet technology, immigration matter. That assistance or advice includes,
and electronic mail technology in particular, but is not limited to, the following:
Internet service providers are already
experimenting with embedding policy (1) Completing a form provided by a federal or
statements directly into the software state agency but not advising a person as to their
running on the computers used to provide answers on those forms.
electronic mail services in a manner that
(2) Translating a person’s answers to questions
displays the policy statements every time an
posed in those forms.
electronic mail delivery is requested. While
the state of the technology does not support
this finding at present, the Legislature

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(3) Securing for a person supporting documents, applicable to notaries public appointed and
such as birth certificates, which may be necessary commissioned pursuant to Chapter 3
to complete those forms. (commencing with Section 8200) of Division 1 of
Title 2 of the Government Code.
(4) Submitting completed forms on a person’s
behalf and at their request to the United States (3) Failure to disclose any arrest or conviction in
Citizenship and Immigration Services. the disclosure form required pursuant to
subdivision (c) of Section 22443.1.
(5) Making referrals to persons who could
undertake legal representation activities for a (c) The Secretary of State shall complete a
person in an immigration matter. background check on every person engaged in the
business or acting in the capacity of an immigration
(b) “Immigration matter” means any proceeding, consultant who was bonded and qualified pursuant to
filing, or action affecting the immigration or citizenship this chapter on or before December 31, 2006.
status of any person which arises under immigration
and naturalization law, executive order or presidential (d) The Secretary of State shall not file a bond,
proclamation, or action of the United States Citizenship disclosure form, or photograph from a person who has
and Immigration Services, the United States failed to pass the background check required by this
Department of State, or the United States Department section. (Added by Stats. 2006, ch. 605.)
of Labor.

(c) “Compensation” means money, property, or § 22442 Immigration Consultants–Written

anything else of value. Contract; Requisite Provisions

(d) Every person engaged in the business or acting in (a) Every person engaged in the business or acting in
the capacity of an immigration consultant shall only the capacity of, an immigration consultant who enters
offer nonlegal assistance or advice in an immigration into a contract or agreement with a client to provide
matter as defined in subdivision (a). Any act in services shall, prior to providing any services, provide
violation of subdivision (a) is a violation of this chapter. the client with a written contract, the contents of which
(Added by Stats. 1986, ch. 248. Amended by Stats. 1987, shall be prescribed by the Department of Consumer
ch. 484; Stats. 2004, ch. 557.) Affairs in regulations.

(b) The written contract shall include all provisions

§ 22441.1 Immigration Consultants–Requirement relating to the following:
for Background Check
(1) The services to be performed. Each service
(a) A person engaged in the business or acting in to be performed shall be itemized with an
the capacity of an immigration consultant shall explanation of the purpose and process of each
satisfactorily pass a background check conducted by service.
the Secretary of State.
(2) The cost of each itemized service to be
(b) The Secretary of State shall disqualify an individual performed.
from acting as an immigration consultant for any of the
following reasons: (3) There shall be printed on the face of the
contract in 10-point boldface type a statement
(1) Conviction of a felony. that the immigration consultant is not an attorney
and may not perform the legal services that an
(2) Conviction of a disqualifying misdemeanor attorney performs.
where not more than 10 years have passed since
the completion of probation. A conviction after a (4) The written contract shall list the documents
plea of nolo contendere is deemed to be a to be prepared by the immigration consultant,
conviction within the meaning of this paragraph. shall explain the purpose and process of each
The list of disqualifying misdemeanors shall be the document, and shall list the cost for preparing
same as the disqualifying misdemeanors each document.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(5) The written contract shall state the purpose (h) Except if required pursuant to subparagraph (B) of
for which the immigration consultant has been paragraph (2) of subdivision (c) of Section 22442.6, this
hired and the actions to be taken by the section does not apply to employees of nonprofit, tax-
immigration consultant regarding each document, exempt corporations who help clients complete
including the agency and office where each application forms in an immigration matter free of
document will be filed and the approximate charge or for a nominal fee, including reasonable costs,
processing times according to current published consistent with that authorized by the Board of
agency guidelines. Immigration Appeals under Section 292.2 of Title 8 of
the Code of Federal Regulations. (Added by Stats.
(6) The written contract shall include a provision
that informs the client that he or she may report 1986, ch. 248. Amended by Stats. 1987, ch. 484; Stats.
complaints relating to immigration consultants to 2003, ch. 384; Stats. 2004, ch. 557; Stats. 2006, ch. 605;
the Executive Office for Immigration Review of the Stats. 2013, ch. 574.)
United States Department of Justice. The written
contract shall also include a provision stating that
§ 22442.1 Immigration Consultants–Required
complaints concerning the unauthorized practice
of law may be reported to the State Bar of
Receipts and Accounting
California. These required provisions shall include
(a) A person engaged in the business or acting in the
the toll-free telephone numbers and Internet Web
capacity of an immigration consultant shall provide a
sites of those entities.
signed receipt to a client for each payment made by
(c) An immigration consultant shall not include that client. The receipt shall be typed or computer
provisions in the written contract relating to either of generated on the consultant’s letterhead.
the following:
(b) A statement of accounting for the services
(1) Any guarantee or promise, unless the rendered and payments made shall be provided to the
immigration consultant has some basis in fact for client every two months, shall be typed or computer
making the guarantee or promise. generated on the immigration consultant’s letterhead,
and shall display the individual charges and total
(2) Any statement that the immigration charges for services and the client’s payments
consultant can or will obtain special favors from or offsetting those charges. The consultant shall provide
has special influence with the United States the client a written translation of the statement in the
Citizenship and Immigration Services, or any other client’s native language. (Added by Stats. 2003, ch.
governmental agency, employee, or official, that 384.)
may have a bearing on a client’s immigration
matter.
§ 22442.2 Immigration Consultants–Posted
(d) The provisions of the written contract shall be Notice; Advertisement Notice; Required
stated both in English and in the client’s native Information; Written Disclosure
language.
(a) An immigration consultant shall conspicuously
(e) A written contract is void if it is not written display in his or her office a notice that shall be at least
pursuant to subdivision (d). 12 by 20 inches with boldface type or print with each
character at least one inch in height and width in
(f) The client shall have the right to rescind the English and in the native language of the immigration
contract within 72 hours of signing the contract. The consultant’s clientele, that contains the following
contents of this subdivision shall be conspicuously set information:
forth in the written contract in both English and the
client’s native language. (1) The full name, address, and evidence of
compliance with any applicable bonding
(g) An immigration consultant shall not make the requirement including the bond number, if any.
statements described in subdivision (c) orally to a
client.

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(2) A statement that the immigration consultant Immigration Appeals or the United States
is not an attorney. Citizenship and Immigration Services.

(3) The services that the immigration consultant (3) Notwithstanding paragraph (1), a person
provides and the current and total fee for each who is not an active member of the State Bar of
service. California, but is an attorney licensed in another
state or territory of the United States and is
(4) The name of each immigration consultant admitted to practice before the Board of
employed at each location. Immigration Appeals or the United States
Citizenship and Immigration Services, shall include
(b) Prior to providing any services, an immigration in any advertisement for immigration services a
consultant shall provide the client with a written clear and conspicuous statement that he or she is
disclosure in the native language of the client that shall not an attorney licensed to practice law in
include the following information: California but is an attorney licensed in another
state or territory of the United States and is
(1) The immigration consultant’s name, address,
authorized by federal law to represent persons
and telephone number.
before the Board of Immigration Appeals or the
(2) The immigration consultant’s agent for United States Citizenship and Immigration
service of process. Services.

(3) The legal name of the employee who (4) If an advertisement subject to this
consulted with the client, if different from the subdivision is in a language other than English, the
immigration consultant. statement required by this subdivision shall be in
the same language as the advertisement. (Added
(4) Evidence of compliance with any applicable by Stats. 1994, ch. 561. Amended by Stats. 2000,
bonding requirement, including the bond number, ch. 674; Stats. 2003, ch. 384; Stats. 2004, ch. 557.)
if any.

(c) (1) Except as provided in paragraph (2) or (3), an § 22442.3 Immigration Consultants–Translation of
immigration consultant who prints, displays, Specified Phrases; Bonding Requirements; Remedies
publishes, distributes, or broadcasts, or who and Penalties
causes to be printed, displayed, published,
distributed, or broadcasted, any advertisement (a) An immigration consultant shall not, with the
for services as an immigration consultant, within intent to mislead, literally translate, from English into
the meaning of Section 22441, shall include in another language, any words or titles, including, but
that advertisement a clear and conspicuous not limited to, “notary public,” “notary,” “licensed,”
statement that the immigration consultant is not “attorney,” or “lawyer,” that imply that the person is an
an attorney. attorney, in any document, including an advertisement,
stationery, letterhead, business card, or other
(2) Notwithstanding paragraph (1), a person comparable written material describing the
engaging in the business or acting in the capacity immigration consultant. As provided in this subdivision,
of an immigration consultant who is not licensed the literal translation of the phrase “notary public” into
as an attorney in any state or territory of the Spanish as “notario publico” or “notario,” is expressly
United States, but is authorized by federal law to prohibited.
represent persons before the Board of
Immigration Appeals or the United States (b) For purposes of this section, “literal translation of”
Citizenship and Immigration Services, shall include or “to literally translate” a word, title, or phrase from
in any advertisement for services as an one language means the translation of a word, title, or
immigration consultant a clear and conspicuous phrase without regard to the true meaning of the word
statement that the immigration consultant is not or phrase in the language that is being translated.
an attorney but is authorized by federal law to
represent persons before the Board of (c) An immigration consultant may not make or
authorize the making of any verbal or written

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

references to his or her compliance with the bonding Stats. 1994, ch. 561. Amended by Stats. 2013, ch.
requirements of Section 22443.1 except as provided in 574.)
this chapter.

(d) A violation of subdivision (a) or (c) by an § 22442.4 Immigration Consultants–Provision of

immigration consultant shall constitute a violation of Fingerprint Images and Other Information to
subdivision (a) of Section 6126. Department of Justice
(e) (1) In addition to the remedies and penalties (a) A person engaged in the business or acting in the
prescribed in this chapter, a person who violates capacity of an immigration consultant shall submit to
this section shall be subject to a civil penalty not the Department of Justice, fingerprint images and
to exceed one thousand dollars ($1,000) per day related information required by the Department of
for each violation, to be assessed and collected in Justice for the purpose of obtaining information as to
a civil action brought by any person injured by the the existence and content of a record of state and
violation or in a civil action brought in the name of federal convictions and arrests and information as to
the people of the State of California by the the existence and content of a record of state and
Attorney General, a district attorney, or a city federal arrests for which the Department of Justice
attorney. establishes that the person is free on bail, or on his or
her recognizance, pending trial or appeal. An
(2) In assessing the amount of the civil penalty, immigration consultant who has been issued a bond as
the court may consider relevant circumstances described in Section 22443.1 on or before December
presented by the parties to the case, including, 31, 2006, shall submit the fingerprint images and
but not limited to, the following: related information to the Department of Justice on or
before July 1, 2007.
(A) The nature and severity of the
misconduct. (b) The Department of Justice shall forward the
fingerprint images and related information received
(B) The number of violations.
pursuant to subdivision (a) to the Federal Bureau of
(C) The length of time over which the Investigation and request a federal summary of criminal
misconduct occurred, and the persistence of information.
the misconduct.
(c) The Department of Justice shall review the
(D) The willfulness of the misconduct. information returned from the Federal Bureau of
Investigation and compile and disseminate a response
(E) The defendant’s assets, liabilities, and to the Secretary of State pursuant to paragraph (1) of
net worth. subdivision (p) of Section 11105 of the Penal Code.

(3) If the Attorney General brings the action, (d) The Secretary of State shall request from the
one-half of the civil penalty collected shall be paid Department of Justice subsequent arrest notification
to the treasurer of the county in which the service, pursuant to Section 11105.2 of the Penal Code,
judgment was entered, and one-half to the for each person who submitted information pursuant
General Fund. If a district attorney brings the to subdivision (a).
action, the civil penalty collected shall be paid to
the treasurer of the county in which the judgment (e) The Department of Justice shall charge a fee
was entered. If a city attorney brings the action, sufficient to cover the cost of processing the requests
one-half of the civil penalty collected shall be paid described in this section.
to the treasurer of the city in which the judgment
(f) The Secretary of State shall not post on its
was entered, and one-half to the treasurer of the
Internet Web site information received from the
county in which the judgment was entered.
Department of Justice. (Added by Stats. 2006, ch. 605.)
(4) The court shall grant a prevailing plaintiff
reasonable attorneys’ fees and costs. (Added by

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§ 22442.5 Immigration Consultants–Client Trust those services pursuant to paragraph (2) of

Account for Immigration Reform Act Services subdivision (b) of Section 22442.

(a) An immigration consultant who provides (2) After completing one or more of the
immigration reform act services shall establish and documents listed, and only in the amounts listed,
deposit into a client trust account any funds received pursuant to paragraph (4) of subdivision (b) of
from a client prior to performing those services for that Section 22442. (Added by Stats. 2013, ch. 574.
client. Amended by Stats. 2015, ch. 6, effective June 17,
2015.)
(b) For purposes of this section, the following
definitions apply:
§ 22442.6 Immigration Consultants–Immigration
(1) “Immigration reform act” means either of Reform Act Services; Refunding of Advance
the following: Payment; Statement of Accounting
(A) Any pending or future act of Congress (a) It is unlawful for an immigration consultant to
that is enacted after October 5, 2013, that demand or accept the advance payment of any funds
authorizes an undocumented immigrant who from a person for immigration reform act services in
either entered the United States without connection with any of the following:
inspection or who did not depart after the
expiration of a nonimmigrant visa, to attain a (1) An immigration reform act as defined in
lawful status under federal law. The State subparagraph (A) of paragraph (1) of subdivision
Bar shall announce and post on its Internet (b) of Section 22442.5, before the enactment of
Web site when an immigration reform act that act.
has been enacted.
(2) (A) Requests for expanded Deferred Action
(B) The President’s executive actions on for Childhood Arrivals (DACA) under an
immigration announced on November 20, immigration reform act as defined in
2014, or any future executive action or order subparagraph (B) of paragraph (1) of
that authorizes an undocumented immigrant subdivision (b) of Section 22442.5, before
who either entered the United States the date the United States Citizenship and
without inspection or who did not depart Immigration Services begins accepting those
requests.
after the expiration of a nonimmigrant visa
to attain a lawful status under federal law. (B) Requests for Deferred Action for
The State Bar shall announce and post on its Parents of Americans and Lawful Permanent
Internet Web site when an executive action Residents (DAPA) under an immigration
or order has been issued. reform act as defined in subparagraph (B) of
paragraph (1) of subdivision (b) of Section
(2) “Immigration reform act services” means
22442.5, before the date the United States
services described in Section 22441 that are Citizenship and Immigration Services begins
provided in connection with an immigration accepting those requests.
reform act.
(C) Requests for Expanded Provisional
(c) The immigration consultant providing immigration Waivers of Unlawful Presence under an
reform act services for the client may withdraw funds immigration reform act as defined in
received from that client only in compliance with either subparagraph (B) of paragraph (1) of
of the following: subdivision (b) of Section 22442.5, before
the issuance and effective date of new
(1) After completing one or more of the guidelines and regulations for those
itemized services described in paragraph (1) of provisional waivers.
subdivision (b) of Section 22442, and only in the
amount identified as the cost of that service or

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(D) Any relief offered under any executive this section, it is unlawful for an immigration
action announced or executive order issued, consultant to demand or accept the advance
on or after the effective date of the act payment of any funds from a person for
adding this subparagraph, that authorizes an immigration reform act services before the
undocumented immigrant who either enactment or implementation of an
entered the United States without inspection immigration reform act.
or who did not depart after the expiration of
a nonimmigrant visa to attain a lawful status (d) (1) In addition to the remedies and penalties
under federal law, before the executive prescribed in this chapter, a person who violates
action or order has been implemented and this section shall be subject to a civil penalty not
the relief is available. to exceed one thousand dollars ($1,000) per day
for each violation, to be assessed and collected in
(b) Any advance payment of funds for immigration a civil action brought by any person injured by the
reform act services that was received after October 5, violation or in a civil action brought in the name of
2013, but before the enactment or implementation of the people of the State of California by the
the immigration reform act for which the services were Attorney General, a district attorney, or a city
sought, shall be refunded to the client promptly, but no attorney.
later than 30 days after the receipt of the funds.
(2) In assessing the amount of the civil penalty,
(c) (1) If an immigration consultant providing the court may consider relevant circumstances
immigration reform act services accepted funds presented by the parties to the case, including,
prior to the effective date of this amendment to but not limited to, the following:
this section, and the services provided in
connection with payment of those funds were (A) The nature and severity of the
rendered, the consultant shall promptly, but no misconduct.
later than 30 days after the effective date of this
amendment to this section, provide the client (B) The number of violations.
with a statement of accounting describing the
(C) The length of time over which the
services rendered.
misconduct occurred, and the persistence of
(2) (A) Any funds received before the effective the misconduct.
date of this amendment to this section for
(D) The willfulness of the misconduct.
which immigration reform act services were
not rendered prior to the effective date of (E) The defendant’s assets, liabilities, and
this amendment to this section shall either net worth.
be refunded to the client or shall be
deposited in a client trust account pursuant (3) If the Attorney General brings the action,
to Section 22442.5. one-half of the civil penalty collected shall be paid
to the treasurer of the county in which the
(B) If an immigration consultant deposits judgment was entered, and one-half to the
funds in a client trust account pursuant to General Fund. If a district attorney brings the
this paragraph, he or she shall comply with action, the civil penalty collected shall be paid to
all applicable provisions of this chapter, the treasurer of the county in which the judgment
including Section 22442, and shall provide to was entered. If a city attorney brings the action,
the client a written notice, in both English one-half of the civil penalty collected shall be paid
and in the client’s native language, that there to the treasurer of the city in which the judgment
are no benefits or relief available, that no was entered, and one-half to the treasurer of the
application for such benefits or relief may be county in which the judgment was entered.
processed until enactment or
implementation of an immigration reform (e) The court shall grant a prevailing plaintiff
act and the related necessary federal reasonable attorneys’ fees and costs. (Added by Stats.
regulations and forms, and that commencing 2013, ch. 574. Amended by Stats. 2015, ch. 6, effective
with the effective date of this amendment to June 17, 2015.)

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§ 22443 Immigration Consultants–Forms and (2) The bond may be terminated pursuant to
Documents; Client Copies; Retention Section 995.440 of, and Article 13 (commencing
with Section 996.310) of Chapter 2 of Title 14 of
(a) A person engaged in the business or acting in the Part 2 of, the Code of Civil Procedure.
capacity of an immigration consultant shall deliver to a
client a copy of each document or form completed on (b) The bond required by this section shall be in favor
behalf of the client. Each document and form delivered of, and payable to, the people of the State of California
must include the name and address of the immigration and shall be for the benefit of any person damaged by
consultant. any fraud, misstatement, misrepresentation, unlawful
act or omission, or failure to provide the services of the
(b) (1) A person engaged in the business or acting in immigration consultant or the agents, representatives, or
the capacity of an immigration consultant shall employees of the immigration consultant while acting
retain copies of all documents and forms of a within the scope of that employment or agency.
client for not less than three years from the date
of the last service to the client. (c) An immigration consultant who is required to file a
surety bond with the Secretary of State shall also file a
(2) Upon presentation of a written consent disclosure form with the Secretary of State that contains
signed by a client, an immigration consultant shall all of the following information:
provide a copy of the client file to law
enforcement without a warrant or a subpoena. (1) The immigration consultant’s name, date of
birth, residence address, business address,
(c) (1) A person engaged in the business or acting in residence telephone number, and business
the capacity of an immigration consultant shall telephone number.
return to a client all original documents, including,
but not limited to, original birth certificates, rental (2) The name and address of the immigration
agreements, utility bills, employment stubs, consultant’s agent for service of process if one is
Department of Motor Vehicle licenses with dates of required to be or has been appointed.
entry, and passports, that the client has provided
to the consultant in support of the client’s (3) Whether the immigration consultant has ever
application. been convicted of a violation of this chapter or of
Section 6126.
(2) Any original document that does not need to
be submitted to immigration authorities as an (4) Whether the immigration consultant has ever
original document shall be returned by the been arrested or convicted of a crime.
immigration consultant immediately after making
(5) If applicable, the name, business address,
a copy or reproduction thereof. (Added by Stats.
business telephone number, and agent for service
1986, ch. 248. Amended by Stats. 1994, ch. 562;
of process of the corporation or partnership
Stats. 2003, ch. 384.)
employing the immigration consultant.

(d) An immigration consultant shall notify the

§ 22443.1 Immigration Consultants–Bond;
Secretary of State’s office in writing within 30 days when
Requirements; Filing Fee Disclosure; Posting of the surety bond required by this section is renewed, and
Information of any change of name, address, telephone number, or
agent for service of process.
(a) (1) Prior to engaging in the business or acting in
the capacity of an immigration consultant, each (e) The Secretary of State shall post information on its
person shall file with the Secretary of State a bond Internet Web site demonstrating that an immigration
of one hundred thousand dollars ($100,000) consultant is in compliance with the bond required by
executed by a corporate surety admitted to do this section and has satisfactorily passed the background
business in this state and conditioned upon check required under Section 22441.1, and shall also
compliance with this chapter. The total aggregate post a copy of the immigration consultant’s photograph.
liability on the bond shall be limited to one The Secretary of State shall ensure that the information
hundred thousand dollars ($100,000). is current and shall update the information at least every

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

30 days. The Secretary of State shall only post this bonds or who does not satisfactorily pass a
information and photograph on its Internet Web site if background check required by Section 22441.1, and
the person has filed and maintained the bond, filed the shall give notice of the person’s noncompliance or
disclosure form and photograph required to be filed with failure to satisfactorily pass the background check to
the Secretary of State, and passed the background check the Attorney General. Prior to issuing a cease and
required by Section 22441.1. desist order to a person pursuant to this subdivision,
the Secretary of State shall provide the person with
(f) The Secretary of State shall develop the disclosure notice and an opportunity to demonstrate that
form required to file a bond under this section and make grounds do not exist for disqualification.
it available to any immigration consultant filing a bond
pursuant to this section. (b) For orders issued for failure to comply with the
provisions governing the filing and maintenance of
(g) An immigration consultant shall submit all of the bonds, the order shall include a statement that notice
following with the disclosure form: of the person’s noncompliance shall be sent to the
Attorney General. (Added by Stats. 2006, ch. 605.)
(1) A copy of valid and current photo
identification to determine the immigration
consultant’s identity, such as a California driver’s § 22443.3 Immigration Consultants–Bond,
license or identification card, passport, or other Necessity to File with Secretary of State
identification acceptable to the Secretary of State.
It is unlawful for any person to disseminate by any
(2) A photograph of himself or herself with the means any statement indicating directly or by
dimensions and in the style that would be implication that the person engages in the business or
acceptable to the United States Department of acts in the capacity of an immigration consultant, or
State for obtaining a United States passport, as proposes to engage in the business or act in the capacity
instructed by the Secretary of State. of an immigration consultant, unless the person has on
file with the Secretary of State a disclosure statement
(h) The Secretary of State shall charge and collect a and a bond, in the amount of, and subject to the terms
filing fee to cover the cost of filing the bond. described in Section 22443.1, that is maintained
throughout the period covered by the statement, such
(i) The Secretary of State shall enforce the provisions
as, but not limited to, the period of a Yellow Pages
of this chapter that govern the filing and maintenance of
listing. (Added by Stats. 2001, ch. 304. Amended by
bonds.
Stats. 2006, ch. 605.)
(j) This section does not apply to employees of
nonprofit, tax-exempt corporations who help clients
§ 22444 Immigration Consultants–Illegal Acts
complete application forms in an immigration matter
free of charge or for a nominal fee, including reasonable It is unlawful for any person engaged in the business or
costs, consistent with that authorized by the Board of acting in the capacity of an immigration consultant to
Immigration Appeals under Section 292.2 of Title 8 of the do any of the following acts:
Code of Federal Regulations.
(a) Make false or misleading statements to a client
(k) This section shall become operative on July 1, 2014. while providing services to that client.
(Added by Stats. 2013, ch. 574, operative July 1, 2014.)
(b) Make any guarantee or promise to a client, unless
the guarantee or promise is in writing and the
§ 22443.2 Immigration Consultants–Cease and immigration consultant has some basis in fact for
Desist Order for Failure to Maintain Bond or Pass making the guarantee or promise.
Background Check
(c) Make any statement that the immigration
(a) The Secretary of State shall issue a cease and consultant can or will obtain special favors from or has
desist order to a person subject to this chapter’s special influence with the United States Citizenship and
provisions who has failed to comply with the Immigration Services, or any other governmental
provisions governing the filing and maintenance of

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agency, employee, or official, that may have a bearing penalty collected shall be paid to the treasurer of
on a client’s immigration matter. the city in which the judgment was entered, and
one half to the treasurer of the county in which the
(d) Charge a client a fee for referral of the client to judgment was entered.
another for services which the immigration consultant
cannot or will not provide to the client. A sign setting (b) In addition to the provisions of subdivision (a), a
forth this prohibition shall be conspicuously displayed violation of this chapter is a misdemeanor punishable by
in the immigration consultant’s office. (Added by Stats. a fine of not less than two thousand dollars ($2,000) or
1986, ch. 248. Amended by Stats. 1988, ch. 160; Stats. more than ten thousand dollars ($10,000), as to each
2004, ch. 557.) client with respect to whom a violation occurs, or
imprisonment in the county jail for not more than one
§ 22445 Violations; Penalties and Punishment year, or by both fine and imprisonment. However,
payment of restitution to a client shall take precedence
(a) (1) A person who violates this chapter shall be over payment of a fine.
subject to a civil penalty not to exceed one
hundred thousand dollars ($100,000) for each (c) A second or subsequent violation of Sections
violation, to be assessed and collected in a civil 22442.2, 22442.3, and 22442.4 is a misdemeanor subject
action brought by any person injured by the to the penalties specified in subdivisions (a) and (b). A
violation or in a civil action brought in the name of second or subsequent violation of any other provision of
the people of the State of California by the this chapter is a felony punishable by imprisonment in
Attorney General, a district attorney, or a city state prison.
attorney. An action brought in the name of the
(d) An action brought pursuant to this section shall be
people of the State of California shall not preclude
commenced within four years after discovery of the
an action being brought by an injured person.
commission of the offense. (Added by Stats. 1986, ch.
(2) The court shall impose a civil penalty for each 248. Amended by Stats. 1987, ch. 1363; Stats. 1994, ch.
violation of this chapter. In assessing the amount 561; Stats. 1999, ch. 336; Stats. 2000, ch. 674; Stats.
of the civil penalty, the court may consider relevant 2002, ch. 705; Stats. 2006, ch. 605.)
circumstances presented by the parties to the case,
including, but not limited to, the following: the
§ 22446.5 Civil Actions; Attorneys’ Fees; Priority of
nature and seriousness of the misconduct, the
Cases
number of violations, the persistence of the
misconduct, the length of time over which the (a) A person claiming to be aggrieved by a violation of
misconduct occurred, the willfulness of the this chapter by an immigration consultant may bring a
defendant’s misconduct, and the defendant’s civil action for injunctive relief or damages, or both. If
assets, liabilities, and net worth. the court finds that the defendant has violated a
provision of this chapter, it shall award actual damages,
(3) Any action brought pursuant to this section by plus an amount equal to treble the amount of actual
the Attorney General, a district attorney, or a city damages or one thousand dollars ($1,000) per
attorney shall also seek relief under subdivision (c) violation, whichever is greater. The court shall also
of Section 22446.5. grant a prevailing plaintiff reasonable attorneys’ fees
and costs.
(4) If the Attorney General brings the action, one
half of the civil penalty collected shall be paid to the (b) Any other party who, upon information and belief,
treasurer of the county in which the judgment was claims a violation of this chapter has been committed
entered, and one half to the General Fund. If a by an immigration consultant may bring a civil action
district attorney brings the action, the civil penalty for injunctive relief on behalf of the general public and,
collected shall be paid to the treasurer of the upon prevailing, shall recover reasonable attorneys’
county in which the judgment was entered. If a city fees and costs.
attorney brings the action, one half of the civil

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(c) The Attorney General, a district attorney, or a city § 22449 Immigration Consultants–Fees for
attorney who claims a violation of this chapter has Providing Consultations, Legal Advice, or Notary
been committed by an immigration consultant, may Public Services Associated with Filing Application
bring a civil action for injunctive relief, restitution, and under Deferred Action for Childhood Arrivals
other equitable relief against the immigration
Program; Conditions; Penalties; Professional
consultant in the name of the people of the State of
California.
Discipline

(d) An action brought under this chapter shall be set (a) Immigration consultants, attorneys, notaries
public, and organizations accredited by the United
for trial at the earliest possible date, and shall take
States Board of Immigration Appeals shall be the only
precedence over all other cases, except older matters
individuals authorized to charge clients or prospective
of the same character and matters to which special
clients fees for providing consultations, legal advice, or
preference may be given by law. (Added by Stats. 1987,
notary public services, respectively, associated with
ch. 484. Amended by Stats. 1994, ch. 561; Stats. 2002,
filing an application under the federal Deferred Action
ch. 705.)
for Childhood Arrivals program announced by the
United States Secretary of Homeland Security on June
§ 22447 Damage Recovery for the Bond or 15, 2012.
Deposit; Effect of Reduction of Principal Amount
(b) (1) Immigration consultants, attorneys, notaries
(a) A person who is awarded damages in an action public, and organizations accredited by the United
or proceeding for injuries caused by the acts of a States Board of Immigration Appeals shall be
person engaged in the business of, or acting in the prohibited from participating in practices that
capacity of, an immigration consultant, in the amount to price gouging when a client or
performance of his or her duties as an immigration prospective client solicits services associated with
consultant, may recover damages from the bond filing an application for deferred action for
required by Section 22443.1. In an action brought by childhood arrivals as described in subdivision (a).
the Attorney General, a district attorney, or a city
(2) For the purposes of this section, “price
attorney, the court may order relief for benefit of the
gouging” means any practice that has the effect of
injured parties to be paid from the bond.
pressuring the client or prospective client to
(b) When any claim or claims against a bond have purchase services immediately because
been paid so as to reduce the principal amount of the purchasing them at a later time will result in the
bond remaining available to pay claims below the client or prospective client paying a higher price
principal amount required by Section 22443.1, the for the same services.
immigration consultant shall cease to conduct any
(c) (1) In addition to the civil and criminal penalties
business unless and until the bond has been
described in Section 22445, a violation of this
reinstated up to the minimum amount required by
section by an attorney shall be cause for discipline
Section 22443.1. (Added by Stats. 1994, ch. 562.
by the State Bar pursuant to Chapter 4
Amended by Stats. 1997, ch. 790; Stats. 2001, ch. 304;
(commencing with Section 6000) of Division 3.
Stats. 2002, ch. 705.)
(2) In addition to the civil and criminal penalties
§ 22448 Cause of Action; Commencement; described in Section 22445, a violation of this
section by a notary public shall be cause for the
Accrual
revocation or suspension of his or her commission
Any civil action to enforce any cause of action pursuant as a notary public by the Secretary of State and
to this chapter shall be commenced within four years the application of any other applicable penalties
after the cause of action has accrued. The cause of pursuant to Chapter 3 (commencing with Section
action is not to be deemed to have accrued until the 8200) of Division 1 of Title 2 of the Government
discovery, by the aggrieved party, of the facts Code. (Added by Stats. 2013, ch. 571.)
constituting the violation. (Added by Stats. 1998, ch.
879.)

48 BUSINESS AND PROFESSIONS CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

CIVIL CODE knowledge taken by a state licensing agency against

that professional member. However, there shall be no
duty to disclose a disciplinary action in either of the
§ 43.95 Immunity from Liability for Referrals by following cases:
Professional Society
(1) Where a disciplinary proceeding results in no
(a) There shall be no monetary liability on the part of, disciplinary action being taken against the
and no cause of action for damages shall arise against, professional to whom a member of the public was
any professional society or any nonprofit corporation referred.
authorized by a professional society to operate a
referral service, or their agents, employees, or (2) Where a period of three years has elapsed
members, for referring any member of the public to since the professional to whom a member of the
any professional member of the society or service, or public was referred has satisfied any terms,
for acts of negligence or conduct constituting conditions, or sanctions imposed upon the
unprofessional conduct committed by a professional to professional as disciplinary action; except that if
whom a member of the public was referred, so long as the professional is an attorney, there shall be no
any of the foregoing persons or entities has acted time limit on the duty to disclose. (Added by
without malice, and the referral was made at no cost Stats. 1987, ch. 727, effective July 1, 1993.
added to the initial referral fee as part of a public Amended by Stats 1988, ch. 312; Stats. 2002, ch.
service referral system organized under the auspices of 1013; Stats. 2011, ch. 381.)
the professional society. Further, there shall be no
monetary liability on the part of, and no cause of action
§ 54.27 Construction-Related Accessibility
for damages shall arise against, any professional society
for providing a telephone information library available Claim–Prelitigation Letters and Complaints to
for use by the general public without charge, nor Education Entities; Requirements
against any nonprofit corporation authorized by a
(a) An attorney who provides a prelitigation letter to
professional society for providing a telephone
an education entity shall do both of the following:
information library available for use by the general
public without charge. “Professional society” includes (1) Include the attorney’s State Bar license
legal, psychological, architectural, medical, dental, number in the prelitigation letter.
dietetic, accounting, optometric, podiatric,
pharmaceutic, chiropractic, veterinary, licensed (2) Within five business days of providing the
marriage and family therapy, licensed clinical social prelitigation letter, send a copy of the prelitigation
work, professional clinical counselor, and engineering letter to the California Commission on Disability
organizations having as members at least 25 percent of Access.
the eligible persons or licentiates in the geographic area
served by the particular society. However, if the (b) An attorney who sends or serves a complaint
society has less than 100 members, it shall have as against an education entity shall do both of the
members at least a majority of the eligible persons or following:
licentiates in the geographic area served by the
particular society. “Professional society” also includes (1) Send a copy of the complaint and submit
organizations with referral services that have been information about the complaint in a standard
authorized by the State Bar of California and operated format specified by the California Commission on
in accordance with its Minimum Standards for a Lawyer Disability Access to the commission within five
Referral Service in California, and organizations that business days of sending or serving the complaint.
have been established to provide free assistance or
representation to needy patients or clients. (2) Notify the California Commission on
Disability Access within five business days of
(b) This section shall not apply whenever the judgment, settlement, or dismissal of the claim or
professional society, while making a referral to a claims alleged in the complaint of the following
professional member of the society, fails to disclose the information in a standard format specified by the
nature of any disciplinary action of which it has actual commission:

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(A) The date of the judgment, settlement, center, as defined in Section 6213 of the Business and
or dismissal. Professions Code, when acting within the scope of
employment in asserting a construction-related
(B) Whether or not the construction- accessibility claim. The Legislature finds and declares
related accessibility violations alleged in the that qualified legal services projects and support
complaint were remedied in whole or in part centers are extensively regulated by the State Bar of
after the plaintiff filed a complaint. California, and that there is no evidence of any abusive
use of demand letters or complaints by these
(C) If the construction-related accessibility organizations. The Legislature further finds that, in light
violations alleged in the complaint were not of the evidence of the extraordinarily small number of
remedied in whole or in part after the construction-related accessibility cases brought by
plaintiff filed a complaint, whether or not regulated legal services programs, and given the
another favorable result was achieved after resources of those programs, exempting regulated legal
the plaintiff filed the complaint. services programs from the requirements of this
section to report to the California Commission on
(c) A violation of paragraph (2) of subdivision (a) or
Disability Access will not affect the purpose of the
subdivision (b) shall constitute cause for the imposition
reporting to, and tabulation by, the commission of all
of discipline of an attorney if a copy of the prelitigation
other construction-related accessibility claims.
letter, complaint, or notification of a case outcome is
not sent to the California Commission on Disability (h) This section does not apply to a claim for money
Access within five business days. In the event the State or damages against a public entity governed by Division
Bar of California receives information indicating that an 3.6 (commencing with Section 810) of Title 1 of the
attorney has failed to send a copy of the prelitigation Government Code or make the requirements of this
letter, complaint, or notification of a case outcome to section applicable to such a claim.
the California Commission on Disability Access within
five business days, the State Bar of California shall (i) For purposes of this section, the following terms
investigate to determine whether paragraph (2) of have the following meanings:
subdivision (a) or subdivision (b) has been violated.
(1) “Complaint” means a civil complaint that is
(d) Notwithstanding subdivisions (a) and (b), an filed or is to be filed with a court and is sent to or
attorney is not required to send to the California served upon a defendant on the basis of one or
Commission on Disability Access a copy of any more construction-related accessibility claims.
subsequent prelitigation letter or amended complaint
in the same dispute following the initial prelitigation (2) “Construction-related accessibility claim” or
letter or complaint, unless that subsequent prelitigation “claim” means any claim of a violation of any
letter or amended complaint alleges a new construction-related accessibility standard, as
construction-related accessibility claim. defined in paragraph (6) of subdivision (a) of
Section 55.52, with respect to a public building,
(e) A prelitigation letter or notification of a case public facility, or other public place of an
outcome sent to the California Commission on education entity. “Construction-related
Disability Access shall be for the informational purposes accessibility claim” does not include a claim of
of Section 8299.08 of the Government Code. interference with housing within the meaning of
paragraph (2) of subdivision (b) of Section 54.1, or
(f) The California Commission on Disability Access any claim of interference caused by something
shall review and report on the prelitigation letters, other than the construction-related accessibility
complaints, and notifications of case outcomes it condition of the property, including, but not
receives in the same manner as provided in Section limited to, the conduct of any person.
8299.08 of the Government Code.
(3) “Education entity” means the Regents of the
(g) Paragraph (2) of subdivision (a) and subdivision University of California, the Trustees of the
(b) does not apply to a prelitigation letter or complaint California State University and the California State
sent or filed by an attorney employed or retained by a University, the office of the Chancellor of the
qualified legal services project or a qualified support

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California Community Colleges, a K-12 school paragraph (6) of subdivision (a) of Section
district, or any local education agency. 55.52, or alleges one or more construction-
related accessibility claims, as defined in
(4) “Prelitigation letter” means a prelitigation paragraph (2).
written document that alleges the site is in
violation of one or more construction-related (B) Contains or makes a request or demand
accessibility standards, as defined in paragraph (6) for money or an offer or agreement to
of subdivision (a) of Section 55.52 and is provided accept money.
to the education entity whether or not the
attorney intends to file a complaint, or eventually (C) Is provided or issued whether or not
files a complaint, in state or federal court. A the attorney intends to file a complaint, or
prelitigation letter does not include a claim for eventually files a complaint, in state or
money or damages against a local public entity federal court.
governed by Division 3.6 (commencing with
Section 810) of Title 1 of the Government Code. (4) “Demand letter” means a prelitigation
(Added by Stats. 2016, ch. 892. Amended by Stats. written document that is provided to a building
2017, ch. 561.) owner or tenant, or the owner’s or tenant’s agent
or employee, that alleges the site is in violation of
one or more construction-related accessibility
§ 55.3 Construction-Related Accessibility standards, as defined in paragraph (6) of
Claim–Defined subdivision (a) of Section 55.52, or alleges one or
more construction-related accessibility claims, as
(a) For purposes of this section, the following apply: defined in paragraph (2), and is provided whether
or not the attorney intends to file a complaint, or
(1) “Complaint” means a civil complaint that is eventually files a complaint, in state or federal
filed or is to be filed with a court and is sent to or court.
served upon a defendant on the basis of one or
more construction-related accessibility claims, as (b) An attorney shall provide the following items with
defined in this section. each demand letter or complaint sent to or served
upon a defendant or potential defendant alleging a
(2) “Construction-related accessibility claim” construction-related accessibility claim:
means any claim of a violation of any
construction-related accessibility standard, as (1) A written advisory on the form described in
defined by paragraph (6) of subdivision (a) of subparagraph (B), or, until that form is available,
Section 55.52, with respect to a place of public on a separate page or pages that are clearly
accommodation. “Construction-related accessibility distinguishable from the demand letter or
claim” does not include a claim of interference complaint. The advisory shall not be required in
with housing within the meaning of paragraph (2) subsequent communications following the initial
of subdivision (b) of Section 54.1, or any claim of demand letter or initial complaint unless a new
interference caused by something other than the construction-related accessibility claim is asserted
construction-related accessibility condition of the in the subsequent demand letter or amended
property, including, but not limited to, the complaint.
conduct of any person.
(A) The advisory shall state as follows:
(3) “Demand for money” means a prelitigation
written document or oral statement that is STATE LAW REQUIRES THAT YOU GET THIS IMPORTANT
provided or issued to a building owner or tenant, ADVISORY INFORMATION FOR BUILDING OWNERS AND
or the owner’s or tenant’s agent or employee, TENANTS
that does all of the following:
This information is available in English, Spanish,
(A) Alleges that the site is in violation of Chinese, Vietnamese, and Korean through the Judicial
one or more construction-related Council of California. Persons with visual impairments
accessibility standards, as defined in can get assistance in viewing this form through the

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

Judicial Council Internet Web site at ADDITIONAL THINGS YOU SHOULD KNOW:
www.courts.ca.gov.
ATTORNEY MISCONDUCT. Except for limited
California law requires that you receive this circumstances, state law generally requires that a
information because the demand letter or court prelitigation demand letter from an attorney MAY
complaint you received with this document claims NOT MAKE A REQUEST OR DEMAND FOR MONEY OR
that your building or property does not comply with AN OFFER OR AGREEMENT TO ACCEPT MONEY.
one or more existing construction-related Moreover, a demand letter from an attorney MUST
accessibility laws or regulations protecting the civil INCLUDE THE ATTORNEY’S STATE BAR LICENSE
rights of persons with disabilities to access public NUMBER.
places.
If you believe the attorney who provided you with
YOU HAVE IMPORTANT LEGAL OBLIGATIONS. this notice and prelitigation demand letter is not
Compliance with disability access laws is a serious complying with state law, you may send a copy of the
and significant responsibility that applies to all demand letter you received from the attorney to the
California building owners and tenants with State Bar of California by facsimile transmission to 1-
buildings open for business to the public. You may 415-538-2171, or by mail to the State Bar of
obtain information about your legal obligations and California, 180 Howard Street, San Francisco, CA,
how to comply with disability access laws through 94105, Attention: Professional Competence.
the Division of the State Architect at
www.dgs.ca.gov. Information is also available from REDUCING YOUR DAMAGES. If you are a small
the California Commission on Disability Access at business owner and correct all of the construction-
www.ccda.ca.gov/guide.htm. related violations that are the basis of the complaint
against you within 30 days of being served with the
YOU HAVE IMPORTANT LEGAL RIGHTS. The complaint, you may qualify for reduced damages. You
allegations made in the accompanying demand may wish to consult an attorney to obtain legal advice.
letter or court complaint do not mean that you are You may also wish to contact the California
required to pay any money unless and until a court Commission on Disability Access for additional
finds you liable. Moreover, RECEIPT OF A DEMAND information about the rights and obligations of
LETTER OR COURT COMPLAINT AND THIS ADVISORY business owners.
DOES NOT NECESSARILY MEAN YOU WILL BE FOUND
LIABLE FOR ANYTHING. You will have the right if you COMMERCIAL TENANT. If you are a commercial
are later sued to fully present your explanation why tenant, you may not be responsible for ensuring that
you believe you have not in fact violated disability some or all portions of the premises you lease for your
access laws or have corrected the violation or business, including common areas such as parking lots,
violations giving rise to the claim. are accessible to the public because those areas may
be the responsibility of your landlord. You may want
You have the right to seek assistance or advice to refer to your lease agreement and consult with an
about this demand letter or court complaint from attorney or contact your landlord, to determine if your
any person of your choice. If you have insurance, landlord is responsible for maintaining and improving
you may also wish to contact your insurance some or all of the areas you lease.
provider. Your best interest may be served by
seeking legal advice or representation from an (B) On or before July 1, 2016, the Judicial
attorney, but you may also represent yourself and Council shall update the advisory form that
file the necessary court papers to protect your may be used by an attorney to comply with
interests if you are served with a court complaint. If the requirements of subparagraph (A). The
you have hired an attorney to represent you, you advisory form shall be in substantially the
should immediately notify your attorney. same format and include all of the text set
forth in subparagraph (A). The advisory form
If a court complaint has been served on you, you will shall be available in English, Spanish,
get a separate advisory notice with the complaint Chinese, Vietnamese, and Korean, and shall
advising you of special options and procedures include a statement that the advisory form is
available to you under certain conditions. available in additional languages, and the

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

Judicial Council Internet Web site address including that the defendant qualifies
where the different versions of the advisory for reduced damages pursuant to
form are located. The advisory form shall paragraph (1) or (2) of subdivision (f) of
include Internet Web site information for the Section 55.56, and, if so, any facts
Division of the State Architect and the supporting that assertion.
California Commission on Disability Access.
(B) The answer form shall provide
(2) A verified answer form developed by the instructions to a defendant who wishes to
Judicial Council, which allows a defendant to file the form as an answer to the complaint.
respond to the complaint in the event a complaint The form shall also notify the defendant that
is filed. he or she may use the completed form as an
informal response to a demand letter or for
(A) The answer form shall be written in settlement discussion purposes.
plain language and allow the defendant to
state any relevant information affecting the (C) On or before July 1, 2016, the Judicial
defendant’s liability or damages including, Council shall adopt the answer form that
but not limited to, the following: may be used by an attorney to comply with
the requirements of this paragraph, and shall
(i) Specific denials of the allegations post the answer form on the Judicial Council
in the complaint, including whether the Internet Web site.
plaintiff has demonstrated that he or
she was denied full and equal access to (c) Subdivision (b) applies only to a demand letter or
the place of public accommodation on complaint made by an attorney. This section does not
a particular occasion pursuant to affect the right to file a civil complaint under any other
Section 55.56. law or regulation protecting the physical access rights
of persons with disabilities. Additionally, this section
(ii) Potential affirmative defenses does not require a party to provide or send a demand
available to the defendant, including: letter to another party before proceeding against that
party with a civil complaint.
(I) An assertion that the
defendant’s landlord is (d) This section does not apply to an action brought
responsible for ensuring that some by the Attorney General or any district attorney, city
or all of the property leased by the attorney, or county counsel. (Added by Stats. 2008, ch.
defendant, including the areas at 549. Amended by Stats. 2011, ch. 419; Stats. 2012, ch.
issue in the complaint, are 383; Stats. 2015, ch. 755, effective October 10, 2015.)
accessible to the public. The
defendant shall provide facts
supporting that assertion, and the § 55.31 Construction-Related Accessibility
name and contact information of Claim–Demand Letter Requirements; Prohibitions
the defendant’s landlord.
(a) Commencing January 1, 2013, a demand letter
(II) Any other affirmative alleging a construction-related accessibility claim, as
defense the defendant wishes to defined in subdivision (a) of Section 55.3, shall state
assert. facts sufficient to allow a reasonable person to identify
the basis of the violation or violations supporting the
(iii) A request to meet in person at the claim, including all of the following:
subject premises, if the defendant
qualifies for an early evaluation (1) A plain language explanation of the specific
conference pursuant to Section 55.54. access barrier or barriers the individual
encountered, or by which the individual alleges he
(iv) Any other information that the or she was deterred, with sufficient information
defendant believes is relevant to his or about the location of the barrier to enable a
her potential liability or damages, reasonable person to identify the access barrier.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(2) The way in which the barrier encountered (2) Any liability for a violation of subdivision (c)
interfered with the individual’s full and equal use is as provided in paragraph (1) of this subdivision.
or access, or in which it deterred the individual, on A violation of subdivision (c) does not create a
each particular occasion. new cause of action.

(3) The date or dates of each particular occasion (e) Subdivision (c) does not prohibit any prelitigation
on which the individual encountered the specific settlement discussion of liability for damages and
access barrier, or on which he or she was attorney’s fees that occurs after a written or oral
deterred. agreement is reached between the parties for the
repair or correction of the alleged violation or
(b) A demand letter may offer prelitigation violations of a construction-related accessibility
settlement negotiations, but shall not include a request standard.
or demand for money or an offer or agreement to
accept money. (f) Subdivision (c) shall not apply to a claim involving
physical injury and resulting special damages, but a
(1) With respect to potential monetary damages demand for money relating to that claim that is sent
for an alleged construction-related accessibility shall otherwise comply with the requirements of
claim or claims, a demand letter shall not state subdivision (a) and Section 55.32.
any specific potential monetary liability for any
asserted claim or claims, and may only state: “The (g) Nothing in this section shall apply to a demand or
property owner or tenant, or both, may be civilly statement of alleged damages made in a prelitigation
liable for actual and statutory damages for a claim presented to a governmental entity as required
violation of a construction-related accessibility by state or federal law, including, but not limited to,
requirement.” claims made under Part 3 (commencing with Section
900) of Division 3.6 of the Government Code.
(2) Notwithstanding any other law, a demand
letter meeting the requirements of this section (h) If subdivision (c) is not operative or becomes
shall be deemed to satisfy the requirements for inoperative for any reason, the requirements of
prelitigation notice of a potential claim when subdivision (a) and Section 55.32 shall apply to any
prelitigation notice is required by statute or written demand for money. (Added by Stats. 2012, ch.
common law for an award of attorney’s fees. 383, effective September 19, 2012.)

(3) This subdivision and subdivision (a) do not

apply to a demand for money, which is governed § 55.32 Construction-Related Accessibility
by subdivision (c). Claim–Attorney Requirements When Providing a
Demand Letter; Violations
(c) An attorney, or a person acting at the direction of
an attorney, shall not issue a demand for money as (a) An attorney who provides a demand letter, as
defined in subdivision (a) of Section 55.3. This defined in subdivision (a) of Section 55.3, shall do all of
subdivision does not apply to a demand letter as the following:
defined in subdivision (a) of Section 55.3.
(1) Include the attorney's State Bar license
(d) (1) A violation of subdivision (b) or (c) number in the demand letter.
constitutes cause for the imposition of discipline
of an attorney. Subdivisions (b) and (c) do not (2) Within five business days of providing the
prohibit an attorney from presenting a settlement demand letter, send a copy of the demand letter,
figure or specification of damages in response to a and submit information about the demand letter
request from the building owner or tenant, or the in a standard format specified by the California
owner’s or tenant’s authorized agent or Commission on Disability Access on the
employee, following a demand letter provided commission's internet website pursuant to Section
pursuant to Section 55.3. 14985.8 of the Government Code, to the
commission.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(b) An attorney who sends or serves a complaint, as Access in the standard format specified on the
defined in subdivision (a) of Section 55.3, shall do both commission’s internet website pursuant to Section
of the following: 14985.8 of the Government Code within five business
days. In the event the State Bar receives information
(1) Send a copy of the complaint and submit indicating that an attorney has failed to send a copy of
information about the complaint in a standard the demand letter, complaint, or notification of a case
format specified by the California Commission on outcome to the California Commission on Disability
Disability Access on the commission's internet Access in the standard format specified on the
website pursuant to Section 14985.8 of the commission’s internet website pursuant to Section
Government Code to the commission within five 14958.8 of the Government Code within five business
business days of sending or serving the complaint. days, the State Bar shall investigate to determine
whether paragraph (2) of subdivision (a) or subdivision
(2) Notify the California Commission on (b) has been violated.
Disability Access within five business days of
judgment, settlement, or dismissal of the claim or (d) Notwithstanding subdivisions (a) and (b), an
claims alleged in the complaint of the following attorney is not required to send to the California
information in a standard format specified by the Commission on Disability Access a copy of any
commission on the commission's internet website subsequent demand letter or amended complaint in
pursuant to Section 14985.8 of the Government the same dispute following the initial demand letter or
Code: complaint, unless that subsequent demand letter or
amended complaint alleges a new construction-related
(A) The date of the judgment, settlement, accessibility claim.
or dismissal.
(e) A demand letter or notification of a case outcome
(B) Whether or not the construction- sent to the California Commission on Disability Access
related accessibility violations alleged in the shall be for the informational purposes of Section
complaint were remedied in whole or in part 14985.8 of the Government Code. A demand letter
after the plaintiff filed a complaint or received by the State Bar from the recipient of the
provided a demand letter, as defined by demand letter shall be reviewed by the State Bar to
Section 55.3. determine whether subdivision (b) or (c) of Section
55.31 has been violated.
(C) If the construction-related accessibility
violations alleged in the complaint were not (f) (1) Notwithstanding Section 10231.5 of the
remedied in whole or in part after the Government Code, on or before April 30, 2019,
plaintiff filed a complaint or provided a and annually as part of the Annual Discipline
demand letter, as defined by Section 55.3, Report, no later than April 30 thereafter, the State
whether or not another favorable result was Bar shall report to the Legislature and the Chairs
achieved after the plaintiff filed the of the Senate and Assembly Judiciary Committees,
complaint or provided the demand letter. both of the following with respect to demand
letters received by the State Bar:
(D) Whether or not the defendant
submitted an application for an early (A) The number of investigations opened
evaluation conference and stay pursuant to to date on a suspected violation of
Section 55.54, whether the defendant subdivision (b) or (c) of Section 55.31.
requested a site inspection, the date of any
early evaluation conference, and the date of (B) Whether any disciplinary action
any site inspection. resulted from the investigation, and the
results of that disciplinary action.
(c) A violation of paragraph (2) of subdivision (a) or
subdivision (b) shall constitute cause for the imposition (2) A report to be submitted pursuant to this
of discipline of an attorney if a copy of the demand subdivision shall be submitted in compliance with
letter, complaint, or notification of a case outcome is Section 9795 of the Government Code.
not sent to the California Commission on Disability

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(g) The California Commission on Disability Access the bracketed text, to the defendant on separate
shall review and report on the demand letters, papers that shall be served with the summons and
complaints, and notifications of case outcomes it complaint:
receives as provided in Section 14985.8 of the
Government Code. ADVISORY NOTICE TO DEFENDANT

(h) The expiration of any ground for discipline of an YOU MAY BE ENTITLED TO ASK FOR A COURT
attorney shall not affect the imposition of discipline for STAY (AN ORDER TEMPORARILY STOPPING ANY
any act prior to the expiration. An act or omission that LAWSUIT) AND EARLY EVALUATION
constituted cause for imposition of discipline of an CONFERENCE IN THIS LAWSUIT AND MAY BE
attorney when committed or omitted prior to January ASSESSED REDUCED STATUTORY DAMAGES IF
1, 2019, shall continue to constitute cause for the YOU MEET CERTAIN CONDITIONS.
imposition of discipline of that attorney on and after
January 1, 2019. If the construction-related accessibility claim
pertains to a site that has a Certified Access
(i) Paragraph (2) of subdivision (a) and subdivision (b) Specialist (CASp) inspection report for that site,
shall not apply to a demand letter or complaint sent or or to a site where new construction or
filed by an attorney employed or retained by a qualified improvement was approved after January 1,
legal services project or a qualified support center, as 2008, by the local building permit and
defined in Section 6213 of the Business and Professions inspection process, you may make an immediate
Code, when acting within the scope of employment in request for a court stay and early evaluation
asserting a construction-related accessibility claim. The conference in the construction-related
Legislature finds and declares that qualified legal accessibility claim by filing the attached
services projects and support centers are extensively application form with the court. You may be
regulated by the State Bar of California, and that there entitled to the court stay and early evaluation
is no evidence of any abusive use of demand letters or conference regarding the accessibility claim only
complaints by these organizations. The Legislature if ALL of the statements in the application form
further finds that, in light of the evidence of the applicable to you are true.
extraordinarily small number of construction-related
accessibility cases brought by regulated legal services FURTHER, if you are a defendant described
programs, and given the resources of those programs, above (with a CASp inspection report or with
exempting regulated legal services programs from the new construction after January 1, 2008), and, to
requirements of this section to report to the California the best of your knowledge, there have been no
Commission on Disability Access will not affect the modifications or alterations completed or
purpose of the reporting to, and tabulation by, the commenced since the CASp report or building
commission of all other construction-related department approval of the new construction or
accessibility claims. (Added by Stats. 2012, ch. 383. improvement that impacted compliance with
Amended by Stats. 2015, ch. 755, effective October 10, construction-related accessibility standards with
2015; Stats. 2016, ch. 872; Stats. 2018, ch. 659; Stats. respect to the plaintiff’s claim, your liability for
2020, ch. 36.) minimum statutory damages may be reduced to
$1,000 for each offense, unless the violation
was intentional, and if all construction-related
§ 55.54 Service of Summons and Complaint in accessibility violations giving rise to the claim
Construction-Related Accessibility Claim are corrected within 60 days of being served
with this complaint.
(a) (1) An attorney who causes a summons and
complaint to be served in an action that includes a ALSO, if your business has been served with a
construction-related accessibility claim, including, complaint filed by a high-frequency litigant, as
but not limited to, a claim brought under Section defined in subdivision (b) of Section 425.55 of
51, 54, 54.1, or 55, shall, at the same time, cause the Code of Civil Procedure, asserting a
to be served a copy of the application form construction-related accessibility claim,
specified in subdivision (c) and a copy of the including, but not limited to, a claim brought
following notice, including, until January 1, 2013, under Section 51, 54, 54.1, or 55 of the Civil

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Code, you may also be entitled to a court stay process; that, to the best of your
and an early evaluation conference. If you knowledge, there have been no
choose to request a stay and early evaluation modifications or alterations completed or
conference, you may also request to meet in commenced since the building department
person with the plaintiff and counsel for both approval that impacted compliance with
parties, as well as experts if the parties so elect, construction-related accessibility standards
at the subject premises no later than 30 days with respect to the plaintiff’s claim; and
after issuance of the court order to jointly that all violations giving rise to the claim
inspect the portions of the subject premises and have been corrected, or will be corrected
review any conditions that are claimed to within 60 days of the complaint being
constitute a violation of a construction-related served.
accessibility standard.
(2) That the site’s new construction or
IN ADDITION, if your business is a small business improvement passed inspection by a local
that, over the previous three years, or the building department inspector who is a
existence of the business if less than three certified access specialist; that, to the best
years, employs 25 or fewer employees on of your knowledge, there have been no
average over that time period and meets modifications or alterations completed or
specified gross receipts criteria, you may also be commenced since that inspection approval
entitled to the court stay and early evaluation that impacted compliance with
conference and your minimum statutory construction-related accessibility standards
damages for each claim may be reduced to with respect to the plaintiff’s claim; and
$2,000 for each offense, unless the violation that all violations giving rise to the claim
was intentional, and if all the alleged have been corrected, or will be corrected
construction-related accessibility violations are within 60 days of the complaint being
corrected within 30 days of being served with served.
the complaint.
(3) That your business is a small business
If you plan to correct the violations giving rise to with 25 or fewer employees and meets the
the claim, you should take pictures and gross receipts criteria set out in Section
measurements or similar action to document 55.56 of the Civil Code, and that all
the condition of the physical barrier asserted to violations giving rise to the claim have
be the basis for a violation before undertaking been corrected, or will be corrected within
any corrective action in case a court needs to 30 days of being served with the
see the condition of a barrier before it was complaint.]
corrected.
The court will also issue an immediate stay
The court will schedule the conference to be of the proceedings unless the plaintiff has
held within 70 days after you file the attached obtained a temporary restraining order in
application form. the construction-related accessibility claim.
You may obtain a copy of the application
[If you are not a defendant with a CASp form, filing instructions, and additional
inspection report, until a form is adopted by the information about the stay and early
Judicial Council, you may use the attached form evaluation conference through the Judicial
if you modify the form and supplement it with Council Internet Web site at
your declaration stating any one of the www.courts.ca.gov/selfhelp-start.htm.
following:
You may file the application after you are
(1) Until January 1, 2018, that the site’s served with a summons and complaint, but
new construction or improvement on or no later than your first court pleading or
after January 1, 2008, and before January appearance in this case, which is due
1, 2016, was approved pursuant to the within 30 days after you receive the
local building permit and inspection summons and complaint. If you do not file

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

the application, you will still need to file may be amended without prejudice, and the
your reply to the lawsuit within 30 days period for filing that amendment shall be tolled
after you receive the summons and until the stay is lifted.
complaint to contest it. You may obtain
more information about how to represent (2) This subdivision shall also apply to a
yourself and how to file a reply without defendant if any of the following apply:
hiring an attorney at
www.courts.ca.gov/selfhelp-start.htm. (A) Until January 1, 2018, the site’s new
construction or improvement on or after
You may file the application without the January 1, 2008, and before January 1, 2016,
assistance of an attorney, but it may be in was approved pursuant to the local building
your best interest to immediately seek the permit and inspection process, and the
assistance of an attorney experienced in defendant declares with the application that,
disability access laws when you receive a to the best of the defendant’s knowledge,
summons and complaint. You may make an there have been no modifications or
offer to settle the case, and it may be in alterations completed or commenced since
your interest to put that offer in writing so that approval that impacted compliance with
that it may be considered under Section construction-related accessibility standards
55.55 of the Civil Code. with respect to the plaintiff’s claim, and that
all violations have been corrected, or will be
(2) An attorney who files a Notice of corrected within 60 days of being served
Substitution of Counsel to appear as counsel for with the complaint.
a plaintiff who, acting in propria persona, had
previously filed a complaint in an action that (B) The site’s new construction or
includes a construction-related accessibility improvement was approved by a local public
claim, including, but not limited to, a claim building department inspector who is a
brought under Section 51, 54, 54.1, or 55, shall, certified access specialist, and the defendant
at the same time, cause to be served a copy of declares with the application that, to the
the application form specified in subdivision (c) best of the defendant’s knowledge, there
and a copy of the notice specified in paragraph have been no modifications or alterations
(1) upon the defendant on separate pages that completed or commenced since that
shall be attached to the Notice of Substitution of approval that impacted compliance with
Counsel. construction-related accessibility standards
with respect to the plaintiff’s claim, and that
(b) (1) Notwithstanding any other law, upon being all violations have been corrected, or will be
served with a summons and complaint asserting corrected within 60 days of being served
a construction-related accessibility claim, with the complaint.
including, but not limited to, a claim brought
under Section 51, 54, 54.1, or 55, a qualified (C) The defendant is a small business
defendant, or other defendant as defined in described in subdivision (f) of Section 55.56,
paragraph (2), may file a request for a court stay and the defendant declares with the
and early evaluation conference in the application that all violations have been
proceedings of that claim prior to or corrected, or will be corrected within 30 days
simultaneous with that defendant’s responsive of being served with the complaint.
pleading or other initial appearance in the action
that includes the claim. If that defendant filed a (D) The defendant is a business that has
timely request for stay and early evaluation been served with a complaint filed by a
conference before a responsive pleading was high-frequency litigant, as defined in
due, the period for filing a responsive pleading subdivision (b) of Section 425.55 of the
shall be tolled until the stay is lifted. Any Code of Civil Procedure, asserting a
responsive pleading filed simultaneously with a construction-related accessibility claim,
request for stay and early evaluation conference including, but not limited to, a claim brought
under Section 51, 54, 54.1, or 55.

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(3) Notwithstanding any other law, if the (B) To the best of the defendant’s
plaintiff had acted in propria persona in filing a knowledge there have been no modifications
complaint that includes a construction-related or alterations completed or commenced
accessibility claim, including, but not limited to, a since that approval that impacted
claim brought under Section 51, 54, 54.1, or 55, a compliance with construction-related
qualified defendant, or a defendant described by accessibility standards with respect to the
paragraph (2), who is served with a Notice of plaintiff’s claim.
Substitution of Counsel shall have 30 days to file
an application for a stay and an early evaluation (C) All construction-related violations
conference. The application may be filed prior to giving rise to the claim have been corrected,
or after the defendant’s filing of a responsive or will be corrected within 60 days of the
pleading or other initial appearance in the action complaint being served upon the defendant.
that includes the claim, except that an application
may not be filed in a claim in which an early (3) An application for an early evaluation
evaluation conference or settlement conference conference and stay by a defendant described in
has already been held on the claim. subparagraph (B) of paragraph (2) of subdivision
(b) shall include a signed declaration that states all
(c) (1) An application for an early evaluation of the following:
conference and stay by a qualified defendant shall
include a signed declaration that states both of (A) The site’s new construction or
the following: improvement was approved by a local
building department inspector who is a
(A) The site identified in the complaint has certified access specialist.
been CASp-inspected or meets applicable
standards, or is CASp determination (B) To the best of the defendant’s
pending or has been inspected by a CASp, knowledge there have been no modifications
and if the site is CASp-inspected or meets or alterations completed or commenced
applicable standards, there have been no since that approval that impacted
modifications completed or commenced compliance with construction-related
since the date of inspection that may accessibility standards with respect to the
impact compliance with construction- plaintiff’s claim.
related accessibility standards to the best of
(C) All construction related violations
the defendant’s knowledge.
giving rise to the claim have been corrected,
(B) An inspection report pertaining to the or will be corrected within 60 days of the
site has been issued by a CASp. The complaint being served upon the defendant.
inspection report shall be provided to the
(4) An application for an early evaluation
court and the plaintiff at least 15 days prior
conference and stay by a defendant described by
to the court date set for the early evaluation
subparagraph (C) of paragraph (2) of subdivision
conference.
(b) shall include the materials listed in paragraphs
(2) An application for an early evaluation (5) and (6) of this subdivision, and shall include a
conference and stay by a defendant described by signed declaration that states both of the
subparagraph (A) of paragraph (2) of subdivision following:
(b), which may be filed until January 1, 2018, shall
(A) The defendant is a small business that
include a signed declaration that states all of the
employs 25 or fewer employees and meets
following:
the gross receipts eligibility criteria provided
(A) The site’s new construction or in paragraph (2) of subdivision (f) of Section
improvement was approved pursuant to the 55.56.
local building permit and inspection process
(B) All construction-related violations
on or after January 1, 2008, and before
giving rise to the claim have been corrected,
January 1, 2016.

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or will be corrected within 30 days of the ******************************

complaint being served upon the defendant.
NOTICE OF INCOMPLETE TEXT: Forms relating to
(5) An application for an early evaluation
conference and stay by a small business Stay of Proceedings and Early Evaluation Conference
defendant under paragraph (4) shall include
evidence showing correction of all violations appear in the published chaptered bill.
within 30 days of the service of the complaint and
See Sec. 4, Chapter 755 (pp. 23–25), Statutes of 2015.
served upon the plaintiff with the reply unless the
application is filed prior to completion of the ******************************
corrections. In that event, the evidence shall be
provided to the court and served upon the (9) The provisional forms and any replacement
plaintiff within 10 days of the court order as Judicial Council forms shall include the
provided in paragraph (4) of subdivision (d). This defendant’s declaration of proof of service of the
paragraph shall not be construed to extend the application, the notice of the court’s order, and
permissible time under subdivision (f) of Section the court’s order pursuant to subdivision (d).
55.56 to make the corrections.
(d) Upon the filing of an application for stay and early
(6) An application for an early evaluation evaluation conference by a qualified defendant, or a
conference and stay by a small business defendant described by paragraph (2) of subdivision
defendant under paragraph (4) shall also include (b), the court shall immediately issue an order that
both of the following, which shall be confidential does all of the following:
documents filed only with the court and not
served upon or available to the plaintiff: (1) Grants a 90-day stay of the proceedings with
respect to the construction-related accessibility
(A) Proof of the defendant’s number of claim, unless the plaintiff has obtained temporary
employees, as shown by wage report forms injunctive relief that is still in place for the
filed with the Employment Development construction-related accessibility claim.
Department.
(2) Schedules a mandatory early evaluation
(B) Proof of the defendant’s average gross conference for a date as soon as possible from the
receipts for the previous three years, or for date of the order, but in no event later than 70
the existence of the business if less than days after issuance of the order, and in no event
three years, as shown by a federal or state earlier than 50 days after the filing of the request.
tax document.
(3) Directs the parties, and any other person
(7) An application for an early evaluation whose authority is required to negotiate and enter
conference and stay by a defendant described by into settlement, to appear in person at the time set
subparagraph (D) of paragraph (2) of subdivision for the conference. Appearance by counsel shall
(b) shall include a signed declaration that the not satisfy the requirement that the parties or
defendant was served with a complaint filed by a those with negotiation and settlement authority
high-frequency litigant, as defined in subdivision personally appear, provided, however, that the
(b) of Section 425.55 of the Code of Civil court may allow a party who is unable to attend in
Procedure, asserting a construction-related person due to his or her disability to participate in
accessibility claim, including, but not limited to, a the hearing by telephone or other alternative
claim brought under Section 51, 54, 54.1, or 55. means or through a representative authorized to
settle the case.
(8) The following provisional request and notice
forms may be used and filed by a qualified (4) (A) Directs the qualified defendant to file
defendant until forms are adopted by the Judicial with the court and serve on the plaintiff a
Council for those purposes pursuant to copy of any relevant CASp inspection report
subdivision (l): at least 15 days before the date of the
conference. The CASp inspection report is

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confidential and is available only as set forth paragraph shall not affect the right of the parties
in paragraph (5) of this subdivision and in to conduct otherwise appropriate discovery.
paragraph (4) of subdivision (e).
(7) Directs the plaintiff to file with the court and
(B) Directs a defendant described by serve on the defendant at least 15 days before the
subparagraph (A) or (B) of paragraph (2) of date of the conference a statement that includes,
subdivision (b) who has filed a declaration to the extent reasonably known, for use solely for
stating that the violation or violations have the purpose of the early evaluation conference, all
been corrected, or will be corrected within of the following:
60 days of service of the complaint to file
with the court and serve on the plaintiff (A) An itemized list of specific conditions
evidence showing correction of the violation on the subject premises that are the basis of
or violations within 10 calendar days after the claimed violations of construction-
the completion of the corrections. related accessibility standards in the
plaintiff’s complaint.
(C) Directs a defendant described by
subparagraph (C) of paragraph (2) of (B) The amount of damages claimed.
subdivision (b) who has filed a declaration
stating that the violation or violations have (C) The amount of attorney’s fees and
been corrected, or will be corrected within costs incurred to date, if any, that are being
30 days of service of the complaint to file claimed.
with the court and serve on the plaintiff
(D) Any demand for settlement of the case
within 10 days after issuance of the court
in its entirety.
order evidence of correction of the violation
or violations, if that evidence showing (e) (1) A party failing to comply with any court
correction was not filed previously with the order may be subject to court sanction at the
application and served on the plaintiff. court’s discretion.
(5) Directs the parties that the CASp inspection (2) (A) The court shall lift the stay when the
report may be disclosed only to the court, the defendant has failed to file and serve the
parties to the action, the parties’ attorneys, those CASp inspection report prior to the early
individuals employed or retained by the attorneys evaluation conference and has failed also to
to assist in the litigation, and insurance produce the report at the time of the early
representatives or others involved in the evaluation conference, unless the defendant
evaluation and settlement of the case. shows good cause for that failure.
(6) If the defendant so requests, directs the (B) The court shall lift the stay when a
parties that no later than 30 days after issuance of defendant described by paragraph (2) of
the court order the parties and their counsel, subdivision (b) has failed to file and serve the
accompanied by their experts if the parties so evidence showing correction of the violation
elect, shall meet in person at the subject or violations as required by law.
premises. They shall jointly inspect the portions of
the subject premises, and shall review any (3) The court may lift the stay at the conclusion
programmatic or policy issues, that are claimed to of the early evaluation conference upon a
constitute a violation of a construction-related showing of good cause by the plaintiff. Good
accessibility standard. The court may allow a cause may include the defendant’s failure to make
plaintiff who is unable to meet in person at the reasonably timely progress toward completion of
subject premises to be excused from participating corrections noted by a CASp.
in a site visit or to participate by telephone or
other alternative means for good cause. A plaintiff (4) The CASp inspection report filed and served
or plaintiff’s counsel is not required, but may pursuant to subdivision (d) shall remain
agree, to attend more than one in-person site confidential throughout the stay and shall
meeting. A site inspection pursuant to this continue to be confidential until the conclusion of

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

the claim, whether by dismissal, settlement, or conferences pursuant to this subdivision unless he or
final judgment, unless there is a showing of good she has received training regarding disability access
cause by any party. Good cause may include the requirements imposed by the federal Americans with
defendant’s failure to make reasonably timely Disabilities Act of 1990 (Public Law 101-336; 42 U.S.C.
progress toward completion of corrections noted Sec. 12101 et seq.), state laws that govern access to
by a CASp. The confidentiality of the inspection public facilities, and federal and state regulations
report shall terminate upon the conclusion of the adopted pursuant to those laws. For purposes of this
claim, unless the owner of the report obtains a subdivision, a “court early evaluation conference
court order pursuant to the California Rules of officer” means an attorney employed by the court who
Court to seal the record. has received training regarding disability access
requirements imposed by the federal Americans with
(f) All discussions at the early evaluation conference Disabilities Act of 1990, state laws that govern access to
shall be subject to Section 1152 of the Evidence Code. It public facilities, and federal and state regulations
is the intent of the Legislature that the purpose of the adopted pursuant to those laws. Attorneys serving in
evaluation conference shall include, but not be limited this capacity may also be utilized by the court for other
to, evaluation of all of the following, as applicable: purposes not related to these proceedings.

(1) Whether the defendant is entitled to the 90- (j) Nothing in this part shall be deemed to make any
day stay for some or all of the identified issues in inspection report, opinion, statement, or other finding
the case, as a qualified defendant. or conclusion of a CASp binding on the court, or to
abrogate in any manner the ultimate authority of the
(2) The current condition of the site and the court to make all appropriate findings of fact and law.
status of any plan of corrections, including The CASp inspection report and any opinion,
whether the qualified defendant has corrected or statement, finding, or conclusion therein shall be given
is willing to correct the alleged violations, and the the weight the trier of fact finds that it deserves.
timeline for doing so.
(k) Nothing in this part shall be construed to
(3) Whether subdivision (f) of Section 55.56 may invalidate or limit any California construction-related
be applicable to the case, and whether all accessibility standard that provides greater or equal
violations giving rise to the claim have been protection for the rights of individuals with disabilities
corrected within the specified time periods. than is afforded by the federal Americans with
Disabilities Act (Public Law 101-336; 42 U.S.C. Sec.
(4) Whether the case, including any claim for
12101 et seq.) and the federal regulations adopted
damages or injunctive relief, can be settled in
pursuant to that act.
whole or in part.
(l) (1) The Judicial Council shall, by January 1, 2013,
(5) Whether the parties should share other
prepare and post on its Internet Web site
information that may facilitate early evaluation
instructions and a form for use by a qualified
and resolution of the dispute.
defendant, or other defendant described by
(g) Nothing in this section precludes any party from paragraph (2) of subdivision (b), to file an
making an offer to compromise pursuant to Section 998 application for stay and early evaluation
of the Code of Civil Procedure. conference as provided in subdivisions (b) and (c),
a form for the court’s notice of stay and early
(h) For a claim involving a qualified defendant, as evaluation conference, and any other forms
provided in paragraph (1) of subdivision (b), the court appropriate to implement the provisions relating
may schedule additional conferences and may extend to early evaluation conferences. Until those forms
the 90-day stay for good cause shown, but not to are adopted, the Judicial Council shall post on its
exceed one additional 90-day extension. Internet Web site the provisional forms set forth
in subdivision (c).
(i) Early evaluation conferences shall be conducted
by a superior court judge or commissioner, or a court (2) Until the adoption of the forms as provided
early evaluation conference officer. A commissioner in paragraph (1), the provisional application form
shall not be qualified to conduct early evaluation

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may be used by a defendant described by corrected within 60 days of the

paragraph (2) of subdivision (b). complaint being served.

(3) In lieu of the provisions specified in number (C) That both of the following apply to a
3 of page 1 of the application form set forth in defendant described by subparagraph (C) of
paragraph (7) of subdivision (c), the application paragraph (2) of subdivision (b):
shall include one of the following declarations of
the defendant as to the basis for the application, (i) The defendant is a small business
as follows: described in paragraph (2) of
subdivision (f) of Section 55.56.
(A) That all of the following apply to a
defendant described by subparagraph (A) of (ii) The violation or violations giving
paragraph (2) of subdivision (b): rise to the claim have been corrected,
or will be corrected within 30 days of
(i) The site’s new construction or the complaint being served.
improvement was approved pursuant
to the local building permit and (4) In lieu of the provision specified in number
inspection process on or after January 4(c) of page 1 of the application form set forth in
1, 2008, and before January 1, 2016. paragraph (7) of subdivision (c), the application
shall include a request that the court order the
(ii) To the best of the defendant’s defendant to do either of the following:
knowledge there have been no
modifications or alterations completed (A) For a defendant who has filed a
or commenced since that approval that declaration stating that all violations have
impacted compliance with been corrected, or will be corrected within
construction-related accessibility 60 days of service of the complaint, file with
standards with respect to the plaintiff’s the court and serve on the plaintiff evidence
claim. showing correction of the violation or
violations within 10 calendar days of the
(iii) All the violations giving rise to the completion of the corrections.
claim have been corrected, or will be
corrected within 60 days of the (B) For a defendant who is a small business
complaint being served. that has filed a declaration stating that all
the violations have been corrected, or will be
(B) That all of the following apply to a corrected within 30 days of the service of the
defendant described by subparagraph (B) of complaint, file with the court and serve on
paragraph (2) of subdivision (b): the plaintiff evidence showing correction of
the violation or violations within 10 calendar
(i) The site’s new construction or days after issuance of the court order, if that
improvement was approved by a local evidence showing correction was not filed
public building department inspector previously with the application and served
who is a certified access specialist. on the plaintiff.

(ii) To the best of the defendant’s (5) The Judicial Council shall also prepare and
knowledge there have been no post on its Internet Web site instructions and
modifications or alterations completed cover pages to assist plaintiffs and defendants,
or commenced since that approval that respectively, to comply with their filing
impacted compliance with responsibilities under subdivision (d). The cover
construction-related accessibility pages shall also provide for the party’s declaration
standards with respect to the plaintiff’s
of proof of service of the pertinent document
claim.
served under the court order.
(iii) All the violations giving rise to the
claim have been corrected, or will be

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(m) The stay provisions shall not apply to any recovered in a construction-related accessibility claim
construction-related accessibility claim in which the against a place of public accommodation only if a
plaintiff has been granted temporary injunctive relief violation or violations of one or more construction-
that remains in place. related accessibility standards denied the plaintiff full
and equal access to the place of public accommodation
(n) This section shall not apply to any action brought on a particular occasion.
by the Attorney General, or by any district attorney, city
attorney, or county counsel. (b) A plaintiff is denied full and equal access only if
the plaintiff personally encountered the violation on a
(o) The amendments to this section made by Senate particular occasion, or the plaintiff was deterred from
Bill 1186 of the 2011–12 Regular Session of the accessing a place of public accommodation on a
Legislature shall apply only to claims filed on or after particular occasion.
the operative date of that act. Nothing in this part is
(c) A violation personally encountered by a plaintiff
intended to affect any complaint filed before that date.
may be sufficient to cause a denial of full and equal
(p) Nothing in this part is intended to affect existing access if the plaintiff experienced difficulty, discomfort,
law regarding class action requirements. (Added by or embarrassment because of the violation.
Stats. 2008, ch. 549. Amended by Stats. 2009, ch. 569;
(d) A plaintiff demonstrates that he or she was
Stats. 2012, ch. 383; Stats. 2015, ch. 755, effective deterred from accessing a place of public
October 10, 2015. Subd. (a) may become inoperative, accommodation on a particular occasion only if both of
and other provisions may have limited operation, under the following apply:
conditions prescribed by Stats. 2008, ch. 549, Sec. 12,
subd. (b). Note: See published chaptered bill for (1) The plaintiff had actual knowledge of a
complete section text. Forms relating to Stay of violation or violations that prevented or
Proceedings and Early Evaluation Conference appear on reasonably dissuaded the plaintiff from accessing
pages 23 to 25 of ch. 755.) a place of public accommodation that the plaintiff
intended to use on a particular occasion.

§ 55.55 Construction-Related Accessibility (2) The violation or violations would have

Claim–Attorney’s Fees and Costs; Additional Factors actually denied the plaintiff full and equal access if
to Consider the plaintiff had accessed the place of public
accommodation on that particular occasion.
Notwithstanding subdivision (f) of Section 55.54, in
determining an award of reasonable attorney’s fees and (e) (1) The following technical violations are
recoverable costs with respect to any construction- presumed to not cause a person difficulty,
related accessibility claim, the court may consider, along discomfort, or embarrassment for the purpose of
an award of minimum statutory damages in a
with other relevant information, written settlement
construction-related accessibility claim, as set
offers made and rejected by the parties. Nothing in this
forth in subdivision (c), where the defendant is a
section affects or modifies the inadmissibility of evidence
small business, as described by subparagraph (B)
regarding offers of compromise pursuant to Section 1152
of paragraph (2) of subdivision (g), the defendant
of the Evidence Code, including, but not limited to, has corrected, within 15 days of the service of a
inadmissibility to prove injury or damage. (Added by summons and complaint asserting a construction-
Stats. 2008, ch. 549.) related accessibility claim or receipt of a written
notice, whichever is earlier, all of the technical
violations that are the basis of the claim, and the
§ 55.56 Construction-Related Accessibility
claim is based on one or more of the following
Claim–Statutory Damages; Full and Equal Access
violations:
Denied; Reduction in Liability
(A) Interior signs, other than directional
(a) Statutory damages under either subdivision (a) of signs or signs that identify the location of
Section 52 or subdivision (a) of Section 54.3 may be accessible elements, facilities, or features,

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

when not all such elements, facilities, or (f) Statutory damages may be assessed pursuant to
features are accessible. subdivision (a) based on each particular occasion that
the plaintiff was denied full and equal access, and not
(B) The lack of exterior signs, other than upon the number of violations of construction-related
parking signs and directional signs, including accessibility standards identified at the place of public
signs that indicate the location of accessible accommodation where the denial of full and equal
pathways or entrance and exit doors when access occurred. If the place of public accommodation
not all pathways, entrance and exit doors are consists of distinct facilities that offer distinct services,
accessible. statutory damages may be assessed based on each
denial of full and equal access to the distinct facility,
(C) The order in which parking signs are and not upon the number of violations of construction-
placed or the exact location or wording of related accessibility standards identified at the place of
parking signs, provided that the parking signs public accommodation where the denial of full and
are clearly visible and indicate the location of equal access occurred.
accessible parking and van-accessible
parking. (g) (1) Notwithstanding any other law, a
defendant’s liability for statutory damages in a
(D) The color of parking signs, provided construction-related accessibility claim against a
that the color of the background contrasts place of public accommodation is reduced to a
with the color of the information on the sign. minimum of one thousand dollars ($1,000) for
each offense if the defendant demonstrates that
(E) The color of parking lot striping,
it has corrected all construction-related violations
provided that it exists and provides sufficient
that are the basis of a claim within 60 days of
contrast with the surface upon which it is
being served with the complaint, and the
applied to be reasonably visible.
defendant demonstrates any of the following:
(F) Faded, chipped, damaged, or
(A) The structure or area of the alleged
deteriorated paint in otherwise fully
violation was determined to be “CASp-
compliant parking spaces and passenger
inspected” or “meets applicable standards”
access aisles in parking lots, provided that it
and, to the best of the defendant’s
indicates the required dimensions of a
knowledge, there were no modifications or
parking space or access aisle in a manner
alterations that impacted compliance with
that is reasonably visible.
construction-related accessibility standards
(G) The presence or condition of detectable with respect to the plaintiff’s claim that were
warning surfaces on ramps, except where completed or commenced between the date
the ramp is part of a pedestrian path of of that determination and the particular
travel that intersects with a vehicular lane or occasion on which the plaintiff was allegedly
other hazardous area. denied full and equal access.

(2) The presumption set forth in paragraph (1) (B) The structure or area of the alleged
affects the plaintiff’s burden of proof and is violation was the subject of an inspection
rebuttable by evidence showing, by a report indicating “CASp determination
preponderance of the evidence, that the plaintiff pending” or “Inspected by a CASp,” and the
did, in fact, experience difficulty, discomfort, or defendant has either implemented
embarrassment on the particular occasion as a reasonable measures to correct the alleged
result of one or more of the technical violations violation before the particular occasion on
listed in paragraph (1). which the plaintiff was allegedly denied full
and equal access, or the defendant was in
(3) This subdivision shall apply only to claims the process of correcting the alleged
filed on or after the effective date of Senate Bill violation within a reasonable time and
269 of the 2015–16 Regular Session. manner before the particular occasion on

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which the plaintiff was allegedly denied full three years, as evidenced by wage report
and equal access. forms filed with the Economic Development
Department, and has average annual gross
(C) For a claim alleging a construction- receipts of less than three million five
related accessibility violation filed before hundred thousand dollars ($3,500,000) over
January 1, 2018, the structure or area of the the previous three years, or for the years it
alleged violation was a new construction or has been in existence if less than three years,
an improvement that was approved by, and as evidenced by federal or state income tax
passed inspection by, the local building returns. The average annual gross receipts
department permit and inspection process dollar amount shall be adjusted biannually
on or after January 1, 2008, and before by the Department of General Services for
January 1, 2016, and, to the best of the changes in the California Consumer Price
defendant’s knowledge, there were no Index for All Urban Consumers, as compiled
modifications or alterations that impacted by the Department of Industrial Relations.
compliance with respect to the plaintiff’s The Department of General Services shall
claim that were completed or commenced post that adjusted amount on its Internet
between the completion date of the new Web site.
construction or improvement and the
particular occasion on which the plaintiff was (3) (A) Notwithstanding any other law, a
allegedly denied full and equal access. defendant shall not be liable for minimum
statutory damages in a construction-related
(D) The structure or area of the alleged accessibility claim, with respect to a
violation was new construction or an violation noted in a report by a certified
improvement that was approved by, and access specialist (CASp), for a period of 120
passed inspection by a local building days following the date of the inspection if
department official who is a certified access the defendant demonstrates compliance
specialist, and, to the best of the defendant’s with each of the following:
knowledge, there were no modifications or
alterations that affected compliance with (i) The defendant is a business that,
respect to the plaintiff’s claim that were as of the date of inspection, has
completed or commenced between the employed 50 or fewer employees on
completion date of the new construction or average over the past three years, or for
improvement and the particular occasion on the years it has been in existence if less
which the plaintiff was allegedly denied full than three years, as evidenced by wage
and equal access. report forms filed with the Employment
Development Department.
(2) Notwithstanding any other law, a
defendant’s liability for statutory damages in a (ii) The structure or area of the
construction-related accessibility claim against a alleged violation was the subject of an
place of public accommodation is reduced to a inspection report indicating “CASp
minimum of two thousand dollars ($2,000) for determination pending” or “Inspected
each offense if the defendant demonstrates both by a CASp.”
of the following:
(iii) The inspection predates the filing
(A) The defendant has corrected all of the claim by, or receipt of a demand
construction-related violations that are the letter from, the plaintiff regarding the
basis of a claim within 30 days of being alleged violation of a construction-
served with the complaint. related accessibility standard, and the
defendant was not on notice of the
(B) The defendant is a small business that alleged violation prior to the CASp
has employed 25 or fewer employees on inspection.
average over the past three years, or for the
years it has been in existence if less than

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(iv) The defendant has corrected, (7) Nothing in this subdivision affects the
within 120 days of the date of the awarding of actual damages, or affects the
inspection, all construction-related awarding of treble actual damages.
violations in the structure or area
inspected by the CASp that are noted in (8) This subdivision shall apply only to claims
the CASp report that are the basis of filed on or after the effective date of Chapter 383
the claim. of the Statutes of 2012, except for paragraphs (3),
(4), and (5), which shall apply only to claims filed
(B) Notwithstanding any other law, a on or after the effective date of Senate Bill 269 of
defendant who claims the benefit of the the 2015–16 Regular Session. Nothing in this
reduction of, or protection from liability for, subdivision is intended to affect a complaint filed
minimum statutory damages under this before those dates, as applicable.
subdivision shall disclose the date and
findings of any CASp inspection to a plaintiff (h) This section does not alter the applicable law for
if relevant to a claim or defense in an action. the awarding of injunctive or other equitable relief for a
violation or violations of one or more construction-
(4) A defendant may claim the protection from related accessibility standards, nor alter any legal
liability for minimum statutory damages under obligation of a party to mitigate damages.
paragraph (3) only once for each structure or area
inspected by a CASp, unless the inspected (i) In assessing liability under subdivision (d), in an
structure or area has undergone modifications or action alleging multiple claims for the same
alterations that affect the compliance with construction-related accessibility violation on different
construction-related accessibility standards of particular occasions, the court shall consider the
those structures or areas after the date of the last reasonableness of the plaintiff’s conduct in light of the
inspection, and the defendant obtains an plaintiff’s obligation, if any, to mitigate damages.
additional CASp inspection within 30 days of final
approval by the building department or certificate (j) For purposes of this section, the “structure or area
of occupancy, as appropriate, regarding the inspected” means one of the following: the interior of
modification or alterations. the premises, the exterior of the premises, or both the
interior and exterior. (Added by Stats. 2008, ch. 549.
(5) If the defendant has failed to correct, within Amended by Stats. 2012, ch. 383; Stats. 2013, ch. 76;
120 days of the date of the inspection, all Stats. 2016, ch. 13, effective May 10, 2016.)
construction-related violations in the structure or
area inspected by the CASp that are noted in the [Publisher’s Note: The following paragraphs concern
CASp report, the defendant shall not receive any Civil Code §§ 55.3-55.32 and § 55.56 and was added by
protection from liability for minimum statutory Stats. 2012, ch. 383, but not codified. It is provided
damages pursuant to paragraph (3), unless a below for your information.]
building permit is required for the repairs which
SEC. 24. The Legislature finds and declares that a very
cannot reasonably be completed by the defendant
small number of plaintiffs’ attorneys have been abusing
within 120 days and the defendant is in the
the right of petition under Sections 52 and 54.3 of the
process of correcting the violations noted in the
Civil Code by issuing a demand for money to a
CASp report, as evidenced by having, at least, an
California business owner that demands the owner pay
active building permit necessary for the repairs to
a quick settlement of the attorney’s alleged claim under
correct the violation that was noted, but not
those laws or else incur greater liability and legal costs
corrected, in the CASp report and all of the repairs
if a lawsuit is filed. These demands for money allege
are completed within 180 days of the date of the
one or more, but frequently multiple, claims for
inspection.
asserted violations of a construction-related
(6) This subdivision shall not be applicable to accessibility standard and often demand a quick money
intentional violations. settlement based on the alleged multiple claims
without seeking and obtaining actual repair or
correction of the alleged violations on the site. These
“pay me now or pay me more” demands are used to

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scare businesses into paying quick settlements that and circumstances may make mitigation efforts
only financially enrich the attorney and claimant and do impossible or futile in cases involving multiple instances
not promote accessibility either for the claimant or the of deterrence on separate particular occasions where
disability community as a whole. These practices, often the individual has a reasonable explanation for the
involving a series of demand for money letters sent to need for multiple visits to the same site.
numerous businesses, do not promote compliance with
the accessibility requirements and erode public support (c) Further, nothing in subdivision (h) of Section
for and confidence in our laws. Therefore, the 55.56 of the Civil Code is intended to change existing
Legislature finds and declares that it is necessary and law with respect to the fact that an alleged failure to
appropriate to enact Sections 55.31 and 55.32 of the mitigate damages is pled and proven as an affirmative
Civil Code, and Section 425.50 of the Code of Civil defense.
Procedure to protect the public’s confidence and
support of the right to petition under Sections 52 and SEC. 26. The provisions of this act are severable. If any
54.3 of the Civil Code. provision of this act or its application is held invalid,
that invalidity shall not affect other provisions or
SEC. 25. The Legislature finds and declares all of the applications that can be given effect without the invalid
following: provision or application.

(a) Subdivision (h) of Section 55.56 of the Civil Code, SEC. 29. This act is an urgency statute necessary for the
as added by Section 11 of this act, is intended to immediate preservation of the public peace, health, or
address the misuse of Sections 52 and 54.3 of the Civil safety within the meaning of Article IV of the
Code by a small minority of disability rights lawyers and Constitution and shall go into immediate effect. The
plaintiffs. These lawyers and plaintiffs have alleged in facts constituting the necessity are: In order to avoid
demand letters and complaints that they were deterred unnecessary litigation and to facilitate compliance with
on repeated occasions by the same violation of a the disability access law, it is necessary that this act
construction-related accessibility standard and thereby take effect immediately.
assert multiple claims for the same violation without a
reasonable explanation for the repeated conduct in
§ 55.61 Gender Discrimination in Services
light of the obligation to mitigate damages. Their
assertions of these “stacked” multiple claims for the Compliance Act–Short Title
same construction-related accessibility violation on
This part shall be known, and may be cited, as the
different occasions are made to substantially increase
Small Business Gender Discrimination in Services
the purported statutory liability of a defendant in order
Compliance Act. (Added by Stats. 2017, ch. 156.)
to intimidate and pressure the defendant into making a
quick monetary settlement. The provisions of
subdivision (h) of Section 55.56 of the Civil Code § 55.62 Gender Discrimination in Services
reiterate that where multiple claims for the same Claim–Definitions; Attorney Requirements When
construction-related accessibility violation on separate Providing a Demand Letter; Advisory Notice;
particular occasions are alleged, a plaintiff’s conduct
Penalties
must have a reasonable explanation for the asserted
need for multiple visits to a site where a known barrier (a) For purposes of this part, the following definitions
violation would deny full and equal access, in light of apply:
the obligation to mitigate damages.
(1) “Gender discrimination in pricing services
(b) Correspondingly, if there is a reasonable claim” means any civil claim in a civil action with
explanation in light of the obligation to mitigate respect to a business establishment, including, but
damages for the need to make multiple visits to a site not limited to, a claim brought under Section 51 or
where a known barrier violation would deny full and 51.6, based wholly or in part on an alleged price
equal access, a multiple claim for repeated violations of difference charged for services of similar or like
the same construction-related accessibility standard kind, against a person because of the person’s
may properly lie. In addition, there may be clear gender.
instances when the needs of a person with a disability

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(2) “Demand letter” means a prelitigation written to the price charged for services of similar or like
document that is provided to a business alleging a kind, against a person because of that person’s
gender discrimination in pricing services claim and gender.
demanding money, whether or not the attorney
intends to file a complaint, or eventually files a YOU HAVE IMPORTANT LEGAL OBLIGATIONS.
complaint, in state court. State law requires that businesses charge the
same price for the same services, or services of
(b) An attorney shall provide the following items with the same or similar kind, regardless of the
each demand letter or complaint sent to or served upon customer’s gender. In addition, state law requires
a defendant or potential defendant alleging gender that certain business establishments clearly and
discrimination in pricing services, including, but not conspicuously disclose to their customers in
limited to, claims brought pursuant to Section 51 or 51.6: writing the pricing for each standard service
provided. The posting requirement applies to the
(1) A copy of the written advisory notice as
following businesses:
specified in subdivision (c). Until the Judicial Council
adopts this notice, the attorney shall provide a (1) Tailors or businesses providing aftermarket
written statement that replicates the advisory clothing alterations.
notice described in subdivision (c).
(2) Barbers or hair salons.
(2) A copy of the pamphlet or other informational
material specified in Section 55.63, after the (3) Dry cleaners and laundries providing services
pamphlet or material is developed by the to individuals.
Department of Consumer Affairs.
YOU HAVE IMPORTANT LEGAL RIGHTS. The
(c) On or before January 1, 2019, the Judicial Council allegations made in the accompanying demand
shall adopt a written advisory notice that shall be used letter or court complaint do not mean that you
by a plaintiff’s attorney to comply with the requirements
are required to pay any money unless and until a
of paragraph (1) of subdivision (b). The advisory notice
court finds you liable. Moreover, RECEIPT OF A
shall be available in English, Spanish, Chinese,
DEMAND LETTER OR COURT COMPLAINT AND
Vietnamese, and Korean, and shall include a statement
THIS ADVISORY DOES NOT NECESSARILY MEAN
that the advisory notice is available in additional
YOU WILL BE FOUND LIABLE FOR ANYTHING.
languages, and the Judicial Council Internet Web site
address where the different versions of the advisory You have the right to seek assistance or advice
notice are located. The advisory notice shall state the
about this demand letter or complaint from any
following:
person of your choice. If you have insurance, you
ADVISORY NOTICE TO DEFENDANT may also wish to contact your insurance provider.
Your best interest may be served by seeking legal
STATE LAW REQUIRES THAT YOU GET THIS advice or representation from an attorney, but
IMPORTANT ADVISORY INFORMATION FOR you may also represent yourself and file the
BUSINESSES necessary court papers to protect your interests if
you are served with a court complaint. If you
This information is available in English, Spanish, have hired an attorney to represent you, you
Chinese, Vietnamese, and Korean through the should immediately notify your attorney.
Judicial Council of California. Persons with visual
impairments can get assistance in viewing this ADDITIONAL THINGS YOU SHOULD KNOW
form through the Judicial Council Internet Web
site at www.courts.ca.gov. WHEN YOU CAN AND CANNOT CHARGE
DIFFERENT PRICES: The Gender Tax Repeal Act of
California law requires that you receive this 1995 (California Civil Code Section 51.6) prohibits
information because the demand letter or court a business from charging a different price for the
complaint you received with this document same service because of the gender of the person
claims that you have discriminated, with respect receiving the service. However, you may charge

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different prices based specifically upon the by the following business establishments: tailors
amount of time, difficulty, or cost of providing and businesses providing aftermarket clothing
the services. alterations; barbers and hair salons; and dry
cleaners and laundries providing services to
POSTING PRICES: The Gender Tax Repeal Act of individuals. The pamphlet shall explain the
1995 also requires that certain businesses clearly business’ rights and obligations under Section
disclose to the customer in writing the price of 51.6 in clear and concise language. Specifically,
each standard service provided. This pricing the pamphlet shall explain that the business is
disclosure is required for the following prohibited from charging different prices for
businesses: tailors or businesses providing services of similar or like kind based on the
aftermarket clothing alterations; barbers or hair customer’s gender, unless the price difference is
salons; dry cleaners and laundries providing based upon the amount of time, difficulty, or cost
service to individuals. The price list must be of providing the services and that the business
posted in a place where customers will likely see shall disclose a price list and sign in the manner
it and it must be in no less than 14-point boldface prescribed in subdivision (f) of Section 51.6. The
font. A business must also provide a written copy pamphlet shall explain that a business has 30 days
of the prices to the customer if one is requested to correct any violation of the posting
by the customer. Finally, a business must clearly requirements in subdivision (f) of Section 51.6 and
and conspicuously display a sign, in no less than that a business that fails to correct within 30 days
24-point font, that reads: of receiving notice of the violation is liable for a
civil penalty of one thousand dollars ($1,000). The
“CALIFORNIA LAW PROHIBITS ANY BUSINESS department may include any other information
ESTABLISHMENT FROM DISCRIMINATING, WITH that would help the business comply with Section
RESPECT TO THE PRICE CHARGED FOR SERVICES 51.6. The department shall subsequently revise
OF SIMILAR OR LIKE KIND, AGAINST A PERSON the pamphlet, as necessary.
BECAUSE OF THE PERSON’S GENDER. A
(2) The department shall provide the pamphlet
COMPLETE PRICE LIST IS AVAILABLE UPON
or other informational materials required by
REQUEST.”
paragraph (1) to an affected business
RIGHT TO CORRECT A POSTING VIOLATION ONLY: establishment at the time that the business
establishment applies for or renews a license, at
If you receive a written notice claiming that you
the time of any inspection, or at both times. The
have failed to properly post any of the above
department shall post a copy of the pamphlet or
information, you have 30 days to correct the
other informational materials on its internet
violation. If you fail to correct the violation you
website.
will be liable for a civil penalty of $1,000. (Note
that the 30-day period to correct applies only to (3) Commencing October 1, 2020, the
posting violations, not to discriminatory pricing department shall provide the pamphlet and
violations.) other informational materials required by
paragraph (1) in English, Spanish, Chinese,
(d) This section does not apply to an action brought by Tagalog, Vietnamese, and Korean.
the Attorney General or any district attorney, city
attorney, or county counsel. (Added by Stats. 2017, ch. (b) By October 1, 2020, the department shall
156.) develop a written notice explaining the requirements
and obligations specified in Section 51.6. The notice
shall be available in English, Spanish, Chinese, Tagalog,
§ 55.63 Pamphlet or Informational Materials for Vietnamese, and Korean. The department shall post a
Use by Businesses; Rights and Obligations; Provision copy of the notice in each language on its internet
of Pamphlet website in a format available for download. The
department shall subsequently revise the notice, as
(a) (1) On or before January 1, 2019, the necessary. (Added by Stats. 2017, ch. 156. Amended
Department of Consumer Affairs shall develop a by Stats. 2019, ch. 293.)
pamphlet or other informational materials for use

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§ 224.10 (Repealed and incorporated into Family Code (d) This section establishes a special proceeding of a
Section 8800 by Stats. 1992, ch. 162.) civil nature. Any order made under subdivision (a), (b),
or (c) which determines the rights of a petitioner or an
attorney against whom a pleading has been or is
§ 225m. (Repealed and renumbered by Stats. 1990, ch. proposed to be filed, shall be appealable as a final
1363.) judgment in a civil action.

(e) Subdivision (d) does not constitute a change in,

§ 1714.10 Attorney-Client Civil Conspiracy; Proof but is declaratory of, the existing law. (Added by Stats.
and Pre-Pleading Court Determination; Defense; 1988, ch. 1052. Amended by Stats. 1991, ch. 916;
Limitations; Appeal Stats. 1992, ch. 427; Stats. 1993, ch. 645; Stats. 2000,
ch. 472.)
(a) No cause of action against an attorney for a civil
conspiracy with his or her client arising from any
attempt to contest or compromise a claim or dispute, § 1717 Action on Contract;  Award of
and which is based upon the attorney’s representation Attorney's Fees and Costs;  Prevailing Party;  Deposit
of the client, shall be included in a complaint or other of Amounts in Insured, Interest-Bearing Account;
pleading unless the court enters an order allowing the  Damages Not Based on Contract
pleading that includes the claim for civil conspiracy to
be filed after the court determines that the party (a) In any action on a contract, where the contract
seeking to file the pleading has established that there is specifically provides that attorney’s fees and costs,
a reasonable probability that the party will prevail in which are incurred to enforce that contract, shall be
the action. The court may allow the filing of a pleading awarded either to one of the parties or to the
claiming liability based upon such a civil conspiracy prevailing party, then the party who is determined to
following the filing of a verified petition therefor be the party prevailing on the contract, whether he or
accompanied by the proposed pleading and supporting she is the party specified in the contract or not, shall
affidavits stating the facts upon which the liability is be entitled to reasonable attorney’s fees in addition
based. The court shall order service of the petition to other costs.
upon the party against whom the action is proposed to
be filed and permit that party to submit opposing Where a contract provides for attorney’s fees, as set
affidavits prior to making its determination. The filing forth above, that provision shall be construed as
of the petition, proposed pleading, and accompanying applying to the entire contract, unless each party was
affidavits shall toll the running of any applicable statute represented by counsel in the negotiation and
of limitations until the final determination of the execution of the contract, and the fact of that
matter, which ruling, if favorable to the petitioning representation is specified in the contract.
party, shall permit the proposed pleading to be filed.
Reasonable attorney’s fees shall be fixed by the court,
(b) Failure to obtain a court order where required by and shall be an element of the costs of suit.
subdivision (a) shall be a defense to any action for civil
conspiracy filed in violation thereof. The defense shall Attorney’s fees provided for by this section shall not
be raised by the attorney charged with civil conspiracy be subject to waiver by the parties to any contract
upon that attorney’s first appearance by demurrer, which is entered into after the effective date of this
motion to strike, or such other motion or application as section. Any provision in any such contract which
may be appropriate. Failure to timely raise the defense provides for a waiver of attorney’s fees is void.
shall constitute a waiver thereof.
(b) (1) The court, upon notice and motion by a
(c) This section shall not apply to a cause of action party, shall determine who is the party prevailing
against an attorney for a civil conspiracy with his or her on the contract for purposes of this section,
client, where (1) the attorney has an independent legal whether or not the suit proceeds to final
duty to the plaintiff, or (2) the attorney’s acts go judgment. Except as provided in paragraph (2),
beyond the performance of a professional duty to serve the party prevailing on the contract shall be the
the client and involve a conspiracy to violate a legal party who recovered a greater relief in the
duty in furtherance of the attorney’s financial gain. action on the contract. The court may also

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determine that there is no party prevailing on party prevailing on the contract shall be entitled to
the contract for purposes of this section. reasonable attorney’s fees, as provided below, in
addition to other costs. The prevailing party on the
(2) Where an action has been voluntarily contract shall be the party who recovered a greater
dismissed or dismissed pursuant to a settlement relief in the action on the contract. The court may
of the case, there shall be no prevailing party for determine that there is no party prevailing on the
purposes of this section. contract for purposes of this section.

Where the defendant alleges in his or her answer that Reasonable attorney’s fees awarded pursuant to this
he or she tendered to the plaintiff the full amount to section for the prevailing party bringing the action on
which he or she was entitled, and thereupon deposits the book account shall be fixed by the court in an
in court for the plaintiff, the amount so tendered, and amount that shall not exceed the lesser of: (1) nine
the allegation is found to be true, then the defendant hundred sixty dollars ($960) for book accounts based
is deemed to be a party prevailing on the contract upon an obligation owing by a natural person for
within the meaning of this section. goods, moneys, or services which were primarily for
personal, family, or household purposes; and one
Where a deposit has been made pursuant to this thousand two hundred dollars ($1,200) for all other
section, the court shall, on the application of any book accounts to which this section applies; or (2) 25
party to the action, order the deposit to be invested in percent of the principal obligation owing under the
an insured, interest-bearing account. Interest on the contract.
amount shall be allocated to the parties in the same
proportion as the original funds are allocated. For the party against whom the obligation on the
book account was asserted in the action subject to
(c) In an action which seeks relief in addition to that this section, if that party is found to have no
based on a contract, if the party prevailing on the obligation owing on a book account, the court shall
contract has damages awarded against it on causes of award that prevailing party reasonable attorney’s fees
action not on the contract, the amounts awarded to not to exceed nine hundred sixty dollars ($960) for
the party prevailing on the contract under this section book accounts based upon an obligation owing by a
shall be deducted from any damages awarded in favor natural person for goods, moneys, or services which
of the party who did not prevail on the contract. If the were primarily for personal, family, or household
amount awarded under this section exceeds the purposes, and one thousand two hundred dollars
amount of damages awarded the party not prevailing ($1,200) for all other book accounts to which this
on the contract, the net amount shall be awarded the section applies. These attorney’s fees shall be an
party prevailing on the contract and judgment may be element of the costs of the suit.
entered in favor of the party prevailing on the
contract for that net amount. (Added by Stats. 1968, If there is a written agreement between the parties
ch. 266. Amended by Stats. 1981, ch. 888; Stats. 1983, signed by the person to be charged, the fees provided
ch. 1073; Stats. 1986, ch. 377; Stats. 1986, ch. 785; by this section may not be imposed unless that
Stats. 1987, ch. 1080.) agreement contains a statement that the prevailing
party in any action between the parties is entitled to
the fees provided by this section.
§ 1717.5 Action on Contract Based on Book
Account;  Award of Attorney's Fees for the Prevailing (b) The attorney’s fees allowed pursuant to this
Party;  Effect of Written Agreement; Scope of section shall be the lesser of either the maximum
Application amount allowed by this section, the amount provided
by any default attorney’s fee schedule adopted by the
(a) Except as otherwise provided by law or where court applicable to the suit, or an amount as
waived by the parties to an agreement, in any action otherwise provided by the court. Any claim for
on a contract based on a book account, as defined in attorney’s fees pursuant to this section in excess of
Section 337a of the Code of Civil Procedure, entered the amounts set forth in the default attorney’s fee
into on or after January 1, 1987, which does not schedule shall be reasonable attorney’s fees, as
provide for attorney’s fees and costs, as provided in proved by the party, as actual and necessary for the
Section 1717, the party who is determined to be the claim that is subject to this section.

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(c) This section does not apply to any action in and Urban Development (HUD) is available from your
which an insurance company is a party nor shall an local HUD office or by visiting www.hud.gov.
insurance company, surety, or guarantor be liable
under this section, in the absence of a specific (b) If loan modification or other mortgage loan
contractual provision, for the attorney’s fees and costs forbearance services are offered or negotiated in one
awarded a prevailing party against its insured. of the languages set forth in Section 1632, a translated
copy of the statement in subdivision (a) shall be
This section does not apply to any action in which a provided to the borrower in that foreign language.
bank, a savings association, a federal association, a
state or federal credit union, or a subsidiary, affiliate, (c) A violation of this section by a natural person is a
or holding company of any of those entities, or an public offense punishable by a fine not exceeding ten
authorized industrial loan company, a licensed thousand dollars ($10,000), by imprisonment in the
consumer finance lender, or a licensed commercial county jail for a term not to exceed one year, or by
finance lender, is a party. (Added by Stats. 1986, ch. both that fine and imprisonment, or if by a business
884. Amended by Stats. 1987, ch. 764; Stats. 1991, ch. entity, the violation is punishable by a fine not
406; Stats. 1992, ch. 530; Stats. 2004, ch. 328; Stats. exceeding fifty thousand dollars ($50,000). These
2015, ch. 80.) penalties are cumulative to any other remedies or
penalties provided by law.

§ 1940.05 “Immigration or citizenship status”– (d) This section does not apply to a person, or an
Defined agent acting on that person’s behalf, offering loan
modification or other loan forbearance services for a
For purposes of this chapter, “immigration or loan owned or serviced by that person.
citizenship status” includes a perception that the
person has a particular immigration status or (e) This section shall apply only to mortgages and
citizenship status, or that the person is associated deeds of trust secured by residential real property
with a person who has, or is perceived to have, a containing four or fewer dwelling units. (Added by
particular immigration status or citizenship status. Stats. 2009, ch. 630, operative October 11, 2009.)
(Added by Stats. 2017, ch. 489.)

§ 2944.7 Mortgage Loan Modifications–Person

§ 2944.6 Mortgage Loan Modifications–Person Offering to Perform Modification for a Fee;
Offering to Perform Modification for a Fee; Notice to Prohibitions; Violations
Borrower; Violations
(a) Notwithstanding any other law, it shall be
(a) Notwithstanding any other provision of law, any unlawful for any person who negotiates, attempts to
person who negotiates, attempts to negotiate, negotiate, arranges, attempts to arrange, or otherwise
arranges, attempts to arrange, or otherwise offers to offers to perform a mortgage loan modification or
perform a mortgage loan modification or other form of other form of mortgage loan forbearance for a fee or
mortgage loan forbearance for a fee or other other compensation paid by the borrower, to do any of
compensation paid by the borrower, shall provide the the following:
following to the borrower, as a separate statement, in
not less than 14-point bold type, prior to entering into (1) Claim, demand, charge, collect, or receive any
any fee agreement with the borrower: compensation until after the person has fully
performed each and every service the person
It is not necessary to pay a third party to arrange for a contracted to perform or represented that he or
loan modification or other form of forbearance from she would perform.
your mortgage lender or servicer. You may call your
lender directly to ask for a change in your loan terms. (2) Take any wage assignment, any lien of any
Nonprofit housing counseling agencies also offer these type on real or personal property, or other
and other forms of borrower assistance free of charge. security to secure the payment of compensation.
A list of nonprofit housing counseling agencies
approved by the United States Department of Housing

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(3) Take any power of attorney from the (3) Accepting payment from a federal agency in
borrower for any purpose. connection with the federal Making Home
Affordable Plan or other federal plan intended to
(b) A violation of this section by a natural person is help borrowers refinance or modify their loans
punishable by a fine not exceeding ten thousand or otherwise avoid foreclosures.
dollars ($10,000), by imprisonment in the county jail
for a term not to exceed one year, or by both that fine (e) This section shall apply only to mortgages and
and imprisonment, or if by a business entity, the deeds of trust secured by residential real property
violation is punishable by a fine not exceeding fifty containing four or fewer dwelling units. (Added by
thousand dollars ($50,000). These penalties are Stats. 2009, ch. 630, operative October 11, 2009.
cumulative to any other remedies or penalties Amended by Stats. 2012, ch. 563; Stats. 2012, ch. 569;
provided by law. Stats. 2014, ch. 457.)

(c) In addition to the penalties and remedies

provided by Chapter 5 (commencing with Section § 2944.8 Mortgage Loan Modifications–
17200) of Part 2 of Division 7 of the Business and Negotiating or Offering to Perform Mortgage Loan
Professions Code, a person who violates this section Modification for a Fee; Additional Penalties Where
shall be liable for a civil penalty not to exceed twenty Victim is Senior Citizen or Disabled Person
thousand dollars ($20,000) for each violation, which
shall be assessed and recovered in a civil action (a) In addition to any liability for a civil penalty
brought in the name of the people of the State of pursuant to Section 2944.7, if a person violates Section
California by the Attorney General, by any district 2944.7 with respect to a victim who is a senior citizen
attorney, by any county counsel authorized by or a disabled person, the violator may be liable for a
agreement with the district attorney in actions civil penalty not to exceed two thousand five hundred
involving a violation of a county ordinance, by any city dollars ($2,500) for each violation, which may be
attorney of a city having a population in excess of assessed and recovered in a civil action.
750,000, by any city attorney of any city and county,
or, with the consent of the district attorney, by a city (b) As used in this section, the following terms have
prosecutor in any city having a full-time city the following meanings:
prosecutor, in any court of competent jurisdiction
pursuant to Chapter 5 (commencing with Section (1) “Disabled person” means a person who has a
17200) of Part 2 of Division 7 of the Business and physical or mental disability, as defined in Sections
Professions Code. 12926 and 12926.1 of the Government Code.

(d) Nothing in this section precludes a person, or an (2) “Senior citizen” means a person who is 65
agent acting on that person’s behalf, who offers loan years of age or older.
modification or other loan forbearance services for a
(c) In determining whether to impose a civil penalty
loan owned or serviced by that person, from doing
pursuant to subdivision (a) and the amount thereof, the
any of the following:
court shall consider, in addition to any other
(1) Collecting principal, interest, or other appropriate factors, the extent to which one or more of
charges under the terms of a loan, before the the following factors are present:
loan is modified, including charges to establish a
(1) Whether the defendant knew or should have
new payment schedule for a nondelinquent loan,
known that his or her conduct was directed to one
after the borrower reduces the unpaid principal
or more senior citizens or disabled persons.
balance of that loan for the express purpose of
lowering the monthly payment due under the (2) Whether the defendant’s conduct caused one
terms of the loan. or more senior citizens or disabled persons to suffer
any of the following: loss or encumbrance of a
(2) Collecting principal, interest, or other
primary residence, principal employment, or source
charges under the terms of a loan, after the loan
of income, substantial loss of property set aside for
is modified.
retirement, or for personal or family care and

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maintenance, or substantial loss of payments (3) Assist the owner to exercise the right of
received under a pension or retirement plan or a reinstatement provided in Section 2924c.
government benefits program, or assets essential to
the health or welfare of the senior citizen or disabled (4) Obtain any extension of the period within
person. which the owner may reinstate his or her
obligation.
(3) Whether one or more senior citizens or
disabled persons are substantially more (5) Obtain any waiver of an acceleration clause
vulnerable than other members of the public to contained in any promissory note or contract
the defendant’s conduct because of age, poor secured by a deed of trust or mortgage on a
health or infirmity, impaired understanding, residence in foreclosure or contained that deed of
restricted mobility, or disability, and actually trust or mortgage.
suffered substantial physical, emotional, or
economic damage resulting from the defendant’s (6) Assist the owner to obtain a loan or advance
conduct. of funds.

(d) A court of competent jurisdiction hearing an (7) Avoid or ameliorate the impairment of the
action pursuant to this section may make orders and owner’s credit resulting from the recording of a
judgments as necessary to restore to a senior citizen or notice of default or the conduct of a foreclosure
disabled person money or property, real or personal, sale.
that may have been acquired by means of a violation of
(8) Save the owner’s residence from foreclosure.
Section 2944.7. (Added by Stats. 2014, ch. 457.)
(9) Assist the owner in obtaining from the
beneficiary, mortgagee, trustee under a power of
§ 2944.10 Mortgage Loan Modifications–
sale, or counsel for the beneficiary, mortgagee, or
Negotiating or Offering to Perform Mortgage Loan
trustee, the remaining proceeds from the
Modification for a Fee; Additional Penalties Where foreclosure sale of the owner’s residence.
Victim is Senior Citizen or Disabled Person
(b) A foreclosure consultant does not include any of
Any action to enforce any cause of action pursuant to the following:
Section 2944.7 or 2944.8 shall be commenced within
four years after the cause of action accrued. No cause (1) A person licensed to practice law in this state
of action barred under existing law on the effective when the person renders service in the course of
date of this section shall be revived by its enactment. his or her practice as an attorney at law.
(Added by Stats. 2014, ch. 457.)
(2) A person licensed under Division 3
(commencing with Section 12000) of the Financial
§ 2945.1 Foreclosure Consultants–Defined Code when the person is acting as a prorater as
defined therein.
The following definitions apply to this chapter:
(3) A person licensed under Part 1 (commencing
(a) “Foreclosure consultant” means any person who with Section 10000) of Division 4 of the Business
makes any solicitation, representation, or offer to any and Professions Code when the person is acting
owner to perform for compensation or who, for under the authority of that license, as described in
compensation, performs any service which the person Section 10131 or 10131.1 of the Business and
in any manner represents will in any manner do any of Professions Code.
the following:
(4) A person licensed under Chapter 1
(1) Stop or postpone the foreclosure sale. (commencing with Section 5000) of Division 3 of
the Business and Professions Code when the
(2) Obtain any forbearance from any beneficiary
person is acting in any capacity for which the
or mortgagee.
person is licensed under those provisions.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(5) A person or his or her authorized agent payment of any obligation secured by a lien on a
acting under the express authority or written residence in foreclosure.
approval of the Department of Housing and Urban
Development or other department or agency of (3) Contacting creditors on behalf of an owner
the United States or this state to provide services. of a residence in foreclosure.

(6) A person who holds or is owed an obligation (4) Arranging or attempting to arrange for an
secured by a lien on any residence in foreclosure extension of the period within which the owner of
when the person performs services in connection a residence in foreclosure may cure his or her
with this obligation or lien. default and reinstate his or her obligation
pursuant to Section 2924c.
(7) Any person licensed to make loans pursuant
to Division 9 (commencing with Section 22000) of (5) Arranging or attempting to arrange for any
the Financial Code when the person is acting delay or postponement of the time of sale of the
under the authority of that license. residence in foreclosure.

(8) Any person or entity doing business under (6) Advising the filing of any document or
any law of this state, or of the United States assisting in any manner in the preparation of any
relating to banks, trust companies, savings and document for filing with any bankruptcy court.
loan associations, industrial loan companies,
pension trusts, credit unions, insurance (7) Giving any advice, explanation or instruction
companies, or any person or entity authorized to an owner of a residence in foreclosure which in
under the laws of this state to conduct a title or any manner relates to the cure of a default in or
escrow business, or a mortgagee which is a United the reinstatement of an obligation secured by a
States Department of Housing and Urban lien on the residence in foreclosure, the full
Development approved mortgagee and any satisfaction of that obligation, or the
subsidiary or affiliate of the above, and any agent postponement or avoidance of a sale of a
or employee of the above while engaged in the residence in foreclosure pursuant to a power of
business of these persons or entities. sale contained in any deed of trust.

(9) A person licensed as a residential mortgage (8) Arranging or attempting to arrange for the
lender or servicer pursuant to Division 20 payment by the beneficiary, mortgagee, trustee
(commencing with Section 50000) of the Financial under a power of sale, or counsel for the
Code, when acting under the authority of that beneficiary, mortgagee, or trustee, of the
license. remaining proceeds to which the owner is entitled
from a foreclosure sale of the owner’s residence
(c) Notwithstanding subdivision (b), any person who in foreclosure. Arranging or attempting to arrange
provides services pursuant to paragraph (9) of for the payment shall include any arrangement
subdivision (a) is a foreclosure consultant unless he or where the owner transfers or assigns the right to
she is the owner’s attorney. the remaining proceeds of a foreclosure sale to
the foreclosure consultant or any person
(d) “Person” means any individual, partnership, designated by the foreclosure consultant, whether
corporation, limited liability company, association or that transfer is effected by agreement,
other group, however organized. assignment, deed, power of attorney, or
assignment of claim.
(e) “Service” means and includes, but is not limited
to, any of the following: (f) “Residence in foreclosure” means a residence in
foreclosure as defined in Section 1695.1.
(1) Debt, budget, or financial counseling of any
type. (g) “Owner” means a property owner as defined in
Section 1695.1.
(2) Receiving money for the purpose of
distributing it to creditors in payment or partial (h) “Contract” means any agreement, or any term
thereof, between a foreclosure consultant and an

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owner for the rendition of any service as defined in CODE OF CIVIL PROCEDURE
subdivision (e). (Added by Stats. 1979, ch. 1029.
Amended by Stats. 1980, ch. 108; Stats. 1980, ch. 423; § 128 Inherent Powers of the Court
Stats. 1980, ch. 676; Stats. 1980, ch. 706; Stats. 1981,
ch. 724; Stats. 1982, ch. 1082; Stats. 1986, ch. 248; (a) Every court shall have the power to do all of the
Stats. 1994, ch. 1010; Stats. 1995, ch. 564; Stats. 2004, following:
ch. 177; Stats. 2009, ch. 630, operative October 11,
2009.) (1) To preserve and enforce order in its
immediate presence.

§ 3339.10 Immigration or Citizenship Status (2) To enforce order in the proceedings before
Irrelevant to Issues of Liability or Remedy in it, or before a person or persons empowered to
Specified Proceedings; Discovery conduct a judicial investigation under its
authority.
(a) The immigration or citizenship status of any
person is irrelevant to any issue of liability or remedy (3) To provide for the orderly conduct of
under Chapter 2 (commencing with Section 1940) of proceedings before it, or its officers.
Title 5 of Part 4 of Division 3, Chapter 2 (commencing
with Section 789) of Title 2 of Part 2 of Division 2 of this (4) To compel obedience to its judgments,
code, or under Chapter 4 (commencing with Section orders, and process, and to the orders of a judge
1159) of Title 3 of Part 3 of the Code of Civil Procedure, out of court, in an action or proceeding pending
or in any civil action involving a tenant’s housing rights. therein.

(b) (1) In proceedings or discovery undertaken in a (5) To control in furtherance of justice, the
civil action to enforce Chapter 2 (commencing conduct of its ministerial officers, and of all other
with Section 1940) of Title 5 of Part 4 of Division persons in any manner connected with a judicial
3, Chapter 2 (commencing with Section 789) of proceeding before it, in every matter pertaining
Title 2 of Part 2 of Division 2 of this code, or under thereto.
Chapter 4 (commencing with Section 1159) of
(6) To compel the attendance of persons to
Title 3 of Part 3 of the Code of Civil Procedure, or
testify in an action or proceeding pending therein,
in any civil action involving a tenant’s housing
in the cases and manner provided in this code.
rights, no inquiry shall be permitted into a
person’s immigration or citizenship status, except (7) To administer oaths in an action or
as follows: proceeding pending therein, and in all other cases
where it may be necessary in the exercise of its
(A) The tenant’s claims or defenses raised
powers and duties.
place the person’s immigration or citizenship
status directly in contention. (8) To amend and control its process and orders
so as to make them conform to law and justice.
(B) The person seeking to make this inquiry
An appellate court shall not reverse or vacate a
demonstrates by clear and convincing
duly entered judgment upon an agreement or
evidence that this inquiry is necessary in
stipulation of the parties unless the court finds
order to comply with federal immigration
both of the following:
law.
(A) There is no reasonable possibility that
(2) The assertion of an affirmative defense to an
the interests of nonparties or the public will
unlawful detainer action under Section 1161.4 of
be adversely affected by the reversal.
the Code of Civil Procedure does not constitute
cause under this subdivision for discovery or other (B) The reasons of the parties for
inquiry into that person’s immigration or requesting reversal outweigh the erosion of
citizenship status. (Added by Stats. 2017, ch. 489.) public trust that may result from the
nullification of a judgment and the risk that

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

the availability of stipulated reversal will extraordinary relief testing the lawfulness of the court’s
reduce the incentive for pretrial settlement. order, a violation of which is the basis for the
contempt. As used in this subdivision, the term
(b) Notwithstanding Section 1211 or any other law, if “domestic violence” means “domestic violence” as
an order of contempt is made affecting an attorney, his defined in Section 6211 of the Family Code.
or her agent, investigator, or any person acting under
the attorney’s direction, in the preparation and conduct (f) Notwithstanding Section 1211 or any other
of any action or proceeding, the execution of any provision of law, no order of contempt shall be made
sentence shall be stayed pending the filing within three affecting a county government or any member of its
judicial days of a petition for extraordinary relief testing governing body acting pursuant to its constitutional or
the lawfulness of the court’s order, the violation of statutory authority unless the court finds, based on a
which is the basis of the contempt except for the review of evidence presented at a hearing conducted
conduct as may be proscribed by subdivision (b) of for this purpose, that either of the following conditions
Section 6068 of the Business and Professions Code, exist:
relating to an attorney’s duty to maintain respect due
to the courts and judicial officers. (1) That the county has the resources necessary
to comply with the order of the court.
(c) Notwithstanding Section 1211 or any other law, if
an order of contempt is made affecting a public safety (2) That the county has the authority, without
employee acting within the scope of employment for recourse to voter approval or without incurring
reason of the employee’s failure to comply with a duly additional indebtedness, to generate the
issued subpoena or subpoena duces tecum, the additional resources necessary to comply with the
execution of any sentence shall be stayed pending the order of the court, that compliance with the order
filing within three judicial days of a petition for of the court will not expose the county, any
extraordinary relief testing the lawfulness of the court’s member of its governing body, or any other
order, a violation of which is the basis for the county officer to liability for failure to perform
contempt. other constitutional or statutory duties, and that
compliance with the order of the court will not
As used in this subdivision, “public safety employee” deprive the county of resources necessary for its
includes any peace officer, firefighter, paramedic, or reasonable support and maintenance. (Added by
any other employee of a public law enforcement Stats. 1987, ch. 3. Amended by Stats. 1991, ch.
agency whose duty is either to maintain official records 866; Stats. 1992, ch. 163; Stats. 1992, ch. 967;
or to analyze or present evidence for investigative or Stats. 1993, ch. 219; Stats. 1999, ch. 508.)
prosecutorial purposes.

(d) Notwithstanding Section 1211 or any other law, if § 128.5 Frivolous Actions or Delaying Tactics–
an order of contempt is made affecting the victim of a Award of Expenses, Including Attorney’s Fees on
sexual assault, where the contempt consists of refusing Motion
to testify concerning that sexual assault, the execution
of any sentence shall be stayed pending the filing (a) A trial court may order a party, the party’s
within three judicial days of a petition for extraordinary attorney, or both, to pay the reasonable expenses,
relief testing the lawfulness of the court’s order, a including attorney’s fees, incurred by another party as a
violation of which is the basis for the contempt. As result of actions or tactics, made in bad faith, that are
used in this subdivision, “sexual assault” means any act frivolous or solely intended to cause unnecessary delay.
made punishable by Section 261, 262, 264.1, 285, 286, This section also applies to judicial arbitration
288, 288a, or 289 of the Penal Code. proceedings under Chapter 2.5 (commencing with
Section 1141.10) of Title 3 of Part 3.
(e) Notwithstanding Section 1211 or any other law, if
an order of contempt is made affecting the victim of (b) For purposes of this section:
domestic violence, where the contempt consists of
refusing to testify concerning that domestic violence, (1) “Actions or tactics” include, but are not
the execution of any sentence shall be stayed pending limited to, the making or opposing of motions or
the filing within three judicial days of a petition for the filing and service of a complaint, cross-

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complaint, answer, or other responsive pleading. (B) If the alleged action or tactic is the
The mere filing of a complaint without service making or opposing of a written motion or
thereof on an opposing party does not constitute the filing and service of a complaint, cross-
“actions or tactics” for purposes of this section. complaint, answer, or other responsive
pleading that can be withdrawn or
(2) “Frivolous” means totally and completely appropriately corrected, a notice of motion
without merit or for the sole purpose of harassing shall be served as provided in Section 1010,
an opposing party. but shall not be filed with or presented to
the court, unless 21 days after service of the
(c) Expenses pursuant to this section shall not be motion or any other period as the court may
imposed except on notice contained in a party’s moving prescribe, the challenged action or tactic is
or responding papers or, on the court’s own motion, not withdrawn or appropriately corrected.
after notice and opportunity to be heard. An order
imposing expenses shall be in writing and shall recite in (C) If warranted, the court may award to
detail the action or tactic or circumstances justifying the party prevailing on the motion the
the order. reasonable expenses and attorney’s fees
incurred in presenting or opposing the
(d) In addition to any award pursuant to this section motion. Absent exceptional circumstances, a
for an action or tactic described in subdivision (a), the law firm shall be held jointly responsible for
court may assess punitive damages against the plaintiff violations committed by its partners,
on a determination by the court that the plaintiff’s associates, and employees.
action was an action maintained by a person convicted
of a felony against the person’s victim, or the victim’s (D) If the alleged action or tactic is the
heirs, relatives, estate, or personal representative, for making or opposing of a written motion or
injuries arising from the acts for which the person was the filing and service of a complaint, cross-
convicted of a felony, and that the plaintiff is guilty of complaint, answer, or other responsive
fraud, oppression, or malice in maintaining the action. pleading that can be withdrawn or
appropriately corrected, the court on its own
(e) This section shall not apply to disclosures and motion may enter an order describing the
discovery requests, responses, objections, and motions. specific action or tactic, made in bad faith,
that is frivolous or solely intended to cause
(f) Sanctions ordered pursuant to this section shall be
unnecessary delay, and direct an attorney,
ordered pursuant to the following conditions and
law firm, or party to show cause why it has
procedures:
made an action or tactic as defined in
(1) If, after notice and a reasonable opportunity subdivision (b), unless, within 21 days of
to respond, the court issues an order pursuant to service of the order to show cause, the
subdivision (a), the court may, subject to the challenged action or tactic is withdrawn or
conditions stated below, impose an appropriate appropriately corrected.
sanction upon the party, the party’s attorneys, or
(2) An order for sanctions pursuant to this
both, for an action or tactic described in
section shall be limited to what is sufficient to
subdivision (a). In determining what sanctions, if
deter repetition of the action or tactic or
any, should be ordered, the court shall consider
comparable action or tactic by others similarly
whether a party seeking sanctions has exercised
situated. Subject to the limitations in
due diligence.
subparagraphs (A) and (B), the sanction may
(A) A motion for sanctions under this consist of, or include, directives of a nonmonetary
section shall be made separately from other nature, an order to pay a penalty into court, or, if
motions or requests and shall describe the imposed on motion and warranted for effective
specific alleged action or tactic, made in bad deterrence, an order directing payment to the
faith, that is frivolous or solely intended to movant of some or all of the reasonable
cause unnecessary delay. attorney’s fees and other expenses incurred as a

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direct result of the action or tactic described in if the party is not represented by an attorney, shall be
subdivision (a). signed by the party. Each paper shall state the signer’s
address and telephone number, if any. Except when
(A) Monetary sanctions may not be otherwise provided by law, pleadings need not be
awarded against a represented party for a verified or accompanied by affidavit. An unsigned paper
violation of presenting a claim, defense, and shall be stricken unless omission of the signature is
other legal contentions that are warranted corrected promptly after being called to the attention
by existing law or by a nonfrivolous of the attorney or party.
argument for the extension, modification, or
reversal of existing law or the establishment (b) By presenting to the court, whether by signing,
of new law. filing, submitting, or later advocating, a pleading,
petition, written notice of motion, or other similar
(B) Monetary sanctions may not be paper, an attorney or unrepresented party is certifying
awarded on the court’s motion unless the that to the best of the person’s knowledge,
court issues its order to show cause before a information, and belief, formed after an inquiry
voluntary dismissal or settlement of the reasonable under the circumstances, all of the
claims made by or against the party that is, following conditions are met:
or whose attorneys are, to be sanctioned.
(1) It is not being presented primarily for an
(g) A motion for sanctions brought by a party or a improper purpose, such as to harass or to cause
party’s attorney primarily for an improper purpose, unnecessary delay or needless increase in the cost
such as to harass or to cause unnecessary delay or of litigation.
needless increase in the cost of litigation, shall itself be
subject to a motion for sanctions. It is the intent of the (2) The claims, defenses, and other legal
Legislature that courts shall vigorously use its sanction contentions therein are warranted by existing law
authority to deter the improper actions or tactics or or by a nonfrivolous argument for the extension,
comparable actions or tactics of others similarly modification, or reversal of existing law or the
situated. establishment of new law.

(h) The liability imposed by this section is in addition (3) The allegations and other factual contentions
to any other liability imposed by law for acts or have evidentiary support or, if specifically so
omissions within the purview of this section. identified, are likely to have evidentiary support
after a reasonable opportunity for further
(i) This section applies to actions or tactics that were investigation or discovery.
part of a civil case filed on or after January 1, 2015.
(Added by Stats. 1981, ch. 762. Amended by Stats. (4) The denials of factual contentions are
1984, ch. 355; Stats. 1985, ch. 296; Stats. 1990, ch. warranted on the evidence or, if specifically so
887; Stats. 1994, ch. 1062; Stats. 2014, ch. 425; Stats. identified, are reasonably based on a lack of
2017, ch. 169, effective August 1, 2017.) information or belief.

(c) If, after notice and a reasonable opportunity to

§ 128.6 (Added by Stats. 1994, ch. 1062. Repealed by respond, the court determines that subdivision (b) has
Stats. 2010, ch. 328.) been violated, the court may, subject to the conditions
stated below, impose an appropriate sanction upon the
attorneys, law firms, or parties that have violated
§ 128.7 Pleadings, Petitions and Other Papers; subdivision (b) or are responsible for the violation. In
Required Name, Address, Telephone Number, and determining what sanctions, if any, should be ordered,
Signature of Attorney of Record or Party; Remedies the court shall consider whether a party seeking
and Sanctions sanctions has exercised due diligence.

(a) Every pleading, petition, written notice of motion, (1) A motion for sanctions under this section
or other similar paper shall be signed by at least one shall be made separately from other motions or
attorney of record in the attorney’s individual name, or, requests and shall describe the specific conduct

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alleged to violate subdivision (b). Notice of motion (f) In addition to any award pursuant to this section
shall be served as provided in Section 1010, but for conduct described in subdivision (b), the court may
shall not be filed with or presented to the court assess punitive damages against the plaintiff upon a
unless, within 21 days after service of the motion, determination by the court that the plaintiff’s action
or any other period as the court may prescribe, was an action maintained by a person convicted of a
the challenged paper, claim, defense, contention, felony against the person’s victim, or the victim’s heirs,
allegation, or denial is not withdrawn or relatives, estate, or personal representative, for injuries
appropriately corrected. If warranted, the court arising from the acts for which the person was
may award to the party prevailing on the motion convicted of a felony, and that the plaintiff is guilty of
the reasonable expenses and attorney’s fees fraud, oppression, or malice in maintaining the action.
incurred in presenting or opposing the motion.
Absent exceptional circumstances, a law firm shall (g) This section shall not apply to disclosures and
be held jointly responsible for violations discovery requests, responses, objections, and motions.
committed by its partners, associates, and
employees. (h) A motion for sanctions brought by a party or a
party’s attorney primarily for an improper purpose,
(2) On its own motion, the court may enter an such as to harass or to cause unnecessary delay or
order describing the specific conduct that appears needless increase in the cost of litigation, shall itself be
to violate subdivision (b) and directing an subject to a motion for sanctions. It is the intent of the
attorney, law firm, or party to show cause why it Legislature that courts shall vigorously use its sanctions
has not violated subdivision (b), unless, within 21 authority to deter that improper conduct or
days of service of the order to show cause, the comparable conduct by others similarly situated.
challenged paper, claim, defense, contention,
allegation, or denial is withdrawn or appropriately (i) This section shall apply to a complaint or petition
corrected. filed on or after January 1, 1995, and any other
pleading, written notice of motion, or other similar
(d) A sanction imposed for violation of subdivision (b) paper filed in that matter. (Added by Stats. 1994, ch.
shall be limited to what is sufficient to deter repetition 1062. Amended by Stats. 1998, ch. 121; Stats. 2002, ch.
of this conduct or comparable conduct by others 491; Stats. 2005, ch. 706.)
similarly situated. Subject to the limitations in
paragraphs (1) and (2), the sanction may consist of, or
§ 170.1 Judges–Grounds for Disqualification
include, directives of a nonmonetary nature, an order
to pay a penalty into court, or, if imposed on motion (a) A judge shall be disqualified if any one or more of
and warranted for effective deterrence, an order the following are true:
directing payment to the movant of some or all of the
reasonable attorney’s fees and other expenses incurred (1) (A) The judge has personal knowledge of
as a direct result of the violation. disputed evidentiary facts concerning the
proceeding.
(1) Monetary sanctions may not be awarded
against a represented party for a violation of (B) A judge shall be deemed to have
paragraph (2) of subdivision (b). personal knowledge within the meaning of
this paragraph if the judge, or the spouse of
(2) Monetary sanctions may not be awarded on the judge, or a person within the third
the court’s motion unless the court issues its degree of relationship to either of them, or
order to show cause before a voluntary dismissal the spouse of such a person is to the judge’s
or settlement of the claims made by or against the knowledge likely to be a material witness in
party that is, or whose attorneys are, to be the proceeding.
sanctioned.
(2) (A) The judge served as a lawyer in the
(e) When imposing sanctions, the court shall describe proceeding, or in any other proceeding
the conduct determined to constitute a violation of this involving the same issues he or she served
section and explain the basis for the sanction imposed. as a lawyer for a party in the present

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proceeding or gave advice to a party in the either of them, or the spouse of such a person is a
present proceeding upon a matter involved party to the proceeding or an officer, director, or
in the action or proceeding. trustee of a party.

(B) A judge shall be deemed to have served (5) A lawyer or a spouse of a lawyer in the
as a lawyer in the proceeding if within the proceeding is the spouse, former spouse, child,
past two years: sibling, or parent of the judge or the judge’s
spouse or if such a person is associated in the
(i) A party to the proceeding, or an
private practice of law with a lawyer in the
officer, director, or trustee of a party,
proceeding.
was a client of the judge when the
judge was in the private practice of law (6) (A) For any reason:
or a client of a lawyer with whom the
judge was associated in the private (i) The judge believes his or her
practice of law. recusal would further the interests of
justice.
(ii) A lawyer in the proceeding was
associated in the private practice of law (ii) The judge believes there is a
with the judge. substantial doubt as to his or her
capacity to be impartial.
(C) A judge who served as a lawyer for, or
officer of, a public agency that is a party to (iii) A person aware of the facts might
the proceeding shall be deemed to have reasonably entertain a doubt that the
served as a lawyer in the proceeding if he or judge would be able to be impartial.
she personally advised or in any way (B) Bias or prejudice toward a lawyer in the
represented the public agency concerning proceeding may be grounds for
the factual or legal issues in the proceeding. disqualification.
(3) (A) The judge has a financial interest in the (7) By reason of permanent or temporary
subject matter in a proceeding or in a party physical impairment, the judge is unable to
to the proceeding. properly perceive the evidence or is unable to
properly conduct the proceeding.
(B) A judge shall be deemed to have a
financial interest within the meaning of this (8) (A) The judge has a current arrangement
paragraph if: concerning prospective employment or
other compensated service as a dispute
(i) A spouse or minor child living in resolution neutral or is participating in, or,
the household has a financial interest. within the last two years has participated in,
discussions regarding prospective
(ii) The judge or the spouse of the employment or service as a dispute
judge is a fiduciary who has a financial resolution neutral, or has been engaged in
interest. such employment or service, and any of the
following applies:
(C) A judge has a duty to make reasonable
efforts to inform himself or herself about his (i) The arrangement is, or the prior
or her personal and fiduciary interests and employment or discussion was, with a
those of his or her spouse and the personal party to the proceeding.
financial interests of children living in the
household. (ii) The matter before the judge
includes issues relating to the
(4) The judge, or the spouse of the judge, or a enforcement of either an agreement to
person within the third degree of relationship to submit a dispute to an alternative

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dispute resolution process or an award does not constitute participating in

or other final decision by a dispute discussions.
resolution neutral.
(ii) “Party” includes the parent,
(iii) The judge directs the parties to subsidiary, or other legal affiliate of any
participate in an alternative dispute entity that is a party and is involved in
resolution process in which the dispute the transaction, contract, or facts that
resolution neutral will be an individual gave rise to the issues subject to the
or entity with whom the judge has the proceeding.
arrangement, has previously been
employed or served, or is discussing or (iii) “Dispute resolution neutral”
has discussed the employment or means an arbitrator, mediator,
service. temporary judge appointed under
Section 21 of Article VI of the California
(iv) The judge will select a dispute Constitution, referee appointed under
resolution neutral or entity to conduct Section 638 or 639, special master,
an alternative dispute resolution neutral evaluator, settlement officer, or
process in the matter before the judge, settlement facilitator.
and among those available for selection
is an individual or entity with whom the (9) (A) The judge has received a contribution
judge has the arrangement, with whom in excess of one thousand five hundred
the judge has previously been dollars ($1500) from a party or lawyer in the
employed or served, or with whom the proceeding, and either of the following
judge is discussing or has discussed the applies:
employment or service.
(i) The contribution was received in
(B) For the purposes of this paragraph, all support of the judge’s last election, if
of the following apply: the last election was within the last six
years.
(i) “Participating in discussions” or
“has participated in discussion” means (ii) The contribution was received in
that the judge solicited or otherwise anticipation of an upcoming election.
indicated an interest in accepting or
negotiating possible employment or (B) Notwithstanding subparagraph (A), the
service as an alternative dispute judge shall be disqualified based on a
resolution neutral, or responded to an contribution of a lesser amount if
unsolicited statement regarding, or an subparagraph (A) of paragraph (6) applies.
offer of, that employment or service by
(C) The judge shall disclose any
expressing an interest in that
contribution from a party or lawyer in a
employment or service, making an
matter that is before the court that is
inquiry regarding the employment or
required to be reported under subdivision (f)
service, or encouraging the person
of Section 84211 of the Government Code,
making the statement or offer to
even if the amount would not require
provide additional information about
disqualification under this paragraph. The
that possible employment or service. If
manner of disclosure shall be the same as
a judge’s response to an unsolicited
that provided in Canon 3E of the Code of
statement regarding, a question about,
Judicial Ethics.
or offer of, prospective employment or
other compensated service as a dispute (D) Notwithstanding paragraph (1) of
resolution neutral is limited to subdivision (b) of Section 170.3, the
responding negatively, declining the disqualification required under this
offer, or declining to discuss that paragraph may be waived by the party that
employment or service, that response

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did not make the contribution unless there matter is known at least 10 days before the date
are other circumstances that would prohibit set for trial or hearing, the motion shall be made
a waiver pursuant to paragraph (2) of at least 5 days before that date. If directed to the
subdivision (b) of Section 170.3. trial of a cause with a master calendar, the motion
shall be made to the judge supervising the master
(b) A judge before whom a proceeding was tried or calendar not later than the time the cause is
heard shall be disqualified from participating in any assigned for trial. If directed to the trial of a
appellate review of that proceeding. criminal cause that has been assigned to a judge
(c) At the request of a party or on its own motion an for all purposes, the motion shall be made to the
assigned judge or to the presiding judge by a party
appellate court shall consider whether in the interests
within 10 days after notice of the all purpose
of justice it should direct that further proceedings be
assignment, or if the party has not yet appeared in
heard before a trial judge other than the judge whose
the action, then within 10 days after the
judgment or order was reviewed by the appellate court.
appearance. If directed to the trial of a civil cause
(Added by Stats. 1984, ch. 1555. Amended by Stats.
that has been assigned to a judge for all purposes,
2002, ch. 1094; Stats. 2005, ch. 332; Stats. 2010, ch.
the motion shall be made to the assigned judge or
686.)
to the presiding judge by a party within 15 days
after notice of the all purpose assignment, or if
§ 170.6 Judicial Offices–Prejudice Against the party has not yet appeared in the action, then
Parties or Attorneys; Motion and Affidavit; within 15 days after the appearance. If the court
Notice Reassignment; Limit on Motions; in which the action is pending is authorized to
have no more than one judge, and the motion
Continuance; Cumulative Remedies; Severability
claims that the duly elected or appointed judge of
(a) (1) A judge, court commissioner, or referee of a that court is prejudiced, the motion shall be made
superior court of the State of California shall not before the expiration of 30 days from the date of
try a civil or criminal action or special proceeding the first appearance in the action of the party who
of any kind or character nor hear any matter is making the motion or whose attorney is making
therein that involves a contested issue of law or the motion. In no event shall a judge, court
fact when it is established as provided in this commissioner, or referee entertain the motion if it
section that the judge or court commissioner is is made after the drawing of the name of the first
prejudiced against a party or attorney or the juror, or if there is no jury, after the making of an
interest of a party or attorney appearing in the opening statement by counsel for plaintiff, or if
action or proceeding. there is no opening statement by counsel for
plaintiff, then after swearing in the first witness or
(2) A party to, or an attorney appearing in, an the giving of any evidence or after trial of the
action or proceeding may establish this prejudice cause has otherwise commenced. If the motion is
by an oral or written motion without prior notice directed to a hearing, other than the trial of a
supported by affidavit or declaration under cause, the motion shall be made not later than the
penalty of perjury, or an oral statement under commencement of the hearing. In the case of
oath, that the judge, court commissioner, or trials or hearings not specifically provided for in
referee before whom the action or proceeding is this paragraph, the procedure specified herein
pending, or to whom it is assigned, is prejudiced shall be followed as nearly as possible. The fact
against a party or attorney, or the interest of the that a judge, court commissioner, or referee has
party or attorney, so that the party or attorney presided at, or acted in connection with, a pretrial
cannot, or believes that he or she cannot, have a conference or other hearing, proceeding, or
fair and impartial trial or hearing before the judge, motion prior to trial, and not involving a
court commissioner, or referee. If the judge, other determination of contested fact issues relating to
than a judge assigned to the case for all purposes, the merits, shall not preclude the later making of
court commissioner, or referee assigned to, or the motion provided for in this paragraph at the
who is scheduled to try, the cause or hear the time and in the manner herein provided. A

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motion under this paragraph may be made day or for other limited periods upon the trial or
following reversal on appeal of a trial court’s other calendar and shall be reassigned or
decision, or following reversal on appeal of a trial transferred for trial or hearing as promptly as
court’s final judgment, if the trial judge in the possible.
prior proceeding is assigned to conduct a new trial
on the matter. Notwithstanding paragraph (4), the (6) Any affidavit filed pursuant to this section
party who filed the appeal that resulted in the shall be in substantially the following form:
reversal of a final judgment of a trial court may
(Here set forth court and cause)
make a motion under this section regardless of
whether that party or side has previously done so. State of California, ss. PEREMPTORY
The motion shall be made within 60 days after the County of ___________ CHALLENGE
party or the party’s attorney has been notified of
the assignment. ____, being duly sworn, deposes and says:
That he or she is a party (or attorney for a
(3) A party to a civil action making that motion party) to the within action (or special
under this section shall serve notice on all parties proceeding). That ____ the judge, court
no later than five days after making the motion. commissioner, or referee before whom the
trial of the (or a hearing in the) action (or
(4) If the motion is duly presented, and the special proceeding) is pending (or to whom
affidavit or declaration under penalty of perjury is it is assigned) is prejudiced against the party
duly filed or an oral statement under oath is duly (or his or her attorney) or the interest of the
made, thereupon and without any further act or party (or his or her attorney) so that affiant
proof, the judge supervising the master calendar, cannot or believes that he or she cannot
if any, shall assign some other judge, court have a fair and impartial trial or hearing
commissioner, or referee to try the cause or hear before the judge, court commissioner, or
the matter. In other cases, the trial of the cause or referee.
the hearing of the matter shall be assigned or
transferred to another judge, court commissioner, Subscribed and sworn to before me this
or referee of the court in which the trial or matter ______ day of ______, 20__.
is pending or, if there is no other judge, court
commissioner, or referee of the court in which the (Clerk or notary public or other officer
trial or matter is pending, the Chair of the Judicial administering oath)
Council shall assign some other judge, court
commissioner, or referee to try the cause or hear (7) Any oral statement under oath or
the matter as promptly as possible. Except as declaration under penalty of perjury made
provided in this section, no party or attorney shall pursuant to this section shall include substantially
be permitted to make more than one such motion the same contents as the affidavit above.
in any one action or special proceeding pursuant
to this section. In actions or special proceedings (b) Nothing in this section shall affect or limit Section
where there may be more than one plaintiff or 170 or Title 4 (commencing with Section 392) of Part 2,
similar party or more than one defendant or and this section shall be construed as cumulative
similar party appearing in the action or special thereto.
proceeding, only one motion for each side may be (c) If any provision of this section or the application
made in any one action or special proceeding. to any person or circumstance is held invalid, that
invalidity shall not affect other provisions or
(5) Unless required for the convenience of the
applications of the section that can be given effect
court or unless good cause is shown, a
without the invalid provision or application and, to this
continuance of the trial or hearing shall not be
end, the provisions of this section are declared to be
granted by reason of the making of a motion
severable. (Added by Stats. 1957, ch. 1055. Amended
under this section. If a continuance is granted, the by Stats. 1959, ch. 640; Stats. 1961, ch. 526; Stats. 1965,
cause or matter shall be continued from day to ch. 1442; Stats. 1967, ch. 1602; Stats. 1976, ch. 1071;

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Stats. 1981, ch. 192; Stats. 1982, ch. 1644; Stats. 1985, state, national, or international public policy, are not
ch. 715; Stats. 1989, ch. 537; Stats. 1998, ch. 167; Stats. prohibited or limited by this section if any of the
2002, ch. 784; Stats. 2003, ch. 62; Stats. 2010, ch. 131.) following apply:

(1) The travel is in connection with a speech,

§ 170.9 Gifts to Judges–Acceptance; Limits; practice demonstration, or group or panel
Exceptions; Adjustments; Travel Expenses discussion given or participated in by the judge,
the lodging and subsistence expenses are limited
(a) A judge shall not accept gifts from a single source to the day immediately preceding, the day of, and
in a calendar year with a total value of more than two the day immediately following the speech,
hundred fifty dollars ($250). This section shall not be demonstration, or discussion, and the travel is
construed to authorize the receipt of gifts that would within the United States.
otherwise be prohibited by the Code of Judicial Ethics
adopted by the California Supreme Court or any other (2) The travel is provided by a government, a
law. governmental agency or authority, a foreign
government, a foreign bar association, an
(b) This section shall not prohibit or limit the international service organization, a bona fide
following: public or private educational institution, as
defined in Section 203 of the Revenue and
(1) Payments, advances, or reimbursements for Taxation Code, or a nonprofit charitable or
travel and related lodging and subsistence religious organization that is exempt from taxation
permitted by subdivision (e). under Section 501(c)(3) of the Internal Revenue
Code, or by a person domiciled outside the United
(2) Wedding gifts and gifts exchanged between
States who substantially satisfies the
individuals on birthdays, holidays, and other
requirements for tax exempt status under Section
similar occasions, if the gifts exchanged are not
501(c)(3) of the Internal Revenue Code.
substantially disproportionate in value.
For purposes of this section, “foreign bar
(3) A gift, bequest, favor, or loan from a person
association” means an association of attorneys
whose preexisting relationship with a judge would
located outside the United States (A) that
prevent the judge from hearing a case involving
performs functions substantially equivalent to
that person, under the Code of Judicial Ethics
those performed by state or local bar associations
adopted by the California Supreme Court.
in this state and (B) that permits membership by
(c) For purposes of this section, “judge” includes all of attorneys in that country representing various
the following: legal specialties and does not limit membership to
attorneys generally representing one side or
(1) Judges of the superior courts. another in litigation. “International service
organization” means a bona fide international
(2) Justices of the courts of appeal and the service organization of which the judge is a
Supreme Court. member. A judge who accepts travel payments
from an international service organization
(3) Subordinate judicial officers, as defined in pursuant to this subdivision shall not preside over
Section 71601 of the Government Code. or participate in decisions affecting that
organization, its state or local chapters, or its local
(d) The gift limitation amounts in this section shall be
members.
adjusted biennially by the Commission on Judicial
Performance to reflect changes in the Consumer Price (3) The travel is provided by a state or local bar
Index, rounded to the nearest ten dollars ($10). association or judges professional association in
connection with testimony before a governmental
(e) Payments, advances, or reimbursements for
body or attendance at any professional function
travel, including actual transportation and related
hosted by the bar association or judges
lodging and subsistence that is reasonably related to a
professional association, the lodging and
judicial or governmental purpose, or to an issue of
subsistence expenses are limited to the day

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immediately preceding, the day of, and the day (1) Informational material such as books,
immediately following the professional function. reports, pamphlets, calendars, periodicals,
cassettes and discs, or free or reduced-price
(f) Payments, advances, and reimbursements for admission, tuition, or registration, for
travel not described in subdivision (e) are subject to the informational conferences or seminars. No
limit in subdivision (a). payment for travel or reimbursement for any
expenses shall be deemed “informational
(g) No judge shall accept any honorarium. material.”
(h) “Honorarium” means a payment made in (2) Gifts that are not used and, within 30 days
consideration for any speech given, article published, after receipt, are returned to the donor or
or attendance at a public or private conference, delivered to a charitable organization without
convention, meeting, social event, meal, or like being claimed as a charitable contribution for tax
gathering. purposes.
(i) “Honorarium” does not include earned income for (3) Gifts from a judge’s spouse, child, parent,
personal services that are customarily provided in grandparent, grandchild, brother, sister, parent-
connection with the practice of a bona fide business, in-law, brother-in-law, sister-in-law, nephew,
trade, or profession, such as teaching or writing for a niece, aunt, uncle, or first cousin or the spouse of
publisher, and does not include fees or other things of any such person. However, a gift from any of
value received pursuant to Section 94.5 of the Penal those persons shall be considered a gift if the
Code for performance of a marriage. donor is acting as an agent or intermediary for a
person not covered by this paragraph.
For purposes of this section, “teaching” shall include
presentations to impart educational information to (4) Campaign contributions required to be
lawyers in events qualifying for credit under mandatory reported under Chapter 4 (commencing with
continuing legal education, to students in bona fide Section 84100) of Title 9 of the Government Code.
educational institutions, and to associations or groups
of judges. (5) Any devise or inheritance.

(j) Subdivisions (a) and (e) shall apply to all (6) Personalized plaques and trophies with an
payments, advances, and reimbursements for travel individual value of less than two hundred fifty
and related lodging and subsistence. dollars ($250).
(k) This section does not apply to any honorarium (7) Admission to events hosted by state or local
that is not used and, within 30 days after receipt, is bar associations or judges’ professional
either returned to the donor or delivered to the associations, and provision of related food and
Controller for deposit in the General Fund without beverages at those events, when attendance does
being claimed as a deduction from income for tax not require “travel,” as described in paragraph (3)
purposes. of subdivision (e).

(l) “Gift” means a payment to the extent that (m) The Commission on Judicial Performance shall
consideration of equal or greater value is not received enforce the prohibitions of this section with regard to
and includes a rebate or discount in the price of anything judges of the superior courts and justices of the courts of
of value unless the rebate or discount is made in the appeal and the Supreme Court. With regard to
regular course of business to members of the public subordinate judicial officers, consistent with Section 18.1
without regard to official status. A person, other than a of Article VI of the California Constitution, the court
defendant in a criminal action, who claims that a employing the subordinate judicial officer shall exercise
payment is not a gift by reason of receipt of initial jurisdiction to enforce the prohibitions of this
consideration has the burden of proving that the section and the Commission on Judicial Performance shall
consideration received is of equal or greater value. exercise discretionary jurisdiction with respect to the
However, the term “gift” does not include any of the enforcement of the prohibitions of this section. (Added by
following: Stats. 1994, ch. 1238. Amended by Stats. 1995, ch. 378;

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Stats. 1996, ch. 557; Stats. 2002, ch. 784; Stats. 2010, ch. (Added by Stats. 1982, ch. 1564. Amended by Stats.
206; Stats. 2011, ch. 296.) 2005, ch. 75.)

§ 177 Conduct of Proceedings § 206 Criminal Actions–Discussions with Jury

After Discharge
A judicial officer shall have power:
(a) Prior to discharging the jury from the case, the
(a) To preserve and enforce order in the officer’s
judge in a criminal action shall inform the jurors that they
immediate presence, and in proceedings before the
have an absolute right to discuss or not to discuss the
officer, when the officer is engaged in the performance
deliberation or verdict with anyone. The judge shall also
of official duty.
inform the jurors of the provisions set forth in
(b) To compel obedience to the officer’s lawful orders subdivisions (b), (d), and (e).
as provided in this code.
(b) Following the discharge of the jury in a criminal
(c) To compel the attendance of persons to testify in case, the defendant, or his or her attorney or
a proceeding before the officer, in the cases and representative, or the prosecutor, or his or her
manner provided in this code. representative, may discuss the jury deliberation or
verdict with a member of the jury, provided that the
(d) To administer oaths to persons in a proceeding juror consents to the discussion and that the discussion
pending before the officer, and in all other cases where takes place at a reasonable time and place.
it may be necessary in the exercise of the officer’s
powers and duties. (c) If a discussion of the jury deliberation or verdict
with a member of the jury pursuant to subdivision (b)
(e) To prohibit activities that threaten access to state
occurs at any time more than 24 hours after the verdict,
courthouses and court proceedings, and to prohibit
prior to discussing the jury deliberation or verdict with a
interruption of judicial administration, including
member of a jury pursuant to subdivision (b), the
protecting the privilege from civil arrest at courthouses
and court proceedings. (Enacted in 1872. Amended by defendant or his or her attorney or representative, or
Code Am.1880, ch. 35, p. 42, § 1; Stats. 2019, ch. 787.) the prosecutor or his or her representative, shall inform
the juror of the identity of the case, the party in that case
which the person represents, the subject of the
§ 177.5 Judicial Officers–Sanctions interview, the absolute right of the juror to discuss or not
discuss the deliberations or verdict in the case with the
A judicial officer shall have the power to impose person, and the juror’s right to review and have a copy of
reasonable money sanctions, not to exceed fifteen any declaration filed with the court.
hundred dollars ($1,500), notwithstanding any other
provision of law, payable to the court, for any (d) Any unreasonable contact with a juror by the
violation of a lawful court order by a person, done defendant, or his or her attorney or representative, or by
without good cause or substantial justification. This the prosecutor, or his or her representative, without the
power shall not apply to advocacy of counsel before juror’s consent shall be immediately reported to the trial
the court. For the purposes of this section, the term judge.
“person” includes a witness, a party, a party’s
attorney, or both. (e) Any violation of this section shall be considered a
violation of a lawful court order and shall be subject to
Sanctions pursuant to this section shall not be reasonable monetary sanctions in accordance with
imposed except on notice contained in a party’s moving Section 177.5 of the Code of Civil Procedure.
or responding papers; or on the court’s own motion,
after notice and opportunity to be heard. An order (f) Nothing in the section shall prohibit a peace officer
imposing sanctions shall be in writing and shall recite in from investigating an allegation of criminal conduct.
detail the conduct or circumstances justifying the order.

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(g) Pursuant to Section 237, a defendant or substitution of a new attorney, or of the appearance of
defendant’s counsel may, following the recording of a the party in person, must be given to the adverse party.
jury’s verdict in a criminal proceeding, petition the court Until then he must recognize the former attorney.
for access to personal juror identifying information (Enacted 1872; amended 1880.)
within the court’s records necessary for the defendant to
communicate with jurors for the purpose of developing a
§ 285.1 Withdrawal in Domestic Relations
motion for new trial or any other lawful purpose. This
Matters
information consists of jurors’ names, addresses, and
telephone numbers. The court shall consider all requests An attorney of record for any party in any civil action
for personal juror identifying information pursuant to or proceeding for dissolution of marriage, legal
Section 237. (Added by Stats. 1988, ch. 1245. Amended separation, or for a declaration of void or voidable
by Stats. 1992, ch. 971; Stats. 1993, ch. 632; Stats. 1995, marriage, or for the support, maintenance or custody
ch. 964; Stats. 1996, ch. 636; Stats. 2000, ch. 242.) of minor children may withdraw at any time
subsequent to the time when any judgment in such
action or proceeding, other than an interlocutory
§ 283 Authority to Bind Client judgment, becomes final, and prior to service upon him
of pleadings or motion papers in any proceeding then
An attorney and counselor shall have authority:
pending in said cause, by filing a notice of withdrawal.
1. To bind his client in any of the steps of an action or Such notice shall state (a) date of entry of final decree
proceeding by his agreement filed with the clerk, or judgment, (b) the last known address of such party,
or entered upon the minutes of the court, and not (c) that such attorney withdraws as attorney for such
otherwise; party. A copy of such notice shall be mailed to such
party at his last known address and shall be served
2. To receive money claimed by his client in an action upon the adverse party. (Added by Stats. 1963, ch.
or proceeding during the pendency thereof, or 1333; Stats. 1969, ch. 1608.)
after judgment, unless a revocation of his authority
is filed, and upon the payment thereof, and not
§ 285.2 Withdrawal When Public Funding
otherwise, to discharge the claim or acknowledge
satisfaction of the judgment. (Enacted 1872; Reduced
amended 1880.)
If a reduction in public funding for legal service
materially impairs a legal service agency attorney’s
§ 284 Substitution–Consent or Order ability to represent an indigent client, the court, on its
own motion or on the motion of either the client or
The attorney in an action or special proceeding may be attorney, shall permit the withdrawal of such attorney
changed at any time before or after judgment or final upon a showing that all of the following apply:
determination, as follows:
(a) There are not adequate public funds to continue
1. Upon the consent of both client and attorney, filed the effective representation of the indigent client.
with the clerk, or entered upon the minutes.
(b) A good faith effort was made to find alternate
2. Upon the order of the court, upon the application representation for such client.
of either client or attorney, after notice from one
to the other. (Enacted 1872; amended 1874, 1880. (c) All reasonable steps to reduce the legal prejudice
Amended by Stats. 1935, ch. 560; Stats. 1967, ch. to the client have been taken.
161.)
A showing of indigency of the client, in and of itself, will
not be deemed sufficient cause to deny the application
§ 285 Notice to Adversary for withdrawal. (Added by Stats. 1983, ch. 279.)

When an attorney is changed, as provided in the last

section, written notice of the change and of the

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§ 285.3 Withdrawal Pursuant to 285.2–When § 286 Death or Disability–Appearance

Tolling Required
When an attorney dies, or is removed or suspended, or
The court, upon the granting of a motion for ceases to act as such, a party to an action, for whom he
withdrawal pursuant to Section 285.2, may toll the was acting as attorney, must, before any further
running of any statute of limitations, filing proceedings are had against him, be required by the
requirement, statute providing for mandatory adverse party, by written notice, to appoint another
dismissal, notice of appeal, or discovery requirement, attorney, or to appear in person. (Enacted 1872;
for a period not to exceed 90 days, on the court’s own amended 1880.)
motion or on motion of any party or attorney, when
the court finds that tolling is required to avoid legal
prejudice caused by the withdrawal of the legal § 340.3 Commencement of Actions
service agency attorney. (Added by Stats. 1983, ch.
(a) Unless a longer period is prescribed for a specific
279.)
action, in any action for damages against a defendant
based upon the defendant’s commission of a felony
§ 285.4 Appointment Pursuant to 285.2–No offense for which the defendant has been convicted,
Compensation the time for commencement of the action shall be
within one year after judgment is pronounced.
The court, upon the granting of a motion for
withdrawal pursuant to Section 285.2, may appoint any (b) (1) Notwithstanding subdivision (a), an action
member of the bar or any law firm or professional law for damages against a defendant based upon the
corporation to represent the indigent client without defendant’s commission of a felony offense for
compensation, upon a showing of good cause. Nothing which the defendant has been convicted may be
herein shall preclude the appointed attorney from commenced within 10 years of the date on which
recovering any attorneys’ fees and costs to which the the defendant is discharged from parole if the
client may be entitled by law. In determining the conviction was for any offense specified in
existence of good cause, the court may consider, but is paragraph (1), except voluntary manslaughter, (2),
not limited to, the following factors: (3), (4), (5), (6), (7), (9), (16), (17), (20), (22), (25),
(34), or (35) of subdivision (c) of Section 1192.7 of
(a) The probable merit of the client’s claim. the Penal Code.

(b) The client’s financial ability to pay for legal (2) No civil action may be commenced pursuant
services. to paragraph (1) if any of the following applies:

(c) The availability of alternative legal representation. (A) The defendant has received either a
certificate of rehabilitation as provided in
(d) The need for legal representation to avoid Chapter 3.5 (commencing with Section
irreparable legal prejudice to the indigent client. 4852.01) of Title 6 of Part 3 of the Penal
Code or a pardon as provided in Chapter 1
(e) The ability of appointed counsel to effectively (commencing with Section 4800) or Chapter
represent the indigent client. 3 (commencing with Section 4850) of Title 6
of Part 3 of the Penal Code.
(f) Present and recent pro bono work of the
appointed attorney, law firm or private law (B) Following a conviction for murder or
corporation. attempted murder, the defendant has been
paroled based in whole or in part upon
(g) The ability of the indigent client to represent evidence presented to the Board of Prison
himself. Terms that the defendant committed the
crime because he or she was the victim of
(h) The workload of the appointed attorney. (Added
intimate partner battering.
by Stats. 1983, ch. 279.)

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(C) The defendant was convicted of murder § 340.6 Limitations: Commencement of Action
or attempted murder in the second degree in Against an Attorney
a trial at which substantial evidence was
presented that the person committed the (a) An action against an attorney for a wrongful act or
crime because he or she was a victim of omission, other than for actual fraud, arising in the
intimate partner battering. performance of professional services shall be
commenced within one year after the plaintiff
(c) If the sentence or judgment is stayed, the time for discovers, or through the use of reasonable diligence
the commencement of the action shall be tolled until should have discovered, the facts constituting the
the stay is lifted. For purposes of this section, a wrongful act or omission, or four years from the date of
judgment is not stayed if the judgment is appealed or the wrongful act or omission, whichever occurs first. If
the defendant is placed on probation. the plaintiff is required to establish the plaintiff’s
factual innocence for an underlying criminal charge as
(d) (1) Subdivision (b) shall apply to any action an element of the plaintiff’s claim, the action shall be
commenced before, on, or after the effective date commenced within two years after the plaintiff
of this section, including any action otherwise achieves postconviction exoneration in the form of a
barred by a limitation of time in effect prior to the final judicial disposition of the criminal case. Except for
effective date of this section, thereby reviving a claim for which the plaintiff is required to establish
those causes of action that had lapsed or expired the plaintiff’s factual innocence, the time for
under the law in effect prior to the effective date commencement of legal action shall not exceed four
of this section. years except that the period shall be tolled during the
time that any of the following exist:
(2) Paragraph (1) does not apply to either of the
following: (1) The plaintiff has not sustained actual injury.
(A) Any claim that has been litigated to (2) The attorney continues to represent the
finality on the merits in any court of plaintiff regarding the specific subject matter in
competent jurisdiction prior to January 1, which the alleged wrongful act or omission
2003. For purposes of this section, occurred.
termination of a prior action on the basis of
the statute of limitations does not constitute (3) The attorney willfully conceals the facts
a claim that has been litigated to finality on constituting the wrongful act or omission when
the merits. those facts are known to the attorney, except that
this subdivision shall toll only the four-year
(B) Any written, compromised settlement limitation.
agreement that has been entered into
between a plaintiff and a defendant if the (4) The plaintiff is under a legal or physical
plaintiff was represented by an attorney who disability which restricts the plaintiff’s ability to
was admitted to practice law in this state at commence legal action.
the time of the settlement, and the plaintiff
signed the agreement. (5) A dispute between the lawyer and client
concerning fees, costs, or both is pending
(e) Any restitution paid by the defendant to the resolution under Article 13 (commencing with
victim shall be credited against any judgment, award, or Section 6200) of Chapter 4 of Division 3 of the
settlement obtained pursuant to this section. Any Business and Professions Code. As used in this
judgment, award, or settlement obtained pursuant to paragraph, “pending” means from the date a
an action under this section shall be subject to the request for arbitration is filed until 30 days after
provisions of Section 13966.01 of the Government receipt of notice of the award of the arbitrators,
Code. (Amended by Stats. 2006, ch. 215.) or receipt of notice that the arbitration is
otherwise terminated, whichever occurs first.

(b) In an action based upon an instrument in writing,

the effective date of which depends upon some act or

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event of the future, the period of limitations provided the rendering of professional services, which act
for by this section shall commence to run upon the or omission is the proximate cause of a personal
occurrence of that act or event. (Added by Stats. 1977, injury or wrongful death, provided that such
ch. 863. Amended by Stats. 2009, ch. 432; Stats. 2019, services are within the scope of services for which
ch. 13.) the provider is licensed and which are not within
any restriction imposed by the licensing agency or
licensed hospital. (Added by Stats. 1975, 2nd Ex.
§ 364 Ninety Days Prior Notice of Intention to Sess., ch. 1. Amended by Stats. 1975, 2nd Ex.
Commence Action–Definitions Sess., ch. 2, effective September 24, 1975
operative December 15, 1975.)
(a) No action based upon the health care provider’s
professional negligence may be commenced unless the
defendant has been given at least 90 days’ prior notice § 365 Failure to Comply With Provisions
of the intention to commence the action.
Failure to comply with this chapter shall not
(b) No particular form of notice is required, but it invalidate any proceedings of any court of this state,
shall notify the defendant of the legal basis of the claim nor shall it affect the jurisdiction of the court to
and the type of loss sustained, including with specificity render a judgment therein. However, failure to
the nature of the injuries suffered. comply with such provisions by any attorney at law
shall be grounds for professional discipline and the
(c) The notice may be served in the manner State Bar of California shall investigate and take
prescribed in Chapter 5 (commencing with Section appropriate action in any such cases brought to its
1010) of Title 14 of Part 2. attention. (Added by Stats. 1975, ch. 1.)
(d) If the notice is served within 90 days of the
expiration of the applicable statute of limitations, the § 411.35 Malpractice Actions; Architects,
time for the commencement of the action shall be Engineers, Land Surveyors; Attorney’s Certification
extended 90 days from the service of the notice. of Case Review and Consultation; Reliance on Res
(e) The provisions of this section shall not be Ipsa Loquitur or Failure to Inform of the
applicable with respect to any defendant whose name Consequences of a Procedure Exceptions; Failure to
is unknown to the plaintiff at the time of filing the File
complaint and who is identified therein by a fictitious
name, as provided in Section 474. (a) In every action, including a cross complaint for
damages or indemnity, arising out of the professional
(f) For the purposes of this section: negligence of a person holding a valid architect’s
certificate issued pursuant to Chapter 3 (commencing
(1) “Health care provider” means any person with Section 5500) of Division 3 of the Business and
licensed or certified pursuant to Division 2 Professions Code, or of a person holding a valid
(commencing with Section 500) of the Business registration as a professional engineer issued pursuant
and Professions Code, or licensed pursuant to the to Chapter 7 (commencing with Section 6700) of
Osteopathic Initiative Act, or the Chiropractic Division 3 of the Business and Professions Code, or a
Initiative Act, or licensed pursuant to Chapter 2.5 person holding a valid land surveyor’s license issued
(commencing with Section 1440) of Division 2 of pursuant to Chapter 15 (commencing with Section
the Health and Safety Code; and any clinic, health 8700) of Division 3 of the Business and Professions
dispensary, or health facility, licensed pursuant to Code on or before the date of service of the complaint
Division 2 (commencing with Section 1200) of the or cross complaint on any defendant or cross
Health and Safety Code. “Health care provider”
defendant, the attorney for the plaintiff or cross
includes the legal representatives of a health care
complainant shall file and serve the certificate specified
provider;
by subdivision (b).
(2) “Professional negligence” means negligent
act or omission to act by a health care provider in

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(b) A certificate shall be executed by the attorney for this section shall be inapplicable. The attorney shall
the plaintiff or cross complainant declaring one of the certify upon filing of the complaint that the attorney is
following: solely relying on the doctrines of “res ipsa loquitur” or
failure to inform of the consequences of a procedure or
(1) That the attorney has reviewed the facts of both, and for that reason is not filing a certificate
the case, that the attorney has consulted with and required by this section.
received an opinion from at least one architect,
professional engineer, or land surveyor who is (e) For purposes of this section, and subject to
licensed to practice and practices in this state or Section 912 of the Evidence Code, an attorney who
any other state, or who teaches at an accredited submits a certificate as required by paragraph (1) or (2)
college or university and is licensed to practice in of subdivision (b) has a privilege to refuse to disclose
this state or any other state, in the same discipline the identity of the architect, professional engineer, or
as the defendant or cross defendant and who the land surveyor consulted and the contents of the
attorney reasonably believes is knowledgeable in consultation. The privilege shall also be held by the
the relevant issues involved in the particular architect, professional engineer, or land surveyor so
action, and that the attorney has concluded on consulted. If, however, the attorney makes a claim
the basis of this review and consultation that under paragraph (3) of subdivision (b) that he or she
there is reasonable and meritorious cause for the was unable to obtain the required consultation with the
filing of this action. The person consulted may not architect, professional engineer, or land surveyor, the
be a party to the litigation. The person consulted court may require the attorney to divulge the names of
shall render his or her opinion that the named architects, professional engineers, or land surveyors
defendant or cross defendant was negligent or refusing the consultation.
was not negligent in the performance of the
applicable professional services. (f) A violation of this section may constitute
unprofessional conduct and be grounds for discipline
(2) That the attorney was unable to obtain the
against the attorney, except that the failure to file the
consultation required by paragraph (1) because a
certificate required by paragraph (1) of subdivision (b),
statute of limitations would impair the action and
within 60 days after filing the complaint and certificate
that the certificate required by paragraph (1) could
provided for by paragraph (2) of subdivision (b), shall
not be obtained before the impairment of the
not be grounds for discipline against the attorney.
action. If a certificate is executed pursuant to this
paragraph, the certificate required by paragraph (1) (g) The failure to file a certificate in accordance with
shall be filed within 60 days after filing the this section shall be grounds for a demurrer pursuant to
complaint. Section 430.10 or a motion to strike pursuant to Section
435.
(3) That the attorney was unable to obtain the
consultation required by paragraph (1) because (h) Upon the favorable conclusion of the litigation
the attorney had made three separate good faith with respect to any party for whom a certificate of
attempts with three separate architects, merit was filed or for whom a certificate of merit
professional engineers, or land surveyors to should have been filed pursuant to this section, the
obtain this consultation and none of those trial court may, upon the motion of a party or upon
contacted would agree to the consultation. the court’s own motion, verify compliance with this
section, by requiring the attorney for the plaintiff or
(c) Where a certificate is required pursuant to this
cross complainant who was required by subdivision
section, only one certificate shall be filed,
(b) to execute the certificate to reveal the name,
notwithstanding that multiple defendants have been
address, and telephone number of the person or
named in the complaint or may be named at a later
persons consulted with pursuant to subdivision (b)
time.
that were relied upon by the attorney in preparation
(d) Where the attorney intends to rely solely on the of the certificate of merit. The name, address, and
doctrine of “res ipsa loquitur,” as defined in Section 646 telephone number shall be disclosed to the trial judge
of the Evidence Code, or exclusively on a failure to in an in camera proceeding at which the moving party
inform of the consequences of a procedure, or both, shall not be present. If the trial judge finds there has

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been a failure to comply with this section, the court (ii) In the case of a high-frequency
may order a party, a party’s attorney, or both, to pay litigant who is a plaintiff, the number of
any reasonable expenses, including attorney’s fees, complaints alleging a construction-
incurred by another party as a result of the failure to related accessibility claim that the high-
comply with this section. frequency litigant has filed during the
12 months prior to filing the complaint.
(i) For purposes of this section, “action” includes a
complaint or cross complaint for equitable indemnity (iii) In the case of a high-frequency
arising out of the rendition of professional services litigant who is a plaintiff, the reason the
whether or not the complaint or cross complaint individual was in the geographic area of
specifically asserts or utilizes the terms “professional the defendant’s business.
negligence” or “negligence.” (Added by Stats. 1979, ch.
973. Amended by Stats. 1983, ch. 414; Stats. 1986, ch. (iv) In the case of a high-frequency
1231; Stats. 1988, ch. 1070; Stats. 1990, ch. 204; Stats. litigant who is a plaintiff, the reason
1991, ch. 272; Stats. 1995, ch. 241; Stats. 1999, ch. 176.) why the individual desired to access the
defendant’s business, including the
specific commercial, business, personal,
§ 425.50 Construction-Related Accessibility social, leisure, recreational, or other
Claim–Complaint Requirements purpose.

(a) An allegation of a construction-related accessibility (B) As used in this section “high-frequency

claim in a complaint, as defined in subdivision (a) of litigant” has the same meaning as set forth in
Section 55.52 of the Civil Code, shall state facts sufficient subdivision (b) of Section 425.55.
to allow a reasonable person to identify the basis of the
violation or violations supporting the claim, including all (b) (1) A complaint alleging a construction-related
of the following: accessibility claim, as those terms are defined in
subdivision (a) of Section 55.3 of the Civil Code,
(1) A plain language explanation of the specific shall be verified by the plaintiff. A complaint filed
access barrier or barriers the individual without verification shall be subject to a motion
encountered, or by which the individual alleges he to strike.
or she was deterred, with sufficient information
about the location of the alleged barrier to enable (2) A complaint alleging a construction-related
a reasonable person to identify the access barrier. accessibility claim filed by, or on behalf of, a high-
frequency litigant shall state in the caption
(2) The way in which the barrier denied the “ACTION SUBJECT TO THE SUPPLEMENTAL FEE IN
individual full and equal use or access, or in which GOVERNMENT CODE SECTION 70616.5.”
it deterred the individual, on each particular
occasion. (c) A complaint alleging a construction-related
accessibility claim shall be signed by at least one
(3) The date or dates of each particular occasion attorney of record in the attorney’s individual name, or,
on which the claimant encountered the specific if the party is not represented by an attorney, shall be
access barrier, or on which he or she was signed by the party. By signing the complaint, the
deterred. attorney or unrepresented party is certifying that, to
the best of the person’s knowledge, information, and
(4) (A) Except in complaints that allege belief, formed after an inquiry reasonable under the
physical injury or damage to property, a circumstances, all of the following conditions are met:
complaint filed by or on behalf of a high-
frequency litigant shall also state all of the (1) It is not being presented primarily for an
following: improper purpose, such as to harass or to cause
unnecessary delay or needless increase in the cost
(i) Whether the complaint is filed by, of litigation.
or on behalf of, a high-frequency
litigant.

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(2) The claims, defenses, and other legal those laws or else incur greater liability and legal costs
contentions therein are warranted by existing law if a lawsuit is filed. These demands for money allege
or by a nonfrivolous argument for the extension, one or more, but frequently multiple, claims for
modification, or reversal of existing law or the asserted violations of a construction-related
establishment of new law. accessibility standard and often demand a quick money
settlement based on the alleged multiple claims
(3) The allegations and other factual contentions without seeking and obtaining actual repair or
have evidentiary support or, if specifically so correction of the alleged violations on the site. These
identified, are likely to have evidentiary support “pay me now or pay me more” demands are used to
after a reasonable opportunity for further scare businesses into paying quick settlements that
investigation or discovery. only financially enrich the attorney and claimant and do
not promote accessibility either for the claimant or the
(4) The denials of factual contentions are disability community as a whole. These practices, often
warranted on the evidence or, if specifically so involving a series of demand for money letters sent to
identified, are reasonably based on a lack of numerous businesses, do not promote compliance with
information or belief. the accessibility requirements and erode public support
for and confidence in our laws. Therefore, the
(d) A court may, after notice and a reasonable
Legislature finds and declares that it is necessary and
opportunity to respond, determine whether subdivision
appropriate to enact Sections 55.31 and 55.32 of the
(c) has been violated and, if so, impose sanctions as
Civil Code, and Section 425.50 of the Code of Civil
provided in Section 128.7 for violations of subdivision
Procedure to protect the public’s confidence and
(b) of Section 128.7.
support of the right to petition under Sections 52 and
(e) Nothing in this section shall limit the right of a 54.3 of the Civil Code.
plaintiff to amend a complaint under Section 472, or
SEC. 25. The Legislature finds and declares all of the
with leave of the court under Section 473. However, an
following:
amended pleading alleging a construction-related
accessibility claim shall be pled as required by (a) Subdivision (h) of Section 55.56 of the Civil Code,
subdivision (a). as added by Section 11 of this act, is intended to
address the misuse of Sections 52 and 54.3 of the Civil
(f) The determination whether an attorney is a high-
Code by a small minority of disability rights lawyers and
frequency litigant shall be made solely on the basis of
plaintiffs. These lawyers and plaintiffs have alleged in
the verified complaint and any other publicly available
demand letters and complaints that they were deterred
documents. Notwithstanding any other law, no party to
on repeated occasions by the same violation of a
the proceeding may conduct discovery with respect to
construction-related accessibility standard and thereby
whether an attorney is a high-frequency litigant.
assert multiple claims for the same violation without a
(g) This section shall become operative on January 1, reasonable explanation for the repeated conduct in
2013. (Added by Stats. 2012, ch. 383, operative light of the obligation to mitigate damages. Their
September 19, 2012. Amended by Stats. 2013, ch. 76; assertions of these “stacked” multiple claims for the
Stats. 2015, ch. 755, effective October 10, 2015.) same construction-related accessibility violation on
different occasions are made to substantially increase
[Publisher’s Note: The following sections concern Code the purported statutory liability of a defendant in order
of Civil Procedure § 425.50 and were added by Stats. to intimidate and pressure the defendant into making a
2012, ch. 383, but not codified. It is provided below for quick monetary settlement. The provisions of
your information.] subdivision (h) of Section 55.56 of the Civil Code
reiterate that where multiple claims for the same
SEC. 24. The Legislature finds and declares that a very construction-related accessibility violation on separate
small number of plaintiffs’ attorneys have been abusing particular occasions are alleged, a plaintiff’s conduct
the right of petition under Sections 52 and 54.3 of the must have a reasonable explanation for the asserted
Civil Code by issuing a demand for money to a need for multiple visits to a site where a known barrier
California business owner that demands the owner pay violation would deny full and equal access, in light of
a quick settlement of the attorney’s alleged claim under the obligation to mitigate damages.

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(b) Correspondingly, if there is a reasonable explanation 2014 were filed by two law firms. Forty-six
in light of the obligation to mitigate damages for the need percent of all complaints were filed by a total of
to make multiple visits to a site where a known barrier 14 parties. Therefore, a very small number of
violation would deny full and equal access, a multiple plaintiffs have filed a disproportionately large
claim for repeated violations of the same construction- number of the construction-related accessibility
related accessibility standard may properly lie. In addition, claims in the state, from 70 to 300 lawsuits each
there may be clear instances when the needs of a person year. Moreover, these lawsuits are frequently filed
with a disability and circumstances may make mitigation against small businesses on the basis of
efforts impossible or futile in cases involving multiple boilerplate complaints, apparently seeking quick
instances of deterrence on separate particular occasions cash settlements rather than correction of the
where the individual has a reasonable explanation for the accessibility violation. This practice unfairly taints
need for multiple visits to the same site. the reputation of other innocent disabled
consumers who are merely trying to go about
(c) Further, nothing in subdivision (h) of Section their daily lives accessing public accommodations
55.56 of the Civil Code is intended to change existing as they are entitled to have full and equal access
law with respect to the fact that an alleged failure to under the state's Unruh Civil Rights Act (Section
mitigate damages is pled and proven as an affirmative 51 of the Civil Code) and the federal Americans
defense. with Disability Act of 1990 (Public Law 101-336).

SEC. 26. The provisions of this act are severable. If any (3) Therefore, given these special and unique
provision of this act or its application is held invalid, circumstances, the provisions of this section are
that invalidity shall not affect other provisions or warranted for this limited group of plaintiffs.
applications that can be given effect without the invalid
provision or application. (b) For the purposes of this article, “high-frequency
litigant” means a person, except as specified in
SEC. 29. This act is an urgency statute necessary for the paragraph (3), who utilizes court resources in actions
immediate preservation of the public peace, health, or arising from alleged construction-related access
safety within the meaning of Article IV of the violations at such a high level that it is appropriate that
Constitution and shall go into immediate effect. The additional safeguards apply so as to ensure that the
facts constituting the necessity are: In order to avoid claims are warranted. A “high-frequency litigant”
unnecessary litigation and to facilitate compliance with means one or more of the following:
the disability access law, it is necessary that this act
take effect immediately. (1) A plaintiff who has filed 10 or more
complaints alleging a construction-related
accessibility violation within the 12-month period
§ 425.55 Legislative Findings and Declarations immediately preceding the filing of the current
Regarding the Protection of the Civil Rights of complaint alleging a construction-related
Persons with Disabilities; “High-Frequency Litigant” accessibility violation.
Defined
(2) An attorney who has represented as
(a) The Legislature finds and declares all of the attorney of record 10 or more high-frequency
following: litigant plaintiffs in actions that were resolved
within the 12-month period immediately
(1) Protection of the civil rights of persons with preceding the filing of the current complaint
disabilities is of the utmost importance to this alleging a construction-related accessibility
state, and private enforcement is the essential violation, excluding all of the following actions:
means of achieving that goal, as the law has been
designed. (A) An action in which an early evaluation
conference was held pursuant to Section
(2) According to information from the California 55.54 of the Civil Code.
Commission on Disability Access, more than one-
half, or 54 percent, of all construction-related (B) An action in which judgment was
accessibility complaints filed between 2012 and entered in favor of the plaintiff.

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(C) An action in which the construction- (2) “Credible threat of violence” is a knowing
related accessibility violations alleged in the and willful statement or course of conduct that
complaint were remedied in whole or in would place a reasonable person in fear for the
part, or a favorable result was achieved, person’s safety or the safety of the person’s
after the plaintiff filed a complaint or immediate family, and that serves no legitimate
provided a demand letter, as defined in purpose.
Section 55.3 of the Civil Code.
(3) “Harassment” is unlawful violence, a credible
(3) This section does not apply to an attorney threat of violence, or a knowing and willful course
employed or retained by a qualified legal services of conduct directed at a specific person that
project or a qualified support center, as defined in seriously alarms, annoys, or harasses the person,
Section 6213 of the Business and Professions and that serves no legitimate purpose. The course
Code, when acting within the scope of of conduct must be that which would cause a
employment to represent a client in asserting a reasonable person to suffer substantial emotional
construction-related accessibility claim, or the distress, and must actually cause substantial
client in such a case. (Added by Stats. 2015, ch. emotional distress to the petitioner.
755, effective Oct. 10, 2015.)
(4) “Petitioner” means the person to be
protected by the temporary restraining order and
§ 527.6 Injunction and Temporary Restraining order after hearing and, if the court grants the
Order Prohibiting Harassment–Appearance In Court petition, the protected person.
by Guardian
(5) “Respondent” means the person against
(a) (1) A person who has suffered harassment as whom the temporary restraining order and order
defined in subdivision (b) may seek a temporary after hearing are sought and, if the petition is
restraining order and an order after hearing granted, the restrained person.
prohibiting harassment as provided in this
section. (6) “Temporary restraining order” and “order
after hearing” mean orders that include any of the
(2) A minor, under 12 years of age, accompanied following restraining orders, whether issued ex
by a duly appointed and acting guardian ad litem, parte or after notice and hearing:
shall be permitted to appear in court without
counsel for the limited purpose of requesting or (A) An order enjoining a party from
opposing a request for a temporary restraining harassing, intimidating, molesting, attacking,
order or order after hearing, or both, under this striking, stalking, threatening, sexually
section as provided in Section 374. assaulting, battering, abusing, telephoning,
including, but not limited to, making
(b) For purposes of this section, the following terms annoying telephone calls, as described in
have the following meanings: Section 653m of the Penal Code, destroying
personal property, contacting, either directly
(1) “Course of conduct” is a pattern of conduct or indirectly, by mail or otherwise, or coming
composed of a series of acts over a period of time, within a specified distance of, or disturbing
however short, evidencing a continuity of the peace of, the petitioner. On a showing of
purpose, including following or stalking an good cause, in an order issued pursuant to
individual, making harassing telephone calls to an this subparagraph in connection with an
individual, or sending harassing correspondence animal owned, possessed, leased, kept, or
to an individual by any means, including, but not held by the petitioner, or residing in the
limited to, the use of public or private mails, residence or household of the petitioner, the
interoffice mail, facsimile, or email. court may do either or both of the following:
Constitutionally protected activity is not included
within the meaning of “course of conduct.” (i) Grant the petitioner exclusive
care, possession, or control of the
animal.

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(ii) Order the respondent to stay temporary order is granted or denied, a hearing shall
away from the animal and refrain from be held on the petition. If a request for a temporary
taking, transferring, encumbering, order is not made, the hearing shall be held within 21
concealing, molesting, attacking, days, or, if good cause appears to the court, 25 days,
striking, threatening, harming, or from the date that the petition is filed.
otherwise disposing of the animal.
(h) The respondent may file a response that explains,
(B) An order enjoining a party from excuses, justifies, or denies the alleged harassment, or
specified behavior that the court determines may file a cross-petition under this section.
is necessary to effectuate orders described in
subparagraph (A). (i) At the hearing, the judge shall receive any
testimony that is relevant, and may make an
(7) “Unlawful violence” is any assault or battery, independent inquiry. If the judge finds by clear and
or stalking as prohibited in Section 646.9 of the convincing evidence that unlawful harassment exists,
Penal Code, but does not include lawful acts of an order shall issue prohibiting the harassment.
self-defense or defense of others.
(j) (1) In the discretion of the court, an order issued
(c) In the discretion of the court, on a showing of after notice and hearing under this section may
good cause, a temporary restraining order or order have a duration of no more than five years,
after hearing issued under this section may include subject to termination or modification by further
other named family or household members. order of the court either on written stipulation
filed with the court or on the motion of a party.
(d) Upon filing a petition for orders under this The order may be renewed, upon the request of a
section, the petitioner may obtain a temporary party, for a duration of no more than five
restraining order in accordance with Section 527, additional years, without a showing of any further
except to the extent this section provides an harassment since the issuance of the original
inconsistent rule. The temporary restraining order may order, subject to termination or modification by
include any of the restraining orders described in further order of the court either on written
paragraph (6) of subdivision (b). A temporary stipulation filed with the court or on the motion
restraining order may be issued with or without notice, of a party. A request for renewal may be brought
based on a declaration that, to the satisfaction of the any time within the three months before the
court, shows reasonable proof of harassment of the order expires.
petitioner by the respondent, and that great or
irreparable harm would result to the petitioner. (2) The failure to state the expiration date on
the face of the form creates an order with a
(e) A request for the issuance of a temporary duration of three years from the date of issuance.
restraining order without notice under this section shall
be granted or denied on the same day that the petition (3) If an action is filed for the purpose of
is submitted to the court. If the petition is filed too late terminating or modifying a protective order
in the day to permit effective review, the order shall be before the expiration date specified in the order
granted or denied on the next day of judicial business in by a party other than the protected party, the
sufficient time for the order to be filed that day with party who is protected by the order shall be given
the clerk of the court. notice, pursuant to subdivision (b) of Section
1005, of the proceeding by personal service or, if
(f) A temporary restraining order issued under this the protected party has satisfied the requirements
section shall remain in effect, at the court’s discretion, of Chapter 3.1 (commencing with Section 6205) of
for a period not to exceed 21 days, or, if the court Division 7 of Title 1 of the Government Code, by
extends the time for hearing under subdivision (g), not service on the Secretary of State. If the party who
to exceed 25 days, unless otherwise modified or is protected by the order cannot be notified
terminated by the court. before the hearing for modification or termination
of the protective order, the court shall deny the
(g) Within 21 days, or, if good cause appears to the motion to modify or terminate the order without
court, 25 days from the date that a petition for a prejudice or continue the hearing until the party

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who is protected can be properly noticed and (p) (1) Either party may request a continuance of
may, upon a showing of good cause, specify the hearing, which the court shall grant on a
another method for service of process that is showing of good cause. The request may be made
reasonably designed to afford actual notice to the in writing before or at the hearing or orally at the
protected party. The protected party may waive hearing. The court may also grant a continuance
the protected party’s right to notice if the on its own motion.
protected party is physically present in court and
does not challenge the sufficiency of the notice. (2) If the court grants a continuance, any
temporary restraining order that has been
(k) This section does not preclude either party from granted shall remain in effect until the end of the
representation by private counsel or from appearing on continued hearing, unless otherwise ordered by
the party’s own behalf. the court. In granting a continuance, the court
may modify or terminate a temporary restraining
(l) In a proceeding under this section if there are order.
allegations of unlawful violence or credible threats of
violence, a support person may accompany a party in (q) (1) If a respondent, named in a restraining order
court and, if the party is not represented by an issued after a hearing has not been served
attorney, may sit with the party at the table that is personally with the order but has received actual
generally reserved for the party and the party’s notice of the existence and substance of the order
attorney. The support person is present to provide through personal appearance in court to hear the
moral and emotional support for a person who alleges terms of the order from the court, additional
they are a victim of violence. The support person is not proof of service is not required for enforcement
present as a legal adviser and may not provide legal of the order.
advice. The support person may assist the person who
alleges they are a victim of violence in feeling more (2) If the respondent named in a temporary
confident that they will not be injured or threatened by restraining order is personally served with the
the other party during the proceedings if the person order and notice of hearing with respect to a
who alleges the person is a victim of violence and the restraining order or protective order based on the
other party are required to be present in close temporary restraining order, but the respondent
proximity. This subdivision does not preclude the court does not appear at the hearing, either personally
from exercising its discretion to remove the support or by an attorney, and the terms and conditions of
person from the courtroom if the court believes the the restraining order or protective order issued at
support person is prompting, swaying, or influencing the hearing are identical to the temporary
the party assisted by the support person. restraining order, except for the duration of the
order, the restraining order or protective order
(m) Upon the filing of a petition under this section, the issued at the hearing may be served on the
respondent shall be personally served with a copy of respondent by first-class mail sent to the
the petition, temporary restraining order, if any, and respondent at the most current address for the
notice of hearing of the petition. Service shall be made respondent available to the court.
at least five days before the hearing. The court may for
good cause, on motion of the petitioner or on its own (3) The Judicial Council form for temporary
motion, shorten the time for service on the orders issued pursuant to this subdivision shall
respondent. contain a statement in substantially the following
form:
(n) A notice of hearing under this section shall notify
the respondent that if the respondent does not attend “If you have been personally served with this
the hearing, the court may make orders against the temporary restraining order and notice of
respondent that could last up to five years. hearing, but you do not appear at the hearing
either in person or by a lawyer, and a restraining
(o) The respondent shall be entitled, as a matter of order that is the same as this temporary
course, to one continuance, for a reasonable period, to restraining order except for the expiration date is
respond to the petition. issued at the hearing, a copy of the restraining

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order will be served on you by mail at the (B) With the approval of the Department of
following address: ____. Justice, entering the order or proof of service
into CLETS directly.
If that address is not correct or you wish to verify
that the temporary restraining order was (4) Each appropriate law enforcement agency
converted to a restraining order at the hearing shall make available information as to the
without substantive change and to find out the existence and current status of orders issued
duration of that order, contact the clerk of the under this section to law enforcement officers
court.” responding to the scene of reported harassment.

(4) If information about a minor has been made (5) An order issued under this section shall, on
confidential pursuant to subdivision (v), the notice request of the petitioner, be served on the
shall identify the information, specifically, that has respondent, whether or not the respondent has
been made confidential and shall include a been taken into custody, by any law enforcement
statement that disclosure or misuse of that officer who is present at the scene of reported
information is punishable as a contempt of court. harassment involving the parties to the
proceeding. The petitioner shall provide the
(r) (1) Information on a temporary restraining officer with an endorsed copy of the order and a
order or order after hearing relating to civil proof of service that the officer shall complete
harassment issued by a court pursuant to this and send to the issuing court.
section shall be transmitted to the Department of
Justice in accordance with either paragraph (2) or (6) Upon receiving information at the scene of
(3). an incident of harassment that a protective order
has been issued under this section, or that a
(2) The court shall order the petitioner or the person who has been taken into custody is the
attorney for the petitioner to deliver a copy of an subject of an order, if the protected person
order issued under this section, or reissuance, cannot produce a certified copy of the order, a
extension, modification, or termination of the law enforcement officer shall immediately
order, and any subsequent proof of service, by the attempt to verify the existence of the order.
close of the business day on which the order,
reissuance, extension, modification, or (7) If the law enforcement officer determines
termination was made, to a law enforcement that a protective order has been issued, but not
agency having jurisdiction over the residence of served, the officer shall immediately notify the
the petitioner and to any additional law respondent of the terms of the order and shall at
enforcement agencies within the court’s that time also enforce the order. Verbal notice of
discretion as are requested by the petitioner. the terms of the order shall constitute service of
the order and is sufficient notice for purposes of
(3) Alternatively, the court or its designee shall this section and for purposes of Section 29825 of
transmit, within one business day, to law the Penal Code. Verbal notice shall include the
enforcement personnel all information required information required pursuant to paragraph (4) of
under subdivision (b) of Section 6380 of the subdivision (q).
Family Code regarding any order issued under this
section, or a reissuance, extension, modification, (s) The prevailing party in an action brought pursuant
or termination of the order, and any subsequent to this section may be awarded court costs and
proof of service, by either one of the following attorney’s fees, if any.
methods:
(t) Willful disobedience of a temporary restraining
(A) Transmitting a physical copy of the order or order after hearing granted pursuant to this
order or proof of service to a local law section is punishable pursuant to Section 273.6 of the
enforcement agency authorized by the Penal Code.
Department of Justice to enter orders into
the California Law Enforcement (u) (1) A person subject to a protective order issued
Telecommunications System (CLETS). pursuant to this section shall not own, possess,

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purchase, receive, or attempt to purchase or shall not be sanctioned for disclosure of the
receive a firearm or ammunition while the confidential information. If the court
protective order is in effect. imposes a sanction, the court shall first
determine whether the person has or is
(2) The court shall order a person subject to a reasonably likely to have the ability to pay.
protective order issued pursuant to this section to
relinquish any firearms the person owns or (B) Confidential information may be
possesses pursuant to Section 527.9. disclosed without a court order only in the
following circumstances:
(3) A person who owns, possesses, purchases, or
receives, or attempts to purchase or receive, a (i) By the minor’s legal guardian who
firearm or ammunition while the protective order petitioned to keep the information
is in effect is punishable pursuant to Section confidential pursuant to this
29825 of the Penal Code. subdivision or the protected party in an
order pursuant to this division,
(v) (1) A minor or the minor’s legal guardian may provided that the disclosure is
petition the court to have information regarding necessary to prevent harassment or is
the minor that was obtained in connection with a in the minor’s best interest. A legal
request for a protective order pursuant to this guardian or a protected party who
section, including, but not limited to, the minor’s makes a disclosure under this clause is
name, address, and the circumstances subject to the sanction in subparagraph
surrounding the request for a protective order (A) only if the disclosure was malicious.
with respect to that minor, be kept confidential.
(ii) By a person to whom confidential
(2) The court may order the information information is disclosed, provided that
specified in paragraph (1) be kept confidential if the disclosure is necessary to prevent
the court expressly finds all of the following: harassment or is in the best interest of
the minor, no more information than
(A) The minor’s right to privacy overcomes necessary is disclosed, and a delay
the right of public access to the information. would be caused by first obtaining a
court order to authorize the disclosure
(B) There is a substantial probability that
of the information. A person who
the minor’s interest will be prejudiced if the
makes a disclosure pursuant to this
information is not kept confidential.
clause is subject to the sanction in
(C) The order to keep the information subparagraph (A) if the person discloses
confidential is narrowly tailored. the information in a manner that
recklessly or maliciously disregards
(D) No less restrictive means exist to these requirements.
protect the minor’s privacy.
(4) (A) Confidential information shall be made
(3) (A) If the request is granted, except as available to both of the following:
provided in paragraph (4), information
regarding the minor shall be maintained in a (i) Law enforcement pursuant to
confidential case file and shall not become subdivision (r), to the extent necessary
part of the public file in the proceeding or and only for the purpose of enforcing
any other civil proceeding involving the the order.
parties. Except as provided in subparagraph
(ii) The respondent to allow the
(B), if the court determines that disclosure
respondent to comply with the order
of confidential information has been made
for confidentiality and to allow the
without a court order, the court may impose
respondent to comply with and
a sanction of up to one thousand dollars
respond to the protective order. A
($1,000). A minor who has alleged
notice shall be provided to the
harassment, as defined in subdivision (b),

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respondent that identifies the specific (y) There is no filing fee for a petition that alleges that
information that has been made a person has inflicted or threatened violence against
confidential and shall include a the petitioner, stalked the petitioner, or acted or
statement that disclosure is punishable spoken in any other manner that has placed the
by a monetary fine. petitioner in reasonable fear of violence, and that seeks
a protective or restraining order restraining stalking,
(B) At any time, the court on its own may future violence, or threats of violence, in an action
authorize a disclosure of any portion of the brought pursuant to this section. A fee shall not be paid
confidential information to certain for a subpoena filed in connection with a petition
individuals or entities as necessary to alleging these acts. A fee shall not be paid for filing a
prevent harassment, as defined under response to a petition alleging these acts.
subdivision (b), including implementation of
the protective order, or if it is in the best (z) (1) Subject to paragraph (4) of subdivision (b) of
interest of the minor. Section 6103.2 of the Government Code, there
shall not be a fee for the service of process by a
(C) The court may authorize a disclosure of sheriff or marshal of a protective or restraining
any portion of the confidential information order to be issued, if either of the following
to any person that files a petition if conditions apply:
necessary to prevent harassment, as defined
under subdivision (b), or if it is in the best (A) The protective or restraining order
interest of the minor. The party who issued pursuant to this section is based upon
petitioned the court to keep the information stalking, as prohibited by Section 646.9 of
confidential pursuant to this subdivision shall the Penal Code.
be served personally or by first-class mail
with a copy of the petition and afforded an (B) The protective or restraining order
opportunity to object to the disclosure. issued pursuant to this section is based upon
unlawful violence or a credible threat of
(w) This section does not apply to any action or violence.
proceeding covered by Title 1.6C (commencing with
Section 1788) of Part 4 of Division 3 of the Civil Code or (2) The Judicial Council shall prepare and
by Division 10 (commencing with Section 6200) of the develop forms for persons who wish to avail
Family Code. This section does not preclude a themselves of the services described in this
petitioner from using other existing civil remedies. subdivision. (Added by Stats. 2013, ch. 158.
Amended by Stats. 2015, ch. 401; Stats. 2015, ch.
(x) (1) The Judicial Council shall develop forms, 411; Stats. 2016, ch. 86; Stats. 2019, ch. 294.)
instructions, and rules relating to matters
governed by this section. The petition and
response forms shall be simple and concise, and § 527.8 Employees Subject to Unlawful Violence
their use by parties in actions brought pursuant to or Threat of Violence at the Workplace; Temporary
this section is mandatory. Restraining Order; Order After Hearing;
Constitutional Protections for Speech and Activities
(2) A temporary restraining order or order after
hearing relating to civil harassment issued by a (a) Any employer, whose employee has suffered
court pursuant to this section shall be issued on unlawful violence or a credible threat of violence from
forms adopted by the Judicial Council and that any individual, that can reasonably be construed to be
have been approved by the Department of Justice carried out or to have been carried out at the
pursuant to subdivision (i) of Section 6380 of the workplace, may seek a temporary restraining order and
Family Code. However, the fact that an order an order after hearing on behalf of the employee and,
issued by a court pursuant to this section was not at the discretion of the court, any number of other
issued on forms adopted by the Judicial Council employees at the workplace, and, if appropriate, other
and approved by the Department of Justice shall employees at other workplaces of the employer.
not, in and of itself, make the order
unenforceable.

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(b) For purposes of this section: annoying telephone calls as described in

Section 653m of the Penal Code, destroying
(1) “Course of conduct” is a pattern of conduct personal property, contacting, either directly
composed of a series of acts over a period of time, or indirectly, by mail or otherwise, or coming
however short, evidencing a continuity of within a specified distance of, or disturbing
purpose, including following or stalking an the peace of, the employee.
employee to or from the place of work; entering
the workplace; following an employee during (B) An order enjoining a party from
hours of employment; making telephone calls to specified behavior that the court determines
an employee; or sending correspondence to an is necessary to effectuate orders described in
employee by any means, including, but not limited subparagraph (A).
to, the use of the public or private mails,
interoffice mail, facsimile, or computer email. (7) “Unlawful violence” is any assault or battery,
or stalking as prohibited in Section 646.9 of the
(2) “Credible threat of violence” is a knowing Penal Code, but shall not include lawful acts of
and willful statement or course of conduct that self-defense or defense of others.
would place a reasonable person in fear for his or
her safety, or the safety of his or her immediate (c) This section does not permit a court to issue a
family, and that serves no legitimate purpose. temporary restraining order or order after hearing
prohibiting speech or other activities that are
(3) “Employer” and “employee” mean persons constitutionally protected, or otherwise protected by
defined in Section 350 of the Labor Code. Section 527.3 or any other provision of law.
“Employer” also includes a federal agency, the
state, a state agency, a city, county, or district, and a (d) In the discretion of the court, on a showing of
private, public, or quasi-public corporation, or any good cause, a temporary restraining order or order
public agency thereof or therein. “Employee” also after hearing issued under this section may include
includes the members of boards of directors of other named family or household members, or other
private, public, and quasi-public corporations and persons employed at the employee's workplace or
elected and appointed public officers. For purposes workplaces.
of this section only, “employee” also includes a
volunteer or independent contractor who performs (e) Upon filing a petition under this section, the
services for the employer at the employer's petitioner may obtain a temporary restraining order in
worksite. accordance with subdivision (a) of Section 527, if the
petitioner also files a declaration that, to the
(4) “Petitioner” means the employer that satisfaction of the court, shows reasonable proof that
petitions under subdivision (a) for a temporary an employee has suffered unlawful violence or a
restraining order and order after hearing. credible threat of violence by the respondent, and that
great or irreparable harm would result to an employee.
(5) “Respondent” means the person against The temporary restraining order may include any of the
whom the temporary restraining order and order protective orders described in paragraph (6) of
after hearing are sought and, if the petition is subdivision (b).
granted, the restrained person.
(f) A request for the issuance of a temporary
(6) “Temporary restraining order” and “order restraining order without notice under this section shall
after hearing” mean orders that include any of the be granted or denied on the same day that the petition
following restraining orders, whether issued ex is submitted to the court, unless the petition is filed too
parte or after notice and hearing: late in the day to permit effective review, in which case
the order shall be granted or denied on the next day of
(A) An order enjoining a party from judicial business in sufficient time for the order to be
harassing, intimidating, molesting, attacking, filed that day with the clerk of the court.
striking, stalking, threatening, sexually
assaulting, battering, abusing, telephoning, (g) A temporary restraining order granted under this
including, but not limited to, making section shall remain in effect, at the court's discretion,

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for a period not to exceed 21 days, or if the court party other than the protected party, the party
extends the time for hearing under subdivision (h), not who is protected by the order shall be given
to exceed 25 days, unless otherwise modified or notice, pursuant to subdivision (b) of Section
terminated by the court. 1005, of the proceeding by personal service or, if
the protected party has satisfied the requirements
(h) Within 21 days, or if good cause appears to the of Chapter 3.1 (commencing with Section 6205) of
court, 25 days from the date that a petition for a Division 7 of Title 1 of the Government Code, by
temporary order is granted or denied, a hearing shall service on the Secretary of State. If the party who
be held on the petition. If no request for temporary is protected by the order cannot be notified prior
orders is made, the hearing shall be held within 21 to the hearing for modification or termination of
days, or, if good cause appears to the court, 25 days, the protective order, the court shall deny the
from the date that the petition is filed. motion to modify or terminate the order without
prejudice or continue the hearing until the party
(i) The respondent may file a response that explains, who is protected can be properly noticed and
excuses, justifies, or denies the alleged unlawful may, upon a showing of good cause, specify
violence or credible threats of violence. another method for service of process that is
reasonably designed to afford actual notice to the
(j) At the hearing, the judge shall receive any
protected party. The protected party may waive
testimony that is relevant and may make an
his or her right to notice if he or she is physically
independent inquiry. Moreover, if the respondent is a
present in court and does not challenge the
current employee of the entity requesting the order,
sufficiency of the notice.
the judge shall receive evidence concerning the
employer's decision to retain, terminate, or otherwise (l) This section does not preclude either party from
discipline the respondent. If the judge finds by clear representation by private counsel or from appearing on
and convincing evidence that the respondent engaged his or her own behalf.
in unlawful violence or made a credible threat of
violence, an order shall issue prohibiting further (m) Upon filing of a petition under this section, the
unlawful violence or threats of violence. respondent shall be personally served with a copy of
the petition, temporary restraining order, if any, and
(k) (1) In the discretion of the court, an order issued notice of hearing of the petition. Service shall be made
after notice and hearing under this section may at least five days before the hearing. The court may, for
have a duration of not more than three years, good cause, on motion of the petitioner or on its own
subject to termination or modification by further motion, shorten the time for service on the
order of the court either on written stipulation respondent.
filed with the court or on the motion of a party.
These orders may be renewed, upon the request (n) A notice of hearing under this section shall notify
of a party, for a duration of not more than three the respondent that, if he or she does not attend the
years, without a showing of any further violence hearing, the court may make orders against him or her
or threats of violence since the issuance of the that could last up to three years.
original order, subject to termination or
modification by further order of the court either (o) The respondent shall be entitled, as a matter of
on written stipulation filed with the court or on course, to one continuance, for a reasonable period, to
the motion of a party. The request for renewal respond to the petition.
may be brought at any time within the three
months before the expiration of the order. (p) (1) Either party may request a continuance of
the hearing, which the court shall grant on a
(2) The failure to state the expiration date on showing of good cause. The request may be made
the face of the form creates an order with a in writing before or at the hearing or orally at the
duration of three years from the date of issuance. hearing. The court may also grant a continuance
on its own motion.
(3) If an action is filed for the purpose of
terminating or modifying a protective order prior (2) If the court grants a continuance, any
to the expiration date specified in the order by a temporary restraining order that has been

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granted shall remain in effect until the end of the violence issued by a court pursuant to this
continued hearing, unless otherwise ordered by section shall be transmitted to the Department of
the court. In granting a continuance, the court Justice in accordance with either paragraph (2) or
may modify or terminate a temporary restraining (3).
order.
(2) The court shall order the petitioner or the
(q) (1) If a respondent, named in a restraining order attorney for the petitioner to deliver a copy of
issued under this section after a hearing, has not any order issued under this section, or a
been served personally with the order but has reissuance, extension, modification, or
received actual notice of the existence and termination of the order, and any subsequent
substance of the order through personal proof of service, by the close of the business day
appearance in court to hear the terms of the on which the order, reissuance, extension,
order from the court, no additional proof of modification, or termination was made, to each
service is required for enforcement of the order. law enforcement agency having jurisdiction over
the residence of the petitioner and to any
(2) If the respondent named in a temporary additional law enforcement agencies within the
restraining order is personally served with the court's discretion as are requested by the
order and notice of hearing with respect to a petitioner.
restraining order or protective order based on the
temporary restraining order, but the person does (3) Alternatively, the court or its designee shall
not appear at the hearing, either personally or by transmit, within one business day, to law
an attorney, and the terms and conditions of the enforcement personnel all information required
restraining order or protective order issued at the under subdivision (b) of Section 6380 of the
hearing are identical to the temporary restraining Family Code regarding any order issued under
order, except for the duration of the order, then this section, or a reissuance, extension,
the restraining order or protective order issued at modification, or termination of the order, and
the hearing may be served on the person by first- any subsequent proof of service, by either one of
class mail sent to that person at the most current the following methods:
address for the person available to the court.
(A) Transmitting a physical copy of the
(3) The Judicial Council form for temporary order or proof of service to a local law
orders issued pursuant to this subdivision shall enforcement agency authorized by the
contain a statement in substantially the following Department of Justice to enter orders into
form: the California Law Enforcement
Telecommunications System (CLETS).
“If you have been personally served with this
temporary restraining order and notice of (B) With the approval of the Department
hearing, but you do not appear at the hearing of Justice, entering the order or proof of
either in person or by a lawyer, and a restraining service into CLETS directly.
order that is the same as this restraining order
except for the expiration date is issued at the (4) Each appropriate law enforcement agency
hearing, a copy of the order will be served on you shall make available information as to the
by mail at the following address: ____. existence and current status of these orders to
law enforcement officers responding to the scene
If that address is not correct or you wish to verify of reported unlawful violence or a credible threat
that the temporary restraining order was of violence.
converted to a restraining order at the hearing
without substantive change and to find out the (5) At the request of the petitioner, an order
duration of that order, contact the clerk of the issued under this section shall be served on the
court.” respondent, regardless of whether the
respondent has been taken into custody, by any
(r) (1) Information on a temporary restraining law enforcement officer who is present at the
order or order after hearing relating to workplace scene of reported unlawful violence or a credible

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threat of violence involving the parties to the protective order is in effect is punishable
proceedings. The petitioner shall provide the pursuant to Section 29825 of the Penal Code.
officer with an endorsed copy of the order and
proof of service that the officer shall complete (t) Any intentional disobedience of any temporary
and send to the issuing court. restraining order or order after hearing granted under
this section is punishable pursuant to Section 273.6 of
(6) Upon receiving information at the scene of the Penal Code.
an incident of unlawful violence or a credible
threat of violence that a protective order has (u) This section shall not be construed as expanding,
been issued under this section, or that a person diminishing, altering, or modifying the duty, if any, of
who has been taken into custody is the subject of an employer to provide a safe workplace for
an order, if the petitioner or the protected person employees and other persons.
cannot produce an endorsed copy of the order, a
law enforcement officer shall immediately (v) (1) The Judicial Council shall develop forms,
attempt to verify the existence of the order. instructions, and rules for relating to matters
governed by this section. The forms for the
(7) If the law enforcement officer determines petition and response shall be simple and
that a protective order has been issued but not concise, and their use by parties in actions
served, the officer shall immediately notify the brought pursuant to this section shall be
respondent of the terms of the order and obtain mandatory.
the respondent's address. The law enforcement
officer shall at that time also enforce the order, (2) A temporary restraining order or order after
but may not arrest or take the respondent into hearing relating to unlawful violence or a credible
custody for acts in violation of the order that threat of violence issued by a court pursuant to
were committed prior to the verbal notice of the this section shall be issued on forms adopted by
terms and conditions of the order. The law the Judicial Council of California and that have
enforcement officer's verbal notice of the terms been approved by the Department of Justice
of the order shall constitute service of the order pursuant to subdivision (i) of Section 6380 of the
and constitutes sufficient notice for the purposes Family Code. However, the fact that an order
of this section and for the purposes of Section issued by a court pursuant to this section was not
29825 of the Penal Code. The petitioner shall mail issued on forms adopted by the Judicial Council
an endorsed copy of the order to the and approved by the Department of Justice shall
respondent's mailing address provided to the law not, in and of itself, make the order
enforcement officer within one business day of unenforceable.
the reported incident of unlawful violence or a
(w) There is no filing fee for a petition that alleges
credible threat of violence at which a verbal
that a person has inflicted or threatened violence
notice of the terms of the order was provided by
against an employee of the petitioner, or stalked the
a law enforcement officer.
employee, or acted or spoken in any other manner
(s) (1) A person subject to a protective order that has placed the employee in reasonable fear of
issued under this section shall not own, possess, violence, and that seeks a protective or restraining
purchase, receive, or attempt to purchase or order restraining stalking or future violence or threats
receive a firearm or ammunition while the of violence, in any action brought pursuant to this
protective order is in effect. section. No fee shall be paid for a subpoena filed in
connection with a petition alleging these acts. No fee
(2) The court shall order a person subject to a shall be paid for filing a response to a petition alleging
protective order issued under this section to these acts.
relinquish any firearms he or she owns or
possesses pursuant to Section 527.9. (x) (1) Subject to paragraph (4) of subdivision (b) of
Section 6103.2 of the Government Code, there
(3) Every person who owns, possesses, shall be no fee for the service of process by a
purchases or receives, or attempts to purchase or sheriff or marshal of a temporary restraining
receive a firearm or ammunition while the order or order after hearing to be issued

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pursuant to this section if either of the following (2) “Course of conduct” means a pattern of
conditions applies: conduct composed of a series of acts over a
period of time, however short, evidencing a
(A) The temporary restraining order or continuity of purpose, including any of the
order after hearing issued pursuant to this following:
section is based upon stalking, as prohibited
by Section 646.9 of the Penal Code. (A) Following or stalking a student to or
from school.
(B) The temporary restraining order or
order after hearing issued pursuant to this (B) Entering the school campus or facility.
section is based on unlawful violence or a
credible threat of violence. (C) Following a student during school
hours.
(2) The Judicial Council shall prepare and
develop forms for persons who wish to avail (D) Making telephone calls to a student.
themselves of the services described in this
subdivision. (Added by Stats. 1993-94, ch. 29. (E) Sending correspondence to a student
Amended by Stats. 1998, ch. 581; Stats. 1999, ch. by any means, including, but not limited to,
661; Stats. 2000, ch. 688; Stats. 2002, ch. 1008; the use of the public or private mails,
Stats. 2003, ch. 498; Stats. 2005, ch. 467; Stats. interoffice mail, facsimile, or computer
2006, ch. 476; Stats. 2010, ch. 178; Stats. 2010, email.
ch. 572; Stats. 2011, ch. 285; Stats. 2011, ch. 101;
(3) “Credible threat of violence” means a
Stats. 2012, ch. 162; Stats. 2015, ch. 411.)
knowing and willful statement or course of
conduct that would place a reasonable person in
§ 527.85 Officers Authorized to Maintain Order fear for his or her safety, or the safety of his or her
on School Campus or Facility; Threat of Violence immediate family, and that serves no legitimate
purpose.
Made Off School Campus; Temporary Restraining
Order and Order After Hearing; Violation of (4) “Petitioner” means the chief administrative
Restraining Order officer, or his or her designee, who petitions
under subdivision (a) for a temporary restraining
(a) Any chief administrative officer of a order and order after hearing.
postsecondary educational institution, or an officer or
employee designated by the chief administrative officer (5) “Postsecondary educational institution”
to maintain order on the school campus or facility, a means a private institution of vocational,
student of which has suffered a credible threat of professional, or postsecondary education.
violence made off the school campus or facility from
any individual which can reasonably be construed to be (6) “Respondent” means the person against
carried out or to have been carried out at the school whom the temporary restraining order and order
campus or facility, may, with the written consent of the after hearing are sought and, if the petition is
student, seek a temporary restraining order and an granted, the restrained person.
order after hearing on behalf of the student and, at the
discretion of the court, any number of other students (7) “Student” means an adult currently enrolled
at the campus or facility who are similarly situated. in or applying for admission to a postsecondary
educational institution.
(b) For purposes of this section, the following
definitions apply: (8) “Temporary restraining order” and “order
after hearing” mean orders that include any of the
(1) “Chief administrative officer” means the following restraining orders, whether issued ex
principal, president, or highest ranking official of parte, or after notice and hearing:
the postsecondary educational institution.
(A) An order enjoining a party from
harassing, intimidating, molesting, attacking,

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striking, stalking, threatening, sexually (g) A temporary restraining order granted under this
assaulting, battering, abusing, telephoning, section shall remain in effect, at the court’s discretion,
including, but not limited to, making for a period not to exceed 21 days, or if the court
annoying telephone calls as described in extends the time for hearing under subdivision (h), not
Section 653m of the Penal Code, destroying to exceed 25 days, unless otherwise modified or
personal property, contacting, either directly terminated by the court.
or indirectly, by mail or otherwise, or coming
within a specified distance of, or disturbing (h) Within 21 days, or if good cause appears to the
the peace of, the student. court, within 25 days, from the date that a petition for
a temporary order is granted or denied, a hearing shall
(B) An order enjoining a party from be held on the petition. If no request for temporary
specified behavior that the court determines orders is made, the hearing shall be held within 21
is necessary to effectuate orders described in days, or if good cause appears to the court, 25 days,
subparagraph (A). from the date the petition is filed.

(9) “Unlawful violence” means any assault or (i) The respondent may file a response that explains,
battery, or stalking as prohibited in Section 646.9 excuses, justifies, or denies the alleged credible threats
of the Penal Code, but shall not include lawful acts of violence.
of self-defense or defense of others.
(j) At the hearing, the judge shall receive any
(c) This section does not permit a court to issue a testimony that is relevant and may make an
temporary restraining order or order after hearing independent inquiry. Moreover, if the respondent is a
prohibiting speech or other activities that are current student of the entity requesting the order, the
constitutionally protected, or otherwise protected by judge shall receive evidence concerning the decision of
Section 527.3 or any other provision of law. the postsecondary educational institution decision to
retain, terminate, or otherwise discipline the
(d) In the discretion of the court, on a showing of respondent. If the judge finds by clear and convincing
good cause, a temporary restraining order or order evidence that the respondent made a credible threat of
after hearing issued under this section may include violence off the school campus or facility, an order shall
other named family or household members of the be issued prohibiting further threats of violence.
student, or other students at the campus or facility.
(k) (1) In the discretion of the court, an order issued
(e) Upon filing a petition under this section, the after notice and hearing under this section may
petitioner may obtain a temporary restraining order in have a duration of not more than three years,
accordance with subdivision (a) of Section 527, if the subject to termination or modification by further
petitioner also files a declaration that, to the order of the court either on written stipulation
satisfaction of the court, shows reasonable proof that a filed with the court or on the motion of a party.
student has suffered a credible threat of violence made These orders may be renewed, upon the request
off the school campus or facility by the respondent, and of a party, for a duration of not more than three
that great or irreparable harm would result to the years, without a showing of any further violence
student. The temporary restraining order may include or threats of violence since the issuance of the
any of the protective orders described in paragraph (8) original order, subject to termination or
of subdivision (b). modification by further order of the court either
on written stipulation filed with the court or on
(f) A request for the issuance of a temporary the motion of a party. The request for renewal
restraining order without notice under this section shall may be brought at any time within the three
be granted or denied on the same day that the petition months before the expiration of the order.
is submitted to the court, unless the petition is filed too
late in the day to permit effective review, in which case (2) The failure to state the expiration date on
the order shall be granted or denied on the next day of the face of the form creates an order with a
judicial business in sufficient time for the order to be duration of three years from the date of issuance.
filed that day with the clerk of the court.

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(3) If an action is filed for the purpose of (2) If the court grants a continuance, any
terminating or modifying a protective order prior temporary restraining order that has been
to the expiration date specified in the order by a granted shall remain in effect until the end of the
party other than the protected party, the party continued hearing, unless otherwise ordered by
who is protected by the order shall be given the court. In granting a continuance, the court
notice, pursuant to subdivision (b) of Section may modify or terminate a temporary restraining
1005, of the proceeding by personal service or, if order.
the protected party has satisfied the requirements
of Chapter 3.1 (commencing with Section 6205) of (q) (1) If a respondent, named in an order issued
Division 7 of Title 1 of the Government Code, by under this section after a hearing, has not been
service on the Secretary of State. If the party who served personally with the order but has received
is protected by the order cannot be notified prior actual notice of the existence and substance of
to the hearing for modification or termination of the order through personal appearance in court
the protective order, the court shall deny the to hear the terms of the order from the court, no
motion to modify or terminate the order without additional proof of service is required for
prejudice or continue the hearing until the party enforcement of the order.
who is protected can be properly noticed and
may, upon a showing of good cause, specify (2) If the respondent named in a temporary
another method for service of process that is restraining order is personally served with the
reasonably designed to afford actual notice to the order and notice of hearing with respect to a
protected party. The protected party may waive restraining order or protective order based on the
his or her right to notice if he or she is physically temporary restraining order, but the respondent
present in court and does not challenge the does not appear at the hearing, either personally
sufficiency of the notice. or by an attorney, and the terms and conditions of
the restraining order or protective order issued at
(l) This section does not preclude either party from the hearing are identical to the temporary
representation by private counsel or from appearing on restraining order, except for the duration of the
his or her own behalf. order, then the restraining order or protective
order issued at the hearing may be served on the
(m) Upon filing of a petition under this section, the respondent by first-class mail sent to that person
respondent shall be personally served with a copy of at the most current address for the respondent
the petition, temporary restraining order, if any, and available to the court.
notice of hearing of the petition. Service shall be made
at least five days before the hearing. The court may, for (3) The Judicial Council form for temporary
good cause, on motion of the petitioner or on its own orders issued pursuant to this subdivision shall
motion, shorten the time for service on the contain a statement in substantially the following
respondent. form:

(n) A notice of hearing under this section shall notify “If you have been personally served with a
the respondent that if he or she does not attend the temporary restraining order and notice of hearing,
hearing, the court may make orders against him or her but you do not appear at the hearing either in
that could last up to three years. person or by a lawyer, and a restraining order that
is the same as this temporary restraining order
(o) The respondent shall be entitled, as a matter of except for the expiration date is issued at the
course, to one continuance, for a reasonable period, to hearing, a copy of the order will be served on you
respond to the petition. by mail at the following address:____.

(p) (1) Either party may request a continuance of If that address is not correct or you wish to verify
the hearing, which the court shall grant on a that the temporary restraining order was
showing of good cause. The request may be made converted to a restraining order at the hearing
in writing before or at the hearing or orally at the without substantive change and to find out the
hearing. The court may also grant a continuance duration of that order, contact the clerk of the
on its own motion. court.”

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(r) (1) Information on a temporary restraining threat of violence involving the parties to the
order or order after hearing relating to schoolsite proceedings. The petitioner shall provide the
violence issued by a court pursuant to this section officer with an endorsed copy of the order and
shall be transmitted to the Department of Justice proof of service that the officer shall complete
in accordance with either paragraph (2) or (3). and send to the issuing court.

(2) The court shall order the petitioner or the (6) Upon receiving information at the scene of
attorney for the petitioner to deliver a copy of any an incident of unlawful violence or a credible
order issued under this section, or a reissuance, threat of violence that a protective order has been
extension, modification, or termination of the issued under this section, or that a person who
order, and any subsequent proof of service, by the has been taken into custody is the subject of an
close of the business day on which the order, order, if the petitioner or the protected person
reissuance, or termination of the order, and any cannot produce an endorsed copy of the order, a
proof of service, was made, to each law law enforcement officer shall immediately
enforcement agency having jurisdiction over the attempt to verify the existence of the order.
residence of the petition and to any additional law
enforcement agencies within the court’s (7) If the law enforcement officer determines
discretion as are requested by the petitioner. that a protective order has been issued but not
served, the officer shall immediately notify the
(3) Alternatively, the court or its designee shall respondent of the terms of the order and obtain
transmit, within one business day, to law the respondent’s address. The law enforcement
enforcement personnel all information required officer shall at that time also enforce the order,
under subdivision (b) of Section 6380 of the but may not arrest or take the respondent into
Family Code regarding any order issued under this custody for acts in violation of the order that were
section, or a reissuance, extension, modification, committed prior to the verbal notice of the terms
or termination of the order, and any subsequent and conditions of the order. The law enforcement
proof of service, by either one of the following officer’s verbal notice of the terms of the order
methods: shall constitute service of the order and
constitutes sufficient notice for the purposes of
(A) Transmitting a physical copy of the this section, and Section 29825 of the Penal Code.
order or proof of service to a local law The petitioner shall mail an endorsed copy of the
enforcement agency authorized by the order to the respondent’s mailing address
Department of Justice to enter orders into provided to the law enforcement officer within
the California Law Enforcement one business day of the reported incident of
Telecommunications System (CLETS). unlawful violence or a credible threat of violence
at which a verbal notice of the terms of the order
(B) With the approval of the Department of was provided by a law enforcement officer.
Justice, entering the order of proof of service
into CLETS directly. (s) (1) A person subject to a protective order issued
under this section shall not own, possess,
(4) Each appropriate law enforcement agency purchase, receive, or attempt to purchase or
shall make available information as to the receive a firearm or ammunition while the
existence and current status of these orders to protective order is in effect.
law enforcement officers responding to the scene
of reported unlawful violence or a credible threat (2) The court shall order a person subject to a
of violence. protective order issued under this section to
relinquish any firearms he or she owns or
(5) At the request of the petitioner, an order possesses pursuant to Section 527.9.
issued under this section shall be served on the
respondent, regardless of whether the (3) Every person who owns, possesses,
respondent has been taken into custody, by any purchases, or receives, or attempts to purchase or
law enforcement officer who is present at the receive a firearm or ammunition while the
scene of reported unlawful violence or a credible

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protective order is in effect is punishable pursuant (A) The temporary restraining order or
to Section 29825 of the Penal Code. order after hearing issued pursuant to this
section is based upon stalking, as prohibited
(t) Any intentional disobedience of any temporary by Section 646.9 of the Penal Code.
restraining order or order after hearing granted under
this section is punishable pursuant to Section 273.6 of (B) The temporary restraining order or
the Penal Code. order after hearing issued pursuant to this
section is based upon a credible threat of
(u) This section shall not be construed as expanding, violence.
diminishing, altering, or modifying the duty, if any, of a
postsecondary educational institution to provide a safe (2) The Judicial Council shall prepare and
environment for students and other persons. develop forms for persons who wish to avail
themselves of the services described in this
(v) (1) The Judicial Council shall develop forms, subdivision. (Added by Stats. 2009, ch. 566.
instructions, and rules relating to matters Amended by Stats. 2010, ch. 178; Stats. 2010, ch.
governed by this section. The forms for the 572; Stats. 2011, ch. 285; Stats. 2011, ch. 101;
petition and response shall be simple and concise, Stats. 2012, ch. 162; Stats. 2015, ch. 411.)
and their use by parties in actions brought
pursuant to this section shall be mandatory.
§ 566 Persons Ineligible for Appointment;
(2) A temporary restraining order or order after Consent; Undertaking on Ex Parte Application
hearing relating to unlawful violence or a credible
threat of violence issued by a court pursuant to (a) No party, or attorney of a party, or person
this section shall be issued on forms adopted by interested in an action, or related to any judge of the
the Judicial Council that have been approved by court by consanguinity or affinity within the third
the Department of Justice pursuant to subdivision degree, can be appointed receiver therein without the
(i) of Section 6380 of the Family Code. However, written consent of the parties, filed with the clerk.
the fact that an order issued by a court pursuant
to this section was not issued on forms adopted (b) If a receiver is appointed upon an ex parte
by the Judicial Council and approved by the application, the court, before making the order, must
Department of Justice shall not, in and of itself, require from the applicant an undertaking in an amount
make the order unenforceable. to be fixed by the court, to the effect that the applicant
will pay to the defendant all damages the defendant may
(w) There is no filing fee for a petition that alleges that sustain by reason of the appointment of the receiver and
a person has threatened violence against a student of the entry by the receiver upon the duties, in case the
the petitioner, or stalked the student, or acted or applicant shall have procured the appointment
spoken in any other manner that has placed the wrongfully, maliciously, or without sufficient cause.
student in reasonable fear of violence, and that seeks a (Enacted in 1982. Amended by Stats. 1874, ch. 383, Stats.
protective or restraining order restraining stalking or 1897, ch. 69; Stats. 1907, ch. 374, Stats. 1982, ch. 517.)
future threats of violence, in any action brought
pursuant to this section. No fee shall be paid for a
subpoena filed in connection with a petition alleging § 568 Powers of Receivers
these acts. No fee shall be paid for filing a response to a
The receiver has, under the control of the Court, power
petition alleging these acts.
to bring and defend actions in his own name, as
(x) (1) Subject to paragraph (4) of subdivision (b) of receiver; to take and keep possession of the property,
Section 6103.2 of the Government Code, there to receive rents, collect debts, to compound for and
shall be no fee for the service of process by a compromise the same, to make transfers, and generally
sheriff or marshal of a temporary restraining to do such acts respecting the property as the Court
order or order after hearing to be issued pursuant may authorize. (Enacted in 1872.)
to this section if either of the following conditions
applies:

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§ 638 Reference by Agreement of the Parties; (3) When a question of fact, other than upon the
Purposes pleadings, arises upon motion or otherwise, in any
stage of the action.
A referee may be appointed upon the agreement of the
parties filed with the clerk, or judge, or entered in the (4) When it is necessary for the information of
minutes, or upon the motion of a party to a written the court in a special proceeding.
contract or lease that provides that any controversy
arising therefrom shall be heard by a referee if the (5) When the court in any pending action
court finds a reference agreement exists between the determines that it is necessary for the court to
parties: appoint a referee to hear and determine any and all
discovery motions and disputes relevant to
(a) To hear and determine any or all of the issues in discovery in the action and to report findings and
an action or proceeding, whether of fact or of law, and make a recommendation thereon.
to report a statement of decision.
(b) In a discovery matter, a motion to disqualify an
(b) To ascertain a fact necessary to enable the court appointed referee pursuant to Section 170.6 shall be
to determine an action or proceeding. made to the court by a party either:

(c) In any matter in which a referee is appointed (A) Within 10 days after notice of the
pursuant to this section, a copy of the order shall be appointment, or if the party has not yet appeared
forwarded to the office of the presiding judge. The in the action, a motion shall be made within 10
Judicial Council shall, by rule, collect information on the days after the appearance, if a discovery referee
use of these referees. The Judicial Council shall also has been appointed for all discovery purposes.
collect information on fees paid by the parties for the
use of referees to the extent that information regarding (B) At least five days before the date set for
those fees is reported to the court. The Judicial Council hearing, if the referee assigned is known at least 10
shall report thereon to the Legislature by July 1, 2003. days before the date set for hearing and the
This subdivision shall become inoperative on January 1, discovery referee has been assigned only for
2004. (Enacted 1872. Amended by Stats. 1933, ch. 744; limited discovery purposes.
Stats. 1951, ch. 1737; Stats. 1982, ch. 440; Stats. 1984,
(c) When a referee is appointed pursuant to paragraph
ch. 350; Stats. 2000, ch. 644; Stats. 2001, ch. 44; Stats.
(5) of subdivision (a), the order shall indicate whether
2002, ch. 1008.)
the referee is being appointed for all discovery purposes
in the action.
§ 639 Direction of a Reference; Application;
(d) All appointments of referees pursuant to this
Motion of the Court section shall be by written order and shall include the
following:
(a) When the parties do not consent, the court may,
upon the written motion of any party, or of its own (1) When the referee is appointed pursuant to
motion, appoint a referee in the following cases paragraph (1), (2), (3), or (4) of subdivision (a), a
pursuant to the provisions of subdivision (b) of Section statement of the reason the referee is being
640: appointed.
(1) When the trial of an issue of fact requires the (2) When the referee is appointed pursuant to
examination of a long account on either side; in
paragraph (5) of subdivision (a), the exceptional
which case the referees may be directed to hear
circumstances requiring the reference, which must
and decide the whole issue, or report upon any
be specific to the circumstances of the particular
specific question of fact involved therein.
case.
(2) When the taking of an account is necessary
(3) The subject matter or matters included in the
for the information of the court before judgment,
reference.
or for carrying a judgment or order into effect.

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(4) The name, business address, and telephone [Publisher’s Note: The outline format found under
number of the referee. subsection (b) of the above provision is printed as it
appears in the bill as chaptered by the legislature in
(5) The maximum hourly rate the referee may 2001.]
charge and, at the request of any party, the
maximum number of hours for which the referee
may charge. Upon the written application of any § 907 Appeal Frivolous or Taken Solely for
party or the referee, the court may, for good cause Delay
shown, modify the maximum number of hours
subject to any findings as set forth in paragraph (6). When it appears to the reviewing court that the appeal
was frivolous or taken solely for delay, it may add to
(6) (A) Either a finding that no party has the costs on appeal such damages as may be just.
established an economic inability to pay a pro (Added by Stats. 1968, ch. 385.)
rata share of the referee’s fee or a finding
that one or more parties has established an
economic inability to pay a pro rata share of § 1002 Settlement Agreement Provisions or
the referee’s fees and that another party has Court Orders Preventing Disclosure of Factual
agreed voluntarily to pay that additional Information Relating to Action
share of the referee’s fee. A court shall not
appoint a referee at a cost to the parties if (a) Notwithstanding any other law, a provision within a
neither of these findings is made. settlement agreement that prevents the disclosure of
factual information related to the action is prohibited in
(B) In determining whether a party has any civil action the factual foundation for which
established an inability to pay the referee’s establishes a cause of action for civil damages for any of
fees under subparagraph (A), the court shall the following:
consider only the ability of the party, not the
party’s counsel, to pay these fees. If a party is (1) An act that may be prosecuted as a felony sex
proceeding in forma pauperis, the party shall offense.
be deemed by the court to have an economic
inability to pay the referee’s fees. However, a (2) An act of childhood sexual assault, as defined
determination of economic inability to pay in Section 340.1.
the fees shall not be limited to parties that
(3) An act of sexual exploitation of a minor, as
proceed in forma pauperis. For those parties
defined in Section 11165.1 of the Penal Code, or
who are not proceeding in forma pauperis,
conduct prohibited with respect to a minor
the court, in determining whether a party has
pursuant to Section 311.1, 311.5, or 311.6 of the
established an inability to pay the fees, shall
Penal Code.
consider, among other things, the estimated
cost of the referral and the impact of the (4) An act of sexual assault, as defined in
proposed fees on the party’s ability to paragraphs (1) to (9), inclusive, of subdivision (e) of
proceed with the litigation. Section 15610.63 of the Welfare and Institutions
Code, against an elder or dependent adult, as
(e) In any matter in which a referee is appointed
defined in Sections 15610.23 and 15610.27 of the
pursuant to paragraph (5) of subdivision (a), a copy of
Welfare and Institutions Code.
the order appointing the referee shall be forwarded to
the office of the presiding judge of the court. The (b) Notwithstanding any other law, in a civil action
Judicial Council shall, by rule, collect information on the described in paragraphs (1) to (4), inclusive, of subdivision
use of these references and the reference fees charged (a), a court shall not enter, by stipulation or otherwise, an
to litigants, and shall report thereon to the Legislature by order that restricts the disclosure of information in a
July 1, 2003. This subdivision shall become inoperative manner that conflicts with subdivision (a).
on January 1, 2004. (Enacted by Stats. 1872. Amended
by Stats. 1933, ch. 744; Stats. 1951, ch. 1737; Stats. 1977, (c) Subdivisions (a) and (b) do not preclude an
ch. 1257; Stats. 1981, ch. 299, Stats. 2000, ch. 1011; agreement preventing the disclosure of any medical
Stats. 2001, ch. 362.)

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information or personal identifying information, as Stats. 1907, ch. 327; Stats. 1933, ch. 744; Stats. 1951,
defined in subdivision (b) of Section 530.55 of the Penal ch. 1737; Stats. 2007, ch. 263.)
Code, regarding the victim of the offense listed in
subdivision (a) or of any information revealing the nature
of the relationship between the victim and the § 1021 Attorney’s Fees–Determined by
defendant. This subdivision shall not be construed to Agreement
limit the right of a crime victim to disclose this
information. Except as attorney’s fees are specifically provided for by
statute, the measure and mode of compensation of
(d) Except as authorized by subdivision (c), a provision attorneys and counselors at law is left to the agreement,
within a settlement agreement that prevents the express or implied, of the parties; but parties to actions
disclosure of factual information related to the action or proceedings are entitled to their costs, as hereinafter
described in subdivision (a) that is entered into on or provided. (Enacted 1872. Amended by Stats. 1933, ch.
after January 1, 2017, is void as a matter of law and 744; Stats. 1986, ch. 377.)
against public policy.

(e) An attorney's failure to comply with the § 1029.8 Damages for Injury Caused by an
requirements of this section by demanding that a Unlicensed Person who Provides Services for which a
provision be included in a settlement agreement that License is Required
prevents the disclosure of factual information related to
the action described in subdivision (a) that is not (a) Any unlicensed person who causes injury or
otherwise authorized by subdivision (c) as a condition of damage to another person as a result of providing goods
settlement, or advising a client to sign an agreement that or performing services for which a license is required
includes such a provision, may be grounds for under Division 2 (commencing with Section 500) or any
professional discipline and the State Bar of California initiative act referred to therein, Division 3 (commencing
shall investigate and take appropriate action in any such with Section 5000), or Chapter 2 (commencing with
case brought to its attention. (Added by Stats. 2006, ch. Section 18600) or Chapter 3 (commencing with Section
151. Amended by Stats. 2016, ch. 876; Stats. 2017, ch. 19000) of Division 8, of the Business and Professions
561; Stats. 2019, ch. 861.) Code, or Chapter 2 (commencing with Section 25210) or
Chapter 3 (commencing with Section 25230) of Part 3 of
Division 1 of Title 4 of the Corporations Code, shall be
§ 1015 Nonresident Party; Service on Clerk or liable to the injured person for treble the amount of
Attorney damages assessed in a civil action in any court having
proper jurisdiction. The court may, in its discretion,
When a plaintiff or a defendant, who has appeared, award all costs and attorney’s fees to the injured person
resides out of the state, and has no attorney in the if that person prevails in the action.
action or proceeding, the service may be made on the
clerk of the court, for that party. But in all cases where (b) This section shall not be construed to confer an
a party has an attorney in the action or proceeding, the additional cause of action or to affect or limit any other
service of papers, when required, must be upon the remedy, including, but not limited to, a claim for
attorney instead of the party, except service of exemplary damages.
subpoenas, of writs, and other process issued in the
suit, and of papers to bring the party into contempt. If (c) The additional damages provided for in subdivision
the sole attorney for a party is removed or suspended (a) shall not exceed ten thousand dollars ($10,000).
from practice, then the party has no attorney within
(d) For the purposes of this section, the term
the meaning of this section. If the party's sole attorney
“unlicensed person” shall not apply to any of the
has no known office in this state, notices and papers
following:
may be served by leaving a copy thereof with the clerk
of the court, unless the attorney has filed in the cause (1) Any person, partnership, corporation, or other
an address of a place at which notices and papers may entity providing goods or services under the good
be served on the attorney, in which event they may be faith belief that they are properly licensed and
served at that place. (Enacted in 1872. Amended by acting within the proper scope of that licensure.

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(2) Any person, partnership, corporation, or other same or adverse sides pursuant to rules adopted
entity whose license has expired for nonpayment of under Section 1034.
license renewal fees, but who is eligible to renew
that license without the necessity of applying and (b) Except as otherwise expressly provided by statute,
qualifying for an original license. a prevailing party is entitled as a matter of right to
recover costs in any action or proceeding.
(3) Any person, partnership, or corporation
licensed under Chapter 6 (commencing with (c) Nothing in this section shall prohibit parties from
Section 2700) or Chapter 6.5 (commencing with stipulating to alternative procedures for awarding costs
Section 2840) of the Business and Professions in the litigation pursuant to rules adopted under Section
Code, who provides professional nursing services 1034. (Added by Stats. 1986, ch. 377. Amended by
under an existing license, if the action arises from a Stats. 2017, ch. 131.)
claim that the licensee exceeded the scope of
practice authorized by his or her license.
§ 1033 Judicial Discretion to Award Costs–
(e) This section shall not apply to any action for unfair Limited Civil Case or Small Claims Division
trade practices brought against an unlicensed person
(a) Costs or any portion of claimed costs shall be as
under Chapter 4 (commencing with Section 17000) of
determined by the court in its discretion in a case other
Part 2 of Division 7 of the Business and Professions Code,
than a limited civil case in accordance with Section
by a person who holds a license that is required, or
1034 where the prevailing party recovers a judgment
closely related to the license that is required, to engage
that could have been rendered in a limited civil case.
in those activities performed by the unlicensed person.
(Added by Stats. 1985, ch. 895. Amended by Stats. 2004, (b) When a prevailing plaintiff in a limited civil case
ch. 575.) recovers less than the amount prescribed by law as the
maximum limitation upon the jurisdiction of the small
§ 1032 Definitions; Prevailing Party’s Right to claims court, the following shall apply:
Recover Costs; Stipulations (1) When the party could have brought the
action in the small claims division but did not do
(a) As used in this section, unless the context clearly
so, the court may, in its discretion, allow or deny
requires otherwise:
costs to the prevailing party, or may allow costs in
(1) “Complaint” includes a cross-complaint. part in any amount as it deems proper.

(2) “Defendant” includes a cross-defendant, a (2) When the party could not have brought the
person against whom a complaint is filed, or a party action in the small claims court, costs and
who files an answer in intervention. necessary disbursements shall be limited to the
actual cost of the filing fee, the actual cost of
(3) “Plaintiff” includes a cross-complainant or a service of process, and, when otherwise
party who files a complaint in intervention. specifically allowed by law, reasonable attorneys’
fees. However, those costs shall only be awarded
(4) “Prevailing party” includes the party with a to the plaintiff if the court is satisfied that prior to
net monetary recovery, a defendant in whose favor the commencement of the action, the plaintiff
a dismissal is entered, a defendant where neither informed the defendant in writing of the intended
plaintiff nor defendant obtains any relief, and a legal action against the defendant and that legal
defendant as against those plaintiffs who do not action could result in a judgment against the
recover any relief against that defendant. If any defendant that would include the costs and
party recovers other than monetary relief and in necessary disbursements allowed by this
situations other than as specified, the “prevailing paragraph. (Added by Stats. 1986, ch. 377.
party” shall be as determined by the court, and Amended by Stats. 1987, ch. 4; Stats. 1989, ch. 62;
under those circumstances, the court, in its Stats. 1998, ch. 931.)
discretion, may allow costs or not and, if allowed,
may apportion costs between the parties on the

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§ 1033.5 Costs Allowed Under Section 1032 actually incurred in effecting service upon
application pursuant to paragraph (4) of
(a) The following items are allowable as costs under subdivision (c).
Section 1032:
(5) Expenses of attachment including keeper’s
(1) Filing, motion, and jury fees. fees.

(2) Juror food and lodging while they are kept (6) Premiums on necessary surety bonds.
together during trial and after the jury retires for
deliberation. (7) Ordinary witness fees pursuant to Section
68093 of the Government Code.
(3) (A) Taking, video recording, and
transcribing necessary depositions, including (8) Fees of expert witnesses ordered by the
an original and one copy of those taken by court.
the claimant and one copy of depositions
taken by the party against whom costs are (9) Transcripts of court proceedings ordered by
allowed. the court.

(B) Fees of a certified or registered (10) Attorney’s fees, when authorized by any of
interpreter for the deposition of a party or the following:
witness who does not proficiently speak or
(A) Contract.
understand the English language.
(B) Statute.
(C) Travel expenses to attend depositions.
(C) Law.
(4) Service of process by a public officer,
registered process server, or other means, as (11) Court reporter fees as established by statute.
follows:
(12) Court interpreter fees for a qualified court
(A) When service is by a public officer, the interpreter authorized by the court for an indigent
recoverable cost is the fee authorized by law person represented by a qualified legal services
at the time of service. project, as defined in Section 6213 of the Business
and Professions Code, or a pro bono attorney, as
(B) If service is by a process server
defined in Section 8030.4 of the Business and
registered pursuant to Chapter 16
Professions Code.
(commencing with Section 22350) of Division
8 of the Business and Professions Code, the (13) Models, the enlargements of exhibits and
recoverable cost is the amount actually photocopies of exhibits, and the electronic
incurred in effecting service, including, but presentation of exhibits, including costs of rental
not limited to, a stakeout or other means equipment and electronic formatting, may be
employed in locating the person to be allowed if they were reasonably helpful to aid the
served, unless those charges are successfully trier of fact.
challenged by a party to the action.
(14) Fees for the electronic filing or service of
(C) When service is by publication, the documents through an electronic filing service
recoverable cost is the sum actually incurred provider if a court requires or orders electronic
in effecting service. filing or service of documents.
(D) When service is by a means other than (15) Fees for the hosting of electronic documents
that set forth in subparagraph (A), (B), or (C), if a court requires or orders a party to have
the recoverable cost is the lesser of the sum documents hosted by an electronic filing service
actually incurred, or the amount allowed to a provider. This paragraph shall become inoperative
public officer in this state for that service, on January 1, 2022.
except that the court may allow the sum

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(16) Any other item that is required to be rendered, (iii) upon application supported
awarded to the prevailing party pursuant to by affidavit made concurrently with a claim
statute as an incident to prevailing in the action at for other costs, or (iv) upon entry of default
trial or on appeal. judgment. Attorney’s fees allowable as
costs pursuant to subparagraph (A) or (C)
(b) The following items are not allowable as costs, of paragraph (10) of subdivision (a) shall be
except when expressly authorized by law: fixed either upon a noticed motion or upon
entry of a default judgment, unless
(1) Fees of experts not ordered by the court. otherwise provided by stipulation of the
parties.
(2) Investigation expenses in preparing the case
for trial. (B) Attorney’s fees awarded pursuant to
Section 1717 of the Civil Code are allowable
(3) Postage, telephone, and photocopying
costs under Section 1032 as authorized by
charges, except for exhibits.
subparagraph (A) of paragraph (10) of
(4) Costs in investigation of jurors or in subdivision (a). (Added by Stats. 1986, ch.
preparation for voir dire. 377. Amended by Stats. 1987, ch. 1080;
Stats. 1989, ch. 1416; Stats. 1990, ch. 804;
(5) Transcripts of court proceedings not ordered Stats. 1993, ch. 456; Stats. 2009, ch. 88,
by the court. Stats. 2011, ch. 409; Stats. 2012, ch. 758;
Stats. 2015, ch. 90; Stats. 2016, ch. 461;
(c) An award of costs shall be subject to the Stats. 2017, ch. 583.)
following:

(1) Costs are allowable if incurred, whether or § 1141.18 Arbitrators, Qualifications; Compensation;
not paid. Method of Selection; Disqualification
(2) Allowable costs shall be reasonably (a) Arbitrators shall be retired judges, retired court
necessary to the conduct of the litigation rather commissioners who were licensed to practice law prior
than merely convenient or beneficial to its to their appointment as a commissioner, or members
preparation. of the State Bar, and shall sit individually. A judge may
also serve as an arbitrator without compensation.
(3) Allowable costs shall be reasonable in People who are not attorneys may serve as arbitrators
amount. upon the stipulation of all parties.
(4) Items not mentioned in this section and
(b) The Judicial Council rules shall provide for the
items assessed upon application may be allowed
compensation, if any, of arbitrators. Compensation for
or denied in the court’s discretion.
arbitrators may not be less than one hundred fifty
(5) (A) If a statute of this state refers to the dollars ($150) per case, or one hundred fifty dollars
award of “costs and attorney’s fees,” ($150) per day, whichever is greater. A superior court
attorney’s fees are an item and component may set a higher level of compensation for that court.
of the costs to be awarded and are Arbitrators may waive compensation in whole or in
allowable as costs pursuant to part. No compensation shall be paid before the filing of
subparagraph (B) of paragraph (10) of the award by the arbitrator, or before the settlement of
subdivision (a). A claim not based upon the the case by the parties.
court’s established schedule of attorney’s
fees for actions on a contract shall bear the (c) In cases submitted to arbitration under Section
burden of proof. Attorney’s fees allowable 1141.11 or 1141.12, an arbitrator shall be assigned
as costs pursuant to subparagraph (B) of within 30 days from the time of submission to
paragraph (10) of subdivision (a) may be arbitration.
fixed as follows: (i) upon a noticed motion,
(ii) at the time a statement of decision is

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(d) Any party may request the disqualification of the (8) Unlawfully detaining a witness, or party to an
arbitrator selected for his or her case on the grounds action while going to, remaining at, or returning
and by the procedures specified in Section 170.1 or from the court where the action is on the calendar
170.6. A request for disqualification of an arbitrator on for trial.
grounds specified in Section 170.6 shall be made within
five days of the naming of the arbitrator. An arbitrator (9) Any other unlawful interference with the
shall disqualify himself or herself, upon demand of any process or proceedings of a court.
party to the arbitration made before the conclusion of
(10) Disobedience of a subpoena duly served, or
the arbitration proceedings on any of the grounds
refusing to be sworn or answer as a witness.
specified in Section 170.1. (Added by Stats. 1978, ch.
743, operative July 1, 1979. Amended by Stats. 1981, (11) When summoned as a juror in a court,
ch. 1110; Stats. 1993, ch. 768; Stats. 2003, ch. 449.) neglecting to attend or serve as a juror, or
improperly conversing with a party to an action, to
be tried at the court, or with any other person, in
§ 1209 Acts and Omissions Constituting
relation to the merits of the action, or receiving a
Contempt communication from a party or other person in
respect to the action, without immediately
(a) The following acts or omissions in respect to a
disclosing the communication to the court.
court of justice, or proceedings therein, are contempts of
the authority of the court: (12) Disobedience by an inferior tribunal or judicial
officer of the lawful judgment, order, or process of
(1) Disorderly, contemptuous, or insolent
a superior court, or proceeding in an action or
behavior toward the judge while holding the court,
special proceeding contrary to law, after the action
tending to interrupt the due course of a trial or
or special proceeding is removed from the
other judicial proceeding.
jurisdiction of the inferior tribunal or judicial officer.
(2) A breach of the peace, boisterous conduct, or
(b) A speech or publication reflecting upon or
violent disturbance, tending to interrupt the due
concerning a court or an officer thereof shall not be
course of a trial or other judicial proceeding.
treated or punished as a contempt of the court unless
(3) Misbehavior in office, or other willful neglect made in the immediate presence of the court while in
or violation of duty by an attorney, counsel, clerk, session and in such a manner as to actually interfere with
sheriff, coroner, or other person, appointed or its proceedings.
elected to perform a judicial or ministerial service.
(c) Notwithstanding Section 1211 or any other law, if
(4) Abuse of the process or proceedings of the an order of contempt is made affecting an attorney, his
court, or falsely pretending to act under authority or her agent, investigator, or any person acting under the
of an order or process of the court. attorney’s direction, in the preparation and conduct of
an action or proceeding, the execution of any sentence
(5) Disobedience of any lawful judgment, order, shall be stayed pending the filing within three judicial
or process of the court. days of a petition for extraordinary relief testing the
lawfulness of the court’s order, the violation of which is
(6) Willful disobedience by a juror of a court the basis of the contempt, except for conduct proscribed
admonishment related to the prohibition on any by subdivision (b) of Section 6068 of the Business and
form of communication or research about the case, Professions Code, relating to an attorney’s duty to
including all forms of electronic or wireless maintain respect due to the courts and judicial officers.
communication or research.
(d) Notwithstanding Section 1211 or any other law, if
(7) Rescuing any person or property in the an order of contempt is made affecting a public safety
custody of an officer by virtue of an order or employee acting within the scope of employment for
process of that court. reason of the employee’s failure to comply with a duly
issued subpoena or subpoena duces tecum, the
execution of any sentence shall be stayed pending the

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filing within three judicial days of a petition for the facts to reasonably entertain a doubt that the
extraordinary relief testing the lawfulness of the court’s proposed neutral arbitrator would be able to be
order, a violation of which is the basis for the contempt. impartial, including all of the following:

As used in this subdivision, “public safety employee” (1) The existence of any ground specified in
includes any peace officer, firefighter, paramedic, or any Section 170.1 for disqualification of a judge. For
other employee of a public law enforcement agency purposes of paragraph (8) of subdivision (a) of
whose duty is either to maintain official records or to Section 170.1, the proposed neutral arbitrator
analyze or present evidence for investigative or shall disclose whether or not he or she has a
prosecutorial purposes. (Enacted 1872; amended 1891. current arrangement concerning prospective
Amended by Stats. 1907, ch. 255; Stats. 1939, ch. 979; employment or other compensated service as a
Stats. 1975, ch. 836; Stats. 1982, ch. 510; Stats. 2011, ch. dispute resolution neutral or is participating in, or,
181.)
within the last two years, has participated in,
discussions regarding such prospective
§ 1281.85 Neutral Arbitrators–Applicability of employment or service with a party to the
Ethics Standards proceeding.

(a) Beginning July 1, 2002, a person serving as a (2) Any matters required to be disclosed by the
neutral arbitrator pursuant to an arbitration ethics standards for neutral arbitrators adopted
agreement shall comply with the ethics standards for by the Judicial Council pursuant to this chapter.
arbitrators adopted by the Judicial Council pursuant to
this section. The Judicial Council shall adopt ethical (3) The names of the parties to all prior or
standards for all neutral arbitrators effective July 1, pending noncollective bargaining cases in which
2002. These standards shall be consistent with the the proposed neutral arbitrator served or is
standards established for arbitrators in the judicial serving as a party arbitrator for any party to the
arbitration program and may expand but may not arbitration proceeding or for a lawyer for a party
limit the disclosure and disqualification requirements and the results of each case arbitrated to
established by this chapter. The standards shall conclusion, including the date of the arbitration
address the disclosure of interests, relationships, or award, identification of the prevailing party, the
affiliations that may constitute conflicts of interest, names of the parties’ attorneys and the amount of
including prior service as an arbitrator or other monetary damages awarded, if any. In order to
dispute resolution neutral entity, disqualifications, preserve confidentiality, it shall be sufficient to
acceptance of gifts, and establishment of future give the name of any party who is not a party to
professional relationships. the pending arbitration as “claimant” or
“respondent” if the party is an individual and not a
(b) Subdivision (a) does not apply to an arbitration
business or corporate entity.
conducted pursuant to the terms of a public or private
sector collective bargaining agreement. (4) The names of the parties to all prior or
pending noncollective bargaining cases involving
(c) The ethics requirements and standards of this
chapter are nonnegotiable and shall not be waived. any party to the arbitration or lawyer for a party for
(Added by Stats. 2001, ch. 362. Amended by Stats. which the proposed neutral arbitrator served or is
2002, ch. 176; Stats. 2009, ch. 133) serving as neutral arbitrator, and the results of each
case arbitrated to conclusion, including the date of
the arbitration award, identification of the
§ 1281.9 Neutral Arbitrations; Disclosure of prevailing party, the names of the parties’
Information; Disqualification; Waiver attorneys and the amount of monetary damages
awarded, if any. In order to preserve
(a) In any arbitration pursuant to an arbitration confidentiality, it shall be sufficient to give the
agreement, when a person is to serve as a neutral name of any party not a party to the pending
arbitrator, the proposed neutral arbitrator shall arbitration as “claimant” or “respondent” if the
disclose all matters that could cause a person aware of

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party is an individual and not a business or related to a consumer arbitration, if any party or
corporate entity. attorney for a party has, or within the preceding year
has had, any type of financial interest in the private
(5) Any attorney client relationship the arbitration company.
proposed neutral arbitrator has or had with any
party or lawyer for a party to the arbitration (c) This section shall operate only prospectively so as
proceeding. not to prohibit the administration of consumer
arbitrations on the basis of financial interests held prior
(6) Any professional or significant personal to January 1, 2003.
relationship the proposed neutral arbitrator or his
or her spouse or minor child living in the (d) This section applies to all consumer arbitration
household has or has had with any party to the agreements subject to this article, and to all consumer
arbitration proceedings conducted in California.
arbitration proceeding or lawyer for a party.
(e) This section shall become operative on January 1,
(b) Subject only to the disclosure requirements of
2003. (Added by Stats. 2002, ch. 952.)
law, the proposed neutral arbitrator shall disclose all
matters required to be disclosed pursuant to this
section to all parties in writing within 10 calendar days § 1281.96 Private Arbitration Companies;
of service of notice of the proposed nomination or Publication of Consumer Arbitration Information;
appointment. Liability
(c) For purposes of this section, “lawyer for a party” (a) Except as provided in paragraph (2) of subdivision
includes any lawyer or law firm currently associated in (c), a private arbitration company that administers or is
the practice of law with the lawyer hired to represent a otherwise involved in a consumer arbitration, shall
party. collect, publish at least quarterly, and make available to
the public on the internet website of the private
(d) For purposes of this section, “prior cases” means arbitration company, if any, and on paper upon request,
noncollective bargaining cases in which an arbitration a single cumulative report that contains all of the
award was rendered within five years prior to the date following information regarding each consumer
of the proposed nomination or appointment. arbitration within the preceding five years:

(e) For purposes of this section, “any arbitration” (1) Whether arbitration was demanded
does not include an arbitration conducted pursuant to pursuant to a pre-dispute arbitration clause and,
the terms of a public or private sector collective if so, whether the pre-dispute arbitration clause
bargaining agreement. (Added by Stats. 1994, ch. 1202. designated the administering private arbitration
Amended by Stats. 1997, ch. 445; Stats. 2001, ch. 362; company.
Stats. 2002, ch. 1094.)
(2) The name of the nonconsumer party, if the
nonconsumer party is a corporation or other
§ 1281.92 Restrictions Against Private Arbitration business entity, and whether the nonconsumer
Company from Administering Consumer Arbitration party was the initiating party or the responding
or Related Services party, if known.

(a) No private arbitration company may administer a (3) The nature of the dispute involved as one of
consumer arbitration, or provide any other services the following: goods; credit; other banking or
related to a consumer arbitration, if the company has, finance; insurance; health care; construction; real
or within the preceding year has had, a financial estate; telecommunications, including software
interest, as defined in Section 170.5, in any party or and Internet usage; debt collection; personal
attorney for a party. injury; employment; or other. If the dispute
involved employment, the amount of the
(b) No private arbitration company may administer a employee’s annual wage divided into the
consumer arbitration, or provide any other services following ranges: less than one hundred thousand

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dollars ($100,000), one hundred thousand dollars (12) Demographic data, reported in the
($100,000) to two hundred fifty thousand dollars aggregate, relative to ethnicity, race, disability,
($250,000), inclusive, and over two hundred fifty veteran status, gender, gender identity, and
thousand dollars ($250,000). If the employee sexual orientation of all arbitrators as self-
chooses not to provide wage information, it may reported by the arbitrators. Demographic data
be noted. disclosed or released pursuant to this paragraph
shall also indicate the percentage of respondents
(4) Whether the consumer or nonconsumer party who declined to respond.
was the prevailing party. As used in this section,
“prevailing party” includes the party with a net (b) The information required by this section shall be
monetary recovery or an award of injunctive relief. made available in a format that allows the public to
search and sort the information using readily available
(5) The total number of occasions, if any, the software, and shall be directly accessible from a
nonconsumer party has previously been a party conspicuously displayed link on the internet website of
in an arbitration administered by the private the private arbitration company with the identifying
arbitration company. description: “consumer case information.”
(6) The total number of occasions, if any, the (c) (1) If the information required by subdivision
nonconsumer party has previously been a party (a) is provided by the private arbitration company
in a mediation administered by the private in compliance with subdivision (b) and may be
arbitration company. downloaded without a fee, the company may
charge the actual cost of copying to any person
(7) Whether the consumer party was who requests the information on paper. If the
represented by an attorney and, if so, the name information required by subdivision (a) is not
of the attorney and the full name of the law firm accessible by the Internet in compliance with
that employs the attorney, if any. subdivision (b), the company shall provide that
information without charge to any person who
(8) The date the private arbitration company
requests the information on paper.
received the demand for arbitration, the date the
arbitrator was appointed, and the date of (2) Notwithstanding paragraph (1), a private
disposition by the arbitrator or private arbitration arbitration company that receives funding pursuant
company. to Chapter 8 (commencing with Section 465) of
Division 1 of the Business and Professions Code and
(9) The type of disposition of the dispute, if
that administers or conducts fewer than 50
known, identified as one of the following:
consumer arbitrations per year may collect and
withdrawal, abandonment, settlement, award
publish the information required by subdivision (a)
after hearing, award without hearing, default, or
semiannually, provide the information only on
dismissal without hearing. If a case was
paper, and charge the actual cost of copying.
administered in a hearing, indicate whether the
hearing was conducted in person, by telephone (d) This section shall apply to any consumer
or video conference, or by documents only. arbitration commenced on or after January 1, 2003.
(10) The amount of the claim, whether equitable (e) A private arbitration company shall not have any
relief was requested or awarded, the amount of liability for collecting, publishing, or distributing the
any monetary award, the amount of any information required by this section.
attorney’s fees awarded, and any other relief
granted, if any. (f) It is the intent of the Legislature that private
arbitration companies comply with all legal obligations
(11) The name of the arbitrator, the arbitrator’s of this section.
total fee for the case, the percentage of the
arbitrator’s fee allocated to each party, whether (g) The amendments to subdivision (a) made by the
a waiver of any fees was granted, and, if so, the act adding this subdivision shall not apply to any
amount of the waiver. consumer arbitration administered by a private

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arbitration company before January 1, 2015. (Added by provider, that the drafting party pay certain fees and
Stats. 2002, ch. 1158. Amended by Stats. 2014, ch. costs during the pendency of an arbitration
870; Stats. 2019, ch. 870.) proceeding, if the fees or costs required to continue
the arbitration proceeding are not paid within 30 days
after the due date, the drafting party is in material
§ 1281.97 Fees and Costs of Arbitration Initiation; breach of the arbitration agreement, is in default of
Breach; Sanctions the arbitration, and waives its right to compel the
employee or consumer to proceed with that
(a) In an employment or consumer arbitration that arbitration as a result of the material breach.
requires, either expressly or through application of
state or federal law or the rules of the arbitration (b) If the drafting party materially breaches the
administrator, the drafting party to pay certain fees and arbitration agreement and is in default under
costs before the arbitration can proceed, if the fees or subdivision (a), the employee or consumer may
costs to initiate an arbitration proceeding are not paid unilaterally elect to do any of the following:
within 30 days after the due date, the drafting party is
in material breach of the arbitration agreement, is in (1) Withdraw the claim from arbitration and
default of the arbitration, and waives its right to proceed in a court of appropriate jurisdiction. If
compel arbitration under Section 1281.2. the employee or consumer withdraws the claim
from arbitration and proceeds with an action in a
(b) If the drafting party materially breaches the court of appropriate jurisdiction, the statute of
arbitration agreement and is in default under limitations with regard to all claims brought or
subdivision (a), the employee or consumer may do that relate back to any claim brought in
either of the following: arbitration shall be tolled as of the date of the
first filing of a claim in any court, arbitration
(1) Withdraw the claim from arbitration and forum, or other dispute resolution forum.
proceed in a court of appropriate jurisdiction.
(2) Continue the arbitration proceeding, if the
(2) Compel arbitration in which the drafting arbitration company agrees to continue
party shall pay reasonable attorney’s fees and administering the proceeding, notwithstanding
costs related to the arbitration. the drafting party’s failure to pay fees or costs.
The neutral arbitrator or arbitration company
(c) If the employee or consumer withdraws the claim
may institute a collection action at the
from arbitration and proceeds with an action in a court
conclusion of the arbitration proceeding against
of appropriate jurisdiction under paragraph (1) of
the drafting party that is in default of the
subdivision (b), the statute of limitations with regard to
arbitration for payment of all fees associated
all claims brought or that relate back to any claim
with the employment or consumer arbitration
brought in arbitration shall be tolled as of the date of
proceeding, including the cost of administering
the first filing of a claim in any court, arbitration forum,
any proceedings after the default.
or other dispute resolution forum.
(3) Petition the court for an order compelling
(d) If the employee or consumer proceeds with an
the drafting party to pay all arbitration fees that
action in a court of appropriate jurisdiction, the court
the drafting party is obligated to pay under the
shall impose sanctions on the drafting party in
arbitration agreement or the rules of the
accordance with Section 1281.99. (Added by Stats.
arbitration company.
2019, ch. 870.)
(4) Pay the drafting party’s fees and proceed
§ 1281.98 Fees and Costs of Arbitration with the arbitration proceeding. As part of the
award, the employee or consumer shall recover
Continuance; Breach; Sanctions
all arbitration fees paid on behalf of the drafting
(a) In an employment or consumer arbitration that party without regard to any findings on the
requires, either expressly or through application of merits in the underlying arbitration.
state or federal law or the rules of the arbitration

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(c) If the employee or consumer withdraws the (2) A terminating sanction by one of the
claim from arbitration and proceeds in a court of following orders:
appropriate jurisdiction pursuant to paragraph (1) of
subdivision (b), both of the following apply: (A) An order striking out the pleadings or
parts of the pleadings of the drafting party.
(1) The employee or consumer may bring a
motion, or a separate action, to recover all (B) An order rendering a judgment by
attorney’s fees and all costs associated with the default against the drafting party.
abandoned arbitration proceeding. The recovery
of arbitration fees, interest, and related (3) A contempt sanction by an order treating
attorney’s fees shall be without regard to any the drafting party as in contempt of court.
findings on the merits in the underlying action or (Added by Stats. 2019, ch. 870.)
arbitration.
§ 1282.4 Right to be Represented by Attorney at
(2) The court shall impose sanctions on the
drafting party in accordance with Section Arbitration Proceeding; Condition for Representation
1281.99. by Out-of-State Attorney

(d) If the employee or consumer continues in (a) A party to the arbitration has the right to be
arbitration pursuant to paragraphs (2) through (4) of represented by an attorney at any proceeding or
subdivision (b), inclusive, the arbitrator shall impose hearing in arbitration under this title. A waiver of this
appropriate sanctions on the drafting party, including right may be revoked; but if a party revokes that
monetary sanctions, issue sanctions, evidence waiver, the other party is entitled to a reasonable
sanctions, or terminating sanctions. (Added by Stats. continuance for the purpose of procuring an attorney.
2019, ch. 870.)
(b) Notwithstanding any other law, including Section
6125 of the Business and Professions Code, an
§ 1281.99 Breach of Arbitration Agreement; attorney admitted to the bar of any other state may
Sanctions represent the parties in the course of, or in
connection with, an arbitration proceeding in this
(a) The court shall impose a monetary sanction state, provided that the attorney, if not admitted to
against a drafting party that materially breaches an the State Bar of California, satisfies all of the
arbitration agreement pursuant to subdivision (a) of following:
Section 1281.97 or subdivision (a) of Section 1281.98,
by ordering the drafting party to pay the reasonable (1) He or she timely serves the certificate
expenses, including attorney’s fees and costs, incurred described in subdivision (c).
by the employee or consumer as a result of the
(2) The attorney’s appearance is approved in
material breach.
writing on that certificate by the arbitrator, the
(b) In addition to the monetary sanction described in arbitrators, or the arbitral forum.
subdivision (a), the court may order any of the
(3) The certificate bearing approval of the
following sanctions against a drafting party that
attorney’s appearance is filed with the State Bar
materially breaches an arbitration agreement
of California and served on the parties as
pursuant to subdivision (a) of Section 1281.97 or
described in this section.
subdivision (a) of Section 1281.98, unless the court
finds that the one subject to the sanction acted with (c) Within a reasonable period of time after the
substantial justification or that other circumstances attorney described in subdivision (b) indicates an
make the imposition of the sanction unjust. intention to appear in the arbitration, the attorney
shall serve a certificate in a form prescribed by the
(c) (1) An evidence sanction by an order
State Bar of California on the arbitrator, arbitrators, or
prohibiting the drafting party from conducting
arbitral forum, the State Bar of California, and all other
discovery in the civil action.
parties and counsel in the arbitration whose addresses

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are known to the attorney. The certificate shall state all (d) The arbitrator, arbitrators, or arbitral forum may
of the following: approve the attorney’s appearance if the attorney has
complied with subdivision (c). Failure to timely file and
(1) The case name and number, and the name of serve the certificate described in subdivision (c) shall be
the arbitrator, arbitrators, or arbitral forum grounds for disapproval of the appearance and
assigned to the proceeding in which the attorney
disqualification from serving as an attorney in the
seeks to appear.
arbitration in which the certificate was filed. In the
(2) The attorney’s residence and office address. absence of special circumstances, repeated appearances
shall be grounds for disapproval of the appearance and
(3) The courts before which the attorney has disqualification from serving as an attorney in the
been admitted to practice and the dates of arbitration in which the certificate was filed.
admission.
(e) Within a reasonable period of time after the
(4) That the attorney is currently a member in arbitrator, arbitrators, or arbitral forum approves the
good standing of, and eligible to practice law certificate, the attorney shall file the certificate with the
before, the bar of those courts. State Bar of California and serve the certificate as
described in Section 1013a on all parties and counsel in
(5) That the attorney is not currently on
the arbitration whose addresses are known to the
suspension or disbarred from the practice of law
attorney.
before the bar of any court.

(6) That the attorney is not a resident of the State (f) An attorney who fails to file or serve the certificate
of California. required by this section or files or serves a certificate
containing false information or who otherwise fails to
(7) That the attorney is not regularly employed in comply with the standards of professional conduct
the State of California. required of members of the State Bar of California shall
be subject to the disciplinary jurisdiction of the State Bar
(8) That the attorney is not regularly engaged in with respect to that certificate or any of his or her acts
substantial business, professional, or other occurring in the course of the arbitration.
activities in the State of California.
(g) Notwithstanding any other law, including Section
(9) That the attorney agrees to be subject to the
6125 of the Business and Professions Code, an attorney
jurisdiction of the courts of this state with respect
who is a member in good standing of the bar of any state
to the law of this state governing the conduct of
may represent the parties in connection with rendering
attorneys to the same extent as a member of the
State Bar of California. legal services in this state in the course of and in
connection with an arbitration pending in another state.
(10) The title of the court and the cause in which
the attorney has filed an application to appear as (h) Notwithstanding any other provision of law,
counsel pro hac vice in this state or filed a including Section 6125 of the Business and Professions
certificate pursuant to this section in the preceding Code, any party to an arbitration arising under collective
two years, the date of each application or bargaining agreements in industries and provisions
certificate, and whether or not it was granted. If subject to either state or federal law may be represented
the attorney has made repeated appearances, the in the course of, and in connection with, those
certificate shall reflect the special circumstances proceedings by any person, regardless of whether that
that warrant the approval of the attorney’s person is licensed to practice law in this state.
appearance in the arbitration.
(i) Nothing in this section shall apply to Division 4
(11) The name, address, and telephone number of (commencing with Section 3200) of the Labor Code.
the active member of the State Bar of California
who is the attorney of record. (j) (1) In enacting the amendments to this section
made by Assembly Bill 2086 of the 1997-98 Regular
Session, it is the intent of the Legislature to

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respond to the holding in Birbrower v. Superior incurred by an opposing party if the consumer does not
Court (1998) 17 Cal.4th 119, to provide a procedure prevail in the arbitration, including, but not limited to,
for nonresident attorneys who are not licensed in the fees and costs of the arbitrator, provider
this state to appear in California arbitration organization, attorney, or witnesses.
proceedings.
(b) (1) All fees and costs charged to or assessed
(2) In enacting subdivision (h), it is the intent of upon a consumer party by a private arbitration
the Legislature to make clear that any party to an company in a consumer arbitration, exclusive of
arbitration arising under a collective bargaining arbitrator fees, shall be waived for an indigent
agreement governed by the laws of this state may consumer. For the purposes of this section,
be represented in the course of and in connection “indigent consumer” means a person having a
with those proceedings by any person regardless of gross monthly income that is less than 300
whether that person is licensed to practice law in percent of the federal poverty guidelines.
this state. Nothing in this section shall affect the ability of a
private arbitration company to shift fees that
(3) Except as otherwise specifically provided in would otherwise be charged or assessed upon a
this section, in enacting the amendments to this consumer party to a nonconsumer party.
section made by Assembly Bill 2086 of the 1997-98
Regular Session, it is the Legislature’s intent that (2) Prior to requesting or obtaining any fee, a
private arbitration company shall provide written
nothing in this section is intended to expand or
notice of the right to obtain a waiver of fees to a
restrict the ability of a party prior to the decision in
consumer or prospective consumer in a manner
Birbrower to elect to be represented by any person
calculated to bring the matter to the attention of
in a nonjudicial arbitration proceeding, to the a reasonable consumer, including, but not limited
extent those rights or abilities existed prior to that to, prominently placing a notice in its first written
decision. To the extent that Birbrower is communication to the consumer and in any
interpreted to expand or restrict that right or ability invoice, bill, submission form, fee schedule, rules,
pursuant to the laws of this state, it is hereby or code of procedure.
abrogated except as specifically provided in this
section. (3) Any consumer requesting a waiver of fees or
costs may establish his or her eligibility by making
(4) In enacting subdivision (i), it is the intent of a declaration under oath on a form provided to
the Legislature to make clear that nothing in this the consumer by the private arbitration company
section shall affect those provisions of law for signature stating his or her monthly income
governing the right of injured workers to elect to be and the number of persons living in his or her
represented by any person, regardless of whether household. No private arbitration company may
that person is licensed to practice law in this state, require a consumer to provide any further
as set forth in Division 4 (commencing with Section statement or evidence of indigence.
3200) of the Labor Code. (Added by Stats. 1961, ch.
(4) Any information obtained by a private
461. Amended by Stats. 1998, ch. 915; Stats. 2000,
arbitration company about a consumer’s identity,
ch. 1011; Stats. 2005, ch. 607, Stats. 2006, ch. 357,
financial condition, income, wealth, or fee waiver
Stats. 2010, ch. 277; Stats. 2012, ch. 53; Stats. 2013, request shall be kept confidential and may not be
ch. 76, Stats. 2014, ch. 71.) disclosed to any adverse party or any nonparty to
the arbitration, except a private arbitration
company may not keep confidential the number
§ 1284.3 Consumer Arbitrations; Agreements to
of waiver requests received or granted, or the
Pay Fees and Costs; Waiver for Indigents
total amount of fees waived.
(a) No neutral arbitrator or private arbitration
(c) This section applies to all consumer arbitration
company shall administer a consumer arbitration under agreements subject to this article, and to all consumer
any agreement or rule requiring that a consumer who is
a party to the arbitration pay the fees and costs

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arbitration proceedings conducted in California. (i) Held another deposit or account

(Added by Stats. 2002, ch. 1101.) for the benefit of the owner.

(ii) Maintained a deposit or account

§ 1297.119 Arbitrator Immunity on behalf of the owner in an individual
retirement account.
An arbitrator has the immunity of a judicial officer
from civil liability when acting in the capacity of (iii) Held funds or other property
arbitrator under any statute or contract. under a retirement plan for a self-
employed individual, or similar account
The immunity afforded by this section shall
or plan, established pursuant to the
supplement, and not supplant, any otherwise
internal revenue laws of the United
applicable common law or statutory immunity.
States or the laws of this state.
(Added by Stats. 1994, ch. 228.)
(B) During the previous three years, the
§ 1518 When Fiduciary Property Escheats to owner has done any of the acts described in
State subparagraph (A), (B), (C), or (D) of
paragraph (1) with respect to the deposit,
(a) (1) All tangible personal property located in this account, or plan described in subparagraph
state and, subject to Section 1510, all intangible (A), and the fiduciary has communicated
personal property, including intangible personal electronically or in writing with the owner at
property maintained in a deposit or account, and the address to which communications
the income or increment on such tangible or regarding that deposit, account, or plan are
intangible property, held in a fiduciary capacity for regularly sent, with regard to the deposit,
the benefit of another person escheats to this account, or plan that would otherwise
state if for more than three years after it becomes escheat under this subdivision.
payable or distributable, the owner has not done “Communications,” for purposes of this
any of the following: subparagraph, includes account statements
or statements required under the internal
(A) Increased or decreased the principal. revenue laws of the United States.

(B) Accepted payment of principal or (b) Funds in an individual retirement account or a

income. retirement plan for self-employed individuals or similar
account or plan established pursuant to the internal
(C) Corresponded in writing concerning the revenue laws of the United States or of this state are
property. not payable or distributable within the meaning of
subdivision (a) unless either of the following is true:
(D) Otherwise indicated an interest in the
property as evidenced by a memorandum or (1) Under the terms of the account or plan,
other record on file with the fiduciary. distribution of all or part of the funds would then
be mandatory.
(2) Notwithstanding paragraph (1), tangible or
intangible property, and the income or increment (2) For an account or plan not subject to
on the tangible or intangible property, held in a mandatory distribution requirement under the
fiduciary capacity for another person shall not internal revenue laws of the United States or the
escheat to the state if the requirements of laws of this state, the owner has attained 70 1/2
subparagraphs (A) and (B) are satisfied. years of age.

(A) During the previous three years, the (c) For the purpose of this section, when a person
fiduciary took one of the following actions: holds property as an agent for a business association,
he or she is deemed to hold the property in a fiduciary
capacity for the business association alone, unless the

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agreement between him or her and the business CHAPTER 4.

association clearly provides the contrary. For the ATTORNEY WORK PRODUCT
purposes of this chapter, if a person holds property in a
fiduciary capacity for a business association alone, he
§ 2018 (Added by Stats. 1987, ch. 86, operative
or she is the holder of the property only insofar as the
July 1, 1987. Repealed by Stats. 2004, ch. 182.)
interest of the business association in the property is
concerned and the association is deemed to be the
holder of the property insofar as the interest of any § 2018.010 Client Defined
other person in the property is concerned. (Formerly
1506, added by Stats. 1959, ch. 1809 and amended by For purposes of this chapter, “client” means a “client”
Stats. 1961, ch. 1904. Renumbered 1518 and amended as defined in Section 951 of the Evidence Code. (Added
by Stats. 1968, ch. 356; Stats. 1976, ch. 49; Stats. 1982, by Stats. 2004, ch. 182, operative July 1, 2005.)
ch. 786; Stats. 1988, ch. 286; Stats. 1990, ch. 450,
effective July 31, 1990; Stats. 2011, ch. 305.) § 2018.020 Policy

It is the policy of the state to do both of the following:

§ 1564.5 Abandoned IOLTA (Interest on Lawyers’
Trust Account) Property Account; Establishment, (a) Preserve the rights of attorneys to prepare cases
Deposits, and Transfers for trial with that degree of privacy necessary to
encourage them to prepare their cases thoroughly and
(a) Notwithstanding any law, including, but not to investigate not only the favorable but the
limited to, Section 1564, all money received under this unfavorable aspects of those cases.
chapter from funds held in an Interest on Lawyers’
Trust Account (IOLTA) that escheat to the state shall (b) Prevent attorneys from taking undue advantage of
be administered as set forth in this section. The their adversary’s industry and efforts. (Added by Stats.
money shall be deposited into the Abandoned IOLTA 2004, ch. 182, operative July 1, 2005.)
Property Account, which is hereby established within
the Unclaimed Property Fund.
§ 2018.030 Limitations on Discovery
(b) Twenty-five percent of the money in the
Abandoned IOLTA Property Account shall be (a) A writing that reflects an attorney’s impressions,
deposited into the IOLTA Claims Reserve Subaccount, conclusions, opinions, or legal research or theories is
which is hereby established within the Abandoned not discoverable under any circumstances.
IOLTA Property Account. Funds in the subaccount
shall, upon appropriation by the Legislature, be (b) The work product of an attorney, other than a
available to the Controller for the payment of all writing described in subdivision (a), is not discoverable
refunds, claims, and costs pursuant to this chapter unless the court determines that denial of discovery
related to escheated IOLTA funds. will unfairly prejudice the party seeking discovery in
preparing that party’s claim or defense or will result in
(c) The balance of the funds in the Abandoned an injustice. (Added by Stats. 2004, ch. 182, operative
IOLTA Property Account, excluding funds in the July 1, 2005.)
subaccount, shall be transferred on an annual basis to
the Public Interest Attorney Loan Repayment Account
established pursuant to Section 6032.5 of the Business § 2018.040 Scope
and Professions Code. Before making this transfer, the
Controller shall record the name and last known This chapter is intended to be a restatement of
address of each person appearing from the holders’ existing law relating to protection of work product. It
report to be entitled to the escheated property. The is not intended to expand or reduce the extent to
record shall be available for public inspection at all which work product is discoverable under existing law
reasonable business hours. (Added by Stats. 2015, ch. in any action. (Added by Stats. 2004, ch. 182,
488.) operative July 1, 2005.)

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§ 2018.050 Crime or Fraud Exception client arising out of the attorney client relationship.
(Added by Stats. 2004, ch. 182, operative July 1, 2005.)
Notwithstanding Section 2018.040, when a lawyer is
suspected of knowingly participating in a crime or
fraud, there is no protection of work product under this
chapter in any official investigation by a law CHAPTER 9.
enforcement agency or proceeding or action brought ORAL DEPOSITIONS INSIDE CALIFORNIA
by a public prosecutor in the name of the people of the
State of California if the services of the lawyer were
§ 2025.220 Transcription of Deposition Testimony;
sought or obtained to enable or aid anyone to commit
or plan to commit a crime or fraud. (Added by Stats.
Allocation of Costs; Requirements for Distribution
2004, ch. 182, operative July 1, 2005.) and Retention of Copies

(a) A party desiring to take the oral deposition of any

§ 2018.060 In Camera Hearing Request person shall give notice in writing. The deposition
notice shall state all of the following, in at least 12-
Nothing in this chapter is intended to limit an point type:
attorney’s ability to request an in camera hearing as
(1) The address where the deposition will be
provided for in People v. Superior Court (Laff) (2001) 25
taken.
Cal.4th 703. (Added by Stats. 2004, ch. 182, operative
July 1, 2005.) (2) The date of the deposition, selected under
Section 2025.270, and the time it will commence.
§ 2018.070 Exception: State Bar Disciplinary (3) The name of each deponent, and the address
Charges Pending; Client Approval; Confidentiality and telephone number, if known, of any deponent
who is not a party to the action. If the name of the
(a) The State Bar may discover the work product of deponent is not known, the deposition notice
an attorney against whom disciplinary charges are shall set forth instead a general description
pending when it is relevant to issues of breach of duty sufficient to identify the person or particular class
by the lawyer and requisite client approval has been to which the person belongs.
granted.
(4) The specification with reasonable
(b) Where requested and for good cause, discovery particularity of any materials or category of
under this section shall be subject to a protective order materials, including any electronically stored
to ensure the confidentiality of the work product information, to be produced by the deponent.
except for its use by the State Bar in disciplinary
(5) Any intention by the party noticing the
investigations and its consideration under seal in State
deposition to record the testimony by audio or
Bar Court proceedings.
video technology, in addition to recording the
(c) For purposes of this chapter, whenever a client testimony by the stenographic method as
required by Section 2025.330 and any intention to
has initiated a complaint against an attorney, the
record the testimony by stenographic method
requisite client approval shall be deemed to have
through the instant visual display of the
been granted. (Added by Stats. 2004, ch. 182,
testimony. If the deposition will be conducted
operative July 1, 2005.) using instant visual display, a copy of the
deposition notice shall also be given to the
deposition officer. Any offer to provide the instant
§ 2018.080 Breach of Attorney’s Duty Arising Out of
visual display of the testimony or to provide rough
Attorney-Client Relationship draft transcripts to any party which is accepted
prior to, or offered at, the deposition shall also be
In an action between an attorney and a client or a
made by the deposition officer at the deposition
former client of the attorney, no work product privilege to all parties in attendance. Any party or attorney
under this chapter exists if the work product is relevant requesting the provision of the instant visual
to an issue of breach by the attorney of a duty to the display of the testimony, or rough draft

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transcripts, shall pay the reasonable cost of those and for good cause shown, orders that the cost be
services, which may be no greater than the costs borne or shared by another party.
charged to any other party or attorney.
(c) Notwithstanding subdivision (b) of Section
(6) Any intention to reserve the right to use at 2025.320, any other party or the deponent, at the
trial a video recording of the deposition testimony expense of that party or deponent, may obtain a copy
of a treating or consulting physician or of an of the transcript.
expert witness under subdivision (d) of Section
2025.620. In this event, the operator of the video (d) If the deposition officer receives a request from a
camera shall be a person who is authorized to party for an original or a copy of the deposition
administer an oath, and shall not be financially transcript, or any portion thereof, and the full or partial
interested in the action or be a relative or transcript will be available to that party prior to the
employee of any attorney of any of the parties. time the original or copy would be available to any
other party, the deposition officer shall immediately
(7) The form in which any electronically stored notify all other parties attending the deposition of the
information is to be produced, if a particular form request, and shall, upon request by any party other
is desired. than the party making the original request, make that
copy of the full or partial deposition transcript available
(8) (A) A statement disclosing the existence of to all parties at the same time.
a contract, if any is known to the noticing
party, between the noticing party or a third (e) Stenographic notes of depositions shall be
party who is financing all or part of the retained by the reporter for a period of not less than
action and either of the following for any eight years from the date of the deposition, where no
service beyond the noticed deposition: transcript is produced, and not less than one year from
the date on which the transcript is produced. The notes
(i) The deposition officer. may be either on paper or electronic media, as long as
it allows for satisfactory production of a transcript at
(ii) The entity providing the services any time during the periods specified.
of the deposition officer.
(f) At the request of any other party to the action,
(B) A statement disclosing that the party including a party who did not attend the taking of the
noticing the deposition, or a third party deposition testimony, any party who records or causes
financing all or part of the action, directed
the recording of that testimony by means of audio or
his or her attorney to use a particular officer
video technology shall promptly do both of the
or entity to provide services for the
deposition, if applicable. following:

(b) Notwithstanding subdivision (a), where under (1) Permit that other party to hear the audio
Article 4 (commencing with Section 2020.410) only the recording or to view the video recording.
production by a nonparty of business records for
copying is desired, a copy of the deposition subpoena (2) Furnish a copy of the audio or video
shall serve as the notice of deposition. (Added by Stats. recording to that other party on receipt of
2004, ch. 182. Amended by Stats. 2012, ch. 72; Stats. payment of the reasonable cost of making that
2015, ch. 346; Stats. 2018, ch. 268.) copy of the recording.

(g) If the testimony at the deposition is recorded both

§ 2025.510 Transcription of deposition testimony; stenographically and by audio or video technology, the
allocation of costs; requirements for distribution and stenographic transcript shall be the official record of
retention of copies that testimony for the purpose of the trial and any
subsequent hearing or appeal.
(a) Unless the parties agree otherwise, the testimony
at a deposition recorded by stenographic means shall (h) (1) The requesting attorney or party appearing
be transcribed. in propria persona shall timely pay the deposition
officer or the entity providing the services of the
(b) The party noticing the deposition shall bear the deposition officer for the transcription or copy of
cost of the transcription, unless the court, on motion the transcription described in subdivision (b) or

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(c), and any other deposition product or service (2) Set forth clearly the extent of, and the
that is requested either orally or in writing. specific ground for, the objection. If an objection
is based on a claim of privilege, the particular
(2) This subdivision shall apply unless privilege invoked shall be stated. If an objection
responsibility for the payment is otherwise is based on a claim that the information sought is
provided by law or unless the deposition officer or protected work product under Chapter 4
entity is notified in writing at the time the services (commencing with Section 2018.010), that claim
or products are requested that the party or shall be expressly asserted.
another identified person will be responsible for
payment. (c) (1) If an objection is based on a claim of
privilege or a claim that the information sought
(3) This subdivision does not prohibit or is protected work product, the response shall
supersede an agreement between an attorney provide sufficient factual information for other
and a party allocating responsibility for the parties to evaluate the merits of that claim,
payment of deposition costs to the party. including, if necessary, a privilege log.

(4) Nothing in the case of Serrano v. Stefan Merli (2) It is the intent of the Legislature to codify
Plastering Co., Inc. (2008) 162 Cal.App.4th 1014 the concept of a privilege log as that term is used
shall be construed to alter the standards by which in California case law. Nothing in this subdivision
a court acquires personal jurisdiction over a shall be construed to constitute a substantive
nonparty to an action. change in case law. (Added by Stats. 2004, ch.
182, operative July 1, 2005. Amended by Stats.
(i) For purposes of this section, “deposition product 2009, ch. 5, effective June 29, 2009; Stats. 2012,
or service” means any product or service provided in ch. 232.)
connection with a deposition that qualifies as
shorthand reporting, as described in Section 8017 of
the Business and Professions Code, and any product or
service derived from that shorthand reporting. (Added
CORPORATIONS CODE
by Stats. 2004, ch. 182. Amended by Stats. 2007, ch.
115; Stats. 2012, ch. 125; Stats. 2014, ch. 913.)
§ 10830 Formation; Requirements; Supervision

§ 2031.240 Partial Objection to Demand for A nonprofit corporation may be formed under Part 3
Inspection; Privilege Log (commencing with Section 7110) of this division for the
purposes of administering a system or systems of
(a) If only part of an item or category of item in a defraying the cost of professional services of attorneys,
demand for inspection, copying, testing, or sampling is but any such corporation may not engage directly or
objectionable, the response shall contain a statement indirectly in the performance of the corporate purposes
of compliance, or a representation of inability to or objects unless all of the following requirements are
comply with respect to the remainder of that item or met:
category.
(a) The attorneys furnishing professional services
(b) If the responding party objects to the demand pursuant to such system or systems are acting in
for inspection, copying, testing, or sampling of an item compliance with the Rules of Professional Conduct of
or category of item, the response shall do both of the the State Bar of California concerning such system or
following: systems.

(1) Identify with particularity any document, (b) Membership in the corporation and an
tangible thing, land, or electronically stored opportunity to render professional services upon a
information falling within any category of item in uniform basis are available to all active members of the
the demand to which an objection is being made. State Bar.

(c) Voting by proxy and cumulative voting are

prohibited.

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(d) A certificate is issued to the corporation by the notice thereof, or (3) other means of electronic
State Bar of California, finding compliance with the communication, (b) to a recipient who has
requirements of subdivisions (a), (b) and (c). provided an unrevoked consent to the use of
those means of transmission, and (c) that creates
Any such corporation shall be subject to supervision by a record that is capable of retention, retrieval, and
the State Bar of California and shall also be subject to review, and that may thereafter be rendered into
Part 3 (commencing with Section 7110) of this division clearly legible tangible form. However, an
except as to matters specifically otherwise provided for electronic transmission by a partnership to an
in this article. (Added by Stats. 1978, ch. 1305, individual partner is not authorized unless, in
operative January 1, 1980.) addition to satisfying the requirements of this
section, the transmission satisfies the
requirements applicable to consumer consent to
§ 16100 Uniform Partnership Act of 1994
electronic records as set forth in the Electronic
This chapter may be cited as the Uniform Partnership Signatures in Global and National Commerce Act
Act of 1994. (Added by Stats. 1996, ch. 1003.) (15 U.S.C. Sec. 7001(c)(1)).

(5) “Electronic transmission to the partnership”

§ 16101 Uniform Partnership Act–Definitions means a communication (a) delivered by (1)
facsimile telecommunication or electronic mail
(a) As used in this chapter, the following terms and when directed to the facsimile number or
phrases have the following meanings: electronic mail address, respectively, which the
partnership has provided from time to time to
(1) “Business” includes every trade, occupation, partners for sending communications to the
and profession. partnership, (2) posting on an electronic message
board or network that the partnership has
(2) “Debtor in bankruptcy” means a person who designated for those communications, and which
is the subject of either of the following: transmission shall be validly delivered upon the
posting, or (3) other means of electronic
(A) An order for relief under Title 11 of the
communication, (b) as to which the partnership
United States Code or a comparable order
has placed in effect reasonable measures to verify
under a successor statute of general
that the sender is the partner, in person or by
application.
proxy, purporting to send the transmission, and
(B) A comparable order under federal, (c) that creates a record that is capable of
state, or foreign law governing insolvency. retention, retrieval, and review, and that may
thereafter be rendered into clearly legible tangible
(3) “Distribution” means a transfer of money or form.
other property from a partnership to a partner in
the partner’s capacity as a partner or to the (6) (A) “Foreign limited liability partnership”
partner’s transferee. means a partnership, other than a limited
partnership, formed pursuant to an
(4) “Electronic transmission by the partnership” agreement governed by the laws of another
means a communication (a) delivered by (1) jurisdiction and denominated or registered
facsimile telecommunication or electronic mail as a limited liability partnership or registered
when directed to the facsimile number or limited liability partnership under the laws
electronic mail address, respectively, for that of that jurisdiction (i) in which each partner
recipient on record with the partnership, (2) is a licensed person or a person licensed or
posting on an electronic message board or authorized to provide professional limited
network that the partnership has designated for liability partnership services in a jurisdiction
those communications, together with a separate or jurisdictions other than this state, (ii)
notice to the recipient of the posting, which which is licensed under the laws of the state
transmission shall be validly delivered upon the to engage in the practice of architecture, the
later of the posting or delivery of the separate practice of public accountancy, the practice

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of engineering, the practice of land surveying, practice of public accountancy, the practice
or the practice of law, or (iii) which (I) is of engineering, the practice of land surveying,
related to a registered limited liability or the practice of law, or (iii)(I) is related to a
partnership that practices public accountancy registered limited liability partnership that
or, to the extent permitted by the State Bar practices public accountancy or, to the extent
of California, practices law or is related to a permitted by the State Bar of California,
foreign limited liability partnership and (II) practices law or is related to a foreign limited
provides services related or complementary liability partnership and (II) provides services
to the professional limited liability related or complementary to the professional
partnership services provided by, or provides limited liability partnership services provided
services or facilities to, that registered limited by, or provides services or facilities to, that
liability partnership or foreign limited liability registered limited liability partnership or
partnership. foreign limited liability partnership.

(B) For the purposes of clause (iii) of (B) For the purposes of clause (iii) of
subparagraph (A), a partnership is related to subparagraph (A), a partnership is related to
a registered limited liability partnership or a registered limited liability partnership or
foreign limited liability partnership if (i) at foreign limited liability partnership if (i) at
least a majority of the partners in one least a majority of the partners in one
partnership are also partners in the other partnership are also partners in the other
partnership, or (ii) at least a majority in partnership, or (ii) at least a majority in
interest in each partnership hold interests in interest in each partnership hold interests in
or are members of another person, except or are members of another person, other
an individual, and each partnership renders than an individual, and each partnership
services pursuant to an agreement with that renders services pursuant to an agreement
other person, or (iii) one partnership, directly with that other person, or (iii) one
or indirectly through one or more partnership, directly or indirectly through
intermediaries, controls, is controlled by, or one or more intermediaries, controls, is
is under common control with, the other controlled by, or is under common control
partnership. with, the other partnership.

(7) “Licensed person” means any person who is (9) “Partnership” means an association of two
duly licensed, authorized, or registered under the or more persons to carry on as coowners a
provisions of the Business and Professions Code to business for profit formed under Section 16202,
provide professional limited liability partnership predecessor law, or comparable law of another
services or who is lawfully able to render jurisdiction, and includes, for all purposes of the
professional limited liability partnership services laws of this state, a registered limited liability
in this state. partnership, and excludes any partnership formed
under Chapter 4.5 (commencing with Section
(8) (A) “Registered limited liability 15900).
partnership” means a partnership, other
than a limited partnership, formed pursuant (10) “Partnership agreement” means the
to an agreement governed by Article 10 agreement, whether written, oral, or implied,
(commencing with Section 16951), that is among the partners concerning the partnership,
registered under Section 16953 and (i) each including amendments to the partnership
of the partners of which is a licensed person agreement.
or a person licensed or authorized to
provide professional limited liability (11) “Partnership at will” means a partnership in
partnership services in a jurisdiction or which the partners have not agreed to remain
jurisdictions other than this state, (ii) is partners until the expiration of a definite term or
licensed under the laws of the state to the completion of a particular undertaking.
engage in the practice of architecture, the

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(12) “Partnership interest” or “partner’s interest Stats. 2010, ch. 634, effective September 30, 2010;
in the partnership” means all of a partner’s Stats. 2011, ch. 291; Stats. 2015, ch. 157; Stats. 2018,
interests in the partnership, including the ch. 150; Stats. 2019, ch. 497.)
partner’s transferable interest and all
management and other rights.
§ 16306 Joint and Severable Liability; Personal
(13) “Person” means an individual, corporation, Liability; Registered Limited Liability Partnerships
business trust, estate, trust, partnership, limited
partnership, limited liability partnership, limited (a) Except as otherwise provided in subdivisions (b)
liability company, association, joint venture, and (c), all partners are liable jointly and severally for all
government, governmental subdivision, agency, obligations of the partnership unless otherwise agreed
or instrumentality, or any other legal or by the claimant or provided by law.
commercial entity.
(b) A person admitted as a partner into an existing
(14) “Professional limited liability partnership partnership is not personally liable for any partnership
services” means the practice of architecture, the obligation incurred before the person’s admission as a
practice of public accountancy, the practice of partner.
engineering, the practice of land surveying, or the
practice of law. (c) Notwithstanding any other section of this
chapter, and subject to subdivisions (d), (e), (f), and
(15) “Property” means all property, real, (h), a partner in a registered limited liability
personal, or mixed, tangible or intangible, or any partnership is not liable or accountable, directly or
interest therein. indirectly, including by way of indemnification,
contribution, assessment, or otherwise, for debts,
(16) “State” means a state of the United States, obligations, or liabilities of or chargeable to the
the District of Columbia, the Commonwealth of partnership or another partner in the partnership,
Puerto Rico, or any territory or insular possession whether arising in tort, contract, or otherwise, that
subject to the jurisdiction of the United States. are incurred, created, or assumed by the partnership
while the partnership is a registered limited liability
(17) “Statement” means a statement of partnership, by reason of being a partner or acting in
partnership authority under Section 16303, a the conduct of the business or activities of the
statement of denial under Section 16304, a partnership.
statement of dissociation under Section 16704, a
statement of dissolution under Section 16805, a (d) Notwithstanding subdivision (c), all or certain
statement of conversion or a certificate of specified partners of a registered limited liability
conversion under Section 16906, a statement of partnership, if the specified partners agree, may be
merger under Section 16915, or an amendment or liable in their capacity as partners for all or specified
cancellation of any of the foregoing. debts, obligations, or liabilities of the registered
limited liability partnership if the partners possessing
(18) “Transfer” includes an assignment, a majority of the interests of the partners in the
conveyance, lease, mortgage, deed, and current profits of the partnership, or a different vote
encumbrance. as may be required in the partnership agreement,
specifically agreed to the specified debts, obligations,
(b) The inclusion of the practice of architecture as a or liabilities in writing, prior to the debt, obligation, or
professional limited liability partnership service liability being incurred. That specific agreement may
permitted by this section shall extend only until January be modified or revoked if the partners possessing a
1, 2026. majority of the interests of the partners in the current
profits of the partnership, or a different vote as may
(c) This section shall remain in effect only until
be required in the partnership agreement, agree to
January 1, 2026, and as of that date is repealed. (Added
the modification or revocation in writing; provided,
by Stats. 1996, ch. 1003. Amended by Stats. 1998, ch.
however, that a modification or revocation shall not
504; Stats. 1999, ch. 250; Stats. 2001, ch. 595; Stats.
affect the liability of a partner for any debts,
2004, ch. 254; Stats. 2006, ch. 426; Stats. 2006, ch. 495;
obligations, or liabilities of a registered limited liability

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partnership incurred, created, or assumed by the the last words or letters of its name. (Added by Stats.
registered limited liability partnership prior to the 1996, ch. 1003.)
modification or revocation.

(e) Nothing in subdivision (c) shall be construed to § 16953 Registration; Contents; Fee; Filing; Form;
affect the liability of a partner of a registered limited Compliance with Requirements
liability partnership to third parties for that partner’s
tortious conduct. (a) To become a registered limited liability
partnership, a partnership, other than a limited
(f) The limitation of liability in subdivision (c) shall partnership, shall file with the Secretary of State a
not apply to claims based upon acts, errors, or registration, executed by one or more partners
omissions arising out of the rendering of professional authorized to execute a registration, stating all of the
limited liability partnership services of a registered following:
limited liability partnership providing legal services
unless that partnership has a currently effective (1) The name of the partnership.
certificate of registration issued by the State Bar.
(2) The address of its principal office.
(g) A partner in a registered limited liability
partnership is not a proper party to a proceeding by or (3) The mailing address of its principal office, if
against a registered limited liability partnership in different from the street address.
which personal liability for partnership debts,
(4) The name and street address of the agent
obligations, or liabilities is asserted against the partner,
for service of process on the limited liability
unless that partner is personally liable under
partnership in California in accordance with
subdivision (d) or (e).
subdivision (a) of Section 16309.
(h) Nothing in this section shall affect or impair the
(5) A brief statement of the business in which
ability of a partner to act as a guarantor or surety
the partnership engages.
for, provide collateral for or otherwise be liable for,
the debts, obligations, or liabilities of a registered (6) Any other matters that the partnership
limited liability partnership. (Added by Stats. 1996, determines to include.
ch. 1003.)
(7) That the partnership is registering as a
registered limited liability partnership.
§ 16951 Types of Limited Liability Partnerships to
be Recognized (b) The registration shall be accompanied by a fee as
set forth in subdivision (a) of Section 12189 of the
For purposes of this chapter, the only types of limited Government Code.
liability partnerships that shall be recognized are a
registered limited liability partnership and a foreign (c) The Secretary of State shall register as a
limited liability partnership, as defined in Section registered limited liability partnership any partnership
16101. No registered limited liability partnership or that submits a completed registration with the
foreign limited liability partnership may render required fee.
professional limited liability partnership services in this
state except through licensed persons. (Added by Stats. (d) The Secretary of State may cancel the filing of
1996, ch. 1003.) the registration if a check or other remittance
accepted in payment of the filing fee is not paid upon
presentation. Upon receiving written notification that
§ 16952 Requirements for Name the item presented for payment has not been
honored for payment, the Secretary of State shall give
The name of a registered limited liability partnership a first written notice of the applicability of this section
shall contain the words “Registered Limited Liability to the agent for service of process or to the person
Partnership” or “Limited Liability Partnership” or one of submitting the instrument. Thereafter, if the amount
the abbreviations “L.L.P.,” “LLP,” “R.L.L.P.,” or “RLLP” as has not been paid by cashier’s check or equivalent,

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the Secretary of State shall give a second written compelled by a subpoena or other order of a court of
notice of cancellation and the cancellation shall competent jurisdiction, any information it receives in the
thereupon be effective. The second notice shall be course of evaluating the compliance of a limited liability
given 20 days or more after the first notice and 90 partnership with applicable statutory and administrative
days or less after the date of the original filing. registration or filing requirements, provided that nothing
in this section shall be construed to prevent a state
(e) A partnership becomes a registered limited liability board, commission, or other agency from disclosing the
partnership at the time of the filing of the initial manner in which the limited liability partnership has
registration with the Secretary of State or at any later complied with the requirements of Section 16956, or the
date or time specified in the registration and the compliance or noncompliance by the limited liability
payment of the fee required by subdivision (b). A partnership with any other requirements of the state
partnership continues as a registered limited liability board, commission, or other agency.
partnership until a notice that it is no longer a registered
limited liability partnership has been filed pursuant to (i) An agent designated for service of process may
subdivision (b) of Section 16954 or, if applicable, until it deliver to the Secretary of State, on a form prescribed by
has been dissolved and finally wound up. The status of a the Secretary of State for filing, a signed and
partnership as a registered limited liability partnership acknowledged written statement of resignation as an
and the liability of a partner of the registered limited agent for service of process containing the name of the
liability partnership shall not be adversely affected by limited liability partnership and the Secretary of State’s
errors or subsequent changes in the information stated file number of the limited liability partnership, the name
in a registration under subdivision (a) or an amended of the resigning agent for service of process, and a
registration or notice under Section 16954. statement that the agent is resigning. On filing of the
statement of resignation, the authority of the agent to
(f) The fact that a registration or amended registration act in that capacity shall cease and the Secretary of State
pursuant to this section is on file with the Secretary of shall mail or otherwise provide written notice of the
State is notice that the partnership is a registered limited filing of the statement of resignation to the limited
liability partnership and of those other facts contained liability partnership at its principal office.
therein that are required to be set forth in the
registration or amended registration. (j) The resignation of an agent may be effective if, on a
form prescribed by the Secretary of State containing the
(g) The Secretary of State shall provide a form for a name of the limited liability partnership and Secretary of
registration under subdivision (a), which shall include the State’s file number for the limited liability partnership
form for confirming compliance with the optional and the name of the agent for service of process, the
security requirement pursuant to subdivision (c) of agent disclaims having been properly appointed as the
Section 16956. The Secretary of State shall include with agent.
instructional materials provided in conjunction with the
form for a registration under subdivision (a) a notice that (k) If an individual who has been designated agent for
filing the registration will obligate the limited liability service of process dies, resigns, or no longer resides in
partnership to pay an annual tax for that taxable year to the state or if the corporate agent for that purpose
the Franchise Tax Board pursuant to Section 17948 of resigns, dissolves, withdraws from the state, forfeits its
the Revenue and Taxation Code. That notice shall be right to transact intrastate business, has its corporate
updated annually to specify the dollar amount of the tax. rights, powers, and privileges suspended, or ceases to
exist, the limited liability partnership shall promptly file
(h) A limited liability partnership providing professional an amended registration as a limited liability partnership
limited liability partnership services in this state shall designating a new agent.
comply with all statutory and administrative registration
or filing requirements of the state board, commission, or (l) The Secretary of State may destroy or otherwise
other agency that prescribes the rules and regulations dispose of any statement of resignation filed pursuant to
governing the particular profession in which the this section after a new registration is filed pursuant to
partnership proposes to engage, pursuant to the this section replacing the agent for service of process
applicable provisions of the Business and Professions that has resigned. (Added by Stats. 1996, ch. 1003.
Code relating to that profession. The state board, Amended by Stats. 1999, ch. 1000; Stats. 2001, ch. 425;
commission, or other agency shall not disclose, unless

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Stats. 2002, ch. 169; Stats. 2012, ch. 494; Stats. 2014, ch. profits of the partnership or by a different vote as may
834.) be required in its partnership agreement.

(b) When such a conversion takes effect, all of the

§ 16954 Amended Registration; Notice of following apply:
Termination
(1) All property, real and personal, tangible and
(a) The registration of a registered limited liability intangible, of the converting partnership remains
partnership may be amended by an amended vested in the converted registered limited liability
registration executed by one or more partners partnership.
authorized to execute an amended registration and
filed with the Secretary of State, as soon as reasonably (2) All debts, obligations, liabilities, and
practical after any information set forth in the penalties of the converting partnership continue
registration or previously filed amended registration as debts, obligations, liabilities, and penalties of
becomes inaccurate or to add information to the the converted registered limited liability
registration or amended registration. partnership.

(b) If a registered limited liability partnership ceases (3) Any action, suit, or proceeding, civil or
to be a registered limited liability partnership, it shall criminal, then pending by or against the
file with the Secretary of State a notice, executed by converting partnership may be continued as if the
one or more partners authorized to execute the notice, conversion had not occurred.
that it is no longer a registered limited liability
partnership. The notice shall state that a final annual (4) To the extent provided in the agreement of
tax return, as described by Section 17948.3 of the conversion and in this chapter, the partners of a
Revenue and Taxation Code, has been or will be filed partnership shall continue as partners in the
with the Franchise Tax Board, as required under Part converted registered limited liability partnership.
10.2 (commencing with Section 18401) of Division 2 of
(5) A partnership that has been converted to a
the Revenue and Taxation Code.
registered limited liability partnership pursuant to
(c) An amendment pursuant to subdivision (a) and a this chapter is the same person that existed prior
notice pursuant to subdivision (b) shall each be to the conversion. (Added by Stats. 1996, ch.
accompanied by a fee as set forth in subdivision (c) of 1003. Amended by Stats. 2017, ch. 561.)
Section 12189 of the Government Code.
§ 16956 Security for Claims Against Limited
(d) The Secretary of State shall provide forms for an
amended registration under subdivision (a) and a Liability Partnership; Requirements; Evidence of
notice under subdivision (b). Compliance

(e) A notice of cessation, signed pursuant to (a) At the time of registration pursuant to Section
subdivision (b), shall be filed with the Secretary of 16953, in the case of a registered limited liability
State. The Secretary of State shall notify the Franchise partnership, and Section 16959, in the case of a foreign
Tax Board of the cessation. (Added by Stats. 1996, ch. limited liability partnership, and at all times during
1003. Amended by Stats. 1999, ch. 1000; Stats. 2006, which those partnerships shall transact intrastate
ch. 773.) business, every registered limited liability partnership
and foreign limited liability partnership, as the case
may be, shall be required to provide security for claims
§ 16955 Conversion of Domestic Partnership; against it as follows:
Rights and Obligations
(1) For claims based upon acts, errors, or
(a) A domestic partnership, other than a limited omissions arising out of the practice of public
partnership, may convert to a registered limited liability accountancy, a registered limited liability
partnership by the vote of the partners possessing a partnership or foreign limited liability partnership
majority of the interests of its partners in the current providing accountancy services shall comply with

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one, or pursuant to subdivision (b) some then maintained pursuant to this

combination, of the following: subparagraph, maintain or obtain an
extended reporting period endorsement or
(A) Maintaining a policy or policies of equivalent provision in the maximum total
insurance against liability imposed on or aggregate limit of liability required to comply
against it by law for damages arising out of with this subparagraph for a minimum of
claims; however, the total aggregate limit of three years if reasonably available from the
liability under the policy or policies of insurer.
insurance for partnerships with five or fewer
licensed persons shall not be less than one (B) Maintaining in trust or bank escrow,
million dollars ($1,000,000), and for cash, bank certificates of deposit, United
partnerships with more than five licensees States Treasury obligations, bank letters of
rendering professional services on behalf of credit, or bonds of insurance or surety
the partnership, an additional one hundred companies as security for payment of
thousand dollars ($100,000) of insurance liabilities imposed by law for damages arising
shall be obtained for each additional out of all claims; however, the maximum
licensee; however, the maximum amount of amount of security for partnerships with five
insurance is not required to exceed five or fewer licensed persons shall not be less
million dollars ($5,000,000) in any one than one million dollars ($1,000,000), and for
designated period, less amounts paid in partnerships with more than five licensees
defending, settling, or discharging claims as rendering professional services on behalf of
set forth in this subparagraph. The policy or the partnership, an additional one hundred
policies may be issued on a claims-made or thousand dollars ($100,000) of security shall
occurrence basis, and shall cover: (i) in the be obtained for each additional licensee;
case of a claims-made policy, claims initially however, the maximum amount of security
asserted in the designated period, and (ii) in is not required to exceed five million dollars
the case of an occurrence policy, ($5,000,000). The partnership remains in
occurrences during the designated period. compliance with this section during a
For purposes of this subparagraph, calendar year notwithstanding amounts paid
“designated period” means a policy year or during that calendar year from the accounts,
any other period designated in the policy funds, Treasury obligations, letters of credit,
that is not greater than 12 months. The or bonds in defending, settling, or
impairment or exhaustion of the aggregate discharging claims of the type described in
limit of liability by amounts paid under the this paragraph, provided that the amount of
policy in connection with the settlement, those accounts, funds, Treasury obligations,
discharge, or defense of claims applicable to letters of credit, or bonds was at least the
a designated period shall not require the amount specified in the preceding sentence
partnership to acquire additional insurance as of the first business day of that calendar
coverage for that designated period. The year. Notwithstanding the pendency of other
policy or policies of insurance may be in a claims against the partnership, a registered
form reasonably available in the commercial limited liability partnership or foreign limited
insurance market and may be subject to liability partnership shall be deemed to be in
those terms, conditions, exclusions, and compliance with this subparagraph as to a
endorsements that are typically contained in claim if within 30 days after the time that a
those policies. A policy or policies of claim is initially asserted through service of a
insurance maintained pursuant to this summons, complaint, or comparable
subparagraph may be subject to a deductible pleading in a judicial or administrative
or self-insured retention. proceeding, the partnership has provided the
required amount of security by designating
Upon the dissolution and winding up of the and segregating funds in compliance with
partnership, the partnership shall, with the requirements of this subparagraph.
respect to any insurance policy or policies

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(C) Unless the partnership has satisfied partnerships with five or fewer licensed
subparagraph (D), each partner of a persons shall not be less than one million
registered limited liability partnership or dollars ($1,000,000), and for partnerships
foreign limited liability partnership providing with more than five licensees rendering
accountancy services, by virtue of that professional services on behalf of the
person’s status as a partner, thereby partnership, an additional one hundred
automatically guarantees payment of the thousand dollars ($100,000) of insurance
difference between the maximum amount of shall be obtained for each additional
security required for the partnership by this licensee; however, the maximum amount of
paragraph and the security otherwise insurance is not required to exceed seven
provided in accordance with subparagraphs million five hundred thousand dollars
(A) and (B), provided that the aggregate ($7,500,000) in any one designated period,
amount paid by all partners under these less amounts paid in defending, settling, or
guarantees shall not exceed the difference. discharging claims as set forth in this
Neither withdrawal by a partner nor the subparagraph. The policy or policies may be
dissolution and winding up of the issued on a claims-made or occurrence basis,
partnership shall affect the rights or and shall cover (i) in the case of a claims-
obligations of a partner arising prior to made policy, claims initially asserted in the
withdrawal or dissolution and winding up, designated period, and (ii) in the case of an
and the guarantee provided for in this occurrence policy, occurrences during the
subparagraph shall apply only to conduct designated period. For purposes of this
that occurred prior to the withdrawal or subparagraph, “designated period” means a
dissolution and winding up. Nothing policy year or any other period designated in
contained in this subparagraph shall affect or the policy that is not greater than 12
impair the rights or obligations of the months. The impairment or exhaustion of
partners among themselves, or the the aggregate limit of liability by amounts
partnership, including, but not limited to, paid under the policy in connection with the
rights of contribution, subrogation, or settlement, discharge, or defense of claims
indemnification. applicable to a designated period shall not
require the partnership to acquire additional
(D) Confirming, pursuant to the procedure insurance coverage for that designated
in subdivision (c), that, as of the most period. The policy or policies of insurance
recently completed fiscal year of the may be in a form reasonably available in the
partnership, it had a net worth equal to or commercial insurance market and may be
exceeding ten million dollars ($10,000,000). subject to those terms, conditions,
exclusions, and endorsements that are
(2) For claims based upon acts, errors, or typically contained in those policies. A policy
omissions arising out of the practice of law, a or policies of insurance maintained pursuant
registered limited liability partnership or foreign to this subparagraph may be subject to a
limited liability partnership providing legal deductible or self-insured retention.
services shall comply with one, or pursuant to
subdivision (b) some combination, of the Upon the dissolution and winding up of the
following: partnership, the partnership shall, with
respect to any insurance policy or policies
(A) Each registered limited liability then maintained pursuant to this
partnership or foreign limited liability subparagraph, maintain or obtain an
partnership providing legal services shall extended reporting period endorsement or
maintain a policy or policies of insurance equivalent provision in the maximum total
against liability imposed on or against it by aggregate limit of liability required to comply
law for damages arising out of claims; with this subparagraph for a minimum of
however, the total aggregate limit of liability three years if reasonably available from the
under the policy or policies of insurance for insurer.

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(B) Each registered limited liability virtue of that person’s status as a partner,
partnership or foreign limited liability thereby automatically guarantees payment
partnership providing legal services shall of the difference between the maximum
maintain in trust or bank escrow, cash, bank amount of security required for the
certificates of deposit, United States partnership by this paragraph and the
Treasury obligations, bank letters of credit, security otherwise provided in accordance
or bonds of insurance or surety companies as with the provisions of subparagraphs (A) and
security for payment of liabilities imposed by (B), provided that the aggregate amount paid
law for damages arising out of all claims; by all partners under these guarantees shall
however, the maximum amount of security not exceed the difference. Neither
for partnerships with five or fewer licensed withdrawal by a partner nor the dissolution
persons shall not be less than one million and winding up of the partnership shall
dollars ($1,000,000), and for partnerships affect the rights or obligations of a partner
with more than five licensees rendering arising prior to withdrawal or dissolution and
professional services on behalf of the winding up, and the guarantee provided for
partnership, an additional one hundred in this subparagraph shall apply only to
thousand dollars ($100,000) of security shall conduct that occurred prior to the
be obtained for each additional licensee; withdrawal or dissolution and winding up.
however, the maximum amount of security Nothing contained in this subparagraph shall
is not required to exceed seven million five affect or impair the rights or obligations of
hundred thousand dollars ($7,500,000). The the partners among themselves, or the
partnership remains in compliance with this partnership, including, but not limited to,
section during a calendar year rights of contribution, subrogation, or
notwithstanding amounts paid during that indemnification.
calendar year from the accounts, funds,
Treasury obligations, letters of credit, or (D) Confirming, pursuant to the procedure
bonds in defending, settling, or discharging in subdivision (c), that, as of the most
claims of the type described in this recently completed fiscal year of the
paragraph, provided that the amount of partnership, it had a net worth equal to or
those accounts, funds, Treasury obligations, exceeding fifteen million dollars
letters of credit, or bonds was at least the ($15,000,000).
amount specified in the preceding sentence
as of the first business day of that calendar (3) For claims based upon acts, errors, or
year. Notwithstanding the pendency of other omissions arising out of the practice of
claims against the partnership, a registered architecture, a registered limited liability
limited liability partnership or foreign limited partnership or foreign limited liability partnership
liability partnership shall be deemed to be in providing architectural services shall comply with
compliance with this subparagraph as to a one, or pursuant to subdivision (b) some
claim if within 30 days after the time that a combination, of the following:
claim is initially asserted through service of a
(A) Maintaining a policy or policies of
summons, complaint, or comparable
insurance against liability imposed on or
pleading in a judicial or administrative
against it by law for damages arising out of
proceeding, the partnership has provided the
claims; however, the total aggregate limit of
required amount of security by designating
liability under the policy or policies of
and segregating funds in compliance with
insurance for partnerships with five or fewer
the requirement of this subparagraph.
licensees rendering professional services on
(C) Unless the partnership has satisfied the behalf of the partnership shall not be less
requirements of subparagraph (D), each than one million dollars ($1,000,000), and for
partner of a registered limited liability partnerships with more than five licensees
partnership or foreign limited liability rendering professional services on behalf of
partnership providing legal services, by the partnership, an additional one hundred

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

thousand dollars ($100,000) of liability amount of security for partnerships with five
coverage shall be obtained for each or fewer licensees rendering professional
additional licensee; however, the total services on behalf of the partnership shall
aggregate limit of liability under the policy or not be less than one million dollars
policies of insurance is not required to ($1,000,000), and for partnerships with more
exceed five million dollars ($5,000,000). The than five licensees rendering professional
policy or policies may be issued on a claims- services on behalf of the partnership, an
made or occurrence basis, and shall cover: (i) additional one hundred thousand dollars
in the case of a claims-made policy, claims ($100,000) of security shall be obtained for
initially asserted in the designated period, each additional licensee; however, the
and (ii) in the case of an occurrence policy, maximum amount of security is not required
occurrences during the designated period. to exceed five million dollars ($5,000,000).
For purposes of this subparagraph, The partnership remains in compliance with
“designated period” means a policy year or this section during a calendar year
any other period designated in the policy notwithstanding amounts paid during that
that is not greater than 12 months. The calendar year from the accounts, funds,
impairment or exhaustion of the aggregate Treasury obligations, letters of credit, or
limit of liability by amounts paid under the bonds in defending, settling, or discharging
policy in connection with the settlement, claims of the type described in this
discharge, or defense of claims applicable to paragraph, provided that the amount of
a designated period shall not require the those accounts, funds, Treasury obligations,
partnership to acquire additional insurance letters of credit, or bonds was at least the
coverage for that designated period. The amount specified in the preceding sentence
policy or policies of insurance may be in a as of the first business day of that calendar
form reasonably available in the commercial year. Notwithstanding the pendency of other
insurance market and may be subject to claims against the partnership, a registered
those terms, conditions, exclusions, and limited liability partnership or foreign limited
endorsements that are typically contained in liability partnership shall be deemed to be in
those policies. A policy or policies of compliance with this subparagraph as to a
insurance maintained pursuant to this claim if within 30 days after the time that a
subparagraph may be subject to a deductible claim is initially asserted through service of a
or self-insured retention. summons, complaint, or comparable
pleading in a judicial or administrative
Upon the dissolution and winding up of the proceeding, the partnership has provided the
partnership, the partnership shall, with required amount of security by designating
respect to any insurance policy or policies and segregating funds in compliance with
then maintained pursuant to this the requirements of this subparagraph.
subparagraph, maintain or obtain an
extended reporting period endorsement or (C) Unless the partnership has satisfied
equivalent provision in the maximum total subparagraph (D), each partner of a
aggregate limit of liability required to comply registered limited liability partnership or
with this subparagraph for a minimum of foreign limited liability partnership providing
three years if reasonably available from the architectural services, by virtue of that
insurer. person’s status as a partner, thereby
automatically guarantees payment of the
(B) Maintaining in trust or bank escrow, difference between the maximum amount of
cash, bank certificates of deposit, United security required for the partnership by this
States Treasury obligations, bank letters of paragraph and the security otherwise
credit, or bonds of insurance or surety provided in accordance with subparagraphs
companies as security for payment of (A) and (B), provided that the aggregate
liabilities imposed by law for damages arising amount paid by all partners under these
out of all claims; however, the maximum guarantees shall not exceed the difference.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

Neither withdrawal by a partner nor the initially asserted in the designated period,
dissolution and winding up of the and (ii) in the case of an occurrence policy,
partnership shall affect the rights or occurrences during the designated period.
obligations of a partner arising prior to For purposes of this subparagraph,
withdrawal or dissolution and winding up, “designated period” means a policy year or
and the guarantee provided for in this any other period designated in the policy
subparagraph shall apply only to conduct that is not greater than 12 months. The
that occurred prior to the withdrawal or impairment or exhaustion of the aggregate
dissolution and winding up. Nothing limit of liability by amounts paid under the
contained in this subparagraph shall affect or policy in connection with the settlement,
impair the rights or obligations of the discharge, or defense of claims applicable to
partners among themselves, or the a designated period shall not require the
partnership, including, but not limited to, partnership to acquire additional insurance
rights of contribution, subrogation, or coverage for that designated period. The
indemnification. policy or policies of insurance may be in a
form reasonably available in the commercial
(D) Confirming, pursuant to the procedure insurance market and may be subject to
in subdivision (c), that, as of the most those terms, conditions, exclusions, and
recently completed fiscal year of the endorsements that are typically contained in
partnership, it had a net worth equal to or those policies. A policy or policies of
exceeding ten million dollars ($10,000,000). insurance maintained pursuant to this
subparagraph may be subject to a deductible
(4) For claims based upon acts, errors, or or self-insured retention.
omissions arising out of the practice of
engineering or the practice of land surveying, a Upon the dissolution and winding up of the
registered limited liability partnership or foreign partnership, the partnership shall, with
limited liability partnership providing engineering respect to any insurance policy or policies
or land surveying services shall comply with one, then maintained pursuant to this
or pursuant to subdivision (b) some combination, subparagraph, maintain or obtain an
of the following: extended reporting period endorsement or
equivalent provision in the maximum total
(A) Maintaining a policy or policies of aggregate limit of liability required to comply
insurance against liability imposed on or with this subparagraph for a minimum of
against it by law for damages arising out of three years if reasonably available from the
claims; however, the total aggregate limit of insurer.
liability under the policy or policies of
insurance for partnerships with five or fewer (B) Maintaining in trust or bank escrow,
licensees rendering professional services on cash, bank certificates of deposit, United
behalf of the partnership shall not be less States Treasury obligations, bank letters of
than two million dollars ($2,000,000), and for credit, or bonds of insurance or surety
partnerships with more than five licensees companies as security for payment of
rendering professional services on behalf of liabilities imposed by law for damages arising
the partnership, an additional one hundred out of all claims; however, the maximum
thousand dollars ($100,000) of liability amount of security for partnerships with five
coverage shall be obtained for each or fewer licensees rendering professional
additional licensee; however, the total services on behalf of the partnership shall
aggregate limit of liability under the policy or not be less than two million dollars
policies of insurance is not required to ($2,000,000), and for partnerships with more
exceed five million dollars ($5,000,000). The than five licensees rendering professional
policy or policies may be issued on a claims- services on behalf of the partnership, an
made or occurrence basis, and shall cover: (i) additional one hundred thousand dollars
in the case of a claims-made policy, claims ($100,000) of security shall be obtained for

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

each additional licensee; however, the shall affect or impair the rights or obligations
maximum amount of security is not required of the partners among themselves, or the
to exceed five million dollars ($5,000,000). partnership, including, but not limited to,
The partnership remains in compliance with rights of contribution, subrogation, or
this section during a calendar year, indemnification.
notwithstanding amounts paid during that
calendar year from the accounts, funds, (D) Confirming, pursuant to the procedure
Treasury obligations, letters of credit, or in subdivision (c), that, as of the most
bonds in defending, settling, or discharging recently completed fiscal year of the
claims of the type described in this partnership, it had a net worth equal to or
paragraph, provided that the amount of exceeding ten million dollars ($10,000,000).
those accounts, funds, Treasury obligations,
letters of credit, or bonds was at least the (b) For purposes of satisfying the security
amount specified in the preceding sentence requirements of this section, a registered limited
as of the first business day of that calendar liability partnership or foreign limited liability
year. Notwithstanding the pendency of other partnership may aggregate the security provided by it
claims against the partnership, a registered pursuant to subparagraphs (A), (B), (C), and (D) of
limited liability partnership or foreign limited paragraph (1) of subdivision (a), subparagraphs (A), (B),
liability partnership shall be deemed to be in (C), and (D) of paragraph (2) of subdivision (a),
compliance with this subparagraph as to a subparagraphs (A), (B), (C), and (D) of paragraph (3) of
claim if, within 30 days after the time that a subdivision (a), or subparagraphs (A), (B), (C), and (D) of
claim is initially asserted through service of a paragraph (4) of subdivision (a), as the case may be.
summons, complaint, or comparable Any registered limited liability partnership or foreign
pleading in a judicial or administrative limited liability partnership intending to comply with
proceeding, the partnership has provided the the alternative security provisions set forth in
required amount of security by designating subparagraph (D) of paragraph (1) of subdivision (a),
and segregating funds in compliance with subparagraph (D) of paragraph (2) of subdivision (a),
the requirements of this subparagraph. subparagraph (D) of paragraph (3) of subdivision (a), or
subparagraph (D) of paragraph (4) of subdivision (a),
(C) Unless the partnership has satisfied shall furnish the following information to the Secretary
subparagraph (D), each partner of a registered of State’s office, in the manner prescribed in, and
limited liability partnership or foreign limited accompanied by all information required by, the
liability partnership providing engineering applicable section:
services or land surveying services, by virtue
of that person’s status as a partner, thereby TRANSMITTAL FORM FOR EVIDENCING COMPLIANCE
automatically guarantees payment of the WITH SECTION 16956(a)(1)(D), SECTION 16956(a)(2)(D),
difference between the maximum amount of SECTION 16956(a)(3)(D), OR SECTION 16956(a)(4)(D) OF
security required for the partnership by this THE CALIFORNIA CORPORATIONS CODE
paragraph and the security otherwise
provided in accordance with subparagraphs The undersigned hereby confirms the following:
(A) and (B), provided that the aggregate
amount paid by all partners under these 1. _____________________________________
guarantees shall not exceed the difference. (Name of registered or foreign limited liability
Neither withdrawal by a partner nor the partnership)
dissolution and winding up of the partnership
shall affect the rights or obligations of a 2. ______________________________________
partner arising prior to withdrawal or (Jurisdiction where partnership is organized.)
dissolution and winding up, and the
guarantee provided for in this subparagraph 3. _____________________________________
(Address of principal office)
shall apply only to conduct that occurred prior
to the withdrawal or dissolution and winding
4. The registered or foreign limited liability
up. Nothing contained in this subparagraph
partnership chooses to satisfy the requirements of

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

Section 16956 by confirming, pursuant to Section or in any way be made known to a jury or other trier of
16956(a)(1)(D), 16956(a)(2)(D), 16956(a)(3)(D), or fact in determining an issue of liability for, or to the
16956 (a)(4)(D) and pursuant to Section 16956(c), extent of, the damages in question.
that, as of the most recently completed fiscal year,
the partnership had a net worth equal to or (e) Notwithstanding any other provision of this
exceeding ten million dollars ($10,000,000), in the section, if a registered limited liability partnership or
case of a partnership providing accountancy foreign limited liability partnership is otherwise in
services, fifteen million dollars ($15,000,000) in the compliance with the terms of this section at the time
case of a partnership providing legal services, or ten that a bankruptcy or other insolvency proceeding is
million dollars ($10,000,000), in the case of a commenced with respect to the registered limited
partnership providing architectural services, liability partnership or foreign limited liability
engineering services, or land surveying services.
partnership, it shall be deemed to be in compliance
with this section during the pendency of the
5. ______________________________________
proceeding. A registered limited liability partnership
(Title of authorized person executing this form)
that has been the subject of a proceeding and that
6. _______________________________________ conducts business after the proceeding ends shall
(Signature of authorized person executing this thereafter comply with paragraph (1), (2), (3), or (4) of
form) subdivision (a), in order to obtain the limitations on
liability afforded by subdivision (c) of Section 16306.
(c) Pursuant to subparagraph (D) of paragraph (1) of
subdivision (a), subparagraph (D) of paragraph (2) of (f) This section shall remain in effect only until
subdivision (a), subparagraph (D) of paragraph (3) of January 1, 2026, and as of that date is repealed.
subdivision (a), or subparagraph (D) of paragraph (4) of (Added by Stats. 1996, ch. 1003. Amended by Stats.
subdivision (a), a registered limited liability partnership 1997, ch. 387; Stats. 1998, ch. 485 and ch. 504; Stats.
or foreign limited liability partnership may satisfy the 2006, ch. 426; Stats. 2007, ch. 80; Stats. 2010, ch. 634;
requirements of this section by confirming that, as of Stats. 2015, ch. 157; Stats. 2018, ch. 150.)
the last day of its most recently completed fiscal year,
it had a net worth equal to or exceeding the amount
required. In order to comply with this alternative § 16958 Law Governing Foreign Limited Liability
method of meeting the requirements established in Partnership
this section, a registered limited liability partnership or
foreign limited liability partnership shall file an annual (a) (1) The laws of the jurisdiction under which a
confirmation with the Secretary of State’s office, foreign limited liability partnership is organized
signed by an authorized member of the registered shall govern its organization and internal affairs
limited liability partnership or foreign limited liability and the liability and authority of its partners,
partnership, accompanied by a transmittal form as subject to compliance with Section 16956, and
prescribed by subdivision (b). In order to be current in
a given year, the partnership form for confirming (2) a foreign limited liability partnership may not
compliance with the optional security requirement be denied registration by reason of any difference
shall be on file within four months of the completion of between those laws and the laws of this state.
the fiscal year and, upon being filed, shall constitute
full compliance with the financial security (b) The name of a foreign limited liability partnership
requirements for purposes of this section as of the transacting intrastate business in this state shall contain
beginning of the fiscal year. A confirmation filed during the words “Registered Limited Liability Partnership” or
any particular fiscal year shall continue to be effective “Limited Liability Partnership” or one of the
for the first four months of the next succeeding fiscal abbreviations “L.L.P.,” “LLP,” “R.L.L.P.,” or “RLLP,” or
year. such other similar words or abbreviations as may be
required or authorized by the laws of the jurisdiction of
(d) Neither the existence of the requirements of
formation of the foreign limited liability partnership, as
subdivision (a) nor the extent of the registered limited
the last words or letters of its name. (Added by Stats.
liability partnership’s or foreign limited liability
1996, ch. 1003.)
partnership’s compliance with the alternative
requirements in this section shall be admissible in court

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

§ 16959 Foreign Limited Liability Partnerships (b) The registration shall be accompanied by a fee as
Transacting Intrastate Business; Registration and set forth in subdivision (b) of Section 12189 of the
Filing Requirements; Fee; Time of Registration; Form; Government Code.
Penalty; “Transact Intrastate Business” Defined; (c) If the Secretary of State finds that an application
Resignation of Agent for Service of Process for registration conforms to law and all requisite fees
have been paid, the Secretary of State shall issue a
(a) (1) Before transacting intrastate business in this
state, a foreign limited liability partnership shall certificate of registration to transact intrastate business
comply with all statutory and administrative in this state.
registration or filing requirements of the state
(d) The Secretary of State may cancel the filing of
board, commission, or agency that prescribes the
the registration if a check or other remittance
rules and regulations governing a particular
profession in which the partnership proposes to accepted in payment of the filing fee is not paid upon
be engaged, pursuant to the applicable provisions presentation. Upon receiving written notification that
of the Business and Professions Code relating to the item presented for payment has not been
the profession or applicable rules adopted by the honored for payment, the Secretary of State shall give
governing board. A foreign limited liability a first written notice of the applicability of this section
partnership that transacts intrastate business in to the agent for service of process or to the person
this state shall within 30 days after the effective submitting the instrument. Thereafter, if the amount
date of the act enacting this section or the date has not been paid by cashier's check or equivalent,
on which the foreign limited liability partnership the Secretary of State shall give a second written
first transacts intrastate business in this state, notice of cancellation and the cancellation shall
whichever is later, register with the Secretary of thereupon be effective. The second notice shall be
State by submitting to the Secretary of State an given 20 days or more after the first notice and 90
application for registration as a foreign limited days or less after the original filing.
liability partnership, signed by a person with
authority to do so under the laws of the jurisdiction (e) A partnership becomes registered as a foreign
of formation of the foreign limited liability limited liability partnership at the time of the filing of
partnership, stating the name of the partnership, the initial registration with the Secretary of State or at
the street address of its principal office, the mailing any later date or time specified in the registration and
address of the principal office if different from the the payment of the fee required by subdivision (b). A
street address, the name and street address of its partnership continues to be registered as a foreign
agent for service of process in this state in limited liability partnership until a notice that it is no
accordance with subdivision (a) of Section 16309, a longer so registered as a foreign limited liability
brief statement of the business in which the partnership has been filed pursuant to Section 16960
partnership engages, and any other matters that or, if applicable, once it has been dissolved and finally
the partnership determines to include. wound up. The status of a partnership registered as a
(2) Annexed to the application for registration foreign limited liability partnership and the liability of
shall be a certificate from an authorized public a partner of that foreign limited liability partnership
official of the foreign limited liability partnership's shall not be adversely affected by errors or
jurisdiction of organization to the effect that the subsequent changes in the information stated in an
foreign limited liability partnership is in good application for registration under subdivision (a) or an
standing in that jurisdiction, if the laws of that amended registration or notice under Section 16960.
jurisdiction permit the issuance of those
certificates, or, in the alternative, a statement by (f) The fact that a registration or amended
the foreign limited liability partnership that the registration pursuant to Section 16960 is on file with
laws of its jurisdiction of organization do not the Secretary of State is notice that the partnership is
permit the issuance of those certificates. a foreign limited liability partnership and of those
other facts contained therein that are required to be
set forth in the registration or amended registration.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(g) The Secretary of State shall provide a form for a intrastate business, or merely because of its status as
registration under subdivision (a), which shall include any one or more of the following:
the form for confirming compliance with the optional
security requirement pursuant to subdivision (c) of (1) A shareholder of a domestic corporation.
Section 16956. The Secretary of State shall include
(2) A shareholder of a foreign corporation
with instructional materials, provided in conjunction
transacting intrastate business.
with the form for registration under subdivision (a), a
notice that filing the registration will obligate the (3) A limited partner of a foreign limited
limited liability partnership to pay an annual tax for partnership transacting intrastate business.
that taxable year to the Franchise Tax Board pursuant
to Section 17948 of the Revenue and Taxation Code. (4) A limited partner of a domestic limited
That notice shall be updated annually to specify the partnership.
dollar amount of this tax.
(5) A member or manager of a foreign limited
(h) A foreign limited liability partnership transacting liability company transacting intrastate business.
intrastate business in this state shall not maintain any
(6) A member or manager of a domestic limited
action, suit, or proceeding in any court of this state
liability company.
until it has registered in this state pursuant to this
section. (n) Without excluding other activities that may not
be considered to be transacting intrastate business, a
(i) Any foreign limited liability partnership that foreign limited liability partnership shall not be
transacts intrastate business in this state without considered to be transacting intrastate business
registration is subject to a penalty of twenty dollars within the meaning of this subdivision solely by reason
($20) for each day that unauthorized intrastate of carrying on in this state any one or more of the
business is transacted, up to a maximum of ten following activities:
thousand dollars ($10,000).
(1) Maintaining or defending any action or suit
(j) A partner of a foreign limited liability partnership or any administrative or arbitration proceeding,
is not liable for the debts or obligations of the foreign or effecting the settlement thereof or the
limited liability partnership solely by reason of its settlement of claims or disputes.
having transacted business in this state without
registration. (2) Holding meetings of its partners or carrying
on any other activities concerning its internal
(k) A foreign limited liability partnership, transacting affairs.
business in this state without registration, appoints
(3) Maintaining bank accounts.
the Secretary of State as its agent for service of
process with respect to causes of action arising out of (4) Maintaining offices or agencies for the
the transaction of business in this state. transfer, exchange, and registration of the
foreign limited liability partnership's securities or
(l) “Transact intrastate business” as used in this maintaining trustees or depositories with respect
section means to repeatedly and successively provide to those securities.
professional limited liability partnership services in
this state, other than in interstate or foreign (5) Effecting sales through independent
commerce. contractors.

(m) Without excluding other activities that may not (6) Soliciting or procuring orders, whether by
be considered to be transacting intrastate business, a mail or through employees or agents or
foreign limited liability partnership shall not be otherwise, where those orders require
considered to be transacting intrastate business acceptance without this state before becoming
merely because its subsidiary or affiliate transacts binding contracts.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(7) Creating or acquiring evidences of debt or (s) The resignation of an agent may be effective if,
mortgages, liens, or security interest in real or on a form prescribed by the Secretary of State
personal property. containing the name of the foreign limited liability
partnership and Secretary of State's file number for
(8) Securing or collecting debts or enforcing the foreign limited liability partnership and the name
mortgages and security interests in property of the agent for service of process, the agent disclaims
securing the debts. having been properly appointed as the agent.
(9) Conducting an isolated transaction that is (t) If an individual who has been designated agent
completed within 180 days and not in the course
for service of process dies or resigns or no longer
of a number of repeated transactions of a like
resides in the state, or if the corporate agent for that
nature.
purpose resigns, dissolves, withdraws from the state,
(o) A person shall not be deemed to be transacting forfeits its right to transact intrastate business, has its
intrastate business in this state merely because of its corporate rights, powers, and privileges suspended, or
status as a partner of a registered limited liability ceases to exist, the foreign limited liability partnership
partnership or a foreign limited liability company shall promptly file an amended application for
whether or not registered to transact intrastate registration as a foreign limited liability partnership
business in this state. designating a new agent.

(p) The Attorney General may bring an action to (u) The Secretary of State may destroy or otherwise
restrain a foreign limited liability partnership from dispose of any resignation filed pursuant to this
transacting intrastate business in this state in violation section after a new application for registration as a
foreign limited liability partnership is filed pursuant to
of this chapter.
this section replacing the agent for service of process
(q) Nothing in this section is intended to, or shall, that has resigned.
augment, diminish, or otherwise alter existing
(v) This section shall remain in effect only until
provisions of law, statutes, or court rules relating to
January 1, 2026, and as of that date is repealed.
services by a California architect, California public
(Added by Stats. 1996, ch. 1003. Amended by Stats.
accountant, California engineer, California land
1998, ch. 504; Stats. 1999, ch. 1000; Stats. 2002, ch.
surveyor, or California attorney in another 169; Stats. 2010, ch. 634; Stats. 2012, ch. 494; Stats.
jurisdiction, or services by an out-of-state architect, 2014, ch. 834; Stats. 2015, ch. 157; Stats. 2018, ch.
out-of-state public accountant, out-of-state engineer, 150.)
out-of-state land surveyor, or out-of-state attorney in
California.

(r) An agent designated for service of process may

deliver to the Secretary of State, on a form prescribed
EDUCATION CODE
by the Secretary of State for filing, a signed and
acknowledged written statement of resignation as an
§ 69740 Definitions
agent for service of process containing the name of Unless the context requires otherwise, the definitions
the foreign limited liability partnership and Secretary in this section govern the construction of this article.
of State's file number of the foreign limited liability
partnership, the name of the resigning agent for (a) “Commission” means the Student Aid
service of process, and a statement that the agent is Commission.
resigning. On filing of the statement of resignation,
the authority of the agent to act in that capacity shall (b) “Eligible education and training programs”
cease and the Secretary of State shall mail or means education and training programs approved by
otherwise provide written notice of the filing of the the commission that lead to eligibility for a license to
statement of resignation to the foreign limited liability practice law as a licensed attorney.
partnership at its principal office.

146 EDUCATION CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(c) “Eligible expenses” means reasonable expenses this state. The program shall be administered by the
associated with the costs of acquiring an education commission. (Added by Stats. 2001, ch. 881.)
such as tuition, books, equipment, fees, room and
board, and other expenses determined by the
commission. § 69741.5 Amount of Assistance

(d) “Eligible participant” means a licensed attorney (a) Participants in this program are eligible for a
who has been admitted to the program and is a maximum of eleven thousand dollars ($11,000) in loan
resident of this state and who can provide proof of assistance for four years, as follows:
residency in this state.
(1) For the first year, two thousand dollars
(e) “Licensed attorney” means an attorney who ($2,000) in loan repayment assistance.
resides in this state who has successfully passed the
(2) For the second, third, and fourth years, three
California bar examination and has been admitted to
thousand dollars ($3,000) in loan repayment
practice in this state or has otherwise been licensed to
assistance for each year.
practice law in this state by the State Bar of California.
(b) Notwithstanding any other provision of law, in any
(f) “Loan repayment” means a loan that is paid in
fiscal year, the commission shall award no more than
full or in part if the participant renders legal services
the number of warrants that are authorized in the
in this state in a public interest area of the law.
annual Budget Act for that fiscal year for the
(g) “Participant” means a licensed attorney who has assumption of loans pursuant to this article. (Added by
been admitted to the program and has commenced Stats. 2001, ch. 881. Amended by Stats. 2006, ch. 79,
practice as a licensed attorney in this state in a public effective July 19, 2006.)
interest area of the law.

(h) “Program” means the Public Interest Attorney § 69742 Eligibility Criteria
Loan Repayment Program.
(a) The commission shall establish eligibility criteria
(i) “Public interest area of the law” means those for participation in the program based upon need and
areas of the law determined by the commission, in merit. These criteria shall be based on all of the
consultation with the advisory committee, to serve following, which are set forth in order of importance:
the public interest, including, but not necessarily
(1) The applicant’s need, which shall be based
limited to, providing direct legal service at a local (1)
on the applicant’s salary, personal resources, and
legal services organization, (2) prosecuting attorney’s
law school debt.
office, (3) child support agency office, or (4) criminal
public defender’s office. For the purposes of this (2) The applicant’s commitment to public
article, a “legal services organization” is a legal interest law, which shall be determined by
services provider in California that serves a clientele examining the applicant’s employment and
over 70 percent of whom are low-income persons volunteer history, and taking into consideration a
according to applicable federal income guidelines. low-income applicant’s need to work while in law
school.
(j) “Required service obligation” means an
obligation by the participant to provide legal services (3) The applicant’s declared interest in
in this state in a public interest area of the law as practicing in areas of the state where the need for
established pursuant to this article. (Added by Stats. public interest attorneys is high.
2001, ch. 881.)
(4) The applicant’s academic achievements.
§ 69741 Establishment of Program (b) The commission shall adopt initial regulations for
the program within one year of the effective date of
The Public Interest Attorney Loan Repayment Program the initial appropriation funding the program. (Added
is established for licensed attorneys who practice or by Stats. 2001, ch. 881.)
agree to practice in public interest areas of the law in

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§ 69743 Other Loan Repayment Programs service obligation is fulfilled and eligibility
discontinues, whichever comes first.
The program is intended to supplement, and not to
replace, existing loan repayment programs operated (c) If the participant discontinues practicing in a
by law schools. Prior to participating in the program, public interest area of the law, payments against the
an applicant shall apply for any educational loan loans of the participant shall cease to be effective on
assistance from his or her educational institution for the date that the participant discontinues service.
which he or she may qualify. Only if an applicant has (Added by Stats. 2001, ch. 881.)
received no loan repayment assistance, or only partial
assistance, from other available sources, may he or
she apply to the program for assistance in repaying § 69746 Commission Not Responsible after
the balance of his or her educational loans. (Added by Participant’s Eligibility Expires
Stats. 2001, ch. 881.)
The commission is not responsible for any outstanding
payments on principal and interest to any lender once a
§ 69743.5 Selection of Participants; Repayment participant’s eligibility expires. (Added by Stats. 2001,
ch. 881.)
The commission shall select, from the qualified
applicants, the individuals who are eligible to
participate in the program. After each year long period § 69746.5 Annual Report to Legislature
of full time, or full time equivalent, employment in a
The commission shall submit an annual written report to
public interest area of the law, the loan repayment of
the eligible participant shall be made to the lender. the Legislature regarding this program. The report shall
(Added by Stats. 2001, ch. 881.) include, but not necessarily be limited to, all of the
following data:

§ 69744 Use of Funds (a) The total number of loan repayment awards made
under the program in the immediately preceding fiscal
The commission may use the funds appropriated for year, classified by the repayment year as described in
the program for the purposes of loan repayments and subdivision (a) of Section 69741.5.
to defray reasonable administrative costs. The
commission shall annually establish the total amount of (b) The total amount of funds expended for the
funding to be awarded for loan repayments. Allocation purposes of loan repayments, and the total amount of
of funds shall be established based upon the best use of funds expended to defray administrative costs, in the
funding for that year, as determined by the immediately preceding fiscal year.
commission. (Added by Stats. 2001, ch. 881. Amended
by Stats. 2006, ch. 79, effective July 19, 2006.) (c) The annual and cumulative attrition rates of
participants, as calculated through the end of the
immediately preceding fiscal year.
§ 69745 Loans Which May be Repaid; Length of
Repayment [Publisher’s Note: The following paragraph relating to
the foregoing provisions (§§ 69740-69746.5) concerning
(a) Loans from both government sources and the public interest attorney loan repayment program was
financial institutions may be repaid by the program. added by Stats. 2001, ch. 881, but not codified and is
Each participant shall agree to allow the commission provided below for your information.]
access to loan records and to acquire information
from lenders necessary to verify eligibility and to SECTION 1. It is the intent of the Legislature to provide
determine payments. Loans may not be renegotiated access to legal education and to meet the needs of the
with lenders to accelerate repayment. State of California in areas of law related to the public
interest. The Legislature finds that the high cost of
(b) Payments shall be made annually to the lender attending law school requires that attorneys command
until the loan is repaid, fulfilled, or until the required high incomes to repay the financial obligations incurred
in obtaining the required training and that,

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consequently, few attorneys are able to practice in areas (2) Impact otherwise applicable laws governing
of law relating to the public interest because the pay is the relevance of immigration status to liability or
substantially lower than the pay in other practice areas. the standards applicable to inquiries regarding
The Legislature finds that encouraging outstanding law immigration status in discovery or proceedings in a
students and attorneys to practice in areas of the law civil action, including Section 3339 of the Civil Code,
related to the public interest is essential to ensuring Section 7285 of the Government Code, Section
access to legal services in those areas. Therefore, it is 24000 of the Health and Safety Code, and Section
the intent of the Legislature in enacting this act to 1171.5 of the Labor Code.
provide for the partial or full repayment of educational
(3) Prohibit a person or his or her attorney from
loans of attorneys who provide legal services in California
voluntarily revealing his or her immigration status
in a public interest area of the law.
to the court.

(c) This section shall remain in effect only until January

1, 2022, and as of that date is repealed. (Added by Stats.
EVIDENCE CODE 2018, ch. 12.)

§ 175 “Person” – Defined

§ 351.4 Evidence of Immigration Status in
“Person” includes a natural person, firm, association, Criminal Actions
organization, partnership, business trust, corporation,
limited liability company, or public entity. (Added by (a) In a criminal action, evidence of a person’s
Stats. 1965, ch. 299. Amended by Stats. 1994, ch. 1010.) immigration status shall not be disclosed in open court
by a party or his or her attorney unless the judge
§ 250 “Writing” – Defined presiding over the matter first determines that the
evidence is admissible in an in camera hearing requested
“Writing” means handwriting, typewriting, printing, by the party seeking disclosure of the person’s
photostating, photographing, photocopying, transmitting immigration status.
by electronic mail or facsimile, and every other means of
recording upon any tangible thing, any form of (b) This section does not do any of the following:
communication or representation, including letters,
(1) Apply to cases in which a person’s
words, pictures, sounds, or symbols, or combinations
immigration status is necessary to prove an
thereof, and any record thereby created, regardless of
element of an offense or an affirmative defense.
the manner in which the record has been stored. (Added
by Stats. 1965, ch. 299. Amended by Stats. 2002, ch. 945.) (2) Limit discovery in a criminal action.

(3) Prohibit a person or his or her attorney from

§ 351.3 Evidence of Immigration Status in Civil voluntarily revealing his or her immigration status
Actions Not Governed by § 351.2 to the court.

(a) In a civil action not governed by Section 351.2, (c) This section shall remain in effect only until January
evidence of a person’s immigration status shall not be 1, 2022, and as of that date is repealed. (Added by Stats.
disclosed in open court by a party or his or her attorney 2018, ch. 12.)
unless the judge presiding over the matter first
determines that the evidence is admissible in an in
camera hearing requested by the party seeking § 703.5 Competency to Testify
disclosure of the person’s immigration status.
No person presiding at any judicial or quasi-judicial
(b) This section does not do any of the following: proceeding, and no arbitrator or mediator, shall be
competent to testify, in any subsequent civil
(1) Apply to cases in which a person’s proceeding, as to any statement, conduct, decision, or
immigration status is necessary to prove an ruling, occurring at or in conjunction with the prior
element of a claim or an affirmative defense. proceeding, except as to a statement or conduct that

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could (a) give rise to civil or criminal contempt, (b) proceeding in which the holder has legal standing and
constitute a crime, (c) be the subject of investigation by the opportunity to claim the privilege.
the State Bar or Commission on Judicial Performance,
or (d) give rise to disqualification proceedings under (b) Where two or more persons are joint holders of a
paragraph (1) or (6) of subdivision (a) of Section 170.1 privilege provided by Section 954 (lawyer-client
of the Code of Civil Procedure. However, this section privilege), 966 (lawyer referral service-client privilege),
does not apply to a mediator with regard to any 994 (physician-patient privilege), 1014
mediation under Chapter 11 (commencing with Section (psychotherapist-patient privilege), 1035.8 (sexual
3160) of Part 2 of Division 8 of the Family Code. (Added assault counselor-victim privilege), 1037.5 (domestic
by Stats. 1979, ch. 205. Amended by Stats. 1980, ch. violence counselor-victim privilege), or 1038 (human
290; Stats. 1988, ch. 281; Stats. 1990, ch. 1491; Stats trafficking caseworker-victim privilege), a waiver of
1993, ch. 1261; Stats. 1994, ch. 1269.) the right of a particular joint holder of the privilege to
claim the privilege does not affect the right of another
joint holder to claim the privilege. In the case of the
§ 911 Refusing to Be or Have Another as a privilege provided by Section 980 (privilege for
Witness, or Disclosing or Producing any Matter confidential marital communications), a waiver of the
right of one spouse to claim the privilege does not
Except as otherwise provided by statute: affect the right of the other spouse to claim the
privilege.
(a) No person has a privilege to refuse to be a
witness. (c) A disclosure that is itself privileged is not a
waiver of any privilege.
(b) No person has a privilege to refuse to disclose
any matter or to refuse to produce any writing, object, (d) A disclosure in confidence of a communication
or other thing. that is protected by a privilege provided by Section
954 (lawyer-client privilege), 966 (lawyer referral
(c) No person has a privilege that another shall not service-client privilege), 994 (physician-patient
be a witness or shall not disclose any matter or shall privilege), 1014 (psychotherapist-patient privilege),
not produce any writing, object, or other thing. 1035.8 (sexual assault counselor-victim privilege),
(Added by Stats. 1965, ch. 299.) 1037.5 (domestic violence counselor-victim privilege),
or 1038 (human trafficking caseworker-victim
§ 912 Privilege, Waiver privilege), when disclosure is reasonably necessary for
the accomplishment of the purpose for which the
(a) Except as otherwise provided in this section, the lawyer, lawyer referral service, physician,
right of any person to claim a privilege provided by psychotherapist, sexual assault counselor, domestic
Section 954 (lawyer-client privilege), 966 (lawyer violence counselor, or human trafficking caseworker
referral service-client privilege), 980 (privilege for was consulted, is not a waiver of the privilege. (Added
confidential marital communications), 994 (physician- by Stats. 1965, ch. 299. Amended by Stats. 1980, ch.
patient privilege), 1014 (psychotherapist-patient 917; Stats. 2002, ch. 72; Stats. 2004, ch. 405; Stats.
privilege), 1033 (privilege of penitent), 1034 (privilege 2013, ch. 123; Stats. 2014, ch. 913.)
of clergy member), 1035.8 (sexual assault counselor-
victim privilege), 1037.5 (domestic violence counselor-
§ 913 Comments on, and Inferences from the
victim privilege), or 1038 (human trafficking
caseworker-victim privilege) is waived with respect to a Exercise of the Privilege
communication protected by the privilege if any holder
(a) If in the instant proceeding or on a prior occasion
of the privilege, without coercion, has disclosed a
a privilege is or was exercised not to testify with
significant part of the communication or has consented
respect to any matter, or to refuse to disclose or to
to disclosure made by anyone. Consent to disclosure is
prevent another from disclosing any matter, neither
manifested by any statement or other conduct of the
the presiding officer nor counsel may comment
holder of the privilege indicating consent to the
thereon, no presumption shall arise because of the
disclosure, including failure to claim the privilege in any
exercise of the privilege, and the trier of fact may not
draw any inference therefrom as to the credibility of

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the witness or as to any matter at issue in the require disclosure, the court shall proceed in
proceeding. accordance with subdivision (b).

(b) The court, at the request of a party who may be (b) When a court is ruling on a claim of privilege
adversely affected because an unfavorable inference under Article 9 (commencing with Section 1040) of
may be drawn by the jury because a privilege has Chapter 4 (official information and identity of informer)
been exercised, shall instruct the jury that no or under Section 1060 (trade secret) or under
presumption arises because of the exercise of the subdivision (b) of Section 2018.030 of the Code of Civil
privilege and that the jury may not draw any inference Procedure (attorney work product) and is unable to do
therefrom as to the credibility of the witness or as to so without requiring disclosure of the information
any matter at issue in the proceeding. (Added by claimed to be privileged, the court may require the
Stats. 1965, ch. 299.) person from whom disclosure is sought or the person
authorized to claim the privilege, or both, to disclose
the information in chambers out of the presence and
§ 914 Claim of Privilege, Determination of; hearing of all persons except the person authorized to
Limitations on Punishment for Contempt claim the privilege and any other persons as the
person authorized to claim the privilege is willing to
(a) The presiding officer shall determine a claim of have present. If the judge determines that the
privilege in any proceeding in the same manner as a information is privileged, neither the judge nor any
court determines such a claim under Article 2 other person may ever disclose, without the consent of
(commencing with Section 400) of Chapter 4 of Division a person authorized to permit disclosure, what was
3. disclosed in the course of the proceedings in
chambers. (Added by Stats. 1965, ch. 299. Amended
(b) No person may be held in contempt for failure to
by Stats. 1979, ch. 1034; Stats. 2001, ch. 812; Stats.
disclose information claimed to be privileged unless
2004, ch. 182.)
he has failed to comply with an order of a court that
he disclose such information. This subdivision does
not apply to any governmental agency that has § 916 Privileged Information–Exclusion Where
constitutional contempt power, nor does it apply to Persons Authorized to Claim Privilege are Not
hearings and investigations of the Industrial Accident
Present
Commission, nor does it impliedly repeal Chapter 4
(commencing with Section 9400) of Part 1 of Division (a) The presiding officer, on his own motion or on the
2 of Title 2 of the Government Code. If no other motion of any party, shall exclude information that is
statutory procedure is applicable, the procedure subject to a claim of privilege under this division if:
prescribed by Section 1991 of the Code of Civil
Procedure shall be followed in seeking an order of a (1) The person from whom the information is
court that the person disclose the information claimed sought is not a person authorized to claim the
to be privileged. (Added by Stats. 1965, ch. 299.) privilege; and

(2) There is no party to the proceeding who is a

§ 915 Disclosure of Privileged Information in person authorized to claim the privilege.
Ruling on Claim of Privilege
(b) The presiding officer may not exclude information
(a) Subject to subdivision (b), the presiding officer under this section if:
may not require disclosure of information claimed to be
privileged under this division or attorney work product (1) He is otherwise instructed by a person
under subdivision (a) of Section 2018.030 of the Code authorized to permit disclosure; or
of Civil Procedure in order to rule on the claim of
privilege; provided, however, that in any hearing (2) The proponent of the evidence establishes
conducted pursuant to subdivision (c) of Section 1524 that there is no person authorized to claim the
of the Penal Code in which a claim of privilege is made privilege in existence. (Added by Stats. 1965, ch.
and the court determines that there is no other feasible 299.)
means to rule on the validity of the claim other than to

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§ 917 Confidential Communications– (2) The presiding officer did not exclude the
Presumptions; Burden of Proof privileged information as required by Section 916.

(a) If a privilege is claimed on the ground that the (b) If a person authorized to claim the privilege
matter sought to be disclosed is a communication made claimed it, whether in the same or a prior proceeding,
in confidence in the course of the lawyer-client, lawyer but nevertheless disclosure erroneously was required
referral service-client, physician-patient, psychotherapist- by the presiding officer to be made, neither the failure
patient, clergy-penitent, marital or domestic to refuse to disclose nor the failure to seek review of
partnership, sexual assault counselor-victim, domestic the order of the presiding officer requiring disclosure
violence counselor-victim, or human trafficking indicates consent to the disclosure or constitutes a
caseworker-victim relationship, the communication is waiver and, under these circumstances, the disclosure
presumed to have been made in confidence and the is one made under coercion. (Added by Stats. 1965, ch.
opponent of the claim of privilege has the burden of 299. Amended by Stats. 1974, ch. 277.)
proof to establish that the communication was not
confidential.
§ 920 Repeal by Implication of Other Statutes
(b) A communication between persons in a Related to Privilege
relationship listed in subdivision (a) does not lose its
privileged character for the sole reason that it is Nothing in this division shall be construed to repeal by
communicated by electronic means or because persons implication any other statute relating to privileges.
involved in the delivery, facilitation, or storage of (Added by Stats. 1965, ch. 299.)
electronic communication may have access to the
content of the communication. § 950 Lawyer Defined
(c) For purposes of this section, “electronic” has the As used in this article, “lawyer” means a person
same meaning provided in Section 1633.2 of the Civil authorized, or reasonably believed by the client to be
Code. (Added by Stats. 1965, ch. 299. Amended by authorized, to practice law in any state or nation.
Stats. 2002, ch. 72; Stats. 2003, ch. 468; Stats. 2004, ch. (Added by Stats. 1965, ch. 299, operative January 1,
183; Stats. 2006, ch. 689; Stats. 2014, ch. 913; Stats. 1967.)
2016, ch. 50.)

§ 951 Client Defined

§ 918 Claim of Privilege–Error in Overruling
As used in this article, “client” means a person who,
A party may predicate error on a ruling disallowing a
directly or through an authorized representative,
claim of privilege only if he is the holder of the
consults a lawyer for the purpose of retaining the
privilege, except that a party may predicate error on a
lawyer or securing legal service or advice from him in
ruling disallowing a claim of privilege by his spouse
his professional capacity, and includes an incompetent
under Section 970 or 971. (Added by Stats. 1965, ch.
299.) (a) who himself so consults the lawyer or (b) whose
guardian or conservator so consults the lawyer in
behalf of the incompetent. (Added by Stats. 1965, ch.
§ 919 Erroneously Compelled Disclosure– 299, operative January 1, 1967.)
Admissibility; Claim of Privilege; Coercion

(a) Evidence of a statement or other disclosure of § 952 Confidential Communication Between

privileged information is inadmissible against a holder Client and Lawyer Defined
of the privilege if:
As used in this article, “confidential communication
(1) A person authorized to claim the privilege between client and lawyer” means information
claimed it but nevertheless disclosure erroneously transmitted between a client and his or her lawyer in the
was required to be made; or course of that relationship and in confidence by a means
which, so far as the client is aware, discloses the

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information to no third persons other than those who (b) A person who is authorized to claim the privilege
are present to further the interest of the client in the by the holder of the privilege; or
consultation or those to whom disclosure is reasonably
necessary for the transmission of the information or the (c) The person who was the lawyer at the time of the
accomplishment of the purpose for which the lawyer is confidential communication, but such person may not
claim the privilege if there is no holder of the privilege
consulted, and includes a legal opinion formed and the
in existence or if he is otherwise instructed by a person
advice given by the lawyer in the course of that
authorized to permit disclosure.
relationship. (Added by Stats. 1965, ch. 299, operative
January 1, 1967. Amended by Stats. 1967, ch. 650; Stats. The relationship of attorney and client shall exist
1994, ch. 587; Stats. 2002, ch. 72.) between a law corporation as defined in Article 10
(commencing with Section 6160) of Chapter 4 of
Division 3 of the Business and Professions Code and the
§ 953 Holder of Privilege Defined persons to whom it renders professional services, as
well as between such persons and members of the
As used in this article, “holder of the privilege” means:
State Bar employed by such corporation to render
(a) The client, if the client has no guardian or services to such persons. The word “persons” as used in
conservator. this subdivision includes partnerships, corporations,
limited liability companies, associations and other
(b) (1) A guardian or conservator of the client, if the groups and entities. (Added by Stats. 1965, ch. 299,
client has a guardian or conservator, except as operative January 1, 1967. Amended by Stats. 1968, ch.
provided in paragraph (2). 1375; Stats. 1994, ch. 1010.)

(2) If the guardian or conservator has an actual or

apparent conflict of interest with the client, then § 955 When Lawyer Must Claim Privilege
the guardian or conservator does not hold the
privilege. The lawyer who received or made a communication
subject to the privilege under this article shall claim the
(c) The personal representative of the client if the privilege whenever he is present when the
client is dead, including a personal representative communication is sought to be disclosed and is
appointed pursuant to Section 12252 of the Probate authorized to claim the privilege under subdivision (c)
Code. of Section 954. (Added by Stats. 1965, ch. 299,
operative January 1, 1967.)
(d) A successor, assign, trustee in dissolution, or any
similar representative of a firm, association,
organization, partnership, business trust, corporation, or § 956 Services of Lawyer Obtained to Aid in
public entity that is no longer in existence. (Added by Commission of Crime or Fraud
Stats. 1965, ch. 299, operative January 1, 1967.
Amended by Stats. 2009, ch. 8. Amended by Stats. 2018, (a) There is no privilege under this article if the
ch. 475.) services of the lawyer were sought or obtained to
enable or aid anyone to commit or plan to commit a
crime or a fraud.
§ 954 Who May Claim Privilege
(b) This exception to the privilege granted by this
Subject to Section 912 and except as otherwise article shall not apply to legal services rendered in
provided in this article, the client, whether or not a compliance with state and local laws on medicinal
party, has a privilege to refuse to disclose, and to cannabis or adult-use cannabis, and confidential
prevent another from disclosing, a confidential communications provided for the purpose of rendering
communication between client and lawyer if the those services are confidential communications
privilege is claimed by: between client and lawyer, as defined in Section 952,
provided the lawyer also advises the client on conflicts
(a) The holder of the privilege;
with respect to federal law. (Added by Stats. 1965, ch.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

299, operative January 1, 1967. Amended by Stats. § 960 Intention of Deceased Client With
2017, ch. 530.) Respect to Writing Affecting Interest in Property
in Issue
§ 956.5 Prevention of Criminal Act Likely to There is no privilege under this article as to a
Result in Death or Substantial Bodily Harm communication relevant to an issue concerning the
intention of a client, now deceased, with respect to a
There is no privilege under this article if the lawyer
deed of conveyance, will, or other writing, executed by
reasonably believes that disclosure of any confidential
the client, purporting to affect an interest in property.
communication relating to representation of a client is
(Added by Stats. 1965, ch. 299, operative January 1,
necessary to prevent a criminal act that the lawyer
1967.)
reasonably believes is likely to result in the death of, or
substantial bodily harm to, an individual. (Added by
Stats. 1993, ch. 982. Amended by Stats. 2003, ch. 765; § 961 Validity of Writing Affecting Interest
Stats. 2004, ch. 183.) in Property Executed by Deceased Client in Issue

There is no privilege under this article as to a

§ 957 Parties Claiming Under Deceased Client
communication relevant to an issue concerning the
There is no privilege under this article as to a validity of a deed of conveyance, will, or other writing,
executed by a client, now deceased, purporting to
communication relevant to an issue between parties all
affect an interest in property. (Added by Stats. 1965,
of whom claim through a deceased client, regardless of
ch. 299, operative January 1, 1967.)
whether the claims are by testate or intestate
succession, nonprobate transfer, or inter vivos
transaction. (Added by Stats. 1965, ch. 299, operative § 962 Two or More Clients Retaining Same
January 1, 1967. Amended by Stats. 2009, ch. 8.) Lawyer in Matter of Common Interest

Where two or more clients have retained or consulted a

§ 958 Breach of Duty Arising Out of Lawyer- lawyer upon a matter of common interest, none of them,
Client Relationship in Issue nor the successor in interest of any of them, may claim a
privilege under this article as to a communication made
There is no privilege under this article as to a in the course of that relationship when such
communication relevant to an issue of breach, by the communication is offered in a civil proceeding between
lawyer or by the client, of a duty arising out of the one of such clients (or his successor in interest) and
lawyer-client relationship. (Added by Stats. 1965, ch. another of such clients (or his successor in interest).
299, operative January 1, 1967.) (Added by Stats. 1965, ch. 299, operative January 1,
1967.)

§ 959 Intention or Competence of Client

Executing Attested Document in Issue § 965 Lawyer Referral Service-Client Privilege–
Definitions
There is no privilege under this article as to a
communication relevant to an issue concerning the For purposes of this article, the following terms have
intention or competence of a client executing an the following meanings:
attested document of which the lawyer is an attesting
witness, or concerning the execution or attestation of (a) “Client” means a person who, directly or through
such a document. (Added by Stats. 1965, ch. 299, an authorized representative, consults a lawyer referral
operative January 1, 1967.) service for the purpose of retaining, or securing legal
services or advice from, a lawyer in his or her
professional capacity, and includes an incompetent
who consults the lawyer referral service himself or
herself or whose guardian or conservator consults the
lawyer referral service on his or her behalf.

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(b) “Confidential communication between client and (a) Subject to Section 912 and except as otherwise
lawyer referral service” means information transmitted provided in this article, the client, whether or not a
between a client and a lawyer referral service in the party, has a privilege to refuse to disclose, and to
course of that relationship and in confidence by a prevent another from disclosing, a confidential
means that, so far as the client is aware, does not communication between client and lawyer referral
disclose the information to third persons other than service if the privilege is claimed by any of the
those who are present to further the interests of the following:
client in the consultation or those to whom disclosure is
reasonably necessary for the transmission of the (1) The holder of the privilege.
information or the accomplishment of the purpose for
which the lawyer referral service is consulted. (2) A person who is authorized to claim the
privilege by the holder of the privilege.
(c) “Holder of the privilege” means any of the
following: (3) The lawyer referral service or a staff person
thereof, but the lawyer referral service or a staff
(1) The client, if the client has no guardian or person thereof may not claim the privilege if there
conservator. is no holder of the privilege in existence or if the
lawyer referral service or a staff person thereof is
(2) A guardian or conservator of the client, if the otherwise instructed by a person authorized to
client has a guardian or conservator. permit disclosure.
(3) The personal representative of the client if (b) The relationship of lawyer referral service and
the client is dead, including a personal
client shall exist between a lawyer referral service, as
representative appointed pursuant to Section
defined in Section 965, and the persons to whom it
12252 of the Probate Code.
renders services, as well as between such persons and
(4) A successor, assign, trustee in dissolution, or anyone employed by the lawyer referral service to
any similar representative of a firm, association, render services to such persons. The word “persons” as
organization, partnership, business trust, used in this subdivision includes partnerships,
corporation, or public entity that is no longer in corporations, limited liability companies, associations,
existence. and other groups and entities. (Added by Stats. 2013,
ch. 123.)
(d) “Lawyer referral service” means a lawyer referral
service certified under, and operating in compliance
with, Section 6155 of the Business and Professions § 967 Lawyer Referral Service-Client Privilege–
Code or an enterprise reasonably believed by the client Claiming of Privilege
to be a lawyer referral service certified under, and
operating in compliance with, Section 6155 of the A lawyer referral service that has received or made a
Business and Professions Code. (Added by Stats. 2013, communication subject to the privilege under this
ch. 123.) article shall claim the privilege if the communication is
sought to be disclosed and the client has not consented
to the disclosure. (Added by Stats. 2013, ch. 123.)
§ 966 Lawyer Referral Service-Client
Privilege
§ 968 Lawyer Referral Service-Client Privilege–
Subject to Section 912 and except as otherwise
Exceptions to Privilege
provided in this article, the client, whether or not a
party, has a privilege to refuse to disclose, and to There is no privilege under this article if either of the
prevent another from disclosing, a confidential
following applies:
communication between client and lawyer if the
privilege is claimed by: (a) The services of the lawyer referral service were
sought or obtained to enable or aid anyone to commit
or plan to commit a crime or a fraud.

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(b) A staff person of the lawyer referral service who hearsay rule when offered to prove the act, condition,
receives a confidential communication in processing a or event if:
request for legal assistance reasonably believes that
disclosure of the confidential communication is (a) The writing was made in the regular course of a
necessary to prevent a criminal act that the staff person business;
of the lawyer referral service reasonably believes is
(b) The writing was made at or near the time of the
likely to result in the death of, or substantial bodily
act, condition, or event;
harm to, an individual. (Added by Stats. 2013, ch. 123.)
(c) The custodian or other qualified witness testifies
§ 1119 Written or Oral Communications to its identity and the mode of its preparation; and
During Mediation Process; Admissibility (d) The sources of information and method and time
of preparation were such as to indicate its
Except as otherwise provided in this chapter: trustworthiness. (Added by Stats. 1965, ch. 299.)
(a) No evidence of anything said or any admission
made for the purpose of, in the course of, or pursuant to, § 1272 Absence of Entry in Business Records
a mediation or a mediation consultation is admissible or
subject to discovery, and disclosure of the evidence shall Evidence of the absence from the records of a business
not be compelled, in any arbitration, administrative of a record of an asserted act, condition, or event is not
adjudication, civil action, or other noncriminal made inadmissible by the hearsay rule when offered to
proceeding in which, pursuant to law, testimony can be prove the nonoccurrence of the act or event, or the
compelled to be given. non-existence of the condition, if:

(b) No writing, as defined in Section 250, that is (a) It was the regular course of that business to make
prepared for the purpose of, in the course of, or records of all such acts, conditions, or events at or near
the time of the act, condition, or event and to preserve
pursuant to, a mediation or a mediation consultation, is
them; and
admissible or subject to discovery, and disclosure of the
writing shall not be compelled, in any arbitration, (b) The sources of information and method and time
administrative adjudication, civil action, or other of preparation of the records of that business were
noncriminal proceeding in which, pursuant to law, such that the absence of a record of an act, condition,
testimony can be compelled to be given. or event is a trustworthy indication that the act or
event did not occur or the condition did not exist.
(c) All communications, negotiations, or settlement (Added by Stats. 1965, ch. 299.)
discussions by and between participants in the course of
a mediation or a mediation consultation shall remain
confidential. (Added by Stats. 1997, ch. 772.) § 1552 Printed Representation of Computer
Generated Information or Computer Program

§ 1270 “A Business” (a) A printed representation of computer information

or a computer program is presumed to be an accurate
As used in this article, “a business” includes every kind of representation of the computer information or
business, governmental activity, profession, occupation, computer program that it purports to represent. This
calling, or operation of institutions, whether carried on presumption is a presumption affecting the burden of
for profit or not. (Added by Stats. 1965, ch. 299.) producing evidence. If a party to an action introduces
evidence that a printed representation of computer
information or computer program is inaccurate or
§ 1271 Business Record unreliable, the party introducing the printed
representation into evidence has the burden of
Evidence of a writing made as a record of an act, proving, by a preponderance of evidence, that the
condition, or event is not made inadmissible by the printed representation is an accurate representation of

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the existence and content of the computer information (1) “Reasonable costs,” as used in this section,
or computer program that it purports to represent. includes, but is not limited to, the following
specific costs: ten cents ($0.10) per page for
(b) Subdivision (a) applies to the printed standard reproduction of documents of a size 8
representation of computer-generated information 1/2 by 14 inches or less; twenty cents ($0.20) per
stored by an automated traffic enforcement system. page for copying of documents from microfilm;
actual costs for the reproduction of oversize
(c) Subdivision (a) shall not apply to computer- documents or the reproduction of documents
generated official records certified in accordance with requiring special processing which are made in
Section 452.5 or 1530. (Added by Stats. 1998, ch. 100. response to a subpoena; reasonable clerical costs
Amended by Stats. 2012, ch. 735.) incurred in locating and making the records
available to be billed at the maximum rate of
§ 1553 Evidence–Printed Representation of twenty-four dollars ($24) per hour per person,
computed on the basis of six dollars ($6) per
Images Stored on Video or Digital Medium;
quarter hour or fraction thereof; actual postage
Burden of Proof
charges; and the actual cost, if any, charged to the
(a) A printed representation of images stored on a witness by a third person for the retrieval and
video or digital medium is presumed to be an accurate return of records held offsite by that third person.
representation of the images it purports to represent.
(2) The requesting party, or the requesting
This presumption is a presumption affecting the burden
party’s deposition officer, shall not be required to
of producing evidence. If a party to an action
pay the reasonable costs or any estimate thereof
introduces evidence that a printed representation of
before the records are available for delivery
images stored on a video or digital medium is
inaccurate or unreliable, the party introducing the pursuant to the subpoena, but the witness may
printed representation into evidence has the burden of demand payment of costs pursuant to this section
proving, by a preponderance of evidence, that the simultaneous with actual delivery of the
printed representation is an accurate representation of subpoenaed records, and until payment is made,
the existence and content of the images that it purports the witness is under no obligation to deliver the
to represent. records.

(b) Subdivision (a) applies to the printed (3) The witness shall submit an itemized
representation of video or photographic images stored statement for the costs to the requesting party, or
by an automated traffic enforcement system. (Added the requesting party’s deposition officer, setting
by Stats. 1998, ch. 100. Amended by Stats. 2012, ch. forth the reproduction and clerical costs incurred
735.) by the witness. If the costs exceed those
authorized in paragraph (1), or if the witness
refuses to produce an itemized statement of costs
§ 1563 Witness Fees
as required by paragraph (3), upon demand by the
(a) This article does not require tender or payment of requesting party, or the requesting party’s
more than one witness fee and one mileage fee or deposition officer, the witness shall furnish a
other charge, to a witness or witness’ business, unless statement setting forth the actions taken by the
there is an agreement to the contrary between the witness in justification of the costs.
witness and the requesting party.
(4) The requesting party may petition the court
(b) All reasonable costs incurred in a civil proceeding in which the action is pending to recover from the
by a witness who is not a party with respect to the witness all or a part of the costs paid to the
production of all or any part of business records witness, or to reduce all or a part of the costs
requested pursuant to a subpoena duces tecum shall charged by the witness, pursuant to this
be charged against the party serving the subpoena subdivision, on the grounds that those costs were
duces tecum. excessive. Upon the filing of the petition the court
shall issue an order to show cause and from the

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time the order is served on the witness the court third person. If the records are retrieved from
has jurisdiction over the witness. The court may microfilm, the reasonable costs, as defined in
hear testimony on the order to show cause and if paragraph (1), applies.
it finds that the costs demanded and collected, or
charged but not collected, exceed the amount (c) If the personal attendance of the custodian of a
authorized by this subdivision, it shall order the record or other qualified witness is required pursuant
witness to remit to the requesting party, or to Section 1564, in a civil proceeding, he or she shall be
reduce its charge to the requesting party by an entitled to the same witness fees and mileage
amount equal to, the amount of the excess. If the permitted in a case where the subpoena requires the
court finds the costs were excessive and charged witness to attend and testify before a court in which
in bad faith by the witness, the court shall order the action or proceeding is pending and to any
the witness to remit the full amount of the costs additional costs incurred as provided by subdivision (b).
demanded and collected, or excuse the requesting (Added by Stats. 1965, ch. 299, operative January 1,
party from any payment of costs charged but not 1967. Amended by Stats. 1972, ch. 396; Stats. 1981, ch.
collected, and the court shall also order the 1014; Stats. 1982, ch. 452; Stats. 1986, ch. 603; Stats.
witness to pay the requesting party the amount of 1987, ch. 19, effective May 12, 1987; Stats. 1997, ch.
the reasonable expenses incurred in obtaining the 442; Stats. 1999, ch. 444; Stats. 2016, ch. 85.)
order, including attorney’s fees. If the court finds
the costs were not excessive, the court shall order
the requesting party to pay the witness the
amount of the reasonable expenses incurred in FAMILY CODE
defending the petition, including attorney’s fees.
§ 1612 Premarital Agreements, Subject
(5) If a subpoena is served to compel the Matter
production of business records and is
subsequently withdrawn, or is quashed, modified, (a) Parties to a premarital agreement may contract
or limited on a motion made other than by the with respect to all of the following:
witness, the witness shall be entitled to
(1) The rights and obligations of each of the
reimbursement pursuant to paragraph (1) for all
parties in any of the property of either or both of
reasonable costs incurred in compliance with the
them whenever and wherever acquired or
subpoena to the time that the requesting party located.
has notified the witness that the subpoena has
been withdrawn or quashed, modified, or limited. (2) The right to buy, sell, use, transfer,
If the subpoena is withdrawn or quashed, if those exchange, abandon, lease, consume, expend,
costs are not paid within 30 days after demand assign, create a security interest in, mortgage,
therefor, the witness may file a motion in the encumber, dispose of, or otherwise manage and
court in which the action is pending for an order control property.
requiring payment, and the court shall award the
payment of expenses and attorney’s fees in the (3) The disposition of property upon
separation, marital dissolution, death, or the
manner set forth in paragraph (4).
occurrence or nonoccurrence of any other event.
(6) If the records requested pursuant to a
(4) The making of a will, trust, or other
subpoena duces tecum are delivered to the
arrangement to carry out the provisions of the
attorney, the attorney’s representative or the agreement.
deposition officer for inspection or photocopying
at the witness’ place of business, the only fee for (5) The ownership rights in and disposition of
complying with the subpoena shall not exceed the death benefit from a life insurance policy.
fifteen dollars ($15), plus the actual cost, if any,
charged to the witness by a third person for (6) The choice of law governing the
retrieval and return of records held offsite by that construction of the agreement.

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(7) Any other matter, including their personal (b) An issue of unconscionability of a premarital
rights and obligations, not in violation of public agreement shall be decided by the court as a matter of
policy or a statute imposing a criminal penalty. law.

(b) The right of a child to support may not be (c) For the purposes of subdivision (a), it shall be
adversely affected by a premarital agreement. deemed that a premarital agreement was not executed
voluntarily unless the court finds in writing or on the
(c) Any provision in a premarital agreement record all of the following:
regarding spousal support, including, but not limited
to, a waiver of it, is not enforceable if the party (1) The party against whom enforcement is
against whom enforcement of the spousal support sought was represented by independent legal
provision is sought was not represented by counsel at the time of signing the agreement or,
independent counsel at the time the agreement after being advised to seek independent legal
containing the provision was signed, or if the counsel, expressly waived, in a separate writing,
provision regarding spousal support is unconscionable representation by independent legal counsel. The
at the time of enforcement. An otherwise advisement to seek independent legal counsel
unenforceable provision in a premarital agreement shall be made at least seven calendar days before
regarding spousal support may not become the final agreement is signed.
enforceable solely because the party against whom
enforcement is sought was represented by (2) One of the following:
independent counsel. (Added by Stats. 1992, ch. 162,
operative January 1, 1994. Amended by Stats. 2001, (A) For an agreement executed between
ch. 286.) January 1, 2002, and January 1, 2020, the
party against whom enforcement is sought
had not less than seven calendar days
§ 1615 Premarital Agreements, Enforceability between the time that party was first
presented with the final agreement and
(a) A premarital agreement is not enforceable if the advised to seek independent legal counsel
party against whom enforcement is sought proves and the time the agreement was signed. This
either of the following: requirement does not apply to
nonsubstantive amendments that do not
(1) That party did not execute the agreement change the terms of the agreement.
voluntarily.
(B) For an agreement executed on or after
(2) The agreement was unconscionable when it January 1, 2020, the party against whom
was executed and, before execution of the enforcement is sought had not less than
agreement, all of the following applied to that seven calendar days between the time that
party: party was first presented with the final
agreement and the time the agreement was
(A) That party was not provided a fair,
signed, regardless of whether the party is
reasonable, and full disclosure of the
represented by legal counsel. This
property or financial obligations of the other
requirement does not apply to
party.
nonsubstantive amendments that do not
(B) That party did not voluntarily and change the terms of the agreement.
expressly waive, in writing, any right to
(3) The party against whom enforcement is
disclosure of the property or financial
sought, if unrepresented by legal counsel, was
obligations of the other party beyond the
fully informed of the terms and basic effect of the
disclosure provided.
agreement as well as the rights and obligations
(C) That party did not have, or reasonably the party was giving up by signing the agreement,
could not have had, an adequate knowledge and was proficient in the language in which the
of the property or financial obligations of the explanation of the party’s rights was conducted
other party. and in which the agreement was written. The

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explanation of the rights and obligations (4) A list of community assets and liabilities and
relinquished shall be memorialized in writing and their estimated values as of the date of the
delivered to the party prior to signing the declaration.
agreement. The unrepresented party shall, on or
before the signing of the premarital agreement, (5) The amount of the family law attorney’s real
execute a document declaring that the party property lien.
received the information required by this
paragraph and indicating who provided that (c) The nonencumbering party may file an ex parte
information. objection to the family law attorney’s real property
lien. The objection shall include a request to stay the
(4) The agreement and the writings executed recordation until further notice of the court and shall
pursuant to paragraphs (1) and (3) were not contain a copy of the notice received. The objection
executed under duress, fraud, or undue influence, shall also include a declaration signed under penalty of
and the parties did not lack capacity to enter into perjury as to all of the following:
the agreement.
(1) Specific objections to the family law
(5) Any other factors the court deems relevant. attorney’s real property lien and to the specific
(Added by Stats. 1992, ch. 162, operative January items in the notice.
1, 1994. Amended by Stats. 2001, ch. 286; Stats.
2019, ch. 193.) (2) The objector’s belief as to the appropriate
items or value and documentation supporting that
belief.
§ 2033 Family Law Attorney’s Real Property
Lien; Notice; Objections (3) A declaration specifically stating why
recordation of the encumbrance at this time
(a) Either party may encumber the party’s interest in would likely result in an unequal division of
community real property to pay reasonable attorney’s property or would otherwise be unjust under the
fees in order to retain or maintain legal counsel in a circumstances of the case.
proceeding for dissolution of marriage, for nullity of
marriage, or for legal separation of the parties. This (d) Except as otherwise provided by this section,
encumbrance shall be known as a “family law general procedural rules regarding ex parte motions
attorney’s real property lien” and attaches only to the apply.
encumbering party’s interest in the community real
(e) An attorney for whom a family law attorney’s real
property.
property lien is obtained shall comply with Rule 3-300
(b) Notice of a family law attorney’s real property lien of the Rules of Professional Conduct of the State Bar of
shall be served either personally or on the other party’s California. (Added by Stats. 1993, ch. 219. Amended by
attorney of record at least 15 days before the Stats. 2019, ch. 115.)
encumbrance is recorded. This notice shall contain a
declaration signed under penalty of perjury containing § 8800 Unethical for Attorney to Represent
all of the following: Both Prospective Adopting Parents and Natural
(1) A full description of the real property. Parents–Conflict of Interest

(2) The party’s belief as to the fair market value (a) The Legislature finds and declares that an
of the property and documentation supporting attorney’s ability to effectively represent a client may
that belief. be seriously impaired when conflict of interest deprives
the client of the attorney’s undivided loyalty and effort.
(3) Encumbrances on the property as of the date The Legislature further finds and declares that the
of the declaration. relation between attorney and client is a fiduciary
relation of the very highest character, and binds the
attorney to the most conscientious fidelity.

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(b) The Legislature finds that Rule 2-111(A)(2) of the (e) Upon the petition or motion of any party, or upon
State Bar Rules of Professional Conduct provides that motion of the court, the court may appoint an attorney
an attorney shall not withdraw from employment until to represent a child’s birth parent or parents in
the attorney has taken reasonable steps to avoid negotiations or proceedings in connection with the
foreseeable prejudice to the rights of the client, child’s adoption.
including giving due notice to the client, allowing time
for employment of other counsel, delivering to the (f) The birth parent or parents may have an attorney,
client all papers and property to which the client is other than the attorney representing the interests of
entitled, and complying with applicable laws and rules. the prospective adoptive parents, to advise them fully
of the adoption procedures and of their legal rights.
(c) The Legislature declares that in an independent The birth parent or parents also may retain an attorney
adoption proceeding, whether or not written consent is to represent them in negotiations or proceedings in
obtained, multiple representation by an attorney connection with the child’s adoption. The court may
should be avoided whenever a birth parent displays the award attorney’s fees and costs for just cause and
slightest reason for the attorney to believe any based upon the ability of the parties to pay those fees
controversy might arise. The Legislature finds and and costs.
declares that it is the duty of the attorney when a
conflict of interest occurs to withdraw promptly from (g) In the initial communication between the attorney
any case, advise the parties to retain independent retained by or representing the prospective adoptive
counsel, refrain from taking positions in opposition to parents and the birth parents, or as soon thereafter as
any of these former clients, and thereafter maintain an reasonable, but before any written consent for dual
impartial, fair, and open attitude toward the new representation, the attorney shall advise the birth
attorneys. parents of their rights regarding an independent
attorney and that it is possible to waive the
(d) Notwithstanding any other law, it is unethical for independent attorney.
an attorney to undertake the representation of both
the prospective adoptive parents and the birth parents (h) The attorney retained by or representing the
of a child in any negotiations or proceedings in prospective adoptive parents shall inform the
connection with an adoption unless a written consent is prospective adoptive parents in writing that the birth
obtained from both parties. The written consent shall parent or parents can revoke consent to the adoption
include all of the following: pursuant to Section 8814.5 and that any moneys
expended in negotiations or proceedings in connection
(1) A notice to the birth parents, in the form with the child’s adoption are not reimbursable. The
specified in this section, of their right to have an prospective adoptive parents shall sign a statement to
independent attorney advise and represent them indicate their understanding of this information.
in the adoption proceeding and that the
prospective adoptive parents may be required to (i) Any written consent to dual representation shall
pay the reasonable attorney’s fees up to a be filed with the court before the filing of the birth
maximum of five hundred dollars ($500) for that parent’s consent to adoption. (Added by Stats. 1992,
representation, unless a higher fee is agreed to by ch. 162. Amended by Stats. 1993, ch. 450, operative
the parties. January 1, 1995; Stats. 2019, ch. 115.)

(2) A notice to the birth parents that they may [*Publisher’s Note: Rule 2-111(A)(2) of the California
waive their right to an independent attorney and Rules of Professional Conduct has been amended and
may be represented by the attorney representing renumbered; please refer to current rule 3-700.]
the prospective adoptive parents.

(3) A waiver by the birth parents of § 8812 Requirements for Payment of

representation by an independent attorney. Attorneys’ Fees, etc., by Prospective Adopting
Parents to the Birth Parents
(4) An agreement that the attorney representing
the prospective adoptive parents shall represent Any request by a birth parent or birth parents for
the birth parents. payment by the prospective adoptive parents of

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attorney’s fees, medical fees and expenses, counseling (4) There is a compelling state interest in having
fees, or living expenses of the birth mother shall be in a speedy, conflict-reducing system for resolving
writing. The birth parent or parents shall, by first-class issues of child support, spousal support, and
mail or other agreed upon means to ensure receipt, health insurance that is cost-effective and
provide the prospective adoptive parents written accessible to families that cannot afford legal
receipts for any money provided to the birth parent or representation.
birth parents. The prospective adoptive parents shall
provide the receipts to the court when the accounting (b) Therefore, it is the intent of the Legislature to
report required pursuant to Section 8610 is filed. make the services provided in the family law pilot
(Added by Stats. 1993, ch. 450.) projects in the Counties of Santa Clara and San Mateo
available to unrepresented parties in the superior
courts of all California counties. (Added by Stats. 1996,
§ 10000 Family Law Facilitator Act ch. 957.)

This division shall be known and may be cited as the

Family Law Facilitator Act. (Added by Stats. 1996, ch. § 10002 Family Law Facilitator Office–Superior
957.) Court Appointment of Licensed Attorneys as
Facilitators
§ 10001 Family Law Facilitator Act–Legislative Each superior court shall maintain an office of the
Findings and Declaration family law facilitator. The office of the family law
facilitator shall be staffed by an attorney licensed to
(a) The Legislature finds and declares the following: practice law in this state who has mediation or
litigation experience, or both, in the field of family law.
(1) Child and spousal support are serious legal
The family law facilitator shall be appointed by the
obligations. The entry of a child support order is
superior court. (Added by Stats. 1996, ch. 957.)
frequently delayed while parents engage in
protracted litigation concerning custody and
visitation. The current system for obtaining child § 10003 Family Law Facilitator Act–Application
and spousal support orders is suffering because of Division
the family courts are unduly burdened with heavy
case loads and do not have sufficient personnel to This division shall apply to all actions or proceedings
meet increased demands on the courts. for temporary or permanent child support, spousal
support, health insurance, child custody, or visitation
(2) Reports to the Legislature regarding the in a proceeding for dissolution of marriage, nullity of
family law pilot projects in the Superior Courts of marriage, legal separation, or exclusive child custody,
the Counties of Santa Clara and San Mateo or pursuant to the Uniform Parentage Act (Part 3
indicate that the pilot projects have provided a (commencing with Section 7600) of Division 12) or the
cost-effective and efficient method for the courts Domestic Violence Prevention Act (Division 10
to process family law cases that involve (commencing with Section 6200)). (Added by Stats.
unrepresented litigants with issues concerning 1996, ch. 957. Amended by Stats. 1999, ch. 652.)
child support, spousal support, and health
insurance.
§ 10004 Family Law Facilitator Act–Services
(3) The reports to the Legislature further Provided
indicate that the pilot projects in both counties
have been successful in making the process of Services provided by the family law facilitator shall
obtaining court orders concerning child support, include, but are not limited to, the following:
spousal support, and health insurance more providing educational materials to parents concerning
accessible to unrepresented parties. Surveys the process of establishing parentage and
conducted by both counties indicate a high degree establishing, modifying, and enforcing child support
of satisfaction with the services provided by the and spousal support in the courts; distributing
pilot projects. necessary court forms and voluntary declarations of

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paternity; providing assistance in completing forms; (b) If staff and other resources are available and the
preparing support schedules based upon statutory duties listed in subdivision (a) have been accomplished,
guidelines; and providing referrals to the local child the duties of the family law facilitator may also include
support agency, family court services, and other the following:
community agencies and resources that provide
services for parents and children. In counties where a (1) Assisting the court with research and any
family law information center exists, the family law other responsibilities that will enable the court to
facilitator shall provide assistance on child support be responsive to the litigants’ needs.
issues. (Added by Stats. 1996, ch. 957. Amended by
Stats. 1999, ch. 652.) (2) Developing programs for bar and
community outreach through day and evening
programs, video recordings, and other innovative
§ 10005 Family Law Facilitator Act–Additional means that will assist unrepresented and
Duties financially disadvantaged litigants in gaining
meaningful access to family court. These
(a) By local rule, the superior court may designate programs shall specifically include information
additional duties of the family law facilitator, which concerning underutilized legislation, such as
may include, but are not limited to, the following: expedited child support orders (Chapter 5
(commencing with Section 3620) of Part 1 of
(1) Meeting with litigants to mediate issues of Division 9), and preexisting, court-sponsored
child support, spousal support, and maintenance programs, such as supervised visitation and
of health insurance, subject to Section 10012. appointment of attorneys for children. (Added by
Actions in which one or both of the parties are Stats. 1996, ch. 957. Amended by Stats. 1997, ch.
unrepresented by counsel shall have priority. 599; Stats. 1999, ch. 652; Stats. 2009, ch. 88;
Stats. 2019, ch. 115.)
(2) Drafting stipulations to include all issues
agreed to by the parties, which may include issues
other than those specified in Section 10003. § 10006 Family Law Facilitator Act–Hearing
(3) If the parties are unable to resolve issues The court shall adopt a protocol wherein all litigants,
with the assistance of the family law facilitator, both unrepresented by counsel and represented by
prior to or at the hearing, and at the request of counsel, have ultimate access to a hearing before the
the court, the family law facilitator shall review court. (Added by Stats. 1996, ch. 957.)
the paperwork, examine documents, prepare
support schedules, and advise the judge whether
or not the matter is ready to proceed. § 10007 Family Law Facilitator Act–Cost

(4) Assisting the clerk in maintaining records. The court shall provide the family law facilitator at no
cost to the parties. (Added by Stats. 1996, ch. 957.)
(5) Preparing formal orders consistent with the
court’s announced order in cases where both
parties are unrepresented. § 10008 Family Law Facilitator Act–Child
Support; Services Provided
(6) Serving as a special master in proceedings
and making findings to the court unless the family (a) Except as provided in subdivision (b), nothing in
law facilitator has served as a mediator in that this chapter shall be construed to apply to a child for
case. whom services are provided or required to be provided
by a local child support agency pursuant to Section
(7) Providing the services specified in Section 17400.
10004 concerning the issues of child custody and
visitation as they relate to calculating child (b) In cases in which the services of the local child
support, if funding is provided for that purpose. support agency are provided pursuant to Section
17400, either parent may utilize the services of the
family law facilitator that are specified in Section

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10004. In order for a custodial parent who is receiving with the parties separately and at separate times.
the services of the local child support agency pursuant (Added by Stats. 1996, ch. 957.)
to Section 17400 to utilize the services specified in
Section 10005 relating to support, the custodial parent
must obtain written authorization from the local child
§ 10013 Family Law Facilitator Act–Notice
support agency. It is not the intent of the Legislature in Regarding Attorney-Client Relationship
enacting this section to limit the duties of local child
The family law facilitator shall not represent any party.
support agencies with respect to seeking child support
No attorney-client relationship is created between a
payments or to in any way limit or supersede other
party and the family law facilitator as a result of any
provisions of this code respecting temporary child
information or services provided to the party by the
support. (Added by Stats. 1996, ch. 957. Amended by
family law facilitator. The family law facilitator shall
Stats. 2000, ch. 808, effective September 28, 2000.)
give conspicuous notice that no attorney-client
relationship exists between the facilitator, its staff, and
§ 10010 Family Law Facilitator Act–Minimum the family law litigant. The notice shall include the
Standards advice that the absence of an attorney-client
relationship means that communications between the
The Judicial Council shall adopt minimum standards for party and the family law facilitator are not privileged
the office of the family law facilitator and any forms or and that the family law facilitator may provide services
rules of court that are necessary to implement this to the other party. (Added by Stats. 1999, ch. 652.)
division. (Added by Stats. 1996, ch. 957.)

§ 10014 Family Law Facilitator Act–Public

§ 10011 Family Law Facilitator Act–Funding Comments Prohibited

The Director of the State Department of Social Services A person employed by, or directly supervised by, the
shall seek approval from the United States Department family law facilitator shall not make any public
of Health and Human Services, Office of Child Support comment about a pending or impending proceeding in
Enforcement, to utilize funding under Title IV-D of the the court as provided by paragraph (9) of subdivision
Social Security Act for the services provided pursuant to (B) of Canon 3 of the Code of Judicial Ethics. All persons
this division. (Added by Stats. 1996, ch. 957.) employed by or directly supervised by the family law
facilitator shall be provided a copy of paragraph (9) of
subdivision (B) of Canon 3 of the Code of Judicial Ethics,
§ 10012 Family Law Facilitator Act–Separate and shall be required to sign an acknowledgment that
Meetings with Parties When History of Domestic the person is aware of its provisions. (Added by Stats.
Violence is Alleged 1999, ch. 652. Amended by Stats. 2019, ch. 115.)

(a) In a proceeding in which mediation is required

pursuant to paragraph (1) of subdivision (a) of Section § 10015 Family Law Facilitator Act–Judicial
10005, where there has been a history of domestic Counsel Forms
violence between the parties or where a protective
order as defined in Section 6218 is in effect, at the The Judicial Council shall create any necessary forms to
request of the party alleging domestic violence in a advise the parties of the types of services provided,
written declaration under penalty of perjury or that there is no attorney-client relationship, that the
protected by the order, the family law facilitator shall family law facilitator is not responsible for the outcome
meet with the parties separately and at separate times. of any case, that the family law facilitator does not
represent any party and will not appear in court on the
(b) Any intake form that the office of the family law party’s behalf, and that the other party may also be
facilitator requires the parties to complete before the receiving information and services from the family law
commencement of mediation shall state that, if a party facilitator. (Added by Stats. 1999, ch. 652.)
alleging domestic violence in a written declaration
under penalty of perjury or a party protected by a
protective order so requests, the mediator will meet

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

§ 17520 License Applicants; Compliance with periodic payments in full, whether court ordered
Support Orders; License Issuance, Renewal, and or by agreement with the local child support
Suspension; Review agency, on a support arrearage, or in making
periodic payments in full, whether court ordered
(a) As used in this section: or by agreement with the local child support
agency, on a judgment for reimbursement for
(1) “Applicant” means a person applying for public assistance, or has obtained a judicial finding
issuance or renewal of a license. that equitable estoppel as provided in statute or
case law precludes enforcement of the order. The
(2) “Board” means an entity specified in Section local child support agency is authorized to use this
101 of the Business and Professions Code, the section to enforce orders for spousal support only
entities referred to in Sections 1000 and 3600 of when the local child support agency is also
the Business and Professions Code, the State Bar enforcing a related child support obligation owed
of California, the Department of Real Estate, the to the obligee parent by the same obligor,
Department of Motor Vehicles, the Secretary of pursuant to Sections 17400 and 17604.
State, the Department of Fish and Wildlife, and
any other state commission, department, (5) “License” includes membership in the State
committee, examiner, or agency that issues a Bar of California, and a certificate, credential,
license, certificate, credential, permit, permit, registration, or any other authorization
registration, or any other authorization to engage issued by a board that allows a person to engage
in a business, occupation, or profession, or to the in a business, occupation, or profession, or to
extent required by federal law or regulations, for operate a commercial motor vehicle, including
recreational purposes. This term includes all appointment and commission by the Secretary of
boards, commissions, departments, committees, State as a notary public. “License” also includes
examiners, entities, and agencies that issue a any driver’s license issued by the Department of
license, certificate, credential, permit, Motor Vehicles, any commercial fishing license
registration, or any other authorization to engage issued by the Department of Fish and Wildlife, and
in a business, occupation, or profession. The to the extent required by federal law or
failure to specifically name a particular board, regulations, any license used for recreational
commission, department, committee, examiner, purposes. This term includes all licenses,
entity, or agency that issues a license, certificate, certificates, credentials, permits, registrations, or
credential, permit, registration, or any other any other authorization issued by a board that
authorization to engage in a business, occupation, allows a person to engage in a business,
or profession does not exclude that board, occupation, or profession. The failure to
commission, department, committee, examiner, specifically name a particular type of license,
entity, or agency from this term. certificate, credential, permit, registration, or
other authorization issued by a board that allows
(3) “Certified list” means a list provided by the a person to engage in a business, occupation, or
local child support agency to the Department of profession, does not exclude that license,
Child Support Services in which the local child certificate, credential, permit, registration, or
support agency verifies, under penalty of perjury, other authorization from this term.
that the names contained therein are support
obligors found to be out of compliance with a (6) “Licensee” means a person holding a license,
judgment or order for support in a case being certificate, credential, permit, registration, or
enforced under Title IV-D of the federal Social other authorization issued by a board, to engage
Security Act. in a business, occupation, or profession, or a
commercial driver’s license as defined in Section
(4) “Compliance with a judgment or order for 15210 of the Vehicle Code, including an
support” means that, as set forth in a judgment or appointment and commission by the Secretary of
order for child or family support, the obligor is no State as a notary public. “Licensee” also means a
more than 30 calendar days in arrears in making person holding a driver’s license issued by the
payments in full for current support, in making Department of Motor Vehicles, a person holding a

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

commercial fishing license issued by the purposes of matching the names of the certified list
Department of Fish and Wildlife, and to the extent provided by the department to applicants and licensees
required by federal law or regulations, a person and of responding to requests for this information
holding a license used for recreational purposes. made by child support agencies.
This term includes all persons holding a license,
certificate, credential, permit, registration, or any (e) (1) Promptly after receiving the certified
other authorization to engage in a business, consolidated list from the department, and prior
occupation, or profession, and the failure to to the issuance or renewal of a license, each
specifically name a particular type of license, board shall determine whether the applicant is on
certificate, credential, permit, registration, or the most recent certified consolidated list
other authorization issued by a board does not provided by the department. The board shall have
exclude that person from this term. For licenses the authority to withhold issuance or renewal of
issued to an entity that is not an individual person, the license of an applicant on the list.
“licensee” includes an individual who is either
listed on the license or who qualifies for the (2) If an applicant is on the list, the board shall
license. immediately serve notice as specified in
subdivision (f) on the applicant of the board’s
(b) The local child support agency shall maintain a list intent to withhold issuance or renewal of the
of those persons included in a case being enforced license. The notice shall be made personally or by
under Title IV-D of the federal Social Security Act mail to the applicant’s last known mailing address
against whom a support order or judgment has been on file with the board. Service by mail shall be
rendered by, or registered in, a court of this state, and complete in accordance with Section 1013 of the
who are not in compliance with that order or judgment. Code of Civil Procedure.
The local child support agency shall submit a certified
list with the names, social security numbers, individual (A) The board shall issue a temporary
taxpayer identification numbers, or other uniform license valid for a period of 150 days to any
identification numbers, and last known addresses of applicant whose name is on the certified list
these persons and the name, address, and telephone if the applicant is otherwise eligible for a
number of the local child support agency who certified license.
the list to the department. The local child support
(B) Except as provided in subparagraph (D),
agency shall verify, under penalty of perjury, that the
the 150-day time period for a temporary
persons listed are subject to an order or judgment for
license shall not be extended. Except as
the payment of support and that these persons are not
provided in subparagraph (D), only one
in compliance with the order or judgment. The local
temporary license shall be issued during a
child support agency shall submit to the department an
regular license term and it shall coincide with
updated certified list on a monthly basis.
the first 150 days of that license term. As this
(c) The department shall consolidate the certified paragraph applies to commercial driver’s
lists received from the local child support agencies and, licenses, “license term” shall be deemed to
within 30 calendar days of receipt, shall provide a copy be 12 months from the date the application
of the consolidated list to each board that is fee is received by the Department of Motor
responsible for the regulation of licenses, as specified in Vehicles. A license for the full or remainder
this section. of the license term shall be issued or
renewed only upon compliance with this
(d) On or before November 1, 1992, or as soon section.
thereafter as economically feasible, as determined by
the department, all boards subject to this section shall (C) In the event that a license or
implement procedures to accept and process the list application for a license or the renewal of a
provided by the department, in accordance with this license is denied pursuant to this section,
section. Notwithstanding any other law, all boards shall any funds paid by the applicant or licensee
collect social security numbers or individual taxpayer shall not be refunded by the board.
identification numbers from all applicants for the

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(D) This paragraph shall apply only in the (E) This paragraph shall not apply to
case of a driver’s license, other than a licenses subject to annual renewal or annual
commercial driver’s license. Upon the fee.
request of the local child support agency or
by order of the court upon a showing of (f) Notices shall be developed by each board in
good cause, the board shall extend a 150-day accordance with guidelines provided by the
temporary license for a period not to exceed department and subject to approval by the
150 extra days. department. The notice shall include the address and
telephone number of the local child support agency
(3) (A) The department may, when it is that submitted the name on the certified list, and shall
economically feasible for the department emphasize the necessity of obtaining a release from
and the boards to do so as determined by that local child support agency as a condition for the
the department, in cases where the issuance, renewal, or continued valid status of a license
department is aware that certain child or licenses.
support obligors listed on the certified lists
have been out of compliance with a (1) In the case of applicants not subject to
judgment or order for support for more than paragraph (3) of subdivision (e), the notice shall
four months, provide a supplemental list of inform the applicant that the board shall issue a
these obligors to each board with which the temporary license, as provided in subparagraph
department has an interagency agreement (A) of paragraph (2) of subdivision (e), for 150
to implement this paragraph. Upon request calendar days if the applicant is otherwise eligible
by the department, the licenses of these and that upon expiration of that time period the
obligors shall be subject to suspension, license will be denied unless the board has
provided that the licenses would not received a release from the local child support
otherwise be eligible for renewal within six agency that submitted the name on the certified
months from the date of the request by the list.
department. The board shall have the
authority to suspend the license of any (2) In the case of licensees named on a
licensee on this supplemental list. supplemental list, the notice shall inform the
licensee that the license will continue in its
(B) If a licensee is on a supplemental list, existing status for no more than 150 calendar days
the board shall immediately serve notice as from the date of mailing or service of the notice
specified in subdivision (f) on the licensee and thereafter will be suspended indefinitely
that the license will be automatically unless, during the 150-day notice period, the
suspended 150 days after notice is served, board has received a release from the local child
unless compliance with this section is support agency that submitted the name on the
achieved. The notice shall be made certified list. Additionally, the notice shall inform
personally or by mail to the licensee’s last the licensee that any license suspended under this
known mailing address on file with the section will remain so until the expiration of the
board. Service by mail shall be complete in remaining license term, unless the board receives
accordance with Section 1013 of the Code of a release along with applications and fees, if
Civil Procedure. applicable, to reinstate the license during the
license term.
(C) The 150-day notice period shall not be
extended. (3) The notice shall also inform the applicant or
licensee that if an application is denied or a
(D) In the event that any license is license is suspended pursuant to this section, any
suspended pursuant to this section, any funds paid by the applicant or licensee shall not be
funds paid by the licensee shall not be refunded by the board. The Department of Child
refunded by the board. Support Services shall also develop a form that the
applicant shall use to request a review by the local
child support agency. A copy of this form shall be

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

included with every notice sent pursuant to this to subdivision (f). This paragraph applies only if
subdivision. the delay in completing the judicial review process
is not the result of the applicant’s failure to act in
(g) (1) Each local child support agency shall a reasonable, timely, and diligent manner upon
maintain review procedures consistent with this receiving the local child support agency’s notice of
section to allow an applicant to have the findings.
underlying arrearage and any relevant defenses
investigated, to provide an applicant information (4) The applicant has obtained a judicial finding
on the process of obtaining a modification of a of compliance as defined in this section.
support order, or to provide an applicant
assistance in the establishment of a payment (i) An applicant is required to act with diligence in
schedule on arrearages if the circumstances so responding to notices from the board and the local
warrant. child support agency with the recognition that the
temporary license will lapse or the license suspension
(2) It is the intent of the Legislature that a court will go into effect after 150 days and that the local child
or local child support agency, when determining support agency and, where appropriate, the court must
an appropriate payment schedule for arrearages, have time to act within that period. An applicant’s
base its decision on the facts of the particular case delay in acting, without good cause, which directly
and the priority of payment of child support over results in the inability of the local child support agency
other debts. The payment schedule shall also to complete a review of the applicant’s request or the
recognize that certain expenses may be essential court to hear the request for judicial review within the
to enable an obligor to be employed. Therefore, in 150-day period shall not constitute the diligence
reaching its decision, the court or the local child required under this section which would justify the
support agency shall consider both of these goals issuance of a release.
in setting a payment schedule for arrearages.
(j) Except as otherwise provided in this section, the
(h) If the applicant wishes to challenge the local child support agency shall not issue a release if the
submission of their name on the certified list, the applicant is not in compliance with the judgment or
applicant shall make a timely written request for review order for support. The local child support agency shall
to the local child support agency who certified the notify the applicant in writing that the applicant may,
applicant’s name. A request for review pursuant to this by filing an order to show cause or notice of motion,
section shall be resolved in the same manner and request any or all of the following:
timeframe provided for resolution of a complaint
pursuant to Section 17800. The local child support (1) Judicial review of the local child support
agency shall immediately send a release to the agency’s decision not to issue a release.
appropriate board and the applicant, if any of the
following conditions are met: (2) A judicial determination of compliance.

(1) The applicant is found to be in compliance or (3) A modification of the support judgment or
negotiates an agreement with the local child order.
support agency for a payment schedule on
The notice shall also contain the name and address of
arrearages or reimbursement.
the court in which the applicant shall file the order to
(2) The applicant has submitted a request for show cause or notice of motion and inform the
review, but the local child support agency will be applicant that their name shall remain on the certified
unable to complete the review and send notice of list if the applicant does not timely request judicial
its findings to the applicant within the time review. The applicant shall comply with all statutes and
specified in Section 17800. rules of court regarding orders to show cause and
notices of motion.
(3) The applicant has filed and served a request
for judicial review pursuant to this section, but a This section does not limit an applicant from filing an
resolution of that review will not be made within order to show cause or notice of motion to modify a
150 days of the date of service of notice pursuant support judgment or order or to fix a payment schedule

168 FAMILY CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

on arrearages accruing under a support judgment or unrestricted issuance or renewal of the

order or to obtain a court finding of compliance with a license without prejudice to a later judicial
judgment or order for support. determination of the amount of support
arrearages, including interest, and shall
(k) The request for judicial review of the local child specify payment terms, compliance with
support agency’s decision shall state the grounds for which are necessary to allow the release to
which review is requested and judicial review shall be remain in effect.
limited to those stated grounds. The court shall hold an
evidentiary hearing within 20 calendar days of the filing (l) (1) The department shall prescribe release
of the request for review. Judicial review of the local forms for use by local child support agencies.
child support agency’s decision shall be limited to a When the obligor is in compliance, the local child
determination of each of the following issues: support agency shall mail to the applicant and
the appropriate board a release stating that the
(1) Whether there is a support judgment, order, applicant is in compliance. The receipt of a
or payment schedule on arrearages or release shall serve to notify the applicant and the
reimbursement. board that, for the purposes of this section, the
applicant is in compliance with the judgment or
(2) Whether the petitioner is the obligor
order for support. A board that has received a
covered by the support judgment or order.
release from the local child support agency
(3) Whether the support obligor is or is not in pursuant to this subdivision shall process the
compliance with the judgment or order of release within five business days of its receipt.
support.
(2) When the local child support agency
(4) (A) The extent to which the needs of the determines subsequent to the issuance of a
obligor, taking into account the obligor’s release that the applicant is once again not in
payment history and the current compliance with a judgment or order for support,
circumstances of both the obligor and the or with the terms of repayment as described in
obligee, warrant a conditional release as this subdivision, the local child support agency
described in this subdivision. may notify the board, the obligor, and the
department in a format prescribed by the
(B) The request for judicial review shall be department that the obligor is not in compliance.
served by the applicant upon the local child
support agency that submitted the (3) The department may, when it is
applicant’s name on the certified list within economically feasible for the department and the
seven calendar days of the filing of the boards to develop an automated process for
petition. The court has the authority to complying with this subdivision, notify the boards
uphold the action, unconditionally release in a manner prescribed by the department, that
the license, or conditionally release the the obligor is once again not in compliance. Upon
license. receipt of this notice, the board shall immediately
notify the obligor on a form prescribed by the
(C) If the judicial review results in a finding department that the obligor’s license will be
by the court that the obligor is in suspended on a specific date, and this date shall
compliance with the judgment or order for be no longer than 30 days from the date the form
support, the local child support agency shall is mailed. The obligor shall be further notified that
immediately send a release in accordance
the license will remain suspended until a new
with subdivision (l) to the appropriate board
release is issued in accordance with subdivision
and the applicant. If the judicial review
(h). This section does not limit the obligor from
results in a finding by the court that the
seeking judicial review of suspension pursuant to
needs of the obligor warrant a conditional
the procedures described in subdivision (k).
release, the court shall make findings of fact
stating the basis for the release and the (m) The department may enter into interagency
payment necessary to satisfy the agreements with the state agencies that have

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

responsibility for the administration of boards (1) The number of delinquent obligors certified
necessary to implement this section, to the extent that by district attorneys under this section.
it is cost effective to implement this section. These
agreements shall provide for the receipt by the other (2) The number of support obligors who also
state agencies and boards of federal funds to cover that were applicants or licensees subject to this
portion of costs allowable in federal law and regulation section.
and incurred by the state agencies and boards in
(3) The number of new licenses and renewals
implementing this section. Notwithstanding any other
that were delayed, temporary licenses issued, and
law, revenue generated by a board or state agency shall
licenses suspended subject to this section and the
be used to fund the nonfederal share of costs incurred
number of new licenses and renewals granted and
pursuant to this section. These agreements shall
licenses reinstated following board receipt of
provide that boards shall reimburse the department for releases as provided by subdivision (h) by May 1,
the nonfederal share of costs incurred by the 1995.
department in implementing this section. The boards
shall reimburse the department for the nonfederal (4) The costs incurred in the implementation
share of costs incurred pursuant to this section from and enforcement of this section.
moneys collected from applicants and licensees.
(q) A board receiving an inquiry as to the licensed
(n) Notwithstanding any other law, in order for the status of an applicant or licensee who has had a license
boards subject to this section to be reimbursed for the denied or suspended under this section or has been
costs incurred in administering its provisions, the granted a temporary license under this section shall
boards may, with the approval of the appropriate respond only that the license was denied or suspended
department director, levy on all licensees and or the temporary license was issued pursuant to this
applicants a surcharge on any fee or fees collected section. Information collected pursuant to this section
pursuant to law, or, alternatively, with the approval of by a state agency, board, or department shall be
the appropriate department director, levy on the subject to the Information Practices Act of 1977
applicants or licensees named on a certified list or (Chapter 1 (commencing with Section 1798) of Title 1.8
supplemental list, a special fee. of Part 4 of Division 3 of the Civil Code).

(o) The process described in subdivision (h) shall (r) Any rules and regulations issued pursuant to this
constitute the sole administrative remedy for section by a state agency, board, or department may be
contesting the issuance of a temporary license or the adopted as emergency regulations in accordance with
denial or suspension of a license under this section. The the rulemaking provisions of the Administrative
procedures specified in the administrative adjudication Procedure Act (Chapter 3.5 (commencing with Section
provisions of the Administrative Procedure Act (Chapter 11340) of Part 1 of Division 3 of Title 2 of the
4.5 (commencing with Section 11400) and Chapter 5 Government Code). The adoption of these regulations
(commencing with Section 11500) of Part 1 of Division shall be deemed an emergency and necessary for the
3 of Title 2 of the Government Code) shall not apply to immediate preservation of the public peace, health,
the denial, suspension, or failure to issue or renew a and safety, or general welfare. The regulations shall
license or the issuance of a temporary license pursuant become effective immediately upon filing with the
to this section. Secretary of State.

(p) In furtherance of the public policy of increasing (s) The department and boards, as appropriate, shall
child support enforcement and collections, on or before adopt regulations necessary to implement this section.
November 1, 1995, the State Department of Social
Services shall make a report to the Legislature and the (t) The Judicial Council shall develop the forms
Governor based on data collected by the boards and necessary to implement this section, except as
the district attorneys in a format prescribed by the provided in subdivisions (f) and (l).
State Department of Social Services. The report shall
contain all of the following: (u) The release or other use of information received
by a board pursuant to this section, except as

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

authorized by this section, is punishable as a (2) Make a materially false or misleading

misdemeanor. statement or representation to a property owner
about the terms or conditions of an assessment
(v) The State Board of Equalization shall enter into contract.
interagency agreements with the department and the
Franchise Tax Board that will require the department (3) Advertise, print, display, publish, distribute,
and the Franchise Tax Board to maximize the use of or broadcast, or cause or permit to be advertised,
information collected by the State Board of printed, displayed, published, distributed, or
Equalization, for child support enforcement purposes, broadcast in any manner, any statement or
to the extent it is cost-effective and permitted by the representation with regard to the business subject
to the provisions of this division, including the
Revenue and Taxation Code.
rates, terms, or conditions for making or
(w) (1) The suspension or revocation of a driver’s negotiating loans, or for making or negotiating
license, including a commercial driver’s license, assessment contracts, that is false, misleading, or
deceptive, or that omits material information that
under this section shall not subject the licensee to
is necessary to make the statements not false,
vehicle impoundment pursuant to Section
misleading, or deceptive, or in the case of a
14602.6 of the Vehicle Code.
licensee, that refers to the supervision of the
(2) Notwithstanding any other law, the business by the state or any department or official
of the state.
suspension or revocation of a driver’s license,
including a commercial driver’s license, under this (4) Commit an act in violation of Section
section shall not subject the licensee to increased 1695.13 of the Civil Code.
costs for vehicle liability insurance.
(5) Engage in any act in violation of Section
(x) If any provision of this section or the application 17200 of the Business and Professions Code.
thereof to any person or circumstance is held invalid,
that invalidity shall not affect other provisions or (6) Knowingly misrepresent, circumvent, or
applications of this section which can be given effect conceal, through subterfuge or device, any
without the invalid provision or application, and to this material aspect or information regarding a
end the provisions of this section are severable. transaction to which the person is a party.

(y) All rights to administrative and judicial review (7) Commit an act that constitutes fraud or
afforded by this section to an applicant shall also be dishonest dealings.
afforded to a licensee. (Added by Stats. 1999, ch. 654.
(b) This section shall become operative on January 1,
Amended by Stats. 2001, ch. 755; Stats. 2013, ch. 352;
2019. (Added by Stats. 2017, ch. 475, operative January
Stats. 2014, ch. 752; Stats. 2018, ch. 538; Stats. 2019,
1, 2019.)
ch. 115.)

GOVERNMENT CODE
FINANCIAL CODE
§ 6252 Local and State Agency; Public Person,
§ 22161 Loan Making and Brokering–False,
Agency, and Records; Definitions
Deceptive or Misleading Advertisements,
Statements or Representations As used in this chapter:
(a) A person subject to this division shall not do any (a) “Local agency” includes a county; city, whether
of the following: general law or chartered; city and county; school
district; municipal corporation; district; political
(1) Make a materially false or misleading
subdivision; or any board, commission or agency
statement or representation to a borrower about
the terms or conditions of that borrower's loan, thereof; other local public agency; or entities that are
when making or brokering the loan.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

legislative bodies of a local agency pursuant to (a) Preliminary drafts, notes, or interagency or intra-
subdivisions (c) and (d) of Section 54952. agency memoranda that are not retained by the public
agency in the ordinary course of business, if the public
(b) “Member of the public” means any person, except interest in withholding those records clearly outweighs
a member, agent, officer, or employee of a federal, the public interest in disclosure.
state, or local agency acting within the scope of his or
her membership, agency, office, or employment. (b) Records pertaining to pending litigation to which
the public agency is a party, or to claims made pursuant
(c) “Person” includes any natural person, to Division 3.6 (commencing with Section 810), until the
corporation, partnership, limited liability company, pending litigation or claim has been finally adjudicated
firm, or association. or otherwise settled.

(d) “Public agency” means any state or local agency. (c) Personnel, medical, or similar files, the disclosure
of which would constitute an unwarranted invasion of
(e) “Public records” includes any writing containing personal privacy.
information relating to the conduct of the public's
business prepared, owned, used, or retained by any (d) Records contained in or related to any of the
state or local agency regardless of physical form or following:
characteristics. “Public records” in the custody of, or
maintained by, the Governor's office means any writing (1) Applications filed with any state agency
prepared on or after January 6, 1975. responsible for the regulation or supervision of
the issuance of securities or of financial
(f) (1) “State agency” means every state office, institutions, including, but not limited to, banks,
officer, department, division, bureau, board, and savings and loan associations, industrial loan
commission or other state body or agency, except companies, credit unions, and insurance
those agencies provided for in Article IV (except companies.
Section 20 thereof) or Article VI of the California
Constitution. (2) Examination, operating, or condition reports
prepared by, on behalf of, or for the use of, any
(2) Notwithstanding paragraph (1) or any other state agency referred to in paragraph (1).
law, “state agency” shall also mean the State Bar
of California, as described in Section 6001 of the (3) Preliminary drafts, notes, or interagency or
Business and Professions Code. intra-agency communications prepared by, on
behalf of, or for the use of, any state agency
(g) “Writing” means any handwriting, typewriting, referred to in paragraph (1).
printing, photostating, photographing, photocopying,
transmitting by electronic mail or facsimile, and every (4) Information received in confidence by any
other means of recording upon any tangible thing any state agency referred to in paragraph (1).
form of communication or representation, including
letters, words, pictures, sounds, or symbols, or (e) Geological and geophysical data, plant production
combinations thereof, and any record thereby created, data, and similar information relating to utility systems
regardless of the manner in which the record has been development, or market or crop reports, that are
stored. (Added by Stats. 1968, ch. 1473. Amended by obtained in confidence from any person.
Stats. 1970, ch. 575; Stats. 1975, ch. 1246; Stats. 1981,
ch. 968; Stats. 1991, ch. 181; Stats. 1994, ch. 1010; (f) Records of complaints to, or investigations
Stats. 1998, ch. 620; Stats. 2002, ch. 945; Stats. 2002, conducted by, or records of intelligence information or
ch. 1073; Stats. 2004, ch. 937; Stats. 2015, ch. 537.) security procedures of, the office of the Attorney
General and the Department of Justice, the Office of
Emergency Services and any state or local police
§ 6254 Exemption of Particular Records agency, or any investigatory or security files compiled
by any other state or local police agency, or any
Except as provided in Sections 6254.7 and 6254.13, this investigatory or security files compiled by any other
chapter does not require the disclosure of any of the state or local agency for correctional, law enforcement,
following records: or licensing purposes. However, state and local law

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enforcement agencies shall disclose the names and requests for assistance received by the
addresses of persons involved in, or witnesses other agency and the time and nature of the
than confidential informants to, the incident, the response thereto, including, to the extent
description of any property involved, the date, time, the information regarding crimes alleged or
and location of the incident, all diagrams, statements of committed or any other incident
the parties involved in the incident, the statements of investigated is recorded, the time, date, and
all witnesses, other than confidential informants, to the location of occurrence, the time and date of
victims of an incident, or an authorized representative the report, the name and age of the victim,
thereof, an insurance carrier against which a claim has the factual circumstances surrounding the
been or might be made, and any person suffering crime or incident, and a general description
bodily injury or property damage or loss, as the result of any injuries, property, or weapons
of the incident caused by arson, burglary, fire, involved. The name of a victim of any crime
explosion, larceny, robbery, carjacking, vandalism, defined by Section 220, 261, 261.5, 262,
vehicle theft, or a crime as defined by subdivision (b) of 264, 264.1, 265, 266, 266a, 266b, 266c,
Section 13951, unless the disclosure would endanger 266e, 266f, 266j, 267, 269, 273a, 273d,
the safety of a witness or other person involved in the 273.5, 285, 286, 288, 288a, 288.2, 288.3,
investigation, or unless disclosure would endanger the 288.4, 288.5, 288.7, 289, 422.6, 422.7,
successful completion of the investigation or a related 422.75, 646.9, or 647.6 of the Penal Code
investigation. However, this subdivision does not may be withheld at the victim’s request, or
require the disclosure of that portion of those at the request of the victim’s parent or
investigative files that reflects the analysis or guardian if the victim is a minor. When a
conclusions of the investigating officer. person is the victim of more than one crime,
information disclosing that the person is a
Customer lists provided to a state or local police agency victim of a crime defined in any of the
by an alarm or security company at the request of the sections of the Penal Code set forth in this
agency shall be construed to be records subject to this subdivision may be deleted at the request of
subdivision. the victim, or the victim’s parent or guardian
if the victim is a minor, in making the report
Notwithstanding any other provision of this subdivision, of the crime, or of any crime or incident
state and local law enforcement agencies shall make accompanying the crime, available to the
public the following information, except to the extent public in compliance with the requirements
that disclosure of a particular item of information of this paragraph.
would endanger the safety of a person involved in an
investigation or would endanger the successful (B) Subject to the restrictions imposed by
completion of the investigation or a related Section 841.5 of the Penal Code, the names
investigation: and images of a victim of human trafficking,
as defined in Section 236.1 of the Penal
(1) The full name and occupation of every Code, and of that victim’s immediate family,
individual arrested by the agency, the individual’s other than a family member who is charged
physical description including date of birth, color with a criminal offense arising from the same
of eyes and hair, sex, height and weight, the time incident, may be withheld at the victim’s
and date of arrest, the time and date of booking, request until the investigation or any
the location of the arrest, the factual subsequent prosecution is complete. For
circumstances surrounding the arrest, the amount purposes of this subdivision, “immediate
of bail set, the time and manner of release or the family” shall have the same meaning as that
location where the individual is currently being provided in paragraph (3) of subdivision (b)
held, and all charges the individual is being held of Section 422.4 of the Penal Code.
upon, including any outstanding warrants from
other jurisdictions and parole or probation holds. (3) Subject to the restrictions of Section 841.5 of
the Penal Code and this subdivision, the current
(2) (A) Subject to the restrictions imposed by address of every individual arrested by the agency
Section 841.5 of the Penal Code, the time, and the current address of the victim of a crime, if
substance, and location of all complaints or

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the requester declares under penalty of perjury (ii) After 45 days from the date the
that the request is made for a scholarly, agency knew or reasonably should have
journalistic, political, or governmental purpose, or known about the incident, and up to
that the request is made for investigation one year from that date, the agency
purposes by a licensed private investigator as may continue to delay disclosure of a
described in Chapter 11.3 (commencing with recording if the agency demonstrates
Section 7512) of Division 3 of the Business and that disclosure would substantially
Professions Code. However, the address of the interfere with the investigation. After
victim of any crime defined by Section 220, 236.1, one year from the date the agency
261, 261.5, 262, 264, 264.1, 265, 266, 266a, 266b, knew or reasonably should have known
266c, 266e, 266f, 266j, 267, 269, 273a, 273d, about the incident, the agency may
273.5, 285, 286, 288, 288a, 288.2, 288.3, 288.4, continue to delay disclosure of a
288.5, 288.7, 289, 422.6, 422.7, 422.75, 646.9, or recording only if the agency
647.6 of the Penal Code shall remain confidential. demonstrates by clear and convincing
Address information obtained pursuant to this evidence that disclosure would
paragraph shall not be used directly or indirectly, substantially interfere with the
or furnished to another, to sell a product or investigation. If an agency delays
service to any individual or group of individuals, disclosure pursuant to this clause, the
and the requester shall execute a declaration to agency shall promptly provide in
that effect under penalty of perjury. This writing to the requester the specific
paragraph shall not be construed to prohibit or basis for the agency’s determination
limit a scholarly, journalistic, political, or that the interest in preventing
government use of address information obtained interference with an active
pursuant to this paragraph. investigation outweighs the public
interest in disclosure and provide the
(4) Notwithstanding any other provision of this estimated date for the disclosure. The
subdivision, commencing July 1, 2019, a video or agency shall reassess withholding and
audio recording that relates to a critical incident, notify the requester every 30 days. A
as defined in subparagraph (C), may be withheld recording withheld by the agency shall
only as follows: be disclosed promptly when the
specific basis for withholding is
(A) (i) During an active criminal or resolved.
administrative investigation, disclosure
of a recording related to a critical (B) (i) If the agency demonstrates, on
incident may be delayed for no longer the facts of the particular case, that the
than 45 calendar days after the date the public interest in withholding a video or
agency knew or reasonably should have audio recording clearly outweighs the
known about the incident, if, based on public interest in disclosure because the
the facts and circumstances depicted in release of the recording would, based
the recording, disclosure would on the facts and circumstances depicted
substantially interfere with the in the recording, violate the reasonable
investigation, such as by endangering expectation of privacy of a subject
the safety of a witness or a confidential depicted in the recording, the agency
source. If an agency delays disclosure shall provide in writing to the requester
pursuant to this paragraph, the agency the specific basis for the expectation of
shall provide in writing to the requester privacy and the public interest served
the specific basis for the agency’s by withholding the recording and may
determination that disclosure would use redaction technology, including
substantially interfere with the blurring or distorting images or audio,
investigation and the estimated date for to obscure those specific portions of the
disclosure. recording that protect that interest.
However, the redaction shall not

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interfere with the viewer’s ability to (C) For purposes of this paragraph, a video
fully, completely, and accurately or audio recording relates to a critical
comprehend the events captured in the incident if it depicts any of the following
recording and the recording shall not incidents:
otherwise be edited or altered.
(i) An incident involving the
(ii) Except as provided in clause (iii), if discharge of a firearm at a person by a
the agency demonstrates that the peace officer or custodial officer.
reasonable expectation of privacy of a
subject depicted in the recording (ii) An incident in which the use of
cannot adequately be protected force by a peace officer or custodial
through redaction as described in officer against a person resulted in
clause (i) and that interest outweighs death or in great bodily injury.
the public interest in disclosure, the
agency may withhold the recording (D) An agency may provide greater public
from the public, except that the access to video or audio recordings than the
recording, either redacted as provided minimum standards set forth in this
in clause (i) or unredacted, shall be paragraph.
disclosed promptly, upon request, to
(E) This paragraph does not alter, limit, or
any of the following:
negate any other rights, remedies, or
(I) The subject of the recording obligations with respect to public records
whose privacy is to be protected, regarding an incident other than a critical
or their authorized representative. incident as described in subparagraph (C).

(II) If the subject is a minor, the (F) For purposes of this paragraph, a peace
parent or legal guardian of the officer does not include any peace officer
subject whose privacy is to be employed by the Department of Corrections
protected. and Rehabilitation.

(III) If the subject whose privacy (g) Test questions, scoring keys, and other
is to be protected is deceased, an examination data used to administer a licensing
heir, beneficiary, designated examination, examination for employment, or
immediate family member, or academic examination, except as provided for in
authorized legal representative of Chapter 3 (commencing with Section 99150) of Part 65
the deceased subject whose of Division 14 of Title 3 of the Education Code.
privacy is to be protected.
(h) The contents of real estate appraisals or
(iii) If disclosure pursuant to clause (ii) engineering or feasibility estimates and evaluations
would substantially interfere with an made for or by the state or local agency relative to the
active criminal or administrative acquisition of property, or to prospective public supply
investigation, the agency shall provide and construction contracts, until all of the property has
in writing to the requester the specific been acquired or all of the contract agreement
basis for the agency’s determination obtained. However, the law of eminent domain shall
that disclosure would substantially not be affected by this provision.
interfere with the investigation, and
(i) Information required from any taxpayer in
provide the estimated date for the
connection with the collection of local taxes that is
disclosure of the video or audio
received in confidence and the disclosure of the
recording. Thereafter, the recording
information to other persons would result in unfair
may be withheld by the agency for 45
competitive disadvantage to the person supplying the
calendar days, subject to extensions as
information.
set forth in clause (ii) of subparagraph
(A).

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(j) Library circulation records kept for the purpose of recommendations, meeting minutes, research,
identifying the borrower of items available in libraries, work products, theories, or strategy, or that
and library and museum materials made or acquired provide instruction, advice, or training to
and presented solely for reference or exhibition employees who do not have full collective
purposes. The exemption in this subdivision shall not bargaining and representation rights under these
apply to records of fines imposed on the borrowers. chapters. This paragraph shall not be construed to
limit the disclosure duties of a state agency with
(k) Records, the disclosure of which is exempted or respect to any other records relating to the
prohibited pursuant to federal or state law, including, activities governed by the employee relations acts
but not limited to, provisions of the Evidence Code referred to in this paragraph.
relating to privilege.
(2) Records of local agencies related to activities
(l) Correspondence of and to the Governor or governed by Chapter 10 (commencing with
employees of the Governor’s office or in the custody of Section 3500) of Division 4, that reveal a local
or maintained by the Governor’s Legal Affairs Secretary. agency’s deliberative processes, impressions,
However, public records shall not be transferred to the evaluations, opinions, recommendations, meeting
custody of the Governor’s Legal Affairs Secretary to minutes, research, work products, theories, or
evade the disclosure provisions of this chapter. strategy, or that provide instruction, advice, or
training to employees who do not have full
(m) In the custody of or maintained by the Legislative collective bargaining and representation rights
Counsel, except those records in the public database under that chapter. This paragraph shall not be
maintained by the Legislative Counsel that are construed to limit the disclosure duties of a local
described in Section 10248. agency with respect to any other records relating
to the activities governed by the employee
(n) Statements of personal worth or personal
relations act referred to in this paragraph.
financial data required by a licensing agency and filed
by an applicant with the licensing agency to establish (q) (1) Records of state agencies related to
their personal qualification for the license, certificate, activities governed by Article 2.6 (commencing
or permit applied for. with Section 14081), Article 2.8 (commencing with
Section 14087.5), and Article 2.91 (commencing
(o) Financial data contained in applications for
with Section 14089) of Chapter 7 of Part 3 of
financing under Division 27 (commencing with Section
Division 9 of the Welfare and Institutions Code,
44500) of the Health and Safety Code, if an authorized
that reveal the special negotiator’s deliberative
officer of the California Pollution Control Financing
processes, discussions, communications, or any
Authority determines that disclosure of the financial
other portion of the negotiations with providers
data would be competitively injurious to the applicant
of health care services, impressions, opinions,
and the data is required in order to obtain guarantees
recommendations, meeting minutes, research,
from the United States Small Business Administration.
work product, theories, or strategy, or that
The California Pollution Control Financing Authority
provide instruction, advice, or training to
shall adopt rules for review of individual requests for
employees.
confidentiality under this section and for making
available to the public those portions of an application (2) Except for the portion of a contract
that are subject to disclosure under this chapter. containing the rates of payment, contracts for
inpatient services entered into pursuant to these
(p) (1) Records of state agencies related to
articles, on or after April 1, 1984, shall be open to
activities governed by Chapter 10.3 (commencing
inspection one year after they are fully executed.
with Section 3512), Chapter 10.5 (commencing
If a contract for inpatient services that is entered
with Section 3525), and Chapter 12 (commencing
into prior to April 1, 1984, is amended on or after
with Section 3560) of Division 4, and Article 19.5
April 1, 1984, the amendment, except for any
(commencing with Section 8430) of Chapter 2 of
portion containing the rates of payment, shall be
Part 6 of Division 1 of Title 1 of the Education
open to inspection one year after it is fully
Code, that reveal a state agency’s deliberative
executed. If the California Medical Assistance
processes, impressions, evaluations, opinions,

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Commission enters into contracts with health care applicant’s medical or psychological history or
providers for other than inpatient hospital that of members of their family.
services, those contracts shall be open to
inspection one year after they are fully executed. (2) The home address and telephone number of
prosecutors, public defenders, peace officers,
(3) Three years after a contract or amendment is judges, court commissioners, and magistrates that
open to inspection under this subdivision, the are set forth in applications for licenses to carry
portion of the contract or amendment containing firearms issued pursuant to Section 26150, 26155,
the rates of payment shall be open to inspection. 26170, or 26215 of the Penal Code by the sheriff
of a county or the chief or other head of a
(4) Notwithstanding any other law, the entire municipal police department.
contract or amendment shall be open to
inspection by the Joint Legislative Audit (3) The home address and telephone number of
Committee and the Legislative Analyst’s Office. prosecutors, public defenders, peace officers,
The committee and that office shall maintain the judges, court commissioners, and magistrates that
confidentiality of the contracts and amendments are set forth in licenses to carry firearms issued
until the time a contract or amendment is fully pursuant to Section 26150, 26155, 26170, or
open to inspection by the public. 26215 of the Penal Code by the sheriff of a county
or the chief or other head of a municipal police
(r) Records of Native American graves, cemeteries, department.
and sacred places and records of Native American
places, features, and objects described in Sections (v) (1) Records of the Managed Risk Medical
5097.9 and 5097.993 of the Public Resources Code Insurance Board and the State Department of
maintained by, or in the possession of, the Native Health Care Services related to activities governed
American Heritage Commission, another state agency, by former Part 6.3 (commencing with Section
or a local agency. 12695), former Part 6.5 (commencing with
Section 12700), Part 6.6 (commencing with
(s) A final accreditation report of the Joint Section 12739.5), or Part 6.7 (commencing with
Commission on Accreditation of Hospitals that has been Section 12739.70) of Division 2 of the Insurance
transmitted to the State Department of Health Care Code, or Chapter 2 (commencing with Section
Services pursuant to subdivision (b) of Section 1282 of 15810) or Chapter 4 (commencing with Section
the Health and Safety Code. 15870) of Part 3.3 of Division 9 of the Welfare and
Institutions Code, and that reveal any of the
(t) Records of a local hospital district, formed following:
pursuant to Division 23 (commencing with Section
32000) of the Health and Safety Code, or the records of (A) The deliberative processes, discussions,
a municipal hospital, formed pursuant to Article 7 communications, or any other portion of the
(commencing with Section 37600) or Article 8 negotiations with entities contracting or
(commencing with Section 37650) of Chapter 5 of Part seeking to contract with the board or the
2 of Division 3 of Title 4 of this code, that relate to any department, entities with which the board or
contract with an insurer or nonprofit hospital service the department is considering a contract, or
plan for inpatient or outpatient services for alternative entities with which the board or department
rates pursuant to Section 10133 of the Insurance Code. is considering or enters into any other
However, the record shall be open to inspection within arrangement under which the board or the
one year after the contract is fully executed. department provides, receives, or arranges
services or reimbursement.
(u) (1) Information contained in applications for
licenses to carry firearms issued pursuant to (B) The impressions, opinions,
Section 26150, 26155, 26170, or 26215 of the recommendations, meeting minutes,
Penal Code by the sheriff of a county or the chief research, work product, theories, or strategy
or other head of a municipal police department of the board or its staff or the department or
that indicates when or where the applicant is its staff, or records that provide instructions,
vulnerable to attack or that concerns the advice, or training to their employees.

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(2) (A) Except for the portion of a contract that 8 (commencing with Section 10700) of Part 2 of
contains the rates of payment, contracts Division 2 of the Insurance Code, on or after
entered into pursuant to former Part 6.3 January 1, 1993, shall be open to inspection one
(commencing with Section 12695), former year after they have been fully executed.
Part 6.5 (commencing with Section 12700),
Part 6.6 (commencing with Section 12739.5), (3) Notwithstanding any other law, the entire
or Part 6.7 (commencing with Section contract or amendments to a contract shall be
12739.70) of Division 2 of the Insurance open to inspection by the Joint Legislative Audit
Code, or Chapter 2 (commencing with Committee. The committee shall maintain the
Section 15810) or Chapter 4 (commencing confidentiality of the contracts and amendments
with Section 15870) of Part 3.3 of Division 9 thereto, until the contracts or amendments to the
of the Welfare and Institutions Code, on or contracts are open to inspection pursuant to
after July 1, 1991, shall be open to paragraph (2).
inspection one year after their effective
dates. (x) Financial data contained in applications for
registration, or registration renewal, as a service
(B) If a contract that is entered into prior to contractor filed with the Director of Consumer Affairs
July 1, 1991, is amended on or after July 1, pursuant to Chapter 20 (commencing with Section
1991, the amendment, except for any 9800) of Division 3 of the Business and Professions
portion containing the rates of payment, Code, for the purpose of establishing the service
shall be open to inspection one year after contractor’s net worth, or financial data regarding the
the effective date of the amendment. funded accounts held in escrow for service contracts
held in force in this state by a service contractor.
(3) Three years after a contract or amendment is
open to inspection pursuant to this subdivision, (y) (1) Records of the Managed Risk Medical
the portion of the contract or amendment Insurance Board and the State Department of
containing the rates of payment shall be open to Health Care Services related to activities governed
inspection. by Part 6.2 (commencing with Section 12693) or
former Part 6.4 (commencing with Section
(4) Notwithstanding any other law, the entire 12699.50) of Division 2 of the Insurance Code or
contract or amendments to a contract shall be Sections 14005.26 and 14005.27 of, or Chapter 3
open to inspection by the Joint Legislative Audit (commencing with Section 15850) of Part 3.3 of
Committee. The committee shall maintain the Division 9 of, the Welfare and Institutions Code, if
confidentiality of the contracts and amendments the records reveal any of the following:
thereto, until the contracts or amendments to the
contracts are open to inspection pursuant to (A) The deliberative processes, discussions,
paragraph (3). communications, or any other portion of the
negotiations with entities contracting or
(w) (1) Records of the Managed Risk Medical seeking to contract with the board or the
Insurance Board related to activities governed by department, entities with which the board or
Chapter 8 (commencing with Section 10700) of department is considering a contract, or
Part 2 of Division 2 of the Insurance Code, and that entities with which the board or department
reveal the deliberative processes, discussions, is considering or enters into any other
communications, or any other portion of the arrangement under which the board or
negotiations with health plans, or the impressions, department provides, receives, or arranges
opinions, recommendations, meeting minutes, services or reimbursement.
research, work product, theories, or strategy of the
board or its staff, or records that provide (B) The impressions, opinions,
instructions, advice, or training to employees. recommendations, meeting minutes,
research, work product, theories, or strategy
(2) Except for the portion of a contract that of the board or its staff, or the department or
contains the rates of payment, contracts for its staff, or records that provide instructions,
health coverage entered into pursuant to Chapter advice, or training to employees.

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(2) (A) Except for the portion of a contract that of the Insurance Code or Chapter 3 (commencing
contains the rates of payment, contracts with Section 15850) of Part 3.3 of Division 9 of the
entered into pursuant to Part 6.2 Welfare and Institutions Code.
(commencing with Section 12693) or former
Part 6.4 (commencing with Section (z) Records obtained pursuant to paragraph (2) of
12699.50) of Division 2 of the Insurance subdivision (f) of Section 2891.1 of the Public Utilities
Code, on or after January 1, 1998, or Code.
Sections 14005.26 and 14005.27 of, or
Chapter 3 (commencing with Section 15850) (aa) A document prepared by or for a state or local
of Part 3.3 of Division 9 of, the Welfare and agency that assesses its vulnerability to terrorist attack
Institutions Code shall be open to inspection or other criminal acts intended to disrupt the public
one year after their effective dates. agency’s operations and that is for distribution or
consideration in a closed session.
(B) If a contract entered into pursuant to
Part 6.2 (commencing with Section 12693) or (ab) Critical infrastructure information, as defined in
former Part 6.4 (commencing with Section Section 131(3) of Title 6 of the United States Code, that
12699.50) of Division 2 of the Insurance is voluntarily submitted to the Office of Emergency
Code or Sections 14005.26 and 14005.27 of, Services for use by that office, including the identity of
or Chapter 3 (commencing with Section the person who or entity that voluntarily submitted the
15850) of Part 3.3 of Division 9 of, the information. As used in this subdivision, “voluntarily
Welfare and Institutions Code, is amended, submitted” means submitted in the absence of the
the amendment shall be open to inspection office exercising any legal authority to compel access to
one year after the effective date of the or submission of critical infrastructure information. This
amendment. subdivision shall not affect the status of information in
the possession of any other state or local governmental
(3) Three years after a contract or amendment is agency.
open to inspection pursuant to this subdivision,
the portion of the contract or amendment (ac) All information provided to the Secretary of State
containing the rates of payment shall be open to by a person for the purpose of registration in the
inspection. Advance Health Care Directive Registry, except that
those records shall be released at the request of a
(4) Notwithstanding any other law, the entire health care provider, a public guardian, or the
contract or amendments to a contract shall be registrant’s legal representative.
open to inspection by the Joint Legislative Audit
Committee. The committee shall maintain the (ad) The following records of the State Compensation
confidentiality of the contracts and amendments Insurance Fund:
thereto until the contract or amendments to a
(1) Records related to claims pursuant to
contract are open to inspection pursuant to
Chapter 1 (commencing with Section 3200) of
paragraph (2) or (3).
Division 4 of the Labor Code, to the extent that
(5) The exemption from disclosure provided confidential medical information or other
pursuant to this subdivision for the contracts, individually identifiable information would be
deliberative processes, discussions, disclosed.
communications, negotiations, impressions,
(2) Records related to the discussions,
opinions, recommendations, meeting minutes,
communications, or any other portion of the
research, work product, theories, or strategy of the
negotiations with entities contracting or seeking
board or its staff, or the department or its staff,
to contract with the fund, and any related
shall also apply to the contracts, deliberative
deliberations.
processes, discussions, communications, negotiations,
impressions, opinions, recommendations, meeting (3) Records related to the impressions, opinions,
minutes, research, work product, theories, or recommendations, meeting minutes of meetings
strategy of applicants pursuant to former Part 6.4 or sessions that are lawfully closed to the public,
(commencing with Section 12699.50) of Division 2

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research, work product, theories, or strategy of and correspondence shall become public
the fund or its staff, on the development of rates, records if the written request is
contracting strategy, underwriting, or competitive withdrawn, or upon order of the fund.
strategy pursuant to the powers granted to the
fund in Chapter 4 (commencing with Section (ii) Papers, correspondence,
11770) of Part 3 of Division 2 of the Insurance memoranda, or any substantive
Code. information pertaining to any audit not
completed or an internal audit that
(4) Records obtained to provide workers’ contains proprietary information.
compensation insurance under Chapter 4
(commencing with Section 11770) of Part 3 of (B) Notwithstanding subparagraph (A), the
Division 2 of the Insurance Code, including, but portions of records containing proprietary
not limited to, any medical claims information, information, or any information specified in
policyholder information provided that nothing in subparagraph (A) shall be available for
this paragraph shall be interpreted to prevent an review by the Joint Legislative Audit
insurance agent or broker from obtaining Committee, California State Auditor’s Office,
proprietary information or other information Division of Workers’ Compensation, and the
authorized by law to be obtained by the agent or Department of Insurance to ensure
broker, and information on rates, pricing, and compliance with applicable law.
claims handling received from brokers.
(7) (A) Except as provided in subparagraph (C),
(5) (A) Records that are trade secrets pursuant contracts entered into pursuant to Chapter
to Section 6276.44, or Article 11 4 (commencing with Section 11770) of Part
(commencing with Section 1060) of Chapter 3 of Division 2 of the Insurance Code shall be
4 of Division 8 of the Evidence Code, open to inspection one year after the
including without limitation, instructions, contract has been fully executed.
advice, or training provided by the State
Compensation Insurance Fund to its board (B) If a contract entered into pursuant to
members, officers, and employees regarding Chapter 4 (commencing with Section 11770)
the fund’s special investigation unit, internal of Part 3 of Division 2 of the Insurance Code
audit unit, and informational security, is amended, the amendment shall be open
marketing, rating, pricing, underwriting, to inspection one year after the amendment
claims handling, audits, and collections. has been fully executed.

(B) Notwithstanding subparagraph (A), the (C) Three years after a contract or
portions of records containing trade secrets amendment is open to inspection pursuant
shall be available for review by the Joint to this subdivision, the portion of the
Legislative Audit Committee, California State contract or amendment containing the rates
Auditor’s Office, Division of Workers’ of payment shall be open to inspection.
Compensation, and the Department of
(D) Notwithstanding any other law, the
Insurance to ensure compliance with
entire contract or amendments to a contract
applicable law.
shall be open to inspection by the Joint
(6) (A) Internal audits containing proprietary Legislative Audit Committee. The committee
information and the following records that shall maintain the confidentiality of the
are related to an internal audit: contracts and amendments thereto until the
contract or amendments to a contract are
(i) Personal papers and open to inspection pursuant to this
correspondence of any person providing paragraph.
assistance to the fund when that person
has requested in writing that their (E) This paragraph is not intended to apply
papers and correspondence be kept to documents related to contracts with public
private and confidential. Those papers

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entities that are not otherwise expressly inspection, except that disclosure of that information
confidential as to that public entity. may be made as follows:

(F) For purposes of this paragraph, “fully (1) To an agent, or a family member of the
executed” means the point in time when all individual to whom the information pertains.
of the necessary parties to the contract have
signed the contract. (2) To an officer or employee of another public
agency when necessary for the performance of its
This section does not prevent any agency from opening official duties.
its records concerning the administration of the agency
to public inspection, unless disclosure is otherwise (3) To an employee organization pursuant to
prohibited by law. regulations and decisions of the Public
Employment Relations Board, except that the
This section does not prevent any health facility from home addresses and any phone numbers on file
disclosing to a certified bargaining agent relevant with the employer of employees performing law
financing information pursuant to Section 8 of the enforcement-related functions, and the birth date
National Labor Relations Act (29 U.S.C. Sec. 158). (Added of any employee, shall not be disclosed.
by Stats. 1981, ch. 684. Amended by Stats. 1982, ch. 83,
p. 242; Stats. 1982, ch. 1492; Stats. 1982, ch. 1594; Stats. (4) To an agent or employee of a health benefit
1983, ch. 200; Stats. 1983, ch. 621; Stats. 1983, ch. 955; plan providing health services or administering
Stats. 1983, ch. 1315; Stats. 1984, ch. 1516; Stats. 1985, claims for health services to public agencies and
ch. 103; Stats. 1985, ch. 1218; Stats. 1986, ch. 185; Stats. their enrolled dependents, for the purpose of
1987, ch. 634; Stats. 1987, ch. 635; Stats. 1988, ch. 870; providing the health services or administering
Stats. 1988, ch. 1371; Stats. 1989, ch. 191; Stats. 1990, claims for employees and their enrolled
ch. 1106; Stats. 1991, ch. 278; Stats. 1991, ch. 607; Stats. dependents.
1992, ch. 3; Stats. 1992, ch. 72; Stats. 1992, ch. 1128;
Stats. 1993, ch. 606; Stats. 1993, ch. 610; Stats. 1993, ch. (b) (1) Unless used by the employee to conduct
611; Stats. 1993, ch. 1265; Stats. 1994, ch. 82; Stats. public business, or necessary to identify a person
1994, ch. 1263; Stats. 1995, ch. 438; Stats. 1995, ch. 777; in an otherwise discloseable communication, the
Stats. 1995, ch. 778; Stats. 1996, ch. 1075; Stats. 1997, personal email addresses of all employees of a
ch. 623; Stats. 1998, ch. 485; Stats. 1998, ch. 13; Stats. public agency shall not be deemed to be public
1998, ch. 110; Stats. 2000, ch. 184; Stats. 2001, ch. 159; records and shall not be open to public inspection,
Stats. 2002, ch. 175; Stats. 2003, ch. 230; Stats. 2004, ch. except that disclosure of that information may be
8; Stats. 2004, ch. 183; Stats. 2004, ch. 228; Stats. 2004, made as specified in paragraphs (1) to (4),
ch. 882; Stats. 2004, ch. 937; Stats. 2005, ch. 22; Stats. inclusive, of subdivision (a).
2005, ch. 476; Stats. 2005, ch. 670; Stats. 2006, ch. 538;
(2) This subdivision shall not be construed to
Stats. 2007, ch. 577; Stats. 2007, ch. 578; Stats. 2008, ch.
limit the public's right to access the content of an
344; Stats. 2008, ch. 358; Stats. 2008, ch. 372; Stats.
employee's personal email that is used to conduct
2010, ch. 178; Stats. 2010, ch. 32; Stats. 2011, ch. 285;
public business, as decided by the California
Stats. 2012, ch. 697; Stats. 2013, ch. 23; Stats. 2013, ch.
Supreme Court in City of San Jose v. Superior
352; Stats. 2014, ch. 31; Stats. 2015, ch. 303; Stats. 2016,
Court (2017) 2 Cal.5th 608.
ch. 644; Stats. 2017, ch. 560; Stats. 2018, ch. 960; Stats.
2019, ch. 385.) (c) Upon written request of any employee, a public
agency shall not disclose the employee's home address,
home telephone number, personal cellular telephone
§ 6254.3 Disclosure of Public Records; Public
number, personal email address, or birth date pursuant
Agency Employees
to paragraph (3) of subdivision (a) and an agency shall
(a) The home addresses, home telephone numbers, remove the employee's home address, home telephone
personal cellular telephone numbers, and birth dates of number, and personal cellular telephone number from
all employees of a public agency shall not be deemed to any mailing list maintained by the agency, except if the
be public records and shall not be open to public list is used exclusively by the agency to contact the
employee. (Added by Stats. 1984, ch. 1657. Amended

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by Stats. 1992, ch. 463; Stats. 2016, ch. 830; Stats. to the extent necessary to obtain information from that
2017, ch. 21, eff. June 27, 2017.) person for the purpose of an investigation by the
Department of Business Oversight.

§ 6254.5 Disclosures of Public Records; Waiver of (h) Made by the Commissioner of Business Oversight
Exemptions under Section 450, 452, 8009, or 18396 of the Financial
Code.
Notwithstanding any other law, if a state or local
agency discloses a public record that is otherwise (i) Of records relating to a person who is subject to the
exempt from this chapter, to a member of the public, jurisdiction of the Department of Managed Health Care,
this disclosure shall constitute a waiver of the if the disclosures are made to the person who is the
exemptions specified in Section 6254 or 6254.7, or other subject of the records for the purpose of corrective
similar provisions of law. For purposes of this section, action by that person, or, if a corporation, to an
“agency” includes a member, agent, officer, or employee officer, director, or other key personnel of the
of the agency acting within the scope of his or her corporation for the purpose of corrective action, or to
membership, agency, office, or employment. any other person to the extent necessary to obtain
information from that person for the purpose of an
This section, however, shall not apply to disclosures: investigation by the Department of Managed Health
Care. (Added by Stats. 1981, ch. 968. Amended by
(a) Made pursuant to the Information Practices Act Stats. 1983, ch. 101; Stats. 1987, ch. 1453; Stats. 1993,
(Chapter 1 (commencing with Section 1798) of Title 1.8 ch. 469; Stats. 1995, ch. 480; Stats. 1996, ch. 1064;
of Part 4 of Division 3 of the Civil Code) or discovery Stats. 1999, ch. 525; Stats. 2000, ch. 857; Stats. 2008,
proceedings. ch. 501; Stats. 2014, ch. 401; Stats. 2015, ch. 190;
Stats. 2016, ch. 86.)
(b) Made through other legal proceedings or as
otherwise required by law.
§ 6261 Inspection of State Agencies
(c) Within the scope of disclosure of a statute that
Expenditures and Disbursements
limits disclosure of specified writings to certain purposes.
Notwithstanding Section 6252, an itemized statement
(d) Not required by law, and prohibited by formal
of the total expenditures and disbursements of any
action of an elected legislative body of the local agency agency provided for in Article VI of the California
that retains the writings. Constitution shall be open for inspection. (Added by
Stats. 1975, ch. 1246.)
(e) Made to a governmental agency that agrees to
treat the disclosed material as confidential. Only persons
authorized in writing by the person in charge of the § 8287 Law Revision Commission Assistance of
agency shall be permitted to obtain the information. Any Board of Trustees
information obtained by the agency shall only be used
for purposes that are consistent with existing law. The Board of Trustees of the State Bar shall assist the
commission and the committee in any manner the
(f) Of records relating to a financial institution or an commission or committee may request within the scope
affiliate thereof, if the disclosures are made to the of its powers or duties. (Formerly 10307, added by Stats.
financial institution or affiliate by a state agency 1953, ch. 1445. Renumbered and amended by Stats.
responsible for the regulation or supervision of the 1984, ch. 1335; Stats. 2019, ch. 25.)
financial institution or affiliate.

(g) Of records relating to a person who is subject to the § 8299.08 (Added by Stats. 2012, ch. 383. Amended by
jurisdiction of the Department of Business Oversight, if Stats. 2016, ch. 892. Repealed by Stats. 2017, ch. 19.)
the disclosures are made to the person who is the
subject of the records for the purpose of corrective
action by that person, or, if a corporation, to an officer,
director, or other key personnel of the corporation for
the purpose of corrective action, or to any other person

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§ 11121 Definition of State Body appointing authority shall be responsible for

nominating a variety of persons of different
As used in this article, “state body” means each of the backgrounds, abilities, interests, and opinions in
following: compliance with the policy expressed in this article. It
is not the intent of the Legislature that formulas or
(a) Every state board, or commission, or similar specific ratios be utilized in complying with this article.
multimember body of the state that is created by (Added by Stats. 1975, ch. 977.)
statute or required by law to conduct official meetings
and every commission created by executive order.
§ 12011.5 Judicial Vacancies, State Bar Evaluation
(b) A board, commission, committee, or similar of Candidates
multimember body that exercises any authority of a
state body delegated to it by that state body. (a) In the event of a vacancy in a judicial office to be
filled by appointment of the Governor, or in the event
(c) An advisory board, advisory commission, that a declaration of candidacy is not filed by a judge
advisory committee, advisory subcommittee, or and the Governor is required under subdivision (d) of
similar multimember advisory body of a state body, if Section 16 of Article VI of the California Constitution
created by formal action of the state body or of any to nominate a candidate, the Governor shall first
member of the state body, and if the advisory body so submit to a designated agency of the State Bar of
created consists of three or more persons. California the names of all potential appointees or
nominees for the judicial office for evaluation of their
(d) A board, commission, committee, or similar
judicial qualifications.
multimember body on which a member of a body that
is a state body pursuant to this section serves in his or (b) The membership of the designated agency of the
her official capacity as a representative of that state State Bar responsible for evaluation of judicial
body and that is supported, in whole or in part, by candidates shall consist of attorney members and
funds provided by the state body, whether the public members with the ratio of public members to
multimember body is organized and operated by the attorney members determined, to the extent
state body or by a private corporation. practical, by the ratio established in Section 6013.5 of
the Business and Professions Code. It is the intent of
(e) Notwithstanding subdivision (a) of Section
this subdivision that the designated agency of the
11121.1, the State Bar of California, as described in
State Bar responsible for evaluation of judicial
Section 6001 of the Business and Professions Code.
candidates shall be broadly representative of the
This subdivision shall become operative on April 1,
ethnic, gender, and racial diversity of the population
2016. (Added by Stats. 1967, ch. 1656. Amended by
of California and composed in accordance with
Stats. 1980, ch. 515; Stats. 1981, ch. 968; Stats. 1984,
Sections 11140 and 11141. The further intent of this
ch. 193; Stats. 1996, ch. 102; Stats. 1996, ch. 1064;
subdivision is to establish a selection process for
Stats. 2001, ch. 243; Stats. 2003, ch. 62; Stats. 2015,
membership on the designated agency of the State
ch. 537.)
Bar responsible for evaluation of judicial candidates
under which no member of that agency shall provide
§ 11140 Policy of State inappropriate, multiple representation for purposes of
this subdivision. Each member of the designated
It is the policy of the State of California that the agency of the State Bar responsible for evaluation of
composition of state boards and commissions shall be judicial candidates shall complete a minimum of 60
broadly reflective of the general public including ethnic minutes of training in the areas of fairness and bias in
minorities and women. (Added by Stats. 1975, ch. 977.) the judicial appointments process at an orientation for
new members. If the member serves more than one
term, the member shall complete an additional 60
§ 11141 Nomination for Appointments; minutes of that training during the member’s service
Compliance with Policy on the designated agency of the State Bar responsible
for evaluation of judicial candidates.
In making appointments to state boards and
commissions, the Governor and every other

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(c) Upon receipt from the Governor of the names of the purposes of this section are absolutely privileged
candidates for judicial office and their completed from disclosure and confidential, and any
personal data questionnaires, the State Bar shall use communication made in the discretion of the Governor
appropriate confidential procedures to evaluate and or the State Bar with a candidate or person providing
determine the qualifications of each candidate with information in furtherance of the purposes of this
regard to his or her ability to discharge the judicial section shall not constitute a waiver of the privilege or
duties of the office to which the appointment or a breach of confidentiality.
nomination shall be made. Within 90 days of
(g) If the Governor has appointed a person to a trial
submission by the Governor of the name of a potential court who has been found not qualified by the
appointee for judicial office, the State Bar shall report, designated agency, the State Bar may make public this
in confidence, to the Governor its recommendation fact after due notice to the appointee of its intention to
whether the candidate is exceptionally well qualified, do so, but that notice or disclosure shall not constitute
well qualified, qualified, or not qualified and the a waiver of privilege or breach of confidentiality with
reasons therefor, and may report, in confidence, other respect to communications of or to the State Bar
information as the State Bar deems pertinent to the concerning the qualifications of the appointee.
qualifications of the candidate.
(h) If the Governor has nominated or appointed a
(d) In determining the qualifications of a candidate person to the Supreme Court or court of appeal in
for judicial office, the State Bar shall consider, among accordance with subdivision (d) of Section 16 of Article
other appropriate factors, his or her industry, judicial VI of the California Constitution, the Commission on
temperament, honesty, objectivity, community respect, Judicial Appointments may invite, or the State Bar’s
integrity, health, ability, and legal experience. The State governing board or its designated agency may submit
Bar shall consider legal experience broadly, including, to the commission, its recommendation, and the
but not limited to, litigation and nonlitigation reasons therefor, but that disclosure shall not
experience, legal work for a business or nonprofit constitute a waiver of privilege or breach of
entity, experience as a law professor or other academic confidentiality with respect to communications of or to
position, legal work in any of the three branches of the State Bar concerning the qualifications of the
government, and legal work in dispute resolution. nominee or appointee.

(e) The State Bar shall establish and promulgate rules (i) A person or entity shall not be liable for an injury
and procedures regarding the investigation of the caused by an act or failure to act, be it negligent,
qualifications of candidates for judicial office by the intentional, discretionary, or otherwise, in the
designated agency. These rules and procedures shall furtherance of the purposes of this section, including,
establish appropriate, confidential methods for but not limited to, providing or receiving information,
disclosing to the candidate the subject matter of making recommendations, and giving reasons therefor.
substantial and credible adverse allegations received As used in this section, the term “State Bar” means its
regarding the candidate’s health, physical or mental governing board and members thereof, the designated
condition, or moral turpitude that, unless rebutted, agency of the State Bar and members thereof, and
would be determinative of the candidate’s unsuitability employees and agents of the State Bar.
for judicial office. No provision of this section shall be
construed as requiring that a rule or procedure be (j) At any time prior to the receipt of the report from
adopted that permits the disclosure to the candidate of the State Bar specified in subdivision (c) the Governor
information from which the candidate may infer the may withdraw the name of a person submitted to the
source, and no information shall either be disclosed to State Bar for evaluation pursuant to this section.
the candidate nor be obtainable by any process that
would jeopardize the confidentiality of communications (k) A candidate for judicial office shall not be
from persons whose opinion has been sought on the appointed until the State Bar has reported to the
candidate’s qualifications. Governor pursuant to this section, or until 90 days have
elapsed after submission of the candidate’s name to
(f) All communications, written, verbal, or otherwise, the State Bar, whichever occurs earlier. The
of and to the Governor, the Governor’s authorized requirement of this subdivision shall not apply to a
agents or employees, including, but not limited to, the vacancy in judicial office occurring within the 90 days
Governor’s Legal Affairs Secretary and Appointments preceding the expiration of the Governor’s term of
Secretary, or of and to the State Bar in furtherance of office, provided, however, that with respect to those

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vacancies and with respect to nominations pursuant to orientation of all judicial appointments
subdivision (d) of Section 16 of Article VI of the California or nominations as provided by the
Constitution, the Governor shall be required to submit judicial appointee or nominee.
any candidate’s name to the State Bar in order to
provide an opportunity, if time permits, to make an (B) The designated agency of the State Bar
evaluation. responsible for evaluation of judicial
candidates shall collect and release both of
(l) Nothing in this section shall be construed as the following on an aggregate statewide basis:
imposing an additional requirement for an appointment
or nomination to judicial office, nor shall anything in this (i) Statewide demographic data
section be construed as adding additional qualifications provided by all judicial applicants
for the office of a judge. reviewed relative to ethnicity, race,
disability, veteran status, gender, gender
(m) The Board of Governors of the State Bar shall not identity, sexual orientation, and areas of
conduct or participate in, or authorize a committee, legal practice and employment.
agency, employee, or commission of the State Bar to
conduct or participate in, an evaluation, review, or (ii) The statewide summary of the
report on the qualifications, integrity, diligence, or recommendations of the designated
judicial ability of any specific justice of a court provided agency of the State Bar by ethnicity,
for in Section 2 or 3 of Article VI of the California race, disability, veteran status, gender,
Constitution without prior review and statutory gender identity, sexual orientation, and
authorization by the Legislature, except an evaluation, areas of legal practice and employment.
review, or report on potential judicial appointees or
nominees as authorized by this section. (C) The Administrative Office of the Courts
shall collect and release the demographic data
The provisions of this subdivision shall not be construed provided by justices and judges described in
to prohibit a member of the State Bar from conducting Article VI of the California Constitution
or participating in an evaluation, review, or report in his relative to ethnicity, race, disability, veteran
or her individual capacity. status, gender, gender identity, and sexual
orientation by specific jurisdiction.
(n) (1) Notwithstanding any other provision of this
section, but subject to paragraph (2), on or before (2) For purposes of subparagraph (A) of
March 1 of each year for the prior calendar year, all paragraph (1), in the year following a general
of the following shall occur: election or recall election that will result in a new
Governor taking office prior to March 1, the
(A) The Governor shall collect and release, departing Governor shall provide all of the
on an aggregate statewide basis, all of the demographic data collected for the year by that
following: Governor pursuant to this subdivision to the
incoming Governor. The incoming Governor shall
(i) Demographic data provided by all then be responsible for releasing the provided
judicial applicants relative to ethnicity, demographic data, and the demographic data
race, disability, veteran status, gender, collected by that incoming Governor, if any, prior to
gender identity, and sexual orientation. the March 1 deadline imposed pursuant to this
subdivision.
(ii) Demographic data relative to
ethnicity, race, disability, veteran status, (3) Demographic data disclosed or released
gender, gender identity, and sexual pursuant to this subdivision shall disclose only
orientation as provided by all judicial aggregated statistical data and shall not identify
applicants, both as to those judicial any individual applicant, justice, or judge.
applicants who have been and those
who have not been submitted to the (4) The State Bar and the Administrative Office of
State Bar for evaluation. the Courts shall use the following ethnic and racial
categories: American Indian or Alaska Native, Asian,
(iii) Demographic data relative to Black or African American, Hispanic or Latino,
ethnicity, race, disability, veteran status, Native Hawaiian or other Pacific Islander, White,
gender, gender identity, and sexual some other race, and more than one race, as those

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categories are defined by the United States Census the State Bar and that any provision of law referring to
Bureau for the 2010 Census for reporting purposes. the “board of governors” shall be deemed to refer to the
“board of trustees.” In accordance with this law,
(5) Demographic data disclosed or released references to the “board of governors” are deemed to
pursuant to this subdivision shall also indicate the refer to the “board of trustees.”]
percentage of respondents who declined to
respond.
§ 12921 Civil Rights; Employment and Housing
(6) For purposes of this subdivision, the collection without Discrimination
of demographic data relative to disability and
veteran status shall be required only for judicial (a) The opportunity to seek, obtain, and hold
applicants, candidates, appointees, nominees, employment without discrimination because of race,
justices, and judges who apply, or are reviewed, religious creed, color, national origin, ancestry, physical
appointed, nominated, or elected, on or after disability, mental disability, medical condition, genetic
January 1, 2014. The release of this demographic
information, marital status, sex, gender, gender identity,
data shall begin in 2015.
gender expression, age, sexual orientation, or veteran or
(7) For purposes of this subdivision, the following military status is hereby recognized as and declared to be
terms have the following meanings: a civil right.

(A) “Disability” includes mental disability (b) The opportunity to seek, obtain, and hold housing
and physical disability, as defined in without discrimination because of race, color, religion,
subdivisions (j) and (m) of Section 12926. sex, gender, gender identity, gender expression, sexual
orientation, marital status, national origin, ancestry,
(B) “Veteran status” has the same meaning familial status, source of income, disability, veteran or
as specified in Section 101(2) of Title 38 of the military status, genetic information, or any other basis
United States Code. prohibited by Section 51 of the Civil Code is hereby
recognized as and declared to be a civil right. (Added by
(o) The Governor and members of judicial selection
Stats. 1980, ch. 992. Amended by Stats. 1992, ch. 912;
advisory committees are encouraged to give particular
consideration to candidates from diverse backgrounds Stats. 1992, ch. 913; Stats. 1999, ch. 591; Stats. 1999, ch.
and cultures reflecting the demographics of California, 592; Stats. 2010, ch. 524; Stats. 2011, ch. 261; Stats.
including candidates with demographic characteristics 2011, ch. 719; Stats. 2013, ch. 691; Stats. 2019, ch. 601;
underrepresented among existing judges and justices. Stats. 2020, ch. 36.)

(p) If any provision of this section other than a

provision relating to or providing for confidentiality or § 19990.6 State Attorneys and Administrative Law
privilege from disclosure of any communication or Judges; Service on Governmental Bodies
matter, or the application of the provision to any person
or circumstances, is held invalid, the remainder of this (a) Service on a local appointed or elected
section, to the extent it can be given effect, or the governmental board, commission, committee, or other
application of the provision to persons or circumstances body or as a local elected official by an attorney
other than those as to which it is held invalid, shall not employed by the state in a nonelected position or by an
be affected thereby, and to this extent the provisions of administrative law judge, as defined in Section 11475.10,
this section are severable. If any other act of the shall not, by itself, be deemed to be inconsistent,
Legislature conflicts with the provisions of this section, incompatible, in conflict with, or inimical to, the duties of
this section shall prevail. (Added by Stats. 1979, ch. 534. the attorney or administrative law judge as a state officer
Amended by Stats. 1984, ch. 16; Stats. 2006, ch. 390; or employee and shall not result in the automatic
Stats 2007, ch. 130; Stats. 2007, ch. 722; Stats 2011, ch. vacation of either office.
667; Stats. 2011, ch. 720; Stats. 2012, ch. 162; Stats.
2013, ch. 113; Stats. 2014, ch. 7.) (b) Nothing in this section shall be construed to
prohibit an administrative law judge, as defined in
[Publisher’s Note re Government Code § 12011.5:
Section 11475.10, or an attorney employed by the state
Operative January 1, 2012, Business and Professions
in a nonelected position from serving on any other
Code section 6010, in part, provides that the State Bar is
appointed or elected governmental board, commission,
governed by a board known as the board of trustees of

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committee, or other body, consistent with all applicable shall be confidential, and shall be made available only to
conflict of interest statutes and regulations and judicial the maker. After proof of death of the maker of the
canons of ethics. (Added by Stats. 2002, ch. 411.) document or will by a certified copy of the death
certificate, the photographs, microphotographs,
photocopies, and electronic images shall be public
§ 26540 Defending Persons Accused of Crimes records.

A district attorney shall not during his incumbency (d) Section 26809 does not apply to a will or other
defend or assist in the defense of, or act as counsel for, document referred to in subdivision (a), or to the
any person accused of any crime in any county. (Added reproduction authorized by this section.
by Stats. 1947, ch. 424.)
(e) Upon making the reproduction authorized by this
section, the clerk of the superior court may destroy
§ 26543 Prohibition Against Acting as Private the original document. (Added by Stats. 1993, ch. 519.)
Counsel in Cases Against State Governmental
Agencies § 31000.6 Employment of Legal Counsel to Assist
Assessor or Sheriff; Conflicts of Interest
A district attorney or county counsel shall not during his
incumbency act as counsel for any private plaintiff in (a) Upon request of the assessor, auditor-controller, or
any action or proceeding in which a city, district, or the sheriff of the county, the board of supervisors shall
political subdivision of the State is a party defendant. contract with and employ legal counsel to assist the
(Added by Stats. 1953, ch. 422.) assessor, auditor-controller, or the sheriff in the
performance of his or her duties in any case where the
county counsel or the district attorney would have a
§ 26810 Authority of Court Clerk to Photocopy, conflict of interest in representing the assessor, auditor-
Microphotocopy, Reproduce, and Store controller, or the sheriff.
Documents Transferred Under Probate Code
Sections 732 and 8200 (b) In the event that the board of supervisors does not
concur with the assessor, auditor-controller, or the
(a) The clerk of the superior court may cause the sheriff that a conflict of interest exists, the assessor,
following documents to be photographed, auditor-controller, or the sheriff, after giving notice to
microphotographed, photocopied, electronically imaged, the county counsel or the district attorney, may initiate
or otherwise reproduced on film and stored in that form: an ex parte proceeding before the presiding judge of the
superior court. The county counsel or district attorney
(1) A document transferred to the clerk under may file an affidavit in the proceeding in opposition to,
Section 732 of the Probate Code. or in support of, the assessor’s, auditor-controller’s, or
the sheriff’s position.
(2) A will delivered to the clerk of the superior
court under Section 8200 of the Probate Code if (c) The presiding superior court judge that determines
the clerk has held the will for at least 10 years. in any ex parte proceeding that a conflict actually exists,
must, if requested by one of the parties, also rule
(b) The photograph, microphotograph, photocopy, or whether representation by the county counsel or district
electronic image shall be made in a manner that meets attorney through the creation of an “ethical wall” is
the minimum standards or guidelines recommended by appropriate. The factors to be considered in this
the American National Standards Institute or the determination of whether an “ethical wall” should be
Association for Information and Image Management. All created are: (1) equal representation, (2) level of
these photographs, microphotographs, photocopies, and support, (3) access to resources, (4) zealous
electronic images shall be indexed, and shall be stored in representation, or (5) any other consideration that
a manner and place that reasonably assures their relates to proper representation.
preservation indefinitely against loss, theft, defacement,
or destruction. (d) If a court determines that the action brought by the
assessor, auditor-controller, or sheriff is frivolous and in
(c) Before proof of death of the maker of a document bad faith, the assessor’s office, auditor-controller’s
or will referred to in subdivision (a), the photographs, office, or sheriff’s office shall pay their own legal costs
microphotographs, photocopies, and electronic images

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and all costs incurred in the action by the opposing party. (c) If any of the fees listed in subdivision (a) are
As used in this section, “bad faith” and “frivolous” have reduced or partially waived, the amount of the
the meaning given in Section 128.5 of the Code of Civil reduction or partial waiver shall be deducted from the
Procedure. amount to be distributed to each fund in the same
proportion as the amount each distribution bears to
(e) If the presiding judge determines that a conflict of the total amount of the fee.
interest does exist, and that representation by the county
counsel or district attorney through the creation of an (d) No revenue collected pursuant to Section 70616.5
ethical wall is inappropriate, the board of supervisors shall shall be used to supplant existing program funding of
immediately employ legal counsel selected by the the California Commission on Disability Access. (Added
presiding judge to assist the assessor, the auditor- by Stats. 2015, ch. 755, effective Oct. 10, 2015.)
controller, or the sheriff. The assessor, the auditor-
controller, or the sheriff may recommend specific legal
counsel for selection by the presiding judge. The board of § 68500.3 References to Administrative Office of
supervisors may also separately recommend specific legal the Courts
counsel for selection by the presiding judge. When
selecting counsel pursuant to this section, the presiding Any reference to the Administrative Office of the
judge shall consider the counsel compensation rates Courts in state law means the Judicial Council. (Added
prevailing in the county for similar work. by Stats. 2017, ch. 36.)

(f) As used in this section, “conflict of interest” means

a conflict of interest as defined in Rule 3-310 of the Rules § 68903 Contract for Publication of Official
of Professional Conduct of the State Bar of California, as Reports
construed for public attorneys.
The official reports shall be published under a contract
(g) This section shall also apply to any matter brought to be entered into on behalf of state by the Chief
after an assessor, auditor-controller, or sheriff leaves Justice of California, the Secretary of State, the
office if the matter giving rise to the need for
Attorney General, the President of the State Bar, and
independent legal counsel was within the scope of the
the Reporter of Decisions, who shall serve as secretary.
duties of the assessor, auditor-controller, or sheriff while
(Added by Stats. 1967, ch. 172.)
in office, and the assessor, auditor-controller, or sheriff
would have been authorized under this section to
request the appointment of independent legal counsel. § 70660 Fee for Storage
(Added by Stats. 1966, ch. 147. Amended by Stats. 1971,
ch. 1104; Stats. 2001, ch. 41; Stats. 2006, ch. 423; Stats. (a) The fee for receiving and storing each document
2018, ch. 307.) transferred to the clerk of the superior court under
Section 732 of the Probate Code is twenty dollars ($20).
§ 68085.35 High-Frequency Litigant Fees; Deposit
(b) The superior court may reduce or waive the fee
and Distribution established pursuant to this section under either of the
following circumstances: (1) The court has assumed
(a) Fees collected under Section 70616.5 shall be
deposited in a bank account established by the jurisdiction under Article 11 (commencing with Section
Administrative Office of the Courts for deposit of fees 6180) of Chapter 4 of Division 3 of the Business and
collected by the courts. Professions Code over the law practice of the attorney
with whom the document is deposited. (2) On a
(b) For each one-thousand-dollar ($1,000) fee listed showing of hardship. (Added by Stats. 1993, ch. 519.
in subdivision (a), the Administrative Office of the Amended by Stats. 2001, ch. 824; Stats. 2005, ch. 75.)
Courts shall distribute specified amounts as follows:

(1) Five hundred dollars ($500) to the General § 70661 Fee for Document Search
Fund for use, upon appropriation by the Legislature,
by the California Commission on Disability Access. The fee for searching a document transferred to the
clerk of the superior court under Section 732 of the
(2) The remainder of the fee to the Trial Court Probate Code is the same as the fee under subdivision
Trust Fund.

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(c) of Section 70627 for searching records or files. that may be required as judges or employees of the
(Added by Stats. 1993, ch. 519. Amended by Stats. 2005, superior court.
ch. 75.)
(d) The manner of appointment of a hearing officer
pursuant to this section and compensation to be paid to
§ 71622.5 2011 Realignment Legislation– a hearing officer shall be determined by the court. That
Declaration Regarding Information compensation is within the definition of “court
operations” pursuant to Section 77003 and California
(a) The Legislature hereby declares that due to the Rules of Court, rule 10.810.
need to implement the 2011 Realignment Legislation
addressing public safety (Chapter 15 of the Statutes of (e) The superior courts of two or more counties may
2011), it is the intent of the Legislature to afford the appoint the same person as a hearing officer under this
courts the maximum flexibility to manage the caseload in section. (Added by Stats. 2011, ch. 39, effective June 30,
the manner that is most appropriate to each court. 2011, operative Oct. 1, 2011.)

(b) Notwithstanding Section 71622, the superior court

of any county may appoint as many hearing officers as
deemed necessary to conduct parole revocation hearings INSURANCE CODE
pursuant to Sections 3000.08 and 3000.09 of the Penal
Code and to determine violations of conditions of § 750 Unlawful to Receive Consideration for
postrelease supervision pursuant to Section 3455 of the
Referral of Clients
Penal Code, and to perform related duties as authorized
by the court. A hearing officer appointed pursuant to (a) Except as provided in Section 750.5, any person
this section has the authority to conduct these hearings acting individually or through his or her employees or
and to make determinations at those hearings pursuant agents, who engages in the practice of processing,
to applicable law. presenting, or negotiating claims, including claims
under policies of insurance, and who offers, delivers,
(c) (1) A person is eligible to be appointed a hearing receives, or accepts any rebate, refund, commission, or
officer pursuant to this section if the person meets other consideration, whether in the form of money or
one of the following criteria: otherwise, as compensation or inducement to or from
any person for the referral or procurement of clients,
(A) He or she has been an active member of
cases, patients, or customers, is guilty of a crime.
the State Bar of California for at least 10 years
continuously prior to appointment. (b) A violation of subdivision (a) is punishable upon a
first conviction by imprisonment in a county jail for not
(B) He or she is or was a judge of a court of more than one year, or by imprisonment pursuant to
record of California within the last five years, subdivision (h) of Section 1170 of the Penal Code, or by
or is currently eligible for the assigned judge a fine not exceeding fifty thousand dollars ($50,000), or
program. by both that imprisonment and fine. A second or
subsequent conviction is punishable by imprisonment
(C) He or she is or was a commissioner,
pursuant to subdivision (h) of Section 1170 of the Penal
magistrate, referee, or hearing officer Code or by that imprisonment and a fine of fifty
authorized to perform the duties of a thousand dollars ($50,000).
subordinate judicial officer of a court of
record of California within the last five years. (c) Nothing in this section shall prohibit a licensed
collection or lien agency from receiving a commission
(2) The superior court may prescribe additional on the collection of delinquent debts nor prohibits the
minimum qualifications for hearing officers agency from paying its employees a commission for
appointed pursuant to this section and may obtaining clients seeking collection on delinquent
prescribe mandatory training for those hearing debts.
officers in addition to any training and education

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(d) Nothing in this section is intended to limit, employment of the attorney or law firm, provided that
restrict, or in any way apply to, the rebating of the bonus was not offered in consideration of any
commissions by insurance agents or brokers, as promise, agreement, or understanding that the bonus
authorized by Proposition 103, enacted by the people would be forthcoming or that referrals or
at the November 8, 1988, general election. (Added by recommendations would be made or encouraged in the
Stats. 1991, ch. 116. Amended by Stats. 1991, ch. 934; future. (Added by Stats. 1991, ch. 116. Amended by
Stats. 1992, ch. 1352; Stats. 2000, ch. 843; Stats. 2011, Stats. 1993, ch. 120.)
ch. 15.)

§ 1724 Prohibition Against Sharing a

§ 750.4 Exemptions from Section 750 Commission Between an Attorney and an
Insurance Agent, Broker or Solicitor
Section 750 of the Insurance Code, Sections 3215 and
3219 of the Labor Code, and Section 549 of the Penal An agent, broker, or solicitor who is not an active
Code shall not apply to any person, corporation, member of the State Bar of California may not share a
partnership, association, or firm, that is operating commission or other compensation with an active
under both of the following circumstances: member of the State Bar of California. For purposes of
this section, “commission or other compensation”
(a) On behalf of an insurer or self-insured person,
means pecuniary or nonpecuniary compensation of any
company, association, or group.
kind relating to the sale or renewal of an insurance
(b) Pursuant to, and within the scope of, a certificate policy or certificate or an annuity, including, but not
of consent issued pursuant to Section 3702.1 of the limited to, a bonus, gift, prize, award, or finder’s fee.
Labor Code or pursuant to, and within the scope of, a (Added by Stats. 2003, ch. 547.)
license issued pursuant to Article 3 (commencing with
Section 14020) of Chapter 1 of Division 5. (Added by
§ 1871 Legislative Intent
Stats. 1991, ch. 116; Amended by Stats 1991, ch. 934;
Stats. 1993, ch. 120; Stats. 2006, ch. 538.) The Legislature finds and declares as follows:

(a) The business of insurance involves many

§ 750.5 Permissible Acts for Attorneys and Law transactions that have the potential for abuse and
Firms under Section 750 illegal activities. There are numerous law enforcement
agencies on the state and local levels charged with the
Nothing in Section 750 of the Insurance Code, Section responsibility for investigating and prosecuting
549 of the Penal Code, or Section 3215 of the Labor fraudulent activity. This chapter is intended to permit
Code shall be construed to prevent an attorney or law the full utilization of the expertise of the commissioner
firm from the following: and the department so that they may more effectively
investigate and discover insurance frauds, halt
(a) Dividing fees for legal services with a lawyer under
fraudulent activities, and assist and receive assistance
circumstances expressly permitted by Rule 2-200 of the from federal, state, local, and administrative law
Rules of Professional Conduct of the State Bar. enforcement agencies in the prosecution of persons
who are parties in insurance frauds.
(b) Offering or giving an incidental nonmonetary gift
or gratuity to a person who has made a (b) Insurance fraud is a particular problem for
recommendation resulting in the employment of the automobile policyholders; fraudulent activities account
attorney or law firm, provided that the gift or gratuity for 15 to 20 percent of all auto insurance payments.
was not offered in consideration of any promise, Automobile insurance fraud is the biggest and fastest
agreement, or understanding that the gift or gratuity growing segment of insurance fraud and contributes
would be forthcoming or that referrals would be made substantially to the high cost of automobile insurance
or encouraged in the future. with particular significance in urban areas.

(c) Offering or giving a bonus to an employee who (c) Prevention of automobile insurance fraud will
has made a referral or recommendation resulting in the significantly reduce the incidence of severity and

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automobile insurance claim payments and will Government Code, and any regulations thereunder.
therefore produce a commensurate reduction in This section restates existing law, and the Legislature
automobile insurance premiums. does not intend to grant insurers or their agents
access to public records other than to those public
(d) Workers’ compensation fraud harms employers records available to them under existing law. (Added
by contributing to the increasingly high cost of workers’ by Stats. 1993, ch. 323.)
compensation insurance and self insurance and harms
employees by undermining the perceived legitimacy of
all workers’ compensation claims. § 1871.4 Unlawful to Make False or Fraudulent
Statements or Representations for Purpose of
(e) Prevention of workers’ compensation insurance Obtaining or Denying Compensation; Penalties
fraud may reduce the number of workers’
compensation claims and claim payments thereby (a) It is unlawful to do any of the following:
producing a commensurate reduction in workers’
compensation costs. Prevention of workers’ (1) Make or cause to be made a knowingly false
compensation insurance fraud will assist in restoring or fraudulent material statement or material
confidence and faith in the workers’ compensation representation for the purpose of obtaining or
system, and will facilitate expedient and full denying any compensation, as defined in Section
compensation for employees injured at the workplace. 3207 of the Labor Code.

(f) The actions of employers who fraudulently (2) Present or cause to be presented a knowingly
underreport payroll or fail to report payroll for all false or fraudulent written or oral material
employees to their insurance company in order to pay a statement in support of, or in opposition to, a claim
lower workers’ compensation premium result in for compensation for the purpose of obtaining or
significant additional premium costs and an unfair denying any compensation, as defined in Section
burden to honest employers and their employees. 3207 of the Labor Code.

(g) The actions of employers who fraudulently fail to (3) Knowingly assist, abet, conspire with, or solicit
secure the payment of workers’ compensation as a person in an unlawful act under this section.
required by Section 3700 of the Labor Code harm
employees, cause unfair competition for honest (4) Make or cause to be made a knowingly false
employers, and increase costs to taxpayers. or fraudulent statement with regard to entitlement
to benefits with the intent to discourage an injured
(h) Health insurance fraud is a particular problem for worker from claiming benefits or pursuing a claim.
health insurance policyholders. Although there are no
precise figures, it is believed that fraudulent activities For the purposes of this subdivision, “statement”
account for billions of dollars annually in added health includes, but is not limited to, a notice, proof of
care costs nationally. Health care fraud causes losses in injury, bill for services, payment for services,
premium dollars and increases health care costs hospital or doctor records, X-ray, test results,
unnecessarily. (Added by Stats. 1989, ch. 1119. medical-legal expense as defined in Section 4620 of
Amended by Stats. 1991, ch. 116; Stats. 1991, ch. 1008; the Labor Code, other evidence of loss, injury, or
Stats. 1995, ch. 885; Stats. 2001, ch. 159; Stats. 2002, expense, or payment.
ch. 6; Stats. 2004, ch. 635.)
(5) Make or cause to be made a knowingly false
or fraudulent material statement or material
§ 1871.1 Investigation of Fraudulent Claims, representation for the purpose of obtaining or
Access to Public Records denying any of the benefits or reimbursement
provided in the Return-to-Work Program
Insurers and their agents, while they are investigating established under Section 139.48 of the Labor
suspected fraud claims, shall have access to all Code.
relevant public records that are required to be open
for inspection under Chapter 3.5 (commencing with (6) Make or cause to be made a knowingly false
Section 6250) of Division 7 of Title 1 of the or fraudulent material statement or material

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representation for the purpose of discouraging an Code, where that compensation was owed or received
employer from claiming any of the benefits or as a result of a violation of Section 1871.4 or Section
reimbursement provided in the Return-to-Work 550 of the Penal Code for which the recipient of the
Program established under Section 139.48 of the compensation was convicted. (Added by Stats. 1993,
Labor Code. ch. 120.)

(b) Every person who violates subdivision (a) shall be

punished by imprisonment in a county jail for one year, § 1871.6 Provisions of Section 1871.4 Do Not
or pursuant to subdivision (h) of Section 1170 of the Limit Applicability of Section 781 of the Penal Code
Penal Code, for two, three, or five years, or by a fine not
exceeding one hundred fifty thousand dollars ($150,000) The provisions of Section 781 of the Penal Code are
or double the value of the fraud, whichever is greater, or applicable to any prosecutions for violations of Section
by both that imprisonment and fine. Restitution shall be 1871.4. This section is declaratory of existing law and
ordered, including restitution for any medical evaluation shall not be interpreted to limit the applicability of
or treatment services obtained or provided. The court Section 781 of the Penal Code to any other criminal
shall determine the amount of restitution and the person provisions. (Added by Stats. 1993, ch. 120.)
or persons to whom the restitution shall be paid. A
person convicted under this section may be charged the
§ 1871.7 Unlawful Solicitation of Business
costs of investigation at the discretion of the court.
(a) It is unlawful to knowingly employ runners,
(c) A person who violates subdivision (a) and who has
cappers, steerers, or other persons to procure clients or
a prior felony conviction of that subdivision, of former
patients to perform or obtain services or benefits
Section 556, of former Section 1871.1, or of Section 548
pursuant to Division 4 (commencing with Section 3200)
or 550 of the Penal Code, shall receive a two-year
of the Labor Code or to procure clients or patients to
enhancement for each prior conviction in addition to the perform or obtain services or benefits under a contract
sentence provided in subdivision (b). of insurance or that will be the basis for a claim against
an insured individual or his or her insurer.
The existence of any fact that would subject a person to
a penalty enhancement shall be alleged in the (b) Every person who violates any provision of this
information or indictment and either admitted by the section or Section 549, 550, or 551 of the Penal Code
defendant in open court, or found to be true by the jury shall be subject, in addition to any other penalties that
trying the issue of guilt or by the court where guilt is may be prescribed by law, to a civil penalty of not less
established by plea of guilty or nolo contendere or by than five thousand dollars ($5,000) nor more than ten
trial by the court sitting without a jury. thousand dollars ($10,000), plus an assessment of not
more than three times the amount of each claim for
(d) This section may not be construed to preclude the compensation, as defined in Section 3207 of the Labor
applicability of any other provision of criminal law that Code or pursuant to a contract of insurance. The court
applies or may apply to a transaction. (Added by Stats. shall have the power to grant other equitable relief,
1991, ch. 116. Amended by Stats. 1991, ch. 934; Stats. including temporary injunctive relief, as is necessary to
1992, ch. 675; Stats. 1993, ch. 120; Stats. 1995, ch. 574; prevent the transfer, concealment, or dissipation of
Stats. 2002, ch. 6; Stats. 2004, ch. 635; Stats. 2011, ch. illegal proceeds, or to protect the public. The penalty
15.) prescribed in this paragraph shall be assessed for each
fraudulent claim presented to an insurance company by
a defendant and not for each violation.
§ 1871.5 Ineligibility to Receive or Retain
Compensation, Conviction of Workers’ (c) The penalties set forth in subdivision (b) are
Compensation Fraud intended to be remedial rather than punitive, and shall
not preclude, nor be precluded by, a criminal
Any person convicted of workers’ compensation fraud prosecution for the same conduct. If the court finds,
pursuant to Section 1871.4 or Section 550 of the Penal after considering the goals of disgorging unlawful
Code shall be ineligible to receive or retain any profit, restitution, compensating the state for the costs
compensation, as defined in Section 3207 of the Labor of investigation and prosecution, and alleviating the

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social costs of increased insurance rates due to fraud, (A) Proceed with the action, in which case
that such a penalty would be punitive and would the action shall be conducted by the district
preclude, or be precluded by, a criminal prosecution, attorney or commissioner.
the court shall reduce that penalty appropriately.
(B) Notify the court that it declines to take
(d) The district attorney or commissioner may bring a over the action, in which case the person
civil action under this section. Before the commissioner bringing the action shall have the right to
may bring that action, the commissioner shall be conduct the action.
required to present the evidence obtained to the
appropriate local district attorney for possible criminal (5) When a person or governmental agency
or civil filing. If the district attorney elects not to pursue brings an action under this section, no person
the matter due to insufficient resources, then the other than the district attorney or commissioner
commissioner may proceed with the action. may intervene or bring a related action based on
the facts underlying the pending action unless
(e) (1) Any interested persons, including an insurer, that action is authorized by another statute or
may bring a civil action for a violation of this common law.
section for the person and for the State of
California. The action shall be brought in the (f) (1) If the district attorney or commissioner
name of the state. The action may be dismissed proceeds with the action, he or she shall have the
only if the court and the district attorney or the primary responsibility for prosecuting the action,
commissioner, whichever is participating, give and shall not be bound by an act of the person
written consent to the dismissal and their reasons bringing the action. That person shall have the
for consenting. right to continue as a party to the action, subject
to the limitations set forth in paragraph (2).
(2) A copy of the complaint and written
disclosure of substantially all material evidence (2) (A) The district attorney or commissioner
and information the person possesses shall be may dismiss the action notwithstanding the
served on the district attorney and commissioner. objections of the person initiating the action
The complaint shall be filed in camera, shall if the person has been notified by the
remain under seal for at least 60 days, and shall district attorney or commissioner of the
not be served on the defendant until the court so filing of the motion, and the court has
orders. The local district attorney or commissioner provided the person with an opportunity for
may elect to intervene and proceed with the a hearing on the motion.
action within 60 days after he or she receives both
the complaint and the material evidence and (B) The district attorney or commissioner
information. If more than one governmental may settle the action with the defendant
entity elects to intervene, the district attorney notwithstanding the objections of the person
shall have precedence. initiating the action if the court determines,
after a hearing, that the proposed
(3) The district attorney or commissioner may, settlement is fair, adequate, and reasonable
for good cause shown, move the court for under all the circumstances. Upon a showing
extensions of the time during which the complaint of good cause, the hearing may be held in
remains under seal under paragraph (2). The camera.
motions may be supported by affidavits or other
submissions in camera. The defendant shall not be (C) Upon a showing by the district attorney
required to respond to any complaint filed under or commissioner that unrestricted
this section until 20 days after the complaint is participation during the course of the
unsealed and served upon the defendant. litigation by the person initiating the action
would interfere with or unduly delay the
(4) Before the expiration of the 60-day period or district attorney’s or commissioner’s
any extensions obtained under paragraph (3), the prosecution of the case, or would be
district attorney or commissioner shall either: repetitious, irrelevant, or for purposes of
harassment, the court may, in its discretion,

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impose limitations on the person’s or commissioner that certain actions of discovery

participation, including, but not limited to, by the person initiating the action would interfere
the following: with a law enforcement or governmental agency
investigation or prosecution of a criminal or civil
(i) Limiting the number of witnesses matter arising out of the same facts, the court
the person may call. may stay discovery for a period of not more than
180 days. A hearing on a request for the stay shall
(ii) Limiting the length of the be conducted in camera. The court may extend
testimony of those witnesses. the 180-day period upon a further showing in
camera that the agency has pursued the criminal
(iii) Limiting the person’s cross-
or civil investigation or proceedings with
examination of witnesses.
reasonable diligence and any proposed discovery
(iv) Otherwise limiting the in the civil action will interfere with the ongoing
participation by the person in the criminal or civil investigation or proceedings.
litigation.
(5) Notwithstanding subdivision (e), the district
(D) Upon a showing by the defendant that attorney or commissioner may elect to pursue its
unrestricted participation during the course claim through any alternate remedy available to
of the litigation by the person initiating the the district attorney or commissioner.
action would be for purposes of harassment
(g) (1) (A) (i) If the district attorney proceeds
or would cause the defendant undue burden
with an action brought by a person
or unnecessary expense, the court may limit
under subdivision (e), that person shall,
the participation by the person in the
subject to subparagraph (B), receive at
litigation.
least 30 percent but not more than 40
(3) If the district attorney or commissioner percent of the proceeds of the action or
elects not to proceed with the action, the person settlement of the claim, depending
who initiated the action shall have the right to upon the extent to which the person
conduct the action. If the district attorney or substantially contributed to the
commissioner so requests, he or she shall be prosecution of the action.
served with copies of all pleadings filed in the
(ii) If the commissioner has brought
action and shall be supplied with copies of all
an action or has proceeded with an
deposition transcripts, at the district attorney’s or
action brought by another person
commissioner’s expense. When a person proceeds
under this section on or after January 1,
with the action, the court, without limiting the
2006, the commissioner shall be
status and rights of the person initiating the
entitled to attorney’s fees and costs in
action, may nevertheless permit the district
addition to any judgment, regardless of
attorney or commissioner to intervene at a later
the date that judgment is entered. The
date upon a showing of good cause.
court shall determine and award the
(4) If at any time both a civil action for penalties commissioner the amount of
and equitable relief pursuant to this section and a reasonable attorney’s fees, including,
criminal action are pending against a defendant but not limited to, reasonable fees for
for substantially the same conduct, whether time expended by attorneys employed
brought by the government or a private party, the by the department and for costs
civil action shall be stayed until the criminal action incurred. Any attorney’s fees or costs
has been concluded at the trial court level. The awarded to the commissioner and
stay shall not preclude the court from granting or collected shall be deposited in the
enforcing temporary equitable relief during the Insurance Fund. In cases in which the
pendency of the actions. Whether or not the commissioner has intervened, the
district attorney or commissioner proceeds with commissioner and the person bringing
the action, upon a showing by the district attorney the claim may stipulate to an allocation.

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The court may allocate the funds this subdivision shall be paid to the
pursuant to the stipulation if, after the General Fund of the state and, upon
court’s ruling on objection by the appropriation by the Legislature, shall
district attorney, if any, the court finds be apportioned between the
it is in the interests of justice to follow Department of Justice and the
the stipulation. Department of Insurance for enhanced
fraud investigation and prevention
(iii) If the commissioner has efforts.
proceeded with an action, if there is no
stipulation regarding allocation, and if a (B) Where the action is one that the court
judgment has been obtained or a finds to be based primarily on disclosures of
settlement has been reached with the specific information, other than information
defendants, the court shall determine provided by the person bringing the action,
the allocation, upon motion of the relating to allegations or transactions in a
commissioner or the person bringing criminal, civil, or administrative hearing, in a
the action, according to the following legislative or administrative report, hearing,
priority: audit, or investigation, or from the news
media, the court may award those sums that
(I) The person bringing the it considers appropriate, but in no case more
action, regardless of whether that than 10 percent of the proceeds, taking into
person paid money to the account the significance of the information
defendants as part of the acts and the role of the person bringing the
alleged in the complaint, shall first action in advancing the case to litigation.
receive the amount the court
determines is reasonable for (C) Any payment to a person under
attorney’s fees, costs, and subparagraph (A) or under subparagraph (B)
expenses that the court shall be made from the proceeds. The person
determines to have been shall also receive an amount for reasonable
necessarily incurred. expenses that the court finds to have been
necessarily incurred, plus reasonable
(II) The commissioner shall attorney’s fees and costs. All of those
receive the amount the court expenses, fees, and costs shall be awarded
determines for reasonable against the defendant.
attorney’s fees and costs.
(2) (A) If the district attorney or commissioner
(III) If the person bringing the does not proceed with an action under this
suit has paid moneys to the section, the person bringing the action or
defendants as part of the acts settling the claim shall receive an amount
alleged in the complaint, that that the court decides is reasonable for
person shall receive the amount collecting the civil penalty and damages.
paid to the defendants. Except as provided in subparagraph (B), the
amount shall not be less than 40 percent
(IV) At least 30 percent, but not and not more than 50 percent of the
more than 40 percent, of the proceeds of the action or settlement and
remaining assets or moneys, shall shall be paid out of the proceeds. That
be allocated to the person person shall also receive an amount for
bringing the action, depending reasonable expenses that the court finds to
upon the extent to which the have been necessarily incurred, plus
person substantially contributed reasonable attorney’s fees and costs. All of
to the prosecution of the action. those attorney’s fees and costs shall be
imposed against the defendant. The parties
(iv) Those portions of a judgment or
shall serve the commissioner and the local
settlement not distributed pursuant to

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district attorney with complete copies of any (5) If the district attorney or commissioner does
and all settlement agreements, and terms not proceed with the action, and the person
and conditions, for actions brought under bringing the action conducts the action, the court
this article at least 10 days prior to filing any may award to the defendant its reasonable
motion for allocation with the court under attorney’s fees and expenses if the defendant
this paragraph. The court may allocate the prevails in the action and the court finds that the
funds pursuant to the settlement agreement claim of the person bringing the action was clearly
if, after the court’s ruling on objection by frivolous, clearly vexatious, or brought primarily
the commissioner or the local district for purposes of harassment.
attorney, if any, the court finds it is in the
interests of justice to follow the settlement (h) (1) In no event may a person bring an action
agreement. under subdivision (e) that is based upon
allegations or transactions that are the subject of
(B) If the person bringing the action, as a a civil suit or an administrative civil money penalty
result of a violation of this section has paid proceeding in which the Attorney General, district
money to the defendant or to an attorney attorney, or commissioner is already a party.
acting on behalf of the defendant in the
underlying claim, then he or she shall be (2) (A) No court shall have jurisdiction over an
entitled to up to double the amount paid to action under this section based upon the
the defendant or the attorney if that amount public disclosure of allegations or
is greater than 50 percent of the proceeds. transactions in a criminal, civil, or
That person shall also receive an amount for administrative hearing in a legislative or
reasonable expenses that the court finds to administrative report, hearing, audit, or
have been necessarily incurred, plus investigation, or from the news media,
reasonable attorney’s fees and costs. All of unless the action is brought by the Attorney
those expenses, fees, and costs shall be General or the person bringing the action is
awarded against the defendant. an original source of the information.

(3) If a local district attorney has proceeded with (B) For purposes of this paragraph,
an action under this section, one-half of the “original source” means an individual who
penalties not awarded to a private party, as well has direct and independent knowledge of
as any costs awarded shall go to the treasurer of the information on which the allegations are
the appropriate county. Those funds shall be used based and has voluntarily provided the
to investigate and prosecute fraud, augmenting information to the district attorney or
existing budgets rather than replacing them. All commissioner before filing an action under
remaining funds shall go to the state and be this section that is based on the information.
deposited in the General Fund and, when
appropriated by the Legislature, shall be (i) Except as provided in subdivision (j), the district
apportioned between the Department of Justice attorney or commissioner is not liable for expenses that
and the Department of Insurance for enhanced a person incurs in bringing an action under this section.
fraud investigation and prevention efforts.
(j) In civil actions brought under this section in which
(4) Whether or not the district attorney or the commissioner or a district attorney is a party, the
commissioner proceeds with the action, if the court shall retain discretion to impose sanctions
court finds that the action was brought by a otherwise allowed by law, including the ability to order
person who planned and initiated the violation of a party to pay expenses as provided in Sections 128.5
this section, that person shall be dismissed from and 1028.5 of the Code of Civil Procedure.
the civil action and shall not receive any share of
(k) Any employee who is discharged, demoted,
the proceeds of the action. The dismissal shall not
suspended, threatened, harassed, or in any other
prejudice the right of the district attorney or
manner discriminated against in the terms and
commissioner to continue the action on behalf of
conditions of employment by his or her employer
the state.
because of lawful acts done by the employee on behalf

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of the employee or others in furtherance of an action to fund increased investigation and prosecution of
under this section, including investigation for, initiation fraudulent automobile insurance claims and economic
of, testimony for, or assistance in an action filed or to automobile theft. Thirty-four percent of those funds
be filed under this section, shall be entitled to all relief received from ninety-five cents ($0.95) of the special
necessary to make the employee whole. That relief purpose assessment per insured vehicle shall be
shall include reinstatement with the same seniority distributed to the Fraud Division for enhanced
status the employee would have had but for the investigative efforts, 15 percent of that ninety-five
discrimination, two times the amount of backpay, cents ($0.95) shall be deposited in the Motor Vehicle
interest on the backpay, and compensation for any Account for appropriation to the Department of the
special damages sustained as a result of the California Highway Patrol for enhanced prevention and
discrimination, including litigation costs and reasonable investigative efforts to deter economic automobile
attorney’s fees. An employee may bring an action in the theft, and 51 percent of that ninety-five cents ($0.95)
appropriate superior court for the relief provided in this shall be distributed to district attorneys for purposes of
subdivision. The remedies under this section are in investigation and prosecution of automobile insurance
addition to any other remedies provided by existing fraud cases, including fraud involving economic
law. automobile theft.

(l) (1) An action pursuant to this section may not (b) (1) The commissioner shall award funds to
be filed more than three years after the discovery district attorneys according to population. The
of the facts constituting the grounds for commissioner may alter this distribution formula
commencing the action. as necessary to achieve the most effective
distribution of funds. A local district attorney
(2) Notwithstanding paragraph (1) no action desiring a portion of those funds shall submit to
may be filed pursuant to this section more than the commissioner an application detailing the
eight years after the commission of the act proposed use of any moneys that may be
constituting a violation of this section or a provided. The application shall include a detailed
violation of Section 549, 550, or 551 of the Penal accounting of assessment funds received and
Code. (Added by Stats. 1993, ch. 120. Amended by expended in prior years, including, at a minimum,
Stats. 1994, ch. 1247; Stats. 1995, ch. 574; Stats. all of the following:
1999, ch. 885; Stats. 2005, ch. 380; Stats. 2010, ch.
400.) (A) The amount of funds received and
expended.

§ 1872 Creation of Bureau of Fraudulent Claims (B) The uses to which those funds were
put, including payment of salaries and
There is created within the department the Fraud expenses, purchase of equipment and
Division to enforce the provisions of Sections 549, and supplies, and other expenditures by type.
550 of the Penal Code, and to administer the provisions
of Article 3 (commencing with Section 1873). (Added by (C) The results achieved as a consequence
Stats. 1989, ch. 1119. Amended by Stats. 1991, ch. 116; of expenditures made, including the number
Stats. 1991, ch. 934; Stats. 1992, ch. 675; Stats. 2005, ch. of investigations, arrests, complaints filed,
717.) convictions, and the amounts originally
claimed in cases prosecuted compared to
payments actually made in those cases.
§ 1872.8 Annual Special Purpose Assessment;
Distribution of Proceeds; Duties of Bureau of (D) Other relevant information as the
Fraudulent Claims commissioner may reasonably require. A
district attorney who fails to submit an
(a) An insurer doing business in this state shall pay application by the deadline set by the
an annual special purpose assessment to be commissioner shall be subject to loss of
determined by the commissioner, but not to exceed distribution of the moneys. The commissioner
one dollar ($1) annually, for each vehicle insured may consider recommendations and advice of
under an insurance policy it issues in this state, in order the Fraud Division and the Commissioner of

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

the California Highway Patrol in allocating (e) In the course of its investigations, the Fraud
moneys to local district attorneys. A district Division shall pursue aggressively all reported
attorney that receives funds shall submit an incidents of probable fraud and, in addition, shall
annual report to the commissioner, which forward to the appropriate disciplinary body the
may be made public, as to the success of the names of individuals licensed under the Business and
program administered. The report shall Professions Code who are suspected of actively
provide information and statistics on the engaging in fraudulent activity along with all relevant
number of active investigations, arrests, supporting evidence.
indictments, and convictions. Both the
application for moneys and the distribution of (f) As used in this section, “economic automobile
moneys shall be public documents. The theft” means automobile theft perpetrated for financial
commissioner shall conduct a fiscal audit of gain, including, but not limited to, the following:
the programs administered under this
subdivision at least once every three years. (1) Theft of a motor vehicle for financial gain.
The costs of a fiscal audit shall be shared
(2) Reporting that a motor vehicle has been
equally between the department and the
stolen for the purpose of filing a false insurance
district attorney. Information submitted to
claim.
the commissioner pursuant to this section
concerning criminal investigations, whether (3) Engaging in any act prohibited by Chapter
active or inactive, shall be confidential. If the 3.5 (commencing with Section 10801) of Division 4
commissioner determines that a district of the Vehicle Code.
attorney is unable or unwilling to investigate
and prosecute automobile insurance fraud (4) Switching of vehicle identification numbers
claims as provided by this subdivision or to obtain title to a stolen motor vehicle. (Added by
Section 1874.8, the commissioner may Stats. 1989, ch. 1119; Amended by Stats. 1991, ch.
discontinue the distribution of funds allocated 1222; Stats. 1994, ch. 1247; Stats. 1994, ch. 1248,
for that county and may redistribute those Stats. 1997, ch. 364; Stats. 1997, ch. 501; Stats.
funds to other eligible district attorneys. 1999, ch. 885; Stats. 2005, ch. 717; Stats. 2007, ch.
100; Stats. 2007, ch. 335; Stats. 2008, ch. 179.)
(2) The Department of the California Highway
Patrol shall submit to the commissioner, for
informational purposes only, a report detailing the § 1872.83 Reporting Incidents of Fraud to
department’s proposed use of funds under this Appropriate Disciplinary Body
section and an annual report in the same format
as required of district attorneys under paragraph (a) The commissioner shall ensure that the Fraud
(1). Division aggressively pursues all reported incidents of
probable workers’ compensation fraud, as defined in
(c) The remaining five cents ($0.05) shall be spent for Sections 11760 and 11880, and in subdivision (a) of
enhanced automobile insurance fraud investigation by Section 1871.4, and in Section 549 of the Penal Code,
the Fraud Division. and forwards to the appropriate disciplinary body the
names, along with all supporting evidence, of any
(d) Except for funds to be deposited in the Motor individuals licensed under the Business and Professions
Vehicle Account for allocation to the Department of Code who are suspected of actively engaging in
the California Highway Patrol for purposes of the fraudulent activity. The Fraud Division shall forward to
Motor Vehicle Theft Prevention Act (Chapter 5 the Insurance Commissioner or the Director of
(commencing with Section 10900) of Division 4 of the Industrial Relations, as appropriate, the name, along
Vehicle Code), the funds received under this section with all supporting evidence, of any insurer, as defined
shall be deposited in the Insurance Fund and be in subdivision (c) of Section 1877.1, suspected of
expended and distributed when appropriated by the actively engaging in the fraudulent denial of claims.
Legislature.
(b) To fund increased investigation and prosecution
of workers’ compensation fraud, and of willful failure to

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secure payment of workers’ compensation, in violation Workers’ Compensation Fraud Account in the
of Section 3700.5 of the Labor Code, there shall be an Insurance Fund, which is hereby created, and may
annual assessment as follows: be used, upon appropriation by the Legislature,
only for enhanced investigation and prosecution
(1) The aggregate amount of the assessment of workers’ compensation fraud and of willful
shall be determined by the Fraud Assessment failure to secure payment of workers’
Commission, which is hereby established. The compensation as provided in this section.
commission shall be composed of seven members
consisting of two representatives of organized (c) For each fiscal year, the total amount of revenues
labor, two representatives of self-insured derived from the assessment pursuant to subdivision
employers, one representative of insured (b) shall, together with amounts collected pursuant to
employers, one representative of workers’ fines imposed for unlawful acts described in Sections
compensation insurers, and the President of the 1871.4, 11760, and 11880, Section 3700.5 of the Labor
State Compensation Insurance Fund, or his or her Code, and Section 549 of the Penal Code, not be less
designee. The Governor shall appoint members than three million dollars ($3,000,000). Any funds
representing organized labor, self-insured appropriated by the Legislature pursuant to subdivision
employers, insured employers, and insurers. The (b) that are not expended in the fiscal year for which
term of office of members of the commission shall they have been appropriated, and that have not been
be four years, and a member shall hold office until allocated under subdivision (f), shall be applied to
the appointment of a successor. The President of satisfy for the immediately following fiscal year the
the State Compensation Insurance Fund shall be minimum total amount required by this subdivision. In
an ex officio, voting member of the commission. no case may that money be transferred to the General
Members of the commission shall receive one Fund.
hundred dollars ($100) for each day of actual
attendance at commission meetings and other (d) After incidental expenses, at least 40 percent of
official commission business, and shall also the funds to be used for the purposes of this section
receive their actual and necessary traveling shall be provided to the Fraud Division of the
expenses incurred in the performance of Department of Insurance for enhanced investigative
commission duties. Payment of per diem and efforts, and at least 40 percent of the funds shall be
travel expenses shall be made from the Workers’ distributed to district attorneys, pursuant to a
Compensation Fraud Account in the Insurance determination by the commissioner with the advice
Fund, established in paragraph (4), upon and consent of the division and the Fraud Assessment
appropriation by the Legislature. Commission, as to the most effective distribution of
moneys for purposes of the investigation and
(2) In determining the aggregate amount of the prosecution of workers’ compensation fraud cases and
assessment, the Fraud Assessment Commission cases relating to the willful failure to secure the
shall consider the advice and recommendations of payment of workers’ compensation. Each district
the Fraud Division and the commissioner. attorney seeking a portion of the funds shall submit to
the commissioner an application setting forth in detail
(3) The aggregate amount of the assessment the proposed use of any funds provided. A district
shall be collected by the Director of Industrial attorney receiving funds pursuant to this subdivision
Relations pursuant to Section 62.6 of the Labor shall submit an annual report to the commissioner with
Code. The Fraud Assessment Commission shall respect to the success of his or her efforts. Upon
annually advise the Director of Industrial receipt, the commissioner shall provide copies to the
Relations, not later than March 15, of the Fraud Division and the Fraud Assessment Commission
aggregate amount to be assessed for the next of any application, annual report, or other documents
fiscal year. with respect to the allocation of money pursuant to this
subdivision. Both the application for moneys and the
(4) The amount collected, together with the distribution of moneys shall be public documents.
fines collected for violations of the unlawful acts Information submitted to the commissioner pursuant
specified in Sections 1871.4, 11760, and 11880, to this section concerning criminal investigations,
Section 3700.5 of the Labor Code, and Section 549 whether active or inactive, shall be confidential.
of the Penal Code, shall be deposited in the

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(e) If a district attorney is determined by the relating to the willful failure to secure the
commissioner to be unable or unwilling to investigate payment of workers’ compensation that are
and prosecute workers’ compensation fraud claims or redirected pursuant to this subdivision. The
claims relating to the willful failure to secure the Attorney General shall submit an annual report to
payment of workers’ compensation, the commissioner the commissioner with respect to the success of
shall discontinue distribution of funds allocated for that the fraud prosecution efforts of his or her office.
county and may redistribute those funds according to
this subdivision. (3) Neither the Attorney General nor any district
attorney shall be required to relinquish control of
(1) The commissioner shall promptly determine any investigation or prosecution undertaken
whether any other county could assert jurisdiction pursuant to this subdivision unless the
to prosecute the fraud claims or claims relating to commissioner determines that satisfactory
the willful failure to secure the payment of progress is no longer being made on the case or
workers’ compensation that would have been the case has been abandoned.
brought in the nonparticipating county, and if so,
the commissioner may award funds to conduct (4) A county that has become a nonparticipating
the prosecutions redirected pursuant to this county due to the inability or unwillingness of its
subdivision. These funds may be in addition to any district attorney to investigate and prosecute
other fraud prosecution funds or claims relating to workers’ compensation fraud or the willful failure
the willful failure to secure the payment of to secure the payment of workers’ compensation
workers’ compensation prosecution otherwise shall not become eligible to receive funding under
awarded under this section. Any district attorney this section until it has submitted a new
receiving funds pursuant to this subdivision shall application that meets the requirements of
first agree that the funds shall be used solely for subdivision (d) and the applicable regulations.
investigating and prosecuting those cases of
workers’ compensation fraud or claims relating to (f) If in any fiscal year the Fraud Division does not use
the willful failure to secure the payment of all of the funds made available to it under subdivision
workers’ compensation that are redirected (d), any remaining funds may be distributed to district
pursuant to this subdivision and submit an annual attorneys pursuant to a determination by the
report to the commissioner with respect to the commissioner in accordance with the same procedures
success of the district attorney’s efforts. The set forth in subdivision (d).
commissioner shall keep the Fraud Assessment
(g) The commissioner shall adopt rules and
Commission fully informed of all reallocations of
regulations to implement this section in accordance
funds under this paragraph.
with the rulemaking provisions of the Administrative
(2) If the commissioner determines that no Procedure Act (Chapter 3.5 (commencing with Section
district attorney is willing or able to investigate 11340) of Part 1 of Division 3 of Title 2 of the
and prosecute the workers’ compensation fraud Government Code). Included in the rules and
claims or claims relating to the willful failure to regulations shall be the criteria for redistributing funds
secure the payment of workers’ compensation to district attorneys and the Attorney General. The
arising in the nonparticipating county, the adoption of the rules and regulations shall be deemed
commissioner, with the advice and consent of the to be an emergency and necessary for the immediate
Fraud Assessment Commission, may award to the preservation of the public peace, health, and safety, or
Attorney General some or all of the funds general welfare.
previously awarded to the nonparticipating
(h) The department shall report to the Governor, the
county. Before the commissioner may award any
Legislature, to the committees of the Senate and
funds, the Attorney General shall submit to the
Assembly having jurisdiction over insurance, and the
commissioner an application setting forth in detail
Fraud Assessment Commission on the activities of the
his or her proposed use of any funds provided and
Fraud Division and district attorneys supported by the
agreeing that any funds awarded shall be used
funds provided by this section in the annual report
solely for investigating and prosecuting those
submitted pursuant to Section 12922.
cases of workers’ compensation fraud or claims

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The annual report shall include, but is not limited to, all compensation. The report shall specifically identify
of the following information for the department and areas of deficiencies. Included in this report shall be
each district attorney’s office: recommendations on whether the current program
provides the appropriate levels of accountability for
(1) All allocations, distributions, and those responsible for the allocation and expenditure of
expenditures of funds.
funds raised from the assessment provided in this
(2) The number of search warrants issued. section. The Bureau of State Audits shall submit a
report to the Chairperson of the Senate Committee on
(3) The number of arrests and prosecutions, and Labor and Industrial Relations and the Chairperson of
the aggregate number of parties involved in each. the Assembly Committee on Insurance on or before
May 1, 2004. (Added by Stats. 1991, ch. 116. Amended
(4) The number of convictions and the names of by Stats. 1991, ch. 934; Stats. 1994, ch. 301; Stats.
all convicted fraud perpetrators. 1995, ch. 885, ch. 886; Stats. 1997, ch. 364; Stats. 2001,
ch. 159; Stats. 2002, ch. 6; Stats. 2005, ch. 717; Stats.
(5) The estimated value of all assets frozen,
2006, ch. 405.)
penalties assessed, and restitutions made for each
conviction.
§ 1872.95 Medical & Chiropractic Boards and State
(6) Any additional items necessary to fully
inform the Fraud Assessment Commission and the Bar; Investigation of Motor Vehicle or Disability
Legislature of the fraud fighting efforts financed Insurance Fraud by Licensees
through this section.
(a) Within existing resources, the Medical Board of
(i) In order to meet the requirements of subdivision California, the Board of Chiropractic Examiners, and the
(g), the department shall submit a biannual information State Bar shall each designate employees to investigate
request to those district attorneys who have applied for and report on possible fraudulent activities relating to
and received funding through the annual assessment workers’ compensation, motor vehicle insurance, or
process under this section. disability insurance by licensees of the board or the bar.
Those employees shall actively cooperate with the Fraud
(j) Assessments levied or collected to fight workers’ Division in the investigation of those activities.
compensation fraud and insurance fraud are not taxes.
Those funds are entrusted to the state to fight fraud (b) The Medical Board of California and the Board of
and the willful failure to secure the payment of Chiropractic Examiners shall each report annually, on or
workers’ compensation by funding state and local before March 1, to the committees of the Senate and
investigation and prosecution efforts. Accordingly, any Assembly having jurisdiction over insurance on their
funds resulting from assessments, fees, penalties, fines, activities established pursuant to subdivision (a) for the
restitution, or recovery of costs of investigation and previous year. The State Bar shall include this report in its
prosecution deposited in the Insurance Fund shall not Annual Discipline Report on or before April 30. That
be deemed “unexpended” funds for any purpose and, if report shall specify, at a minimum, the number of cases
remaining in that account at the end of any fiscal year, investigated, the number of cases forwarded to the
shall be applied as provided in subdivision (f) and to Fraud Division or other law enforcement agencies, the
offset or augment subsequent years’ program funding. outcome of all cases listed in the report, and any other
relevant information concerning those cases or general
(k) The Bureau of State Audits shall evaluate the activities conducted under subdivision (a) for the
effectiveness of the efforts of the Fraud Assessment previous year. The report shall include information
Commission, the Fraud Division, the Department of regarding activities conducted in connection with cases
Insurance, and the Department of Industrial Relations, of suspected automobile insurance fraud. (Added by
as well as local law enforcement agencies, including Stats. 1991, ch. 1222. Another §1872.95, added by
district attorneys, in identifying, investigating, and Stats. 1991, ch. 1008, was renumbered §1872.96 and
prosecuting workers’ compensation fraud and the amended by Stats. 1992, ch. 427; Stats. 1995, ch. 167;
willful failure to secure payment of workers’

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

Stats. 1999, ch. 885; Stats. 2005, ch. 717; Stats. 2018, the United States, the officers or employees of the
ch. 659.) United States having information as to such payments
and required to make returns in regard thereto by the
regulations hereinafter provided for, shall render a true
§ 1877.5 Insurer Communications Under this and accurate return to the Secretary, under such
Article are Privileged; Immunity from Civil Liability regulations and in such form and manner and to such
extent as may be prescribed by the Secretary, setting
No insurer, agent authorized by an insurer to act on its forth the amount of such gains, profits, and income,
behalf, or licensed rating organization who furnishes and the name and address of the recipient of such
information, written or oral, pursuant to this article, payment.
and no authorized governmental agency or its
employees who (a) furnishes or receives information, (b) Collection of foreign items.–
written or oral, pursuant to this article, or (b) assists in
any investigation of a suspected violation of Section In the case of collections of items (not payable in the
1871.1, 1871.4, 11760, or 11880, or of Section 549 of United States) of interest upon the bonds of foreign
the Penal Code, or of Section 3215 or 3219 of the Labor countries and interest upon the bonds of and dividends
Code conducted by an authorized governmental from foreign corporations by any person undertaking as
agency, shall be subject to any civil liability in a cause or a matter of business or for profit the collection of
action of any kind where the insurer, authorized agent, foreign payments of such interest or dividends by
licensed rating organization, or authorized means of coupons, checks, or bills of exchange, such
governmental agency acts in good faith, without person shall make a return according to the forms or
malice, and reasonably believes that the action taken regulations prescribed by the Secretary, setting forth
was warranted by the then known facts, obtained by the amount paid and the name and address of the
reasonable efforts. Nothing in this chapter is intended recipient of each such payment.
to, nor does in any way or manner, abrogate or lessen
the existing common law or statutory privileges and (c) Recipient to furnish name and address.–
immunities of an insurer, agent authorized by that
insurer to act on its behalf, licensed rating organization, When necessary to make effective the provisions of this
or any authorized governmental agency or its section, the name and address of the recipient of
employees. (Added by Stats. 1991, ch. 116. Amended income shall be furnished upon demand of the person
by Stats. 1991, ch. 934; Stats. 1993, ch. 120; Stats. paying the income.
2004, ch. 636.)
(d) Statements to be furnished to persons with
respect to whom information is required.–

Every person required to make a return under

INTERNAL REVENUE CODE subsection (a) shall furnish to each person with respect
to whom such a return is required a written statement
§ 6041 Information at Source showing–

(a) Payments of $600 or more.– (1) the name, address, and phone number of
the information contact of the person required to
All persons engaged in a trade or business and making make such return, and
payment in the course of such trade or business to
another person, of rent, salaries, wages, premiums, (2) the aggregate amount of payments to the
annuities, compensations, remunerations, emoluments, person required to be shown on the return.
or other fixed or determinable gains, profits, and
income (other than payments to which section The written statement required under the
6042(a)(1), 6044(a)(1), 6047(e), 6049(a), or 6050N(a) preceding sentence shall be furnished to the
applies, and other than payments with respect to which person on or before January 31 of the year
a statement is required under the authority of section following the calendar year for which the return
6042(a)(2), 6044(a)(2), or 6045), of $600 or more in any under subsection (a) was required to be made. To
taxable year, or, in the case of such payments made by the extent provided in regulations prescribed by

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

the Secretary, this subsection shall also apply to Title XII, § 1201(a)(1), 110 Stat. 1469; Dec. 8, 2003,
persons required to make returns under Pub.L. 108-173, Title XII, § 1203(a), 117 Stat. 2480; Oct.
subsection (b). 22, 2004, Pub.L. 108-357, Title VIII, § 885(b)(3), 118
Stat. 1640; Mar. 23, 2010, Pub.L. 111-148, Title IX, §
(e) Section does not apply to certain tips.– 9006(a), (b), 124 Stat. 855; Sept. 27, 2010, Pub.L. 111-
240, Title II, § 2101(a), 124 Stat. 2561; Apr. 14, 2011,
This section shall not apply to tips with respect to which Pub.L. 112-9, §§ 2(a), (b), 3(a), 125 Stat. 36.)
section 6053(a) (relating to reporting of tips) applies.

(f) Section does not apply to certain health § 6045 Returns of Brokers
arrangements.–
(a) General rule.–
This section shall not apply to any payment for medical
care (as defined in section 213(d)) made under– Every person doing business as a broker shall, when
required by the Secretary, make a return, in accordance
(1) a flexible spending arrangement (as defined with such regulations as the Secretary may prescribe,
in section 106(c)(2)), or showing the name and address of each customer, with
such details regarding gross proceeds and such other
(2) a health reimbursement arrangement which information as the Secretary may by forms or
is treated as employer-provided coverage under regulations require with respect to such business.
an accident or health plan for purposes of section
106. (b) Statements to be furnished to customers.–

(g) Nonqualified deferred compensation.– Every person required to make a return under
subsection (a) shall furnish to each customer whose
Subsection (a) shall apply to– name is required to be set forth in such return a written
statement showing–
(1) any deferrals for the year under a
nonqualified deferred compensation plan (within (1) the name, address, and phone number of
the meaning of section 409A(d)), whether or not the information contact of the person required to
paid, except that this paragraph shall not apply to make such return, and
deferrals which are required to be reported under
section 6051 (a)(13) (without regard to any de (2) the information required to be shown on
minimis exception), and such return with respect to such customer.

(2) any amount includible under section 409A and The written statement required under the preceding
which is not treated as wages under section 3401(a). sentence shall be furnished to the customer on or
before February 15 of the year following the calendar
[(h) Repealed. Pub.L. 112-9, § 3(a), Apr. 14, 2011, 125 year for which the return under subsection (a) was
Stat. 36] required to be made. In the case of a consolidated
reporting statement (as defined in regulations) with
[(i), (j) Repealed. Pub.L. 112-9, § 2(a), Apr. 14, 2011, 125 respect to any customer, any statement which would
Stat. 36] otherwise be required to be furnished on or before
January 31 of a calendar year with respect to any item
(Aug. 16, 1954, c. 736, 68A Stat. 745; Oct. 16, 1962, reportable to the taxpayer shall instead be required to
Pub.L. 87-834, § 19(f), 76 Stat. 1058; Oct. 4, 1976, be furnished on or before February 15 of such calendar
Pub.L. 94-455, Title XIX, § 1906(b)(13)(A), 90 Stat. 1834; year if furnished with such consolidated reporting
Nov. 6, 1978, Pub.L. 95-600, Title V, § 501(b), 92 Stat. statement.
2878; Aug. 13, 1981, Pub. L. 97-34, Title VII, § 723(b)(1),
95 Stat. 344; Sept. 3, 1982, Pub.L. 97-248, Title III, § (c) Definitions.–
309(b)(1), 96 Stat. 595; July 18, 1984, Pub. L. 98-369,
Div. A, Title VII, § 722(h)(4)(B), 98 Stat. 976; Oct. 22, For purposes of this section–
1986, Pub.L. 99-514, Title XV, §§ 1501(c)(1), 1523(b)(2),
(1) Broker.–
100 Stat. 2736, 2748; July 30, 1996, Pub.L. 104-168,

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

The term “broker” includes– February 15 of the year following the calendar year in
which the payment was made. The Secretary may
(A) a dealer, prescribe regulations which require the broker to make
a return which includes the information contained in
(B) a barter exchange, and such written statement.
(C) any other person who (for a (e) Return required in the case of real estate
consideration) regularly acts as a middleman transactions.–
with respect to property or services.
(1) In general.–
A person shall not be treated as a broker with
respect to activities consisting of managing a In the case of a real estate transaction, the real
farm on behalf of another person. estate reporting person shall file a return under
subsection (a) and a statement under subsection
(2) Customer.– (b) with respect to such transaction.
The term “customer” means any person for whom (2) Real estate reporting person.–
the broker has transacted any business.
For purposes of this subsection, the term “real
(3) Barter exchange.– estate reporting person” means any of the
following persons involved in a real estate
The term “barter exchange” means any
transaction in the following order:
organization of members providing property or
services who jointly contract to trade or barter such (A) the person (including any attorney or
property or services. title company) responsible for closing the
transaction,
(4) Person.–
(B) the mortgage lender,
The term “person” includes any governmental
unit and any agency or instrumentality thereof. (C) the seller’s broker,
(d) Statements required in case of certain substitute (D) the buyer’s broker, or
payments.–
(E) such other person designated in
If any broker– regulations prescribed by the Secretary.
(1) transfers securities of a customer for use in a Any person treated as a real estate reporting
short sale or similar transaction, and person under the preceding sentence shall be
treated as a broker for purposes of subsection
(2) receives (on behalf of the customer) a
(c)(1).
payment in lieu of–
(3) Prohibition of separate charge for filing
(A) a dividend,
return.–
(B) tax-exempt interest, or
It shall be unlawful for any real estate reporting
(C) such other items as the Secretary may person to separately charge any customer for
prescribe by regulations, complying with any requirement of paragraph (1).
Nothing in this paragraph shall be construed to
during the period such short sale or similar transaction prohibit the real estate reporting person from
is open, the broker shall furnish such customer a taking into account its cost of complying with such
written statement (in the manner as the Secretary shall requirement in establishing its charge (other than
prescribe by regulations) identifying such payment as a separate charge for complying with such
being in lieu of the dividend, tax-exempt interest, or requirement) to any customer for performing
such other item. The written statement required under services in the case of a real estate transaction.
the preceding sentence shall be furnished on or before

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(4) Additional information required.– increase will not materially reduce revenues
to the Treasury.
In the case of a real estate transaction involving a
residence, the real estate reporting person shall (B) Seller.–
include the following information on the return
under subsection (a) and on the statement under For purposes of this paragraph, the term
subsection (b): “seller” includes the person relinquishing the
residence in an exchange.
(A) The portion of any real property tax
which is treated as a tax imposed on the (f) Return required in the case of payments to
purchaser by reason of section 164(d)(1)(B). attorneys.–

(B) Whether or not the financing (if any) of (1) In general.–

the seller was federally-subsidized
indebtedness (as defined in section Any person engaged in a trade or business and
143(m)(3)). making a payment (in the course of such trade or
business) to which this subsection applies shall file
(5) Exception for sales or exchanges of certain a return under subsection (a) and a statement
principal residences.– under subsection (b) with respect to such
payment.
(A) In general.–
(2) Application of subsection.–
Paragraph (1) shall not apply to any sale or
exchange of a residence for $250,000 or less if (A) In general.–
the person referred to in paragraph (2)
receives written assurance in a form This subsection shall apply to any payment
acceptable to the Secretary from the seller to an attorney in connection with legal
that– services (whether or not such services are
performed for the payor).
(i) such residence is the principal
residence (within the meaning of (B) Exception.–
section 121) of the seller,
This subsection shall not apply to the portion
(ii) if the Secretary requires the of any payment which is required to be
inclusion on the return under reported under section 6041(a) (or would be
subsection (a) of information as to so required but for the dollar limitation
whether there is federally subsidized contained therein) or section 6051.
mortgage financing assistance with
(g) Additional information required in the case of
respect to the mortgage on residences,
securities transactions, etc.–
that there is no such assistance with
respect to the mortgage on such (1) In general.–
residence, and
If a broker is otherwise required to make a return
(iii) the full amount of the gain on under subsection (a) with respect to the gross
such sale or exchange is excludable proceeds of the sale of a covered security, the
from gross income under section 121. broker shall include in such return the information
described in paragraph (2).
If such assurance includes an assurance
that the seller is married, the preceding (2) Additional information required.–
sentence shall be applied by
substituting “$500,000” for “$250,000.” (A) In general.–
The Secretary may by regulation increase the The information required under paragraph
dollar amounts under this subparagraph if (1) to be shown on a return with respect to a
the Secretary determines that such an covered security of a customer shall include

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the customer's adjusted basis in such not required to be corrected by reason

security and whether any gain or loss with of section 6721(c)(3) or section
respect to such security is long-term or 6722(c)(3) as the correct amount.
short-term (within the meaning of section
1222). (3) Covered security.–

(B) Determination of adjusted basis.– For purposes of this subsection–

For purposes of subparagraph (A)– (A) In general–

(i) In general.– The term “covered security” means any

specified security acquired on or after the
The customer's adjusted basis shall be applicable date if such security–
determined–
(i) was acquired through a
(I) in the case of any security transaction in the account in which
(other than any stock for which an such security is held, or
average basis method is
permissible under section 1012), (ii) was transferred to such account
in accordance with the first-in from an account in which such security
first-out method unless the was a covered security, but only if the
customer notifies the broker by broker received a statement under
means of making an adequate section 6045A with respect to the
identification of the stock sold or transfer.
transferred, and
(B) Specified security.–
(II) in the case of any stock for
which an average basis method is The term “specified security” means–
permissible under section 1012, in
(i) any share of stock in a
accordance with the broker's
corporation,
default method unless the
customer notifies the broker that (ii) any note, bond, debenture, or
he elects another acceptable other evidence of indebtedness,
method under section 1012 with
respect to the account in which (iii) any commodity, or contract or
such stock is held. derivative with respect to such
commodity, if the Secretary determines
(ii) Exception for wash sales.– that adjusted basis reporting is
appropriate for purposes of this
Except as otherwise provided by the
subsection, and
Secretary, the customer's adjusted
basis shall be determined without (iv) any other financial instrument with
regard to section 1091 (relating to loss respect to which the Secretary
from wash sales of stock or securities) determines that adjusted basis reporting
unless the transactions occur in the is appropriate for purposes of this
same account with respect to identical subsection.
securities.
(C) Applicable date.–
(iii) Treatment of uncorrected de
minimis errors The term “applicable date” means–
Except as otherwise provided by the (i) January 1, 2011, in the case of any
Secretary, the customer’s adjusted specified security which is stock in a
basis shall be determined by treating
any incorrect dollar amount which is

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corporation (other than any stock In the case of the lapse (or closing transaction (as
described in clause (ii)), defined in section 1234(b)(2)(A))) of an option on
a specified security or the exercise of a cash-
(ii) January 1, 2012, in the case of any settled option on a specified security, reporting
stock for which an average basis under subsections (a) and (g) with respect to such
method is permissible under section option shall be made for the calendar year which
1012, and includes the date of such lapse, closing
transaction, or exercise.
(iii) January 1, 2013, or such later
date determined by the Secretary in (3) Prospective application.–
the case of any other specified
security. Paragraphs (1) and (2) shall not apply to any
option which is granted or acquired before
(4) Treatment of S corporations.– January 1, 2013.
In the case of the sale of a covered security (4) Definitions.–
acquired by an S corporation (other than a
financial institution) after December 31, 2011, For purposes of this subsection, the terms
such S corporation shall be treated in the same “covered security” and “specified security” shall
manner as a partnership for purposes of this have the meanings given such terms in subsection
section. (g)(3).

(5) Special rules for short sales.– (Aug. 16, 1954, c. 736, 68A Stat. 747; Oct. 4, 1976,
Pub.L. 94-455, Title XIX, § 1906(b)(13)(A), 90 Stat.
In the case of a short sale, reporting under this 1834; Sept. 3, 1982, Pub.L. 97-248, Title III, § 311(a)(1),
section shall be made for the year in which such 96 Stat. 600; July 18, 1984, Pub.L. 98-369, Div. A, Title
sale is closed. I, § 150(a), Title VII, § 714(e)(1), 98 Stat. 690, 961; Oct.
22, 1986, Pub.L. 99-514, Title XV, §§ 1501(c)(4),
(6) Special rule for certain stock held in
1521(a), 100 Stat. 2737, 2746; Nov. 10, 1988, Pub.L.
connection with dividend reinvestment plan.–
100-647, Title I, § 1015(e)(1)(A), (2)(A), (3), Title IV, §
For purposes of this subsection, stock acquired 4005(g)(3), 102 Stat. 3569, 3570, 3650; Dec. 19, 1989,
before January 1, 2012, in connection with a Pub.L. 101-239, Title VII, § 7814(c)(1), 103 Stat. 2413;
dividend reinvestment plan shall be treated as Nov. 5, 1990, Pub.L. 101-508, Title XI, § 11704(a)(25),
stock described in clause (ii) of paragraph (3)(C) 104 Stat. 1388-519; Oct. 24, 1992, Pub.L. 102-486, Title
(unless the broker with respect to such stock XIX, § 1939(a), 106 Stat. 3034; July 30, 1996, Pub.L.
elects not to have this paragraph apply with 104-168, Title XII, § 1201(a)(5), 110 Stat. 1469; Aug. 20,
respect to such stock). 1996, Pub.L. 104-188, Title I, § 1704(o)(1), 110 Stat.
1886; Aug. 5, 1997, Pub.L. 105-34, Title III, § 312(c),
(h) Application to options on securities.– Title X, § 1021(a), 111 Stat. 839, 922; Dec. 21, 2005,
Pub.L. 109-135, Title IV, § 412(xx), 119 Stat. 2640; Oct.
(1) Exercise of option.– 3, 2008, Pub.L. 110-343, Div. B, Title IV, § 403(a), 122
Stat. 3854; Dec. 19, 2014, Pub.L. 113-295 Title II, §
For purposes of this section, if a covered security
210(f)(4), 128 Stat. 4032; Dec. 18, 2015, Pub.L. 114-
is acquired or disposed of pursuant to the
113, Title II, § 202(c), 129 Stat. 3077.)
exercise of an option that was granted or
acquired in the same account as the covered
security, the amount received with respect to the § 6050I Returns Relating to Cash Received in
grant or paid with respect to the acquisition of Trade or Business
such option shall be treated as an adjustment to
gross proceeds or as an adjustment to basis, as (a) Cash receipts of more than $10,000.–
the case may be.
Any person–
(2) Lapse or closing transaction.–
(1) who is engaged in a trade or business, and

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(2) who, in the course of such trade or business, not apply to any transaction if the entire
receives more than $10,000 in cash in 1 transaction occurs outside the United States.
transaction (or 2 or more related transactions),
(d) Cash includes foreign currency and certain
shall make the return described in subsection (b) with monetary instruments.–
respect to such transactions (or related transactions) at
such time as the Secretary may by regulations For purposes of this section, the term “cash” includes–
prescribe.
(1) foreign currency, and
(b) Form and manner of returns.–
(2) to the extent provided in regulations
A return is described in this subsection if such return– prescribed by the Secretary, any monetary
instrument (whether or not in bearer form) with a
(1) is in such form as the Secretary may face amount of not more than $10,000.
prescribe,
Paragraph (2) shall not apply to any check drawn
(2) contains– on the account of the writer in a financial
institution referred to in subsection (c)(1)(B).
(A) the name, address, and TIN of the
person from whom the cash was received, (e) Statements to be furnished to persons with
respect to whom information is required.–
(B) the amount of cash received,
Every person required to make a return under
(C) the date and nature of the transaction, subsection (a) shall furnish to each person whose name
and is required to be set forth in such return a written
statement showing–
(D) such other information as the Secretary
may prescribe. (1) the name, address, and phone number of
the information contact of the person required to
(c) Exceptions.– make such return, and

(1) Cash received by financial institutions.– (2) the aggregate amount of cash described in
subsection (a) received by the person required to
Subsection (a) shall not apply to– make such return.

(A) cash received in a transaction reported The written statement required under the
under title 31, United States Code, if the preceding sentence shall be furnished to the
Secretary determines that reporting under person on or before January 31 of the year
this section would duplicate the reporting to following the calendar year for which the return
the Treasury under title 31, United States under subsection (a) was required to be made.
Code, or
(f) Structuring transactions to evade reporting
(B) cash received by any financial requirements prohibited.–
institution (as defined in subparagraphs (A),
(B), (C), (D), (E), (F), (G), (J), (K), (R), and (S) of (1) In general.–
section 5312(a)(2) of title 31, United States
No person shall for the purpose of evading the
Code). return requirements of this section–
(2) Transactions occurring outside the United (A) cause or attempt to cause a trade or
States.– business to fail to file a return required
under this section.
Except to the extent provided in regulations
prescribed by the Secretary, subsection (a) shall (B) cause or attempt to cause a trade or
business to file a return required under this

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section that contains a material omission or (3) Specified criminal offense.–

misstatement of fact, or
For purposes of this subsection, the term
(C) structure or assist in structuring, or “specified criminal offense” means–
attempt to structure or assist in structuring,
any transaction with one or more trades or (A) any Federal criminal offense involving a
businesses. controlled substance,

(2) Penalties.– (B) racketeering (as defined in section

1951, 1952, or 1955 of title 18, United States
A person violating paragraph (1) of this subsection Code),
shall be subject to the same civil and criminal
sanctions applicable to a person which fails to file (C) money laundering (as defined in section
or completes a false or incorrect return under this 1956 or 1957 of such title), and
section.
(D) any State criminal offense substantially
(g) Cash received by criminal court clerks.– similar to an offense described in
subparagraph (A), (B), or (C).
(1) In general.–
(4) Information to Federal prosecutors.–
Every clerk of a Federal or State criminal court
who receives more than $10,000 in cash as bail for Each clerk required to include on a return under
any individual charged with a specified criminal paragraph (1) the information described in
offense shall make a return described in paragraph (2)(B) with respect to an individual
paragraph (2) (at such time as the Secretary may described in paragraph (2)(B)(i)(I) shall furnish (at
by regulations prescribe) with respect to the such time as the Secretary may by regulations
receipt of such bail. prescribe) a written statement showing such
information to the United States Attorney for the
(2) Return.– jurisdiction in which such individual resides and
the jurisdiction in which the specified criminal
A return is described in this paragraph if such offense occurred.
return–
(5) Information to payors of bail.–
(A) is in such form as the Secretary may
prescribe, and Each clerk required to make a return under
paragraph (1) shall furnish (at such time as the
(B) contains– Secretary may by regulations prescribe) to each
person whose name is required to be set forth in
(i) the name, address, and TIN of– such return by reason of paragraph (2)(B)(i)(II) a
written statement showing–
(I) the individual charged with
the specified criminal (A) the name and address of the clerk’s
offense, and office required to make the return, and
(II) each person posting the bail (B) the aggregate amount of cash
(other than a person licensed described in paragraph (1) received by such
as a bail bondsman), clerk.
(ii) the amount of cash received, (Added Pub.L. 98-369, Div. A, Title I, §146(a), July 18,
1984, 98 Stat. 685, and amended Pub.L. 99-514, Title
(iii) the date the cash was received,
XV §1501(c)(12), Oct. 22, 1986, 100 Stat. 2739; Pub.L.
and
100-690, Title VII, §7601(a)(1), Nov. 18, 1988, 102 Stat.
(iv) such other information as the 4503; Pub.L. 101-508, Title XI, §11318(a), (c), Nov. 5,
Secretary may prescribe. 1990, 104 Stat. 1388-458, 1388-459; Pub. L. 103-322,

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

Title II, §20415(a), (b)(3), Sept. 13, 1994, 108 Stat. 1832, contractual obligation to make payment to
1833; Pub.L. 104-168, Title XII, §1201(a)(9), July 30, participating payees of third-party network
1996, 110 Stat. 1469.) transactions.

(4) Special rules related to intermediaries.–

§ 6050W Returns Relating to Payments Made in
Settlement of Payment Card and for Third-Party For purposes of this section–
Network Transactions (A) Aggregated payees.–
(a) In general.– In any case where reportable payment
transactions of more than one participating
Each payment settlement entity shall make a return for
payee are settled through an intermediary–
each calendar year setting forth–
(i) such intermediary shall be
(1) the name, address, and TIN of each
treated as the participating payee for
participating payee to whom one or more
purposes of determining the reporting
payments in settlement of reportable payment
obligations of the payment settlement
transactions are made, and
entity with respect to such
(2) the gross amount of the reportable payment transactions, and
transactions with respect to each such
(ii) such intermediary shall be treated
participating payee.
as the payment settlement entity with
Such return shall be made at such time and in such respect to the settlement of such
form and manner as the Secretary may require by transactions with the participating
regulations. payees.

(b) Payment settlement entity.– (B) Electronic payment facilitators.–

For purposes of this section– In any case where an electronic payment

facilitator or other third-party makes
(1) In general.– payments in settlement of reportable
payment transactions on behalf of the
The term “payment settlement entity” means– payment settlement entity, the return under
subsection (a) shall be made by such
(A) in the case of a payment card electronic payment facilitator or other third-
transaction, the merchant acquiring entity, party in lieu of the payment settlement
and entity.
(B) in the case of a third-party network (c) Reportable payment transaction.–
transaction, the third-party settlement
organization. For purposes of this section–

(2) Merchant acquiring entity.– (1) In general.–

The term “merchant acquiring entity” means the The term “reportable payment transaction”
bank or other organization which has the means any payment card transaction and any
contractual obligation to make payment to third-party network transaction.
participating payees in settlement of payment
card transactions. (2) Payment card transaction.–

(3) Third-party settlement organization.– The term “payment card transaction” means any
transaction in which a payment card is accepted
The term “third-party settlement organization” as payment.
means the central organization which has the

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(3) Third-party network transaction.– (C) standards and mechanisms for settling
the transactions between the merchant
The term “third-party network transaction” means acquiring entities and the persons who agree
any transaction which is settled through a third- to accept such cards as payment.
party payment network.
The acceptance as payment of any account
(d) Other definitions.– number or other indicia associated with a
payment card shall be treated for purposes
For purposes of this section– of this section in the same manner as
accepting such payment card as payment.
(1) Participating payee.–
(3) Third-party payment network.–
(A) In general.–
The term “third-party payment network” means
The term “participating payee” means–
any agreement or arrangement–
(i) in the case of a payment card
(A) which involves the establishment of
transaction, any person who accepts a
accounts with a central organization by a
payment card as payment, and
substantial number of persons who–
(ii) in the case of a third-party
(i) are unrelated to such
network transaction, any person who
organization,
accepts payment from a third-party
settlement organization in settlement (ii) provide goods or services, and
of such transaction.
(iii) have agreed to settle transactions
(B) Exclusion of foreign persons.– for the provision of such goods or
services pursuant to such agreement or
Except as provided by the Secretary in
arrangement,
regulations or other guidance, such term
shall not include any person with a foreign (B) which provides for standards and
address. Notwithstanding the preceding mechanisms for settling such transactions,
sentence, a person with only a foreign and
address shall not be treated as a
participating payee with respect to any (C) which guarantees persons providing
payment settlement entity solely because goods or services pursuant to such
such person receives payments from such agreement or arrangement that such
payment settlement entity in dollars. persons will be paid for providing such goods
or services.
(C) Inclusion of governmental units.–
Such term shall not include any agreement
The term “person” includes any or arrangement which provides for the
governmental unit (and any agency or issuance of payment cards.
instrumentality thereof).
(e) Exception for de minimis payments by third-party
(2) Payment card.– settlement organizations.–
The term “payment card” means any card which is A third-party settlement organization shall be required
issued pursuant to an agreement or arrangement to report any information under subsection (a) with
which provides for– respect to third-party network transactions of any
participating payee only if–
(A) one or more issuers of such cards,
(1) the amount which would otherwise be
(B) a network of persons unrelated to each
reported under subsection (a)(2) with respect to
other, and to the issuer, who agree to accept
such transactions exceeds $20,000, and
such cards as payment, and

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(2) the aggregate number of such transactions Section 96, and Chapter 5 (commencing with Section
exceeds 200. 1101) of Part 3 of Division 2, or because the employee
or applicant for employment has filed a bona fide
(f) Statements to be furnished to persons with complaint or claim or instituted or caused to be
respect to whom information is required.– instituted any proceeding under or relating to his or her
rights that are under the jurisdiction of the Labor
Every person required to make a return under
Commissioner, made a written or oral complaint that
subsection (a) shall furnish to each person with respect
he or she is owed unpaid wages, or because the
to whom such a return is required a written statement
employee has initiated any action or notice pursuant to
showing–
Section 2699, or has testified or is about to testify in a
(1) the name, address, and phone number of proceeding pursuant to that section, or because of the
the information contact of the person required to exercise by the employee or applicant for employment
make such return, and on behalf of himself, herself, or others of any rights
afforded him or her.
(2) the gross amount of the reportable payment
transactions with respect to the person required (b) (1) Any employee who is discharged, threatened
to be shown on the return. with discharge, demoted, suspended, retaliated
against, subjected to an adverse action, or in any
The written statement required under the preceding other manner discriminated against in the terms
sentence shall be furnished to the person on or before and conditions of his or her employment because
January 31 of the year following the calendar year for the employee engaged in any conduct delineated
which the return under subsection (a) was required to in this chapter, including the conduct described in
be made. Such statement may be furnished subdivision (k) of Section 96, and Chapter 5
electronically, and if so, the email address of the person (commencing with Section 1101) of Part 3 of
required to make such return may be shown in lieu of Division 2, or because the employee has made a
the phone number. bona fide complaint or claim to the division
pursuant to this part, or because the employee
(g) Regulations.– has initiated any action or notice pursuant to
Section 2699 shall be entitled to reinstatement
The Secretary may prescribe such regulations or other
and reimbursement for lost wages and work
guidance as may be necessary or appropriate to carry
benefits caused by those acts of the employer.
out this section, including rules to prevent the reporting
of the same transaction more than once. (Added Pub.L. (2) An employer who willfully refuses to hire,
110-289, Div. C, Title III, § 3091(a), July 30, 2008, 122 promote, or otherwise restore an employee or
Stat. 2908. Amended by Pub.L. 115-123, Div. D, Title II, former employee who has been determined to be
§ 41117, February 9, 2018, 132 Stat. 64.) eligible for rehiring or promotion by a grievance
procedure, arbitration, or hearing authorized by
law, is guilty of a misdemeanor.

(3) In addition to other remedies available, an

LABOR CODE employer who violates this section is liable for a
civil penalty not exceeding ten thousand dollars
§ 98.6 Discrimination, Discharge, or Refusal to ($10,000) per employee for each violation of this
Hire for Exercise of Employee Rights; Reinstatement section, to be awarded to the employee or
and Reimbursement; Refusal to Reinstate as employees who suffered the violation.
Misdemeanor; Applicability
(c) (1) Any applicant for employment who is
(a) A person shall not discharge an employee or in refused employment, who is not selected for a
any manner discriminate, retaliate, or take any adverse training program leading to employment, or who
action against any employee or applicant for in any other manner is discriminated against in
employment because the employee or applicant the terms and conditions of any offer of
engaged in any conduct delineated in this chapter, employment because the applicant engaged in
including the conduct described in subdivision (k) of any conduct delineated in this chapter, including

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the conduct described in subdivision (k) of Section (f) For purposes of this section, “employer” or “a
96, and Chapter 5 (commencing with Section person acting on behalf of the employer” includes, but
1101) of Part 3 of Division 2, or because the is not limited to, a client employer as defined in
applicant has made a bona fide complaint or claim paragraph (1) of subdivision (a) of Section 2810.3 and
to the division pursuant to this part, or because an employer listed in subdivision (b) of Section 6400.
the employee has initiated any action or notice
pursuant to Section 2699 shall be entitled to (g) Subdivisions (e) and (f) shall not apply to claims
employment and reimbursement for lost wages arising under subdivision (k) of Section 96 unless the
and work benefits caused by the acts of the lawful conduct occurring during nonwork hours away
prospective employer. from the employer’s premises involves the exercise of
employee rights otherwise covered under subdivision
(2) This subdivision shall not be construed to (a). (Added by Stats. 1978, ch. 1250. Amended by Stats.
invalidate any collective bargaining agreement 2001, ch. 820; Stats. 2004, ch. 221; Stats. 2005, ch. 22;
that requires an applicant for a position that is Stats. 2013, ch. 577; Stats. 2013, ch. 732; Stats. 2014,
subject to the collective bargaining agreement to ch. 79; Stats. 2015, ch. 792.)
sign a contract that protects either or both of the
following as specified in subparagraphs (A) and
(B), nor shall this subdivision be construed to § 139.32 Financial Interests Disclosure;
invalidate any employer requirement of an Prohibited Referrals; Penalties; Exemptions
applicant for a position that is not subject to a
collective bargaining agreement to sign an (a) For the purpose of this section, the following
employment contract that protects either or both definitions apply:
of the following:
(1) “Financial interest in another entity” means,
(A) An employer against any conduct that subject to subdivision (h), either of the following:
is actually in direct conflict with the essential
(A) Any type of ownership, interest, debt,
enterprise-related interests of the employer
loan, lease, compensation, remuneration,
and where breach of that contract would
discount, rebate, refund, dividend,
actually constitute a material and substantial
distribution, subsidy, or other form of direct
disruption of the employer’s operation.
or indirect payment, whether in money or
(B) A firefighter against any disease that is otherwise, between the interested party and
presumed to arise in the course and scope of the other entity to which the employee is
employment, by limiting his or her referred for services.
consumption of tobacco products on and off
(B) An agreement, debt instrument, or
the job.
lease or rental agreement between the
(d) The provisions of this section creating new actions interested party and the other entity that
or remedies that are effective on January 1, 2002, to provides compensation based upon, in
employees or applicants for employment do not apply whole or in part, the volume or value of the
to any state or local law enforcement agency, any services provided as a result of referrals.
religious association or corporation specified in
(2) “Interested party” means any of the
subdivision (d) of Section 12926 of the Government
following:
Code, except as provided in Section 12926.2 of the
Government Code, or any person described in Section (A) An injured employee.
1070 of the Evidence Code.
(B) The employer of an injured employee,
(e) An employer, or a person acting on behalf of the and, if the employer is insured, its insurer.
employer, shall not retaliate against an employee
because the employee is a family member of a person (C) A claims administrator, which includes,
who has, or is perceived to have, engaged in any but is not limited to, a self-administered
conduct delineated in this chapter. workers’ compensation insurer, a self-
administered self-insured employer, a self-

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

administered joint powers authority, a self- (D) Interpreter services.

administered legally uninsured employer, a
third-party claims administrator for an (E) Medical services, including the provision
insurer, a self-insured employer, a joint of any medical products such as surgical
powers authority, or a legally uninsured hardware or durable medical equipment.
employer or a subsidiary of a claims
administrator. (F) Transportation services.

(D) An attorney-at-law or law firm that is (G) Services in connection with utilization
representing or advising an employee review pursuant to Section 4610.
regarding a claim for compensation under
(b) All interested parties shall disclose any financial
Division 4 (commencing with Section 3200).
interest in any entity providing services.
(E) A representative or agent of an
(c) Except as otherwise permitted by law, it is
interested party, including either of the
unlawful for an interested party other than a claims
following:
administrator or a network service provider to refer a
(i) An employee of an interested person for services provided by another entity, or to
party. use services provided by another entity, if the other
entity will be paid for those services pursuant to
(ii) Any individual acting on behalf of Division 4 (commencing with Section 3200) and the
an interested party, including the interested party has a financial interest in the other
immediate family of the interested party entity.
or of an employee of the interested
party. For purposes of this clause, (d) (1) It is unlawful for an interested party to enter
immediate family includes spouses, into an arrangement or scheme, such as a cross-
children, parents, and spouses of referral arrangement, that the interested party
children. knows, or should know, has a purpose of ensuring
referrals by the interested party to a particular
(F) A provider of any medical services or entity that, if the interested party directly made
products. referrals to that other entity, would be in violation
of this section.
(3) “Services” means, but is not limited to, any
of the following: (2) It is unlawful for an interested party to offer,
deliver, receive, or accept any rebate, refund,
(A) A determination regarding an commission, preference, patronage, dividend,
employee’s eligibility for compensation discount, or other consideration, whether in the
under Division 4 (commencing with Section form of money or otherwise, as compensation or
3200), that includes both of the following: inducement to refer a person for services.

(i) A determination of a permanent (e) A claim for payment shall not be presented by an
disability rating under Section 4660. entity to any interested party, individual, third-party
payer, or other entity for any services furnished
(ii) An evaluation of an employee’s pursuant to a referral prohibited under this section.
future earnings capacity resulting from
an occupational injury or illness. (f) An insurer, self-insurer, or other payer shall not
knowingly pay a charge or lien for any services resulting
(B) Services to review the itemization of from a referral for services or use of services in
medical services set forth on a medical bill violation of this section.
submitted under Section 4603.2.
(g) (1) A violation of this section shall be
(C) Copy and document reproduction misdemeanor. If an interested party is a
services. corporation, any director or officer of the
corporation who knowingly concurs in a violation

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of this section shall be guilty of a misdemeanor. has a fixed periodic rent payment, has a term of
The appropriate licensing authority for any person one year or more, and the lease payments are
subject to this section shall review the facts and not affected by either the interested party’s
circumstances of any conviction pursuant to this referral of any person or the volume of services
section and take appropriate disciplinary action if provided by the entity that receives the referral.
the licensee has committed unprofessional
conduct, provided that the appropriate licensing (3) An interested party’s ownership of the
authority may act on its own discretion corporate investment securities of another
independent of the initiation or completion of a entity, including shares, bonds, or other debt
criminal prosecution. Violations of this section are instruments that were purchased on terms that
also subject to civil penalties of up to fifteen are available to the general public through a
thousand dollars ($15,000) for each offense, licensed securities exchange or NASDAQ.
which may be enforced by the Insurance
Commissioner, Attorney General, or a district (i) The prohibitions described in this section do not
attorney. apply to any of the following:

(2) For an interested party, a practice of (1) Services performed by, or determinations of
violating this section shall constitute a general compensation issues made by, employees of an
business practice that discharges or administers interested party in the course of that
compensation obligations in a dishonest manner, employment.
which shall be subject to a civil penalty under
(2) A referral for legal services if that referral is
subdivision (e) of Section 129.5.
not prohibited by the Rules of Professional
(3) For an interested party who is an attorney, a Conduct of the State Bar.
violation of subdivision (b) or (c) shall be referred
(3) A physician’s referral that is exempted by
to the Board of Governors of the State Bar of
Section 139.31 from the prohibitions prescribed by
California, which shall review the facts and
Section 139.3. (Added by Stats. 2012, ch. 363.)
circumstances of any violation pursuant to
subdivision (b) or (c) and take appropriate [Publisher’s Note re Labor Code § 139.32: Operative
disciplinary action if the licensee has committed January 1, 2012, Business and Professions Code
unprofessional conduct. section 6010, in part, provides that the State Bar is
governed by a board known as the board of trustees of
(4) Any determination regarding an employee’s the State Bar and that any provision of law referring to
eligibility for compensation shall be void if that the “board of governors” shall be deemed to refer to
service was provided in violation of this section. the “board of trustees.” In accordance with this law,
references to the “board of governors” are deemed to
(h) The following arrangements between an
refer to the “board of trustees.”]
interested party and another entity do not constitute a
“financial interest in another entity” for purposes of
this section: § 139.45 Promulgation of Regulations re False or
Misleading Advertising; Definitions
(1) A loan between an interested party and
another entity, if the loan has commercially (a) In promulgating regulations pursuant to Sections
reasonable terms, bears interest at the prime rate 139.4 and 139.43, the administrative director shall take
or a higher rate that does not constitute usury, particular care to preclude any advertisements with
and is adequately secured, and the loan terms are respect to industrial injuries or illnesses that are false
not affected by either the interested party’s or mislead the public with respect to workers’
referral of any employee or the volume of services compensation. In promulgating rules with respect to
provided by the entity that receives the referral. advertising, the State Bar and physician licensing
boards shall also take particular care to achieve the
(2) A lease of space or equipment between an
same goal.
interested party and another entity, if the lease
is written, has commercially reasonable terms,

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(b) For purposes of subdivision (a), false or misleading employee’s, or prospective employee’s rights. As used in
advertisements shall include advertisements that do this subdivision, “family member” means a spouse,
any of the following: parent, sibling, child, uncle, aunt, niece, nephew, cousin,
grandparent, or grandchild related by blood, adoption,
(1) Contain an untrue statement. marriage, or domestic partnership. (Added by Stats.
2013, ch. 577.)
(2) Contain any matter, or present or arrange
any matter in a manner or format that is false,
deceptive, or that tends to confuse, deceive, or § 1102.5 Employee’s Right to Disclose
mislead. Information to Government or Law Enforcement
Agency; Employer Prohibited from Retaliation; Civil
(3) Omit any fact necessary to make the
Penalty; Confidential Communications
statement made, in the light of the circumstances
under which the statement is made, not (a) An employer, or any person acting on behalf of
misleading. the employer, shall not make, adopt, or enforce any
rule, regulation, or policy preventing an employee from
(4) Are transmitted in any manner that involves
disclosing information to a government or law
coercion, duress, compulsion, intimidation,
enforcement agency, to a person with authority over
threats, or vexatious or harassing conduct.
the employee, or to another employee who has
(5) Entice a person to respond by the offering of authority to investigate, discover, or correct the
any consideration, including a good or service but violation or noncompliance, or from providing
excluding free medical evaluations or treatment, information to, or testifying before, any public body
that would be provided either at no charge or for conducting an investigation, hearing, or inquiry, if the
less than market value. No free medical evaluation employee has reasonable cause to believe that the
or treatment shall be offered for the purpose of information discloses a violation of state or federal
defrauding any entity. (Added by Stats. 1991, ch. statute, or a violation of or noncompliance with a local,
116. Amended by Stats. 1992, ch. 1352; Stats. state, or federal rule or regulation, regardless of
2004, ch. 639.) whether disclosing the information is part of the
employee’s job duties.

§ 244 Violation of Rights to Report Suspected (b) An employer, or any person acting on behalf of
Immigration Status of Employee or Family Member the employer, shall not retaliate against an employee
for disclosing information, or because the employer
(a) An individual is not required to exhaust believes that the employee disclosed or may disclose
administrative remedies or procedures in order to bring information, to a government or law enforcement
a civil action under any provision of this code, unless agency, to a person with authority over the employee
that section under which the action is brought or another employee who has the authority to
expressly requires exhaustion of an administrative investigate, discover, or correct the violation or
remedy. This subdivision shall not be construed to noncompliance, or for providing information to, or
affect the requirements of Section 2699.3. testifying before, any public body conducting an
investigation, hearing, or inquiry, if the employee has
(b) Reporting or threatening to report an employee’s, reasonable cause to believe that the information
former employee’s, or prospective employee’s suspected discloses a violation of state or federal statute, or a
citizenship or immigration status, or the suspected violation of or noncompliance with a local, state, or
citizenship or immigration status of a family member of federal rule or regulation, regardless of whether
the employee, former employee, or prospective disclosing the information is part of the employee’s job
employee, to a federal, state, or local agency because duties.
the employee, former employee, or prospective
employee exercises a right under the provisions of this (c) An employer, or any person acting on behalf of
code, the Government Code, or the Civil Code the employer, shall not retaliate against an employee
constitutes an adverse action for purposes of for refusing to participate in an activity that would
establishing a violation of an employee’s, former result in a violation of state or federal statute, or a

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violation of or noncompliance with a local, state, or § 5431 Purpose

federal rule or regulation.
The purpose of this chapter is to assure truthful and
(d) An employer, or any person acting on behalf of adequate disclosure of all material and relevant
the employer, shall not retaliate against an employee information in the advertising which solicits persons to
for having exercised their rights under subdivision (a), file workers’ compensation claims or to engage or
(b), or (c) in any former employment. consult counsel or a medical care provider or clinic to
consider a workers’ compensation claim. (Added by
(e) A report made by an employee of a government Stats. 1992, ch. 904.)
agency to their employer is a disclosure of information
to a government or law enforcement agency pursuant
to subdivisions (a) and (b). § 5432 Advertisement to Solicit Workers’
Compensation Claims; Mandatory Notice or
(f) In addition to other penalties, an employer that is Statement
a corporation or limited liability company is liable for a
civil penalty not exceeding ten thousand dollars (a) Any advertisement which solicits persons to file
($10,000) for each violation of this section. workers’ compensation claims or to engage or consult
counsel or a medical care provider or clinic to consider
(g) This section does not apply to rules, regulations,
a workers’ compensation claim in any newspaper,
or policies that implement, or to actions by employers
magazine, circular, form letter, or open publication,
against employees who violate, the confidentiality of
the lawyer-client privilege of Article 3 (commencing published, distributed, or circulated in this state, or on
with Section 950) of, or the physician-patient privilege any billboard, card, label, transit advertisement or
of Article 6 (commencing with Section 990) of, Chapter other written advertising medium shall state at the
4 of Division 8 of the Evidence Code, or trade secret top or bottom on the front side or surface of the
information. document in a least 12-point roman boldface type
font, except for any billboard which shall be in type
(h) An employer, or a person acting on behalf of the whose letters are 12 inches in height or any transit
employer, shall not retaliate against an employee advertisement which shall be in type whose letters are
because the employee is a family member of a person seven inches in height and for any television
who has, or is perceived to have, engaged in any acts announcement which shall be in 12-point roman
protected by this section. boldface type font and appear in a dark background
and remain on the screen for a minimum of five
(i) For purposes of this section, “employer” or “a
person acting on behalf of the employer” includes, but seconds and for any radio announcement which shall
is not limited to, a client employer as defined in be read at an understandable pace with no loud music
paragraph (1) of subdivision (a) of Section 2810.3 and or sound effects, or both, to compete for the listener’s
an employer listed in subdivision (b) of Section 6400. attention, the following:

(j) The court is authorized to award reasonable NOTICE

attorney’s fees to a plaintiff who brings a successful
action for a violation of these provisions. (Added by Making a false or fraudulent workers’
Stats. 1984, ch. 1083. Amended by Stats. 2003, ch. 484; compensation claim is a felony subject to up to
Stats. 2013, ch. 577; Stats. 2013, ch. 732; Stats. 2013, 5 years in prison or a fine of up to $50,000 or
ch. 781; Stats. 2015, ch. 792; Stats. 2020, ch. 344.) double the value of the fraud, whichever is
greater, or by both imprisonment and fine.

§ 5430 Short title (b) Any television or radio announcement published

or disseminated in this state which solicits persons to
This chapter shall be known and may be cited as the file workers’ compensation claims or to engage or
Workers’ Compensation Truth in Advertising Act of consult counsel to consider a workers’ compensation
1992. (Added by Stats. 1992, ch. 904.) claim under this code shall include the following spoken
statement by the announcer of the advertisement:

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“Making a false or fraudulent workers’ (d) Advertisements shall not employ words, initials,
compensation claim is a felony subject to up to letters, symbols, or other devices which are so similar to
5 years in prison or a fine of up to $50,000 or those used by governmental agencies, a nonprofit or
double the value of the fraud, whichever is charitable institution, or other entity that they could
greater, or by both imprisonment and fine.” have the capacity or tendency to mislead the public.
Examples of misleading materials include, but are not
(c) This chapter does not supersede or repeal any limited to, those that imply any of the following:
regulation which governs advertising under this code
and those regulations shall continue to be in force in (1) The advertisement is in some way provided by
addition to this chapter. or is endorsed by a governmental agency or
charitable institution.
(d) For purposes of subdivisions (a) and (b), the notice
(2) The advertiser is the same as, is connected
or statement shall be written or spoken in English. In
with, or endorsed by a governmental agency or
those cases where the preponderance of the listening
charitable institution.
or reading public receives information other than in the
English language, the written notice or spoken (e) Advertisements may not use the name of a state or
statement shall be in those other languages. (Added by political subdivision thereof in an advertising solicitation.
Stats. 1992, ch. 904.)
(f) Advertisements may not use any name, service
mark, slogan, symbol, or any device in any manner which
§ 5433 Advertisements and Lead Generating implies that the advertiser, or any person or entity
Devices; Mandatory Disclosure; Deceptive or associated with the advertiser, or that any agency who
Misleading Names or Advertising Techniques may call upon the person in response to the
advertisement, is connected with a governmental
(a) Any advertisement or other device designed to agency.
produce leads based on a response from a person to
file a workers’ compensation claim or to engage or (g) Advertisements may not imply that the reader,
consult counsel or a medical care provider or clinic shall listener, or viewer may lose a right or privilege or
disclose that an agent may contact the individual if that benefits under federal, state, or local law if he or she fails
is the fact. In addition, an individual who makes contact to respond to the advertisement. (Added by Stats. 1992,
with a person as a result of acquiring that individual’s ch. 904. Amended by Stats. 1998, ch. 485; Stats. 1999,
name from a lead generating device shall disclose that ch. 83.)
fact in the initial contact with that person.

(b) No person shall solicit persons to file a workers’ § 5434 Violation; Misdemeanor
compensation claim or to engage or consult counsel or a
medical care provider or clinic to consider a workers’ (a) Any advertiser who violates Section 5431 or 5432
compensation claim through the use of a true or is guilty of a misdemeanor.
fictitious name which is deceptive or misleading with
(b) For the purposes of this chapter, “advertiser”
regard to the status, character, or proprietary or
means any person who provides workers’
representative capacity of the entity or person, or to the
compensation claims services which are described in
true purpose of the advertisement.
the written or broadcast advertisements, any person
(c) For purposes of this section, an advertisement to whom persons solicited by the advertisements are
includes a solicitation in any newspaper, magazine, directed to for inquiries or the provision of workers’
circular, form letter, or open publication, published, compensation claims related services, or any person
distributed, or circulated in this state, or on any paying for the preparation, broadcast, printing,
billboard, card, label, transit advertisement, or other dissemination, or placement of the advertisements.
written advertising medium, and includes envelopes, (Added by Stats. 1992, ch. 904.)
stationery, business cards, or other material designed to
encourage the filing of a workers’ compensation claim.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

PENAL CODE (3) “Immediate family” means a spouse, parent,

or child, or anyone who has regularly resided in
§ 76 Threats Against Public Officials, the household for the past six months.
Appointees, Judges, Staff or Their Families; Intent
(4) “Staff of a judge” means court officers and
and Ability to Carry Out Threat; Punishment employees, including commissioners, referees,
and retired judges sitting on assignment.
(a) Every person who knowingly and willingly
threatens the life of, or threatens serious bodily harm (5) “Threat” means a verbal or written threat or
to, any elected public official, county public defender, a threat implied by a pattern of conduct or a
county clerk, exempt appointee of the Governor, judge, combination of verbal or written statements and
or Deputy Commissioner of the Board of Prison Terms, conduct made with the intent and the apparent
or the staff, immediate family, or immediate family of ability to carry out the threat so as to cause the
the staff of any elected public official, county public person who is the target of the threat to
defender, county clerk, exempt appointee of the reasonably fear for his or her safety or the safety
Governor, judge, or Deputy Commissioner of the Board of his or her immediate family.
of Prison Terms, with the specific intent that the
statement is to be taken as a threat, and the apparent (d) As for threats against staff or immediate family of
ability to carry out that threat by any means, is guilty of staff, the threat must relate directly to the official
a public offense, punishable as follows: duties of the staff of the elected public official, county
public defender, county clerk, exempt appointee of the
(1) Upon a first conviction, the offense is Governor, judge, or Deputy Commissioner of the Board
punishable by a fine not exceeding five thousand of Prison Terms in order to constitute a public offense
dollars ($5,000), or by imprisonment in the state under this section.
prison, or in a county jail not exceeding one year,
or by both that fine and imprisonment. (e) A threat must relate directly to the official duties
of a Deputy Commissioner of the Board of Prison Terms
(2) If the person has been convicted previously in order to constitute a public offense under this
of violating this section, the previous conviction section. (Added by Stats. 1982, ch. 1405. Amended by
shall be charged in the accusatory pleading, and if Stats. 1984, ch. 627; Stats. 1992, ch. 887; Stats. 1993,
the previous conviction is found to be true by the ch. 134; Stats. 1994, ch. 820; Stats. 1995, ch. 354; Stats.
jury upon a jury trial, or by the court upon a court 1996, ch. 305; Stats. 1998, ch. 606, Stats. 2000, ch. 233;
trial, or is admitted by the defendant, the offense Stats. 2004, ch. 512.)
is punishable by imprisonment in the state prison.

(b) Any law enforcement agency that has knowledge § 118 Perjury Defined; Proof
of a violation of this section involving a constitutional
officer of the state, a Member of the Legislature, or a (a) Every person who, having taken an oath that he or
member of the judiciary shall immediately report that she will testify, declare, depose, or certify truly before
information to the Department of the California any competent tribunal, officer, or person, in any of the
Highway Patrol. cases in which the oath may by law of the State of
California be administered, willfully and contrary to the
(c) For purposes of this section, the following oath, states as true any material matter which he or
definitions shall apply: she knows to be false, and every person who testifies,
declares, deposes, or certifies under penalty of perjury
(1) “Apparent ability to carry out that threat”
in any of the cases in which the testimony, declarations,
includes the ability to fulfill the threat at some
depositions, or certification is permitted by law of the
future date when the person making the threat is
State of California under penalty of perjury and willfully
an incarcerated prisoner with a stated release
states as true any material matter which he or she
date.
knows to be false, is guilty of perjury.
(2) “Serious bodily harm” includes serious
This subdivision is applicable whether the statement, or
physical injury or serious traumatic condition.
the testimony, declaration, deposition, or certification

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

is made or subscribed within or without the State of § 128 Procuring the Execution of an Innocent
California. Person; Punishment
(b) No person shall be convicted of perjury where Every person who, by willful perjury or subornation of
proof of falsity rests solely upon contradiction by perjury procures the conviction and execution of any
testimony of a single person other than the defendant. innocent person, is punishable by death or life
Proof of falsity may be established by direct or indirect imprisonment without possibility of parole. The penalty
evidence. (Enacted 1872. Amended by Stats. 1955, ch. shall be determined pursuant to Sections 190.3 and
873; Stats. 1957, ch. 1612; Stats. 1980, ch. 889; Stats. 190.4. (Enacted 1872. Amended by Stats. 1977, ch. 316.)
1989, ch. 897; Stats. 1990, ch. 950.)

§ 132 Offering False Evidence

§ 118a False Affidavit as to Perjurious
Testimony; Subsequent Testimony Every person who upon any trial, proceeding, inquiry, or
investigation whatever, authorized or permitted by law,
Any person who, in any affidavit taken before any offers in evidence, as genuine or true, any book, paper,
person authorized to administer oaths, swears, affirms, document, record, or other instrument in writing,
declares, deposes, or certifies that he will testify, knowing the same to have been forged or fraudulently
declare, depose, or certify before any competent altered or ante dated, is guilty of felony. (Enacted
tribunal, officer, or person, in any case then pending or 1872.)
thereafter to be instituted, in any particular manner, or
to any particular fact, and in such affidavit willfully and [Publisher’s Note: The following two sections
contrary to such oath states as true any material matter concerning separate matters are both numbered §
which he knows to be false, is guilty of perjury. In any 132.5.]
prosecution under this section, the subsequent
testimony of such person, in any action involving the
matters in such affidavit contained, which is contrary to § 132.5 Witnessing Crimes, Consideration for
any of the matters in such affidavit contained, shall be Providing Information; Violations; Penalties
prima facie evidence that the matters in such affidavit
(a) A person who is a witness to an event or
were false. (Added by Stats. 1905, ch. 485.)
occurrence that he or she knows, or reasonably should
know, is a crime or who has personal knowledge of
§ 126 Punishment facts that he or she knows, or reasonably should know,
may require that person to be called as a witness in a
Perjury is punishable by imprisonment pursuant to criminal prosecution shall not accept or receive, directly
subdivision (h) of Section 1170 for two, three or four or indirectly, any payment or benefit in consideration
years. (Enacted 1872. Amended by Stats. 1976, ch. for providing information obtained as a result of
1139; Stats. 2011, ch. 15.) witnessing the event or occurrence or having personal
knowledge of the facts.

§ 127 Subornation of Perjury–Definition, (b) A violation of this section is a misdemeanor and

Punishment shall be punished by imprisonment in a county jail for
not exceeding six months, by a fine not exceeding one
Every person who willfully procures another person to thousand dollars ($1,000), or by both that
commit perjury is guilty of subornation of perjury, and imprisonment and fine.
is punishable in the same manner as he would be if
personally guilty of the perjury so procured. (Enacted (c) Upon conviction under this section, in addition to
1872.) the penalty described in subdivision (b), any
compensation received in violation of this section shall
be forfeited by the defendant and deposited in the
Victim Restitution Fund.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(d) This section shall not apply if more than one year any subject. This section is intended to preserve the right
has elapsed from the date of any criminal act related to of every accused person to a fair trial, the right of the
the information that is provided under subdivision (a) people to due process of law, and the integrity of judicial
unless prosecution has commenced for that criminal proceedings. This section is not intended to prevent any
act. If prosecution has commenced, this section shall person from disseminating any information or opinion.
remain applicable until the final judgment in the action. The Legislature hereby finds and declares that the
disclosure for valuable consideration of information
(e) This section shall not apply to any of the following relating to crimes by prospective witnesses can cause the
circumstances: loss of credible evidence in criminal trials and threatens
to erode the reliability of verdicts. The Legislature
(1) Lawful compensation paid to expert further finds and declares that the disclosure for valuable
witnesses, investigators, employees, or agents by consideration of information relating to crimes by
a prosecutor, law enforcement agency, or an prospective witnesses creates an appearance of injustice
attorney employed to represent a person in a that is destructive of public confidence.
criminal matter.
(b) A person who is a witness to an event or
(2) Lawful compensation provided to an occurrence that he or she knows is a crime or who has
informant by a prosecutor or law enforcement personal knowledge of facts that he or she knows or
agency.
reasonably should know may require that person to be
(3) Compensation paid to a publisher, editor, called as a witness in a criminal prosecution shall not
reporter, writer, or other person connected with accept or receive, directly or indirectly, any money or its
or employed by a newspaper, magazine, or other equivalent in consideration for providing information
publication or a television or radio news reporter obtained as a result of witnessing the event or
or other person connected with a television or occurrence or having personal knowledge of the facts.
radio station, for disclosing information obtained
in the ordinary course of business. (c) A person who is a witness to an event or
occurrence that he or she reasonably should know is a
(4) Statutorily authorized rewards offered by crime shall not accept or receive, directly or indirectly,
governmental agencies for information leading to any money or its equivalent in consideration for
the arrest and conviction of specified offenders. providing information obtained as a result of his or her
witnessing the event or occurrence.
(5) Lawful compensation provided to a witness
participating in the Witness Protection Program (d) The Attorney General or the district attorney of the
established pursuant to Title 7.5 (commencing county in which an alleged violation of subdivision (c)
with Section 14020) of Part 4. occurs may institute a civil proceeding. Where a final
judgment is rendered in the civil proceeding, the
(f) For purposes of this section, “information” does defendant shall be punished for the violation of
not include a photograph, videotape, audiotape, or any subdivision (c) by a fine equal to 150 percent of the
other direct recording of events or occurrences. amount received or contracted for by the person.
(Added by Stats. 1994, ch. 869. Amended by Stats.
2002, ch. 210; Stats. 2003, ch. 62.) (e) A violation of subdivision (b) is a misdemeanor
punishable by imprisonment for a term not exceeding six
[Publisher’s Note: The previous and the following
months in a county jail, a fine not exceeding three times
section concerning separate matters are both
the amount of compensation requested, accepted, or
numbered § 132.5.]
received, or both the imprisonment and fine.

§ 132.5 Witnesses, Findings and Declarations of (f) This section does not apply if more than one year
has elapsed from the date of any criminal act related to
the Legislature; Prohibitions on Recovering Money
the information that is provided under subdivision (b) or
for Information; Offenses, Exceptions
(c) unless prosecution has commenced for that criminal
(a) The Legislature supports and affirms the act. If prosecution has commenced, this section shall
constitutional right of every person to communicate on remain applicable until the final judgment in the action.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(g) This section does not apply to any of the following proceeding, inquiry, or investigation whatever,
circumstances: authorized by law, with intent to affect the testimony of
such witness, is guilty of a misdemeanor. (Enacted
(1) Lawful compensation paid to expert 1872.)
witnesses, investigators, employees, or agents by a
prosecutor, law enforcement agency, or an
attorney employed to represent a person in a § 134 Preparing False Evidence
criminal matter.
Every person guilty of preparing any false or ante dated
(2) Lawful compensation provided to an book, paper, record, instrument in writing, or other
informant by a prosecutor or law enforcement matter or thing, with intent to produce it, or allow it to
agency. be produced for any fraudulent or deceitful purpose, as
genuine or true, upon any trial, proceeding, or inquiry
(3) Compensation paid to a publisher, editor, whatever, authorized by law, is guilty of felony.
reporter, writer, or other person connected with or (Enacted 1872.)
employed by a newspaper, magazine, or other
publication or a television or radio news reporter or
other person connected with a television or radio § 135 Destroying Evidence
station, for disclosing information obtained in the
A person who, knowing that any book, paper, record,
ordinary course of business.
instrument in writing, digital image, video recording
(4) Statutorily authorized rewards offered by owned by another, or other matter or thing, is about to
governmental agencies or private reward programs be produced in evidence upon a trial, inquiry, or
offered by victims of crimes for information leading investigation, authorized by law, willfully destroys,
to the arrest and conviction of specified offenders. erases, or conceals the same, with the intent to prevent
it or its contents from being produced, is guilty of a
(5) Lawful compensation provided to a witness misdemeanor. (Enacted 1872. Amended by Stats. 2015,
participating in the Witness Relocation and ch. 463.)
Assistance Program established pursuant to Title
7.5 (commencing with Section 14020) of Part 4.
§ 135.5 Tampering with Evidence in a
(h) For purposes of this section, “information” does Disciplinary Proceeding Against a Public Safety
not include a photograph, videotape, audiotape, or any Officer
other direct recording of an event or occurrence.
Any person who knowingly alters, tampers with,
(i) For purposes of this section, “victims of crimes” conceals, or destroys relevant evidence in any
shall be construed in a manner consistent with Section disciplinary proceeding against a public safety officer,
28 of Article I of the California Constitution, and shall for the purpose of harming that public safety officer,
include victims, as defined in subdivision (3) of Section is guilty of a misdemeanor. (Added by Stats. 1998, ch.
136. (Added by Stats. 1994, ch. 870. Amended by Stats. 759.)
1995, ch. 53; Stats. 2002, ch. 210; Stats. 2003, ch. 62;
Stats. 2015, ch. 303.)
§ 136 Definitions
[Publisher’s Note: The previous two sections concerning
As used in this chapter:
separate matters are both numbered §132.5.]
(1) “Malice” means an intent to vex, annoy,
harm, or injure in any way another person, or to
§ 133 Deceiving a Witness
thwart or interfere in any manner with the
Every person who practices any fraud or deceit, or orderly administration of justice.
knowingly makes or exhibits any false statement,
(2) “Witness” means any natural person, (i)
representation, token, or writing, to any witness or having knowledge of the existence or
person about to be called as a witness upon any trial,

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nonexistence of facts relating to any crime, or (ii) (1) Making any report of that victimization to
whose declaration under oath is received or has any peace officer or state or local law
been received as evidence for any purpose, or enforcement officer or probation or parole or
(iii) who has reported any crime to any peace correctional officer or prosecuting agency or to
officer, prosecutor, probation or parole officer, any judge.
correctional officer or judicial officer, or (iv) who
has been served with a subpoena issued under (2) Causing a complaint, indictment,
the authority of any court in the state, or of any information, probation or parole violation to be
other state or of the United States, or (v) who sought and prosecuted, and assisting in the
would be believed by any reasonable person to prosecution thereof.
be an individual described in subparagraphs (i) to
(iv), inclusive. (3) Arresting or causing or seeking the arrest of
any person in connection with that victimization.
(3) “Victim” means any natural person with
respect to whom there is reason to believe that (c) Every person doing any of the acts described in
any crime as defined under the laws of this state subdivision (a) or (b) knowingly and maliciously under
or any other state or of the United States is any one or more of the following circumstances, is
being or has been perpetrated or attempted to guilty of a felony punishable by imprisonment in the
be perpetrated. (Added by Stats. 1980, ch. 686.) state prison for two, three, or four years under any of
the following circumstances:

§ 136.1 Intimidation of Witnesses and Victims; (1) Where the act is accompanied by force or by
Offenses; Penalties; Enhancement; Aggravation an express or implied threat of force or violence,
upon a witness or victim or any third person or
(a) Except as provided in subdivision (c), any person the property of any victim, witness, or any third
who does any of the following is guilty of a public person.
offense and shall be punished by imprisonment in a
county jail for not more than one year or in the state (2) Where the act is in furtherance of a conspiracy.
prison:
(3) Where the act is committed by any person
(1) Knowingly and maliciously prevents or who has been convicted of any violation of this
dissuades any witness or victim from attending or section, any predecessor law hereto or any federal
giving testimony at any trial, proceeding, or inquiry statute or statute of any other state which, if the
authorized by law. act prosecuted was committed in this state, would
be a violation of this section.
(2) Knowingly and maliciously attempts to
prevent or dissuade any witness or victim from (4) Where the act is committed by any person
attending or giving testimony at any trial, for pecuniary gain or for any other consideration
proceeding, or inquiry authorized by law. acting upon the request of any other person. All
parties to such a transaction are guilty of a felony.
(3) For purposes of this section, evidence that the
defendant was a family member who interceded in (d) Every person attempting the commission of any
an effort to protect the witness or victim shall act described in subdivisions (a), (b), and (c) is guilty of
create a presumption that the act was without the offense attempted without regard to success or
malice. failure of the attempt. The fact that no person was
injured physically, or in fact intimidated, shall be no
(b) Except as provided in subdivision (c), every person defense against any prosecution under this section.
who attempts to prevent or dissuade another person
who has been the victim of a crime or who is witness to (e) Nothing in this section precludes the imposition of
a crime from doing any of the following is guilty of a an enhancement for great bodily injury where the
public offense and shall be punished by imprisonment injury inflicted is significant or substantial.
in a county jail for not more than one year or in the
(f) The use of force during the commission of any
state prison:
offense described in subdivision (c) shall be considered

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a circumstance in aggravation of the crime in imposing shall not be made without the consent
a term of imprisonment under subdivision (b) of of the law enforcement agency except
Section 1170. (Added by Stats. 1980, ch. 686. Amended for limited and specified periods of time
by Stats. 1982, ch. 1098, Stats. 1990, ch. 350, Stats. and upon an express finding by the
1997, ch. 500.) court of a clear and present danger of
harm to the victim or witness or
immediate family members of the
§ 136.2 Witness or Victim–Good Cause Belief of victim or witness.
Harm to, Intimidation of, or Dissuasion of; Court
Order; Violation of Orders (ii) For purposes of this paragraph,
“immediate family members” include
(a) (1) Upon a good cause belief that harm to, or the spouse, children, or parents of the
intimidation or dissuasion of, a victim or witness victim or witness.
has occurred or is reasonably likely to occur, a
court with jurisdiction over a criminal matter may (G) (i) An order protecting a victim or
issue orders, including, but not limited to, the witness of violent crime from all contact
following: by the defendant, or contact, with the
intent to annoy, harass, threaten, or
(A) An order issued pursuant to Section commit acts of violence, by the
6320 of the Family Code. defendant. The court or its designee
shall transmit orders made under this
(B) An order that a defendant shall not paragraph to law enforcement
violate any provision of Section 136.1. personnel within one business day of
the issuance, modification, extension, or
(C) An order that a person before the court
termination of the order, pursuant to
other than a defendant, including, but not
subdivision (a) of Section 6380 of the
limited to, a subpoenaed witness or other
Family Code. It is the responsibility of
person entering the courtroom of the court,
the court to transmit the modification,
shall not violate any provision of Section
extension, or termination orders made
136.1.
under this paragraph to the same
(D) An order that a person described in this agency that entered the original
section shall have no communication protective order into the California
whatsoever with a specified witness or a Restraining and Protective Order
System.
victim, except through an attorney under
reasonable restrictions that the court may (ii) (I) If a court does not issue an
impose. order pursuant to clause (i) in a
case in which the defendant is
(E) An order calling for a hearing to
charged with a crime involving
determine if an order as described in
subparagraphs (A) to (D), inclusive, should be domestic violence as defined in
issued. Section 13700 of this code or in
Section 6211 of the Family Code,
(F) (i) An order that a particular law the court, on its own motion, shall
enforcement agency within the consider issuing a protective order
jurisdiction of the court provide upon a good cause belief that
protection for a victim, witness, or both, harm to, or intimidation or
or for immediate family members of a dissuasion of, a victim or witness
victim or a witness who reside in the has occurred or is reasonably likely
same household as the victim or to occur, that provides as follows:
witness or within reasonable proximity
of the victim’s or witness’ household, as (ia) The defendant shall not
determined by the court. The order own, possess, purchase,
receive, or attempt to

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purchase or receive, a electronic monitoring. The duration of

firearm while the protective electronic monitoring shall not exceed
order is in effect. one year from the date the order is
issued. The electronic monitoring shall
(ib) The defendant shall not be in place if the protective order is
relinquish ownership or not in place.
possession of any firearms,
pursuant to Section 527.9 of (2) For purposes of this subdivision, a minor
the Code of Civil Procedure. who was not a victim of, but who was physically
present at the time of, an act of domestic
(II) Every person who owns, violence, is a witness and is deemed to have
possesses, purchases, or receives, suffered harm within the meaning of paragraph
or attempts to purchase or (1).
receive, a firearm while this
protective order is in effect is (b) A person violating an order made pursuant to
punishable pursuant to Section subparagraphs (A) to (G), inclusive, of paragraph (1) of
29825. subdivision (a) may be punished for any substantive
offense described in Section 136.1, or for a contempt of
(iii) An order issued, modified, the court making the order. A finding of contempt shall
extended, or terminated by a court not be a bar to prosecution for a violation of Section
pursuant to this subparagraph shall be 136.1. However, a person held in contempt shall be
issued on forms adopted by the Judicial entitled to credit for punishment imposed therein
Council of California that have been against a sentence imposed upon conviction of an
approved by the Department of Justice offense described in Section 136.1. A conviction or
pursuant to subdivision (i) of Section acquittal for a substantive offense under Section 136.1
6380 of the Family Code. However, the shall be a bar to a subsequent punishment for
fact that an order issued by a court contempt arising out of the same act.
pursuant to this section was not issued
on forms adopted by the Judicial (c) (1) (A) Notwithstanding subdivision (e), an
Council and approved by the emergency protective order issued pursuant
Department of Justice shall not, in and to Chapter 2 (commencing with Section
of itself, make the order unenforceable. 6250) of Part 3 of Division 10 of the Family
Code or Section 646.91 shall have
(iv) A protective order issued under precedence in enforcement over any other
this subparagraph may require the restraining or protective order, provided the
defendant to be placed on electronic emergency protective order meets all of the
monitoring if the local government, following requirements:
with the concurrence of the county
sheriff or the chief probation officer (i) The emergency protective order is
with jurisdiction, adopts a policy to issued to protect one or more
authorize electronic monitoring of individuals who are already protected
defendants and specifies the agency persons under another restraining or
with jurisdiction for this purpose. If the protective order.
court determines that the defendant
has the ability to pay for the monitoring (ii) The emergency protective order
program, the court shall order the restrains the individual who is the
defendant to pay for the monitoring. If restrained person in the other
the court determines that the restraining or protective order specified
defendant does not have the ability to in clause (i).
pay for the electronic monitoring, the
court may order electronic monitoring (iii) The provisions of the emergency
to be paid for by the local government protective order are more restrictive in
that adopted the policy to authorize relation to the restrained person than

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are the provisions of the other (2) When a complaint, information, or

restraining or protective order specified indictment charging a crime involving domestic
in clause (i). violence, as defined in Section 13700 or in Section
6211 of the Family Code, or a violation of Section
(B) An emergency protective order that 261, 261.5, or 262, or a crime that requires the
meets the requirements of subparagraph (A) defendant to register pursuant to subdivision (c)
shall have precedence in enforcement over of Section 290, has been issued, except as
the provisions of any other restraining or described in subdivision (c), a restraining order or
protective order only with respect to those protective order against the defendant issued by
provisions of the emergency protective order the criminal court in that case has precedence in
that are more restrictive in relation to the enforcement over a civil court order against the
restrained person. defendant.

(2) Except as described in paragraph (1), a no- (3) Custody and visitation with respect to the
contact order, as described in Section 6320 of the defendant and the defendant’s minor children
Family Code, shall have precedence in may be ordered by a family or juvenile court
enforcement over any other restraining or consistent with the protocol established pursuant
protective order. to subdivision (f), but if ordered after a criminal
protective order has been issued pursuant to this
(d) (1) A person subject to a protective order issued section, the custody and visitation order shall
under this section shall not own, possess, make reference to, and, if there is not an
purchase, or receive, or attempt to purchase or emergency protective order that has precedence
receive, a firearm while the protective order is in in enforcement pursuant to paragraph (1) of
effect. subdivision (c), or a no-contact order, as described
in Section 6320 of the Family Code, acknowledge
(2) The court shall order a person subject to a
the precedence of enforcement of, an appropriate
protective order issued under this section to
criminal protective order. On or before July 1,
relinquish ownership or possession of any
2014, the Judicial Council shall modify the criminal
firearms, pursuant to Section 527.9 of the Code of
and civil court forms consistent with this
Civil Procedure.
subdivision.
(3) A person who owns, possesses, purchases, or
(f) On or before January 1, 2003, the Judicial Council
receives, or attempts to purchase or receive, a
shall promulgate a protocol, for adoption by each local
firearm while the protective order is in effect is
court in substantially similar terms, to provide for the
punishable pursuant to Section 29825.
timely coordination of all orders against the same
(e) (1) When the defendant is charged with a crime defendant and in favor of the same named victim or
involving domestic violence, as defined in Section victims. The protocol shall include, but shall not be
13700 of this code or in Section 6211 of the limited to, mechanisms for ensuring appropriate
Family Code, or a violation of Section 261, 261.5, communication and information sharing between
or 262, or a crime that requires the defendant to criminal, family, and juvenile courts concerning orders
register pursuant to subdivision (c) of Section 290, and cases that involve the same parties, and shall
the court shall consider issuing the above- permit a family or juvenile court order to coexist with a
described orders on its own motion. All interested criminal court protective order subject to the following
parties shall receive a copy of those orders. In conditions:
order to facilitate this, the court’s records of all
(1) An order that permits contact between the
criminal cases involving domestic violence or a
restrained person and the person’s children shall
violation of Section 261, 261.5, or 262, or a crime
provide for the safe exchange of the children and
that requires the defendant to register pursuant
shall not contain language either printed or
to subdivision (c) of Section 290, shall be marked
handwritten that violates a “no-contact order”
to clearly alert the court to this issue.
issued by a criminal court.

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(2) The safety of all parties shall be the courts’ may be valid for up to 10 years, as determined by
paramount concern. The family or juvenile court the court. This protective order may be issued by
shall specify the time, day, place, and manner of the court regardless of whether the defendant is
transfer of the child, as provided in Section 3100 sentenced to the state prison or a county jail or
of the Family Code. subject to mandatory supervision, or whether
imposition of sentence is suspended and the
(g) On or before January 1, 2003, the Judicial Council defendant is placed on probation. It is the intent
shall modify the criminal and civil court protective of the Legislature in enacting this subdivision that
order forms consistent with this section. the duration of a restraining order issued by the
court be based upon the seriousness of the facts
(h) (1) When a complaint, information, or indictment before the court, the probability of future
charging a crime involving domestic violence, as violations, and the safety of a victim and the
defined in Section 13700 or in Section 6211 of the victim’s immediate family.
Family Code, has been filed, the court may
consider, in determining whether good cause (2) When a criminal defendant has been
exists to issue an order under subparagraph (A) of convicted of a crime involving domestic violence
paragraph (1) of subdivision (a), the underlying as defined in Section 13700 or in Section 6211 of
nature of the offense charged, and the the Family Code, a violation of Section 261, 261.5,
information provided to the court pursuant to or 262, a violation of Section 186.22, or a crime
Section 273.75. that requires the defendant to register pursuant
to subdivision (c) of Section 290, the court, at the
(2) When a complaint, information, or time of sentencing, shall consider issuing an order
indictment charging a violation of Section 261, restraining the defendant from any contact with a
261.5, or 262, or a crime that requires the percipient witness to the crime if it can be
defendant to register pursuant to subdivision (c) established by clear and convincing evidence that
of Section 290, has been filed, the court may the witness has been harassed, as defined in
consider, in determining whether good cause paragraph (3) of subdivision (b) of Section 527.6 of
exists to issue an order under paragraph (1) of the Code of Civil Procedure, by the defendant.
subdivision (a), the underlying nature of the
offense charged, the defendant’s relationship to (3) An order under this subdivision may include
the victim, the likelihood of continuing harm to provisions for electronic monitoring if the local
the victim, any current restraining order or government, upon receiving the concurrence of
protective order issued by a civil or criminal court the county sheriff or the chief probation officer
involving the defendant, and the defendant’s with jurisdiction, adopts a policy authorizing
criminal history, including, but not limited to, prior electronic monitoring of defendants and specifies
convictions for a violation of Section 261, 261.5, the agency with jurisdiction for this purpose. If the
or 262, a crime that requires the defendant to court determines that the defendant has the
register pursuant to subdivision (c) of Section 290, ability to pay for the monitoring program, the
any other forms of violence, or a weapons court shall order the defendant to pay for the
offense. monitoring. If the court determines that the
defendant does not have the ability to pay for the
(i) (1) When a criminal defendant has been electronic monitoring, the court may order the
convicted of a crime involving domestic violence electronic monitoring to be paid for by the local
as defined in Section 13700 or in Section 6211 of government that adopted the policy authorizing
the Family Code, a violation of subdivision (a) of electronic monitoring. The duration of the
Section 236.1, Section 261, 261.5, 262, electronic monitoring shall not exceed one year
subdivision (a) of Section 266h, or subdivision (a) from the date the order is issued.
of Section 266i, a violation of Section 186.22, or a
crime that requires the defendant to register (j) For purposes of this section, “local government”
pursuant to subdivision (c) of Section 290, the means the county that has jurisdiction over the
court, at the time of sentencing, shall consider protective order. (Added by Stats. 1980, ch. 686.
issuing an order restraining the defendant from Amended by Stats. 1988, ch. 182; Stats. 1989, ch. 1378;
any contact with a victim of the crime. The order

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Stats. 1990, ch. 935; Stats. 1996, ch. 904; Stats. 1997, initiation of unauthorized correspondence with the
ch. 48; Stats. 1997, ch. 847, Stats. 1998, ch. 187; Stats. witness or victim, is guilty of a public offense,
1999, ch. 83, Stats. 1999, ch. 661; Stats. 2001, ch. 698; punishable by imprisonment in the county jail not to
Stats. 2003, ch. 498; Stats. 2005, ch. 132; Stats. 2005, exceed one year, or by imprisonment pursuant to
ch. 465; Stats. 2005, ch. 631; Stats. 2005, ch. 702; Stats. subdivision (h) of Section 1170.
2008, ch. 86; Stats. 2010, ch. 178; Stats. 2011, ch. 155;
Stats. 2012, ch. 513; Stats. 2013, ch. 76; Stats. 2013, ch. Nothing in this section shall prevent the interviewing of
263; Stats. 2013, ch. 291; Stats. 2014, ch. 71; Stats. witnesses. (Added by Stats. 1987, ch. 520. Amended by
2014, ch. 638; Stats. 2014, ch. 665; Stats. 2014, ch. 673; Stats. 2011, ch. 15; Stats. 2018, ch. 423.)
Stats. 2015, ch. 60; Stats. 2016, ch. 86; Stats. 2017, ch.
270; Stats. 2018, ch. 805; Stats. 2019, ch. 256.)
§ 137 Influencing the Testimony or
Information Given to Law Enforcement Officials
§ 136.3 Court Order to Protect the Address or
Location of a Protected Party (a) Every person who gives or offers, or promises to
give, to any witness, person about to be called as a
(a) The court shall order that any party enjoined witness, or person about to give material information
pursuant to Section 136.2 be prohibited from taking any pertaining to a crime to a law enforcement official,
action to obtain the address or location of a protected any bribe, upon any understanding or agreement that
party or a protected party’s family members, caretakers, the testimony of such witness or information given by
or guardian, unless there is good cause not to make that such person shall be thereby influenced is guilty of a
order. felony.

(b) The Judicial Council shall promulgate forms (b) Every person who attempts by force or threat of
necessary to effectuate this section. (Added by Stats. force or by the use of fraud to induce any person to
2005, ch. 472.) give false testimony or withhold true testimony or to
give false material information pertaining to a crime
to, or withhold true material information pertaining to
§ 136.5 Intent to Use Deadly Weapon to a crime from, a law enforcement official is guilty of a
Intimidate Witness; Offense; Penalty felony, punishable by imprisonment in the state
prison for two, three, or four years.
Any person who has upon his person a deadly weapon
As used in this subdivision, “threat of force” means a
with the intent to use such weapon to commit a
credible threat of unlawful injury to any person or
violation of Section 136.1 is guilty of an offense
damage to the property of another which is
punishable by imprisonment in the county jail for not communicated to a person for the purpose of inducing
more than one year, or in the state prison. (Added by him to give false testimony or withhold true testimony
Stats. 1982, ch. 1101.) or to give false material information pertaining to a
crime to, or to withhold true material information
pertaining to a crime from, a law enforcement official.
§ 136.7 Revealing Names and Addresses of
Witnesses or Victims by Sexual Offender with the (c) Every person who knowingly induces another
Intent that Another Prisoner will Initiate Harassing person to give false testimony or withhold true
Correspondence testimony not privileged by law or to give false
material information pertaining to a crime to, or to
Every person imprisoned in a county jail or the state withhold true material information pertaining to a
prison who has been convicted of a sexual offense, crime from, a law enforcement official is guilty of a
including, but not limited to, a violation of Section misdemeanor.
243.4, 261, 261.5, 262, 264.1, 266, 266a, 266b, 266c,
(d) At the arraignment, on a showing of cause to
266f, 285, 286, 287, 288, or 289, or former Section
believe this section may be violated, the court, on
288a, who knowingly reveals the name and address of
motion of a party, shall admonish the person who
any witness or victim to that offense to any other
there is cause to believe may violate this section and
prisoner with the intent that the other prisoner will shall announce the penalties and other provisions of
intimidate or harass the witness or victim through the this section.

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(e) As used in this section “law enforcement official” matter, digital image, or video recording, with specific
includes any district attorney, deputy district attorney, intent that the action will result in a person being
city attorney, deputy city attorney, the Attorney charged with a crime or with the specific intent that
General or any deputy attorney general, or any peace the physical matter, digital image, or video recording
officer included in Chapter 4.5 (commencing with will be concealed or destroyed, or fraudulently
Section 830) of Title 3 of Part 2. represented as the original evidence upon a trial,
proceeding, or inquiry, is guilty of a felony punishable
(f) The provisions of subdivision (c) shall not apply
by two, three, or five years in the state prison.
to an attorney advising a client or to a person advising
a member of his or her family. (Enacted 1872.
(c) A prosecuting attorney who intentionally and in
Amended by Code Am. 1873-74, ch. 614; Stats. 1970,
bad faith alters, modifies, or withholds any physical
ch. 353; Stats. 1977, ch. 67; Stats. 1979, ch. 944; Stats.
1980, ch. 1126.) matter, digital image, video recording, or relevant
exculpatory material or information, knowing that it is
relevant and material to the outcome of the case,
§ 138 Witnesses–Offering or Accepting Bribes with the specific intent that the physical matter,
digital image, video recording, or relevant exculpatory
(a) Every person who gives or offers or promises to material or information will be concealed or
give to any witness or person about to be called as a destroyed, or fraudulently represented as the original
witness, any bribe upon any understanding or evidence upon a trial, proceeding, or inquiry, is guilty
agreement that the person shall not attend upon any of a felony punishable by imprisonment pursuant to
trial or other judicial proceeding, or every person who subdivision (h) of Section 1170 for 16 months, or two
attempts by means of any offer of a bribe to dissuade or three years.
any person from attending upon any trial or other
judicial proceeding, is guilty of a felony. (d) This section does not preclude prosecution under
both this section and any other law. (Added by Stats.
(b) Every person who is a witness, or is about to be 2000, ch. 620. Amended by Stats. 2015, ch. 463; Stats.
called as such, who receives, or offers to receive, any 2016, ch. 879.)
bribe, upon any understanding that his or her
testimony shall be influenced thereby, or that he or she
will absent himself or herself from the trial or § 158 Common Barratry Defined; Punishment
proceeding upon which his or her testimony is
Common barratry is the practice of exciting
required, is guilty of a felony. (Enacted 1872. Amended
groundless judicial proceedings, and is punishable by
by Code Am. 1873-74, ch. 614; Stats. 1987, ch. 828.)
imprisonment in the county jail not exceeding six
months and by fine not exceeding one thousand
§ 141 Intentional Alteration of Evidence with dollars ($1,000). (Enacted in 1872. Amended by Stats.
Intent to Charge Person with a Crime; By Peace 1983, ch. 1092.)
Officer or Prosecuting Attorney
§ 166 Contempt Constituting Misdemeanor
(a) Except as provided in subdivisions (b) and (c), a
person who knowingly, willfully, intentionally, and
(a) Except as provided in subdivisions (b), (c), and (d),
wrongfully alters, modifies, plants, places, a person guilty of any of the following contempts of
manufactures, conceals, or moves any physical matter, court is guilty of a misdemeanor:
digital image, or video recording, with specific intent
that the action will result in a person being charged (1) Disorderly, contemptuous, or insolent
with a crime or with the specific intent that the physical behavior committed during the sitting of a court
matter will be wrongfully produced as genuine or true of justice, in the immediate view and presence of
upon a trial, proceeding, or inquiry, is guilty of a the court, and directly tending to interrupt its
misdemeanor. proceedings or to impair the respect due to its
authority.
(b) A peace officer who knowingly, willfully,
intentionally, and wrongfully alters, modifies, plants,
places, manufactures, conceals, or moves any physical

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(2) Behavior specified in paragraph (1) that is (3) The present incarceration of a person who
committed in the presence of a referee, while makes contact with a victim in violation of
actually engaged in a trial or hearing, pursuant to paragraph (1) is not a defense to a violation of this
the order of a court, or in the presence of any jury subdivision.
while actually sitting for the trial of a cause, or
upon an inquest or other proceeding authorized (c) (1) Notwithstanding paragraph (4) of subdivision
by law. (a), a willful and knowing violation of a protective
order or stay-away court order described as
(3) A breach of the peace, noise, or other follows shall constitute contempt of court, a
disturbance directly tending to interrupt the misdemeanor, punishable by imprisonment in a
proceedings of the court. county jail for not more than one year, by a fine of
not more than one thousand dollars ($1,000), or
(4) Willful disobedience of the terms as written by both that imprisonment and fine:
of any process or court order or out-of-state court
order, lawfully issued by a court, including orders (A) An order issued pursuant to Section
pending trial. 136.2.

(5) Resistance willfully offered by any person to (B) An order issued pursuant to paragraph
the lawful order or process of a court. (2) of subdivision (a) of Section 1203.097.

(6) The contumacious and unlawful refusal of a (C) An order issued after a conviction in a
person to be sworn as a witness or, when so criminal proceeding involving elder or
sworn, the like refusal to answer a material dependent adult abuse, as defined in Section
question. 368.

(7) The publication of a false or grossly (D) An order issued pursuant to Section
inaccurate report of the proceedings of a court. 1201.3.

(8) Presenting to a court having power to pass (E) An order described in paragraph (3).
sentence upon a prisoner under conviction, or to
a member of the court, an affidavit, testimony, (F) An order issued pursuant to subdivision
or representation of any kind, verbal or written, (j) of Section 273.5.
in aggravation or mitigation of the punishment
to be imposed upon the prisoner, except as (2) If a violation of paragraph (1) results in a
provided in this code. physical injury, the person shall be imprisoned in a
county jail for at least 48 hours, whether a fine or
(9) Willful disobedience of the terms of an imprisonment is imposed, or the sentence is
injunction that restrains the activities of a suspended.
criminal street gang or any of its members,
lawfully issued by a court, including an order (3) Paragraphs (1) and (2) apply to the following
pending trial. court orders:

(b) (1) A person who is guilty of contempt of court (A) An order issued pursuant to Section
under paragraph (4) of subdivision (a) by willfully 6320 or 6389 of the Family Code.
contacting a victim by telephone or mail, or
(B) An order excluding one party from the
directly, and who has been previously convicted
family dwelling or from the dwelling of the
of a violation of Section 646.9 shall be punished
other.
by imprisonment in a county jail for not more
than one year, by a fine of five thousand dollars (C) An order enjoining a party from
($5,000), or by both that fine and imprisonment. specified behavior that the court determined
was necessary to effectuate the orders
(2) For the purposes of sentencing under this
described in paragraph (1).
subdivision, each contact shall constitute a
separate violation of this subdivision.

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(4) A second or subsequent conviction for a determination of the defendant’s ability to pay. In
violation of an order described in paragraph (1) no event shall an order to make payments to a
occurring within seven years of a prior conviction battered women’s shelter be made if it would
for a violation of any of those orders and involving impair the ability of the defendant to pay direct
an act of violence or “a credible threat” of restitution to the victim or court-ordered child
violence, as provided in subdivision (c) of Section support.
139, is punishable by imprisonment in a county jail
not to exceed one year, or in the state prison for (4) If the injury to a married person is caused in
16 months or two or three years. whole, or in part, by the criminal acts of his or her
spouse in violation of subdivision (c), the
(5) The prosecuting agency of each county shall community property shall not be used to
have the primary responsibility for the discharge the liability of the offending spouse for
enforcement of the orders described in paragraph restitution to the injured spouse required by
(1). Section 1203.04, as operative on or before August
2, 1995, or Section 1202.4, or to a shelter for costs
(d) (1) A person who owns, possesses, purchases, or with regard to the injured spouse and dependents
receives a firearm knowing he or she is prohibited required by this subdivision, until all separate
from doing so by the provisions of a protective property of the offending spouse is exhausted.
order as defined in Section 136.2 of this code,
Section 6218 of the Family Code, or Section 527.6 (5) A person violating an order described in
or 527.8 of the Code of Civil Procedure, shall be subdivision (c) may be punished for any
punished under Section 29825. substantive offenses described under Section
136.1 or 646.9. A finding of contempt shall not be
(2) A person subject to a protective order a bar to prosecution for a violation of Section
described in paragraph (1) shall not be prosecuted 136.1 or 646.9. However, a person held in
under this section for owning, possessing, contempt for a violation of subdivision (c) shall be
purchasing, or receiving a firearm to the extent entitled to credit for any punishment imposed as a
that firearm is granted an exemption pursuant to result of that violation against any sentence
subdivision (h) of Section 6389 of the Family Code. imposed upon conviction of an offense described
in Section 136.1 or 646.9. A conviction or acquittal
(e) (1) If probation is granted upon conviction of a for a substantive offense under Section 136.1 or
violation of subdivision (c), the court shall impose 646.9 shall be a bar to a subsequent punishment
probation consistent with Section 1203.097. for contempt arising out of the same act.
(Enacted 1872. Amended by Stats. 1993, ch. 345;
(2) If probation is granted upon conviction of a
Stats. 1993, ch. 583; Stats. 1996, ch. 904; Stats.
violation of subdivision (c), the conditions of
1996, ch. 1077; Stats. 1999, ch. 662; Stats. 2002,
probation may include, in lieu of a fine, one or
ch. 830; Stats. 2008, ch. 152; Stats. 2009, ch. 140;
both of the following requirements:
Stats. 2010, ch. 178; Stats. 2010, ch. 677; Stats.
(A) That the defendant make payments to 2011, ch. 285; Stats. 2011, ch. 296; Stats. 2011, ch.
a battered women’s shelter, up to a 181; Stats. 2013, ch. 76; Stats. 2013, ch. 291;
maximum of one thousand dollars ($1,000). Stats. 2014, ch. 99; Stats. 2015, ch. 279; Stats.
2016, ch. 342.)
(B) That the defendant provide restitution
to reimburse the victim for reasonable costs
of counseling and other reasonable expenses § 506 Misappropriation of the Property of
that the court finds are the direct result of Another by One Controlling or Intrusted with the
the defendant’s offense. Property

(3) For an order to pay a fine, make payments to Every trustee, banker, merchant, broker, attorney,
a battered women’s shelter, or pay restitution as a agent, assignee in trust, executor, administrator, or
condition of probation under this subdivision or collector, or person otherwise intrusted with or having
subdivision (c), the court shall make a in his control property for the use of any other person,

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who fraudulently appropriates it to any use or purpose the individual or entity who is solicited or referred,
not in the due and lawful execution of his trust, or intends to violate Section 550 of this code or Section
secretes it with a fraudulent intent to appropriate it to 1871.4 of the Insurance Code is guilty of a crime,
such use or purpose, and any contractor who punishable upon a first conviction by imprisonment in
appropriates money paid to him for any use or purpose, the county jail for not more than one year or by
other than for that which he received it, is guilty of imprisonment pursuant to subdivision (h) of Section
embezzlement, and the payment of laborers and 1170 for 16 months, two years, or three years, or by a
materialmen for work performed or material furnished fine not exceeding fifty thousand dollars ($50,000) or
in the performance of any contract is hereby declared double the amount of the fraud, whichever is greater,
to be the use and purpose to which the contract price or by both that imprisonment and fine. A second or
of such contract, or any part thereof, received by the subsequent conviction is punishable by imprisonment
contractor shall be applied. (Enacted 1872. Amended pursuant to subdivision (h) of Section 1170 or by that
by Stats. 1907, ch. 490; Stats. 1919, ch. 518.) imprisonment and a fine of fifty thousand dollars
($50,000). Restitution shall be ordered, including
restitution for any medical evaluation or treatment
§ 506a Account or Debt Collectors; Definition; services obtained or provided. The court shall
Prosecution; Punishment determine the amount of restitution and the person or
persons to whom the restitution shall be paid. (Added
Any person who, acting as collector, or acting in any by Stats. 1991, ch. 116. Amended by Stats. 1991, ch.
capacity in or about a business conducted for the 934; Stats. 1992, ch. 1352; Stats. 1993, ch. 589; Stats.
collection of accounts or debts owing by another 1994, ch. 841; Stats. 1994, ch. 1031; Stats. 2000, ch.
person, and who violates Section 506 of the Penal 843; Stats. 2003-2004, 4th Ex.Sess., ch. 2; Stats. 2011,
Code, shall be deemed to be an agent or person as ch. 15.)
defined in Section 506, and subject for a violation of
Section 506, to be prosecuted, tried, and punished in
accordance therewith and with law; and “collector” § 550 Fraudulent Insurance Claims; Felony
means every such person who collects, or who has in Violations
his or her possession or under his or her control
property or money for the use of any other person, (a) It is unlawful to do any of the following, or to aid,
whether in his or her own name and mixed with his or abet, solicit, or conspire with any person to do any of
her own property or money, or otherwise, or whether the following:
he or she has any interest, direct or indirect, in or to
such property or money, or any portion thereof, and (1) Knowingly present or cause to be presented
who fraudulently appropriates to his or her own use, any false or fraudulent claim for the payment of a
or the use of any person other than the true owner, or loss or injury, including payment of a loss or injury
person entitled thereto, or secretes that property or under a contract of insurance.
money, or any portion thereof, or interest therein not
his or her own, with a fraudulent intent to appropriate (2) Knowingly present multiple claims for the
it to any use or purpose not in the due and lawful same loss or injury, including presentation of
execution of his or her trust. (Added by Stats. 1917, ch. multiple claims to more than one insurer, with an
603. Amended by Stats. 1987, ch. 828.) intent to defraud.

(3) Knowingly cause or participate in a vehicular

§ 549 Penalties for Referrals with Intent to collision, or any other vehicular accident, for the
Violate Insurance Code Section 1871.1 or 1871.4 purpose of presenting any false or fraudulent
claim.
Any firm, corporation, partnership, or association, or
any person acting in his or her individual capacity, or in (4) Knowingly present a false or fraudulent claim
his or her capacity as a public or private employee, who for the payments of a loss for theft, destruction,
solicits, accepts, or refers any business to or from any damage, or conversion of a motor vehicle, a
individual or entity with the knowledge that, or with motor vehicle part, or contents of a motor vehicle.
reckless disregard for whether, the individual or entity
for or from whom the solicitation or referral is made, or

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(5) Knowingly prepare, make, or subscribe any any benefit or payment to which the person is
writing, with the intent to present or use it, or to entitled.
allow it to be presented, in support of any false or
fraudulent claim. (4) Prepare or make any written or oral
statement, intended to be presented to any
(6) Knowingly make or cause to be made any insurer or producer for the purpose of obtaining a
false or fraudulent claim for payment of a health motor vehicle insurance policy, that the person to
care benefit. be the insured resides or is domiciled in this state
when, in fact, that person resides or is domiciled
(7) Knowingly submit a claim for a health care in a state other than this state.
benefit that was not used by, or on behalf of, the
claimant. (c) (1) Every person who violates paragraph (1), (2),
(3), (4), or (5) of subdivision (a) is guilty of a felony
(8) Knowingly present multiple claims for punishable by imprisonment pursuant to
payment of the same health care benefit with an subdivision (h) of Section 1170 for two, three, or
intent to defraud. five years, and by a fine not exceeding fifty
thousand dollars ($50,000), or double the amount
(9) Knowingly present for payment any of the fraud, whichever is greater.
undercharges for health care benefits on behalf of
a specific claimant unless any known overcharges (2) Every person who violates paragraph (6), (7),
for health care benefits for that claimant are (8), or (9) of subdivision (a) is guilty of a public
presented for reconciliation at that same time. offense.

(10) For purposes of paragraphs (6) to (9), (A) When the claim or amount at issue
inclusive, a claim or a claim for payment of a exceeds nine hundred fifty dollars ($950),
health care benefit also means a claim or claim for the offense is punishable by imprisonment
payment submitted by or on the behalf of a pursuant to subdivision (h) of Section 1170
provider of any workers’ compensation health for two, three, or five years, or by a fine not
benefits under the Labor Code. exceeding fifty thousand dollars ($50,000) or
double the amount of the fraud, whichever is
(b) It is unlawful to do, or to knowingly assist or greater, or by both that imprisonment and
conspire with any person to do, any of the following: fine, or by imprisonment in a county jail not
to exceed one year, by a fine of not more
(1) Present or cause to be presented any written
than ten thousand dollars ($10,000), or by
or oral statement as part of, or in support of or
both that imprisonment and fine.
opposition to, a claim for payment or other
benefit pursuant to an insurance policy, knowing (B) When the claim or amount at issue is
that the statement contains any false or nine hundred fifty dollars ($950) or less, the
misleading information concerning any material offense is punishable by imprisonment in a
fact. county jail not to exceed six months, or by a
fine of not more than one thousand dollars
(2) Prepare or make any written or oral
($1,000), or by both that imprisonment and
statement that is intended to be presented to any
fine, unless the aggregate amount of the
insurer or any insurance claimant in connection
claims or amount at issue exceeds nine
with, or in support of or opposition to, any claim
hundred fifty dollars ($950) in any 12-
or payment or other benefit pursuant to an
consecutive-month period, in which case the
insurance policy, knowing that the statement
claims or amounts may be charged as in
contains any false or misleading information
subparagraph (A).
concerning any material fact.
(3) Every person who violates paragraph (1),
(3) Conceal, or knowingly fail to disclose the
(2), (3), or (4) of subdivision (b) shall be punished
occurrence of, an event that affects any person’s
by imprisonment pursuant to subdivision (h) of
initial or continued right or entitlement to any
Section 1170 for two, three, or five years, or by a
insurance benefit or payment, or the amount of

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fine not exceeding fifty thousand dollars Insurance Code shall receive a two-year enhancement
($50,000) or double the amount of the fraud, for each prior felony conviction in addition to the
whichever is greater, or by both that sentence provided in subdivision (c). The existence of
imprisonment and fine, or by imprisonment in a any fact that would subject a person to a penalty
county jail not to exceed one year, or by a fine of enhancement shall be alleged in the information or
not more than ten thousand dollars ($10,000), or indictment and either admitted by the defendant in
by both that imprisonment and fine. open court, or found to be true by the jury trying the
issue of guilt or by the court where guilt is established
(4) Restitution shall be ordered for a person by plea of guilty or nolo contendere or by trial by the
convicted of violating this section, including court sitting without a jury. Any person who violates
restitution for any medical evaluation or this section shall be subject to appropriate orders of
treatment services obtained or provided. The restitution pursuant to Section 13967 of the
court shall determine the amount of restitution Government Code.
and the person or persons to whom the
restitution shall be paid. (f) Any person who violates paragraph (3) of
subdivision (a) and who has two prior felony
(d) Notwithstanding any other provision of law, convictions for a violation of paragraph (3) of
probation shall not be granted to, nor shall the subdivision (a) shall receive a five-year enhancement in
execution or imposition of a sentence be suspended addition to the sentence provided in subdivision (c).
for, any adult person convicted of felony violations of The existence of any fact that would subject a person
this section who previously has been convicted of to a penalty enhancement shall be alleged in the
felony violations of this section or Section 548, or of information or indictment and either admitted by the
Section 1871.4 of the Insurance Code, or former defendant in open court, or found to be true by the
Section 556 of the Insurance Code, or former Section jury trying the issue of guilt or by the court where guilt
1871.1 of the Insurance Code as an adult under is established by plea of guilty or nolo contendere or
charges separately brought and tried two or more by trial by the court sitting without a jury.
times. The existence of any fact that would make a
person ineligible for probation under this subdivision (g) Except as otherwise provided in Section 12022.7,
shall be alleged in the information or indictment, and any person who violates paragraph (3) of subdivision
either admitted by the defendant in an open court, or (a) shall receive a two-year enhancement for each
found to be true by the jury trying the issue of guilt or person other than an accomplice who suffers serious
by the court where guilt is established by plea of guilty bodily injury resulting from the vehicular collision or
or nolo contendere or by trial by the court sitting accident in a violation of paragraph (3) of subdivision
without a jury. (a).

Except when the existence of the fact was not (h) This section shall not be construed to preclude
admitted or found to be true or the court finds that a the applicability of any other provision of criminal law
prior felony conviction was invalid, the court shall not or equitable remedy that applies or may apply to any
strike or dismiss any prior felony convictions alleged in act committed or alleged to have been committed by a
the information or indictment. person.

This subdivision does not prohibit the adjournment of (i) Any fine imposed pursuant to this section shall be
criminal proceedings pursuant to Division 3 doubled if the offense was committed in connection
(commencing with Section 3000) or Division 6 with any claim pursuant to any automobile insurance
(commencing with Section 6000) of the Welfare and policy in an auto insurance fraud crisis area designated
Institutions Code. by the Insurance Commissioner pursuant to Article 4.6
(commencing with Section 1874.90) of Chapter 12 of
(e) Except as otherwise provided in subdivision (f), Part 2 of Division 1 of the Insurance Code. (Added by
any person who violates subdivision (a) or (b) and who Stats. 1992, ch. 675. Amended by Stats. 1993, ch. 120;
has a prior felony conviction of an offense set forth in Stats. 1993, ch. 605; Stats. 1994, ch. 841; Stats. 1994,
either subdivision (a) or (b), in Section 548, in Section ch. 1008; Stats. 1995, ch. 573; Stats. 1995, ch. 574;
1871.4 of the Insurance Code, in former Section 556 of Stats. 1998, ch. 189; Stats. 1999, ch. 83; Stats. 2000,
the Insurance Code, or in former Section 1871.1 of the

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ch. 867; Stats. 2003-2004, 4th Ex.Sess., ch. 2; Stats. one thousand dollars ($1,000), or by both that
2009-2010, 3rd Ex.Sess., ch. 28; Stats. 2011, ch. 15.) imprisonment and fine.

(d) Every person who, having been convicted of

§ 551 Unlawful Consideration for Referring subdivision (a) or (b), or Section 7027.3 or former
Insured to an Automotive Repair Dealer Section 9884.75 of the Business and Professions Code
and having served a term therefor in any penal
(a) It is unlawful for any automotive repair dealer, institution or having been imprisoned therein as a
contractor, or employees or agents thereof to offer to condition of probation for that offense, is
any insurance agent, broker, or adjuster any fee, subsequently convicted of subdivision (a) or (b), upon
commission, profit sharing, or other form of direct or a subsequent conviction of one of those offenses, shall
indirect consideration for referring an insured to an be punished by imprisonment pursuant to subdivision
automotive repair dealer or its employees or agents (h) of Section 1170 for 16 months, or two or three
for vehicle repairs covered under a policyholder’s years, by a fine of not more than ten thousand dollars
automobile physical damage or automobile collision ($10,000), or by both that imprisonment and fine; or
coverage, or to a contractor or its employees or agents by imprisonment in a county jail not to exceed one
for repairs to or replacement of a structure covered by year, by a fine of not more than one thousand dollars
a residential or commercial insurance policy. ($1,000), or by both that imprisonment and fine.
(b) Except in cases in which the amount of the repair (e) For purposes of this section:
or replacement claim has been determined by the
insurer and the repair or replacement services are (1) “Automotive repair dealer” means a person
performed in accordance with that determination or in who, for compensation, engages in the business of
accordance with provided estimates that are accepted repairing or diagnosing malfunctions of motor
by the insurer, it is unlawful for any automotive repair vehicles.
dealer, contractor, or employees or agents thereof to
knowingly offer or give any discount intended to offset (2) “Contractor” has the same meaning as set
a deductible required by a policy of insurance covering forth in Section 7026 of the Business and
repairs to or replacement of a motor vehicle or Professions Code. (Added by Stats. 1992, ch. 675.
residential or commercial structure. This subdivision Amended by Stats. 1993, ch. 462; Stats. 1995, ch.
does not prohibit an advertisement for repair or 373; Stats. 2009-2010, 3rd Ex.Sess., ch. 28; Stats.
replacement services at a discount as long as the 2011, ch. 15.)
amount of the repair or replacement claim has been
determined by the insurer and the repair or
replacement services are performed in accordance
§ 633.05 City Attorney–Evidence Obtained by
with that determination or in accordance with Overhearing or Recording Communications That
provided estimates that are accepted by the insurer. Could be Lawfully Overheard or Recorded

(c) A violation of this section is a public offense. (a) Nothing in Section 632, 632.5, 632.6, or 632.7
Where the amount at issue exceeds nine hundred fifty prohibits a city attorney acting under authority of Section
dollars ($950), the offense is punishable by 41803.5 of the Government Code, provided that
imprisonment pursuant to subdivision (h) of Section authority is granted prior to January 1, 2012, or any
1170 for 16 months, or two or three years, by a fine of person acting pursuant to the direction of one of those
city attorneys acting within the scope of his or her
not more than ten thousand dollars ($10,000), or by
authority, from overhearing or recording any
both that imprisonment and fine; or by imprisonment
communication that they could lawfully overhear or
in a county jail not to exceed one year, by a fine of not
record.
more than one thousand dollars ($1,000), or by both
that imprisonment and fine. In all other cases, the (b) Nothing in Section 632, 632.5, 632.6, or 632.7
offense is punishable by imprisonment in a county jail renders inadmissible any evidence obtained by the
not to exceed six months, by a fine of not more than above-named persons by means of overhearing or

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recording any communication that they could lawfully investigator for services rendered pursuant to the court
overhear or record. (Added by Stats. 2011, ch. 659.) order. In the absence of a certification the court has no
authority to appoint. In the event the county board of
supervisors or a member thereof is under investigation,
§ 646 Soliciting Personal Injury Claims with the the county has an obligation to appropriate the
Intent of Suing Out of State; Offense; Punishment necessary funds. (Added by Stats. 1980, ch. 290.)

It is unlawful for any person with the intent, or for the

purpose of instituting a suit thereon outside of this § 939.22 (Added by Stats. 2011, ch. 667, and repealed
state, to seek or solicit the business of collecting any by its own terms, as of January 1, 2017.)
claim for damages for personal injury sustained within
this state, or for death resulting therefrom, with the
intention of instituting suit thereon outside of this § 987.2 Assigned Counsel and Public Defenders–
state, in cases where such right of action rests in a Compensation; Multi-County Representation;
resident of this state, or his legal representative, and is Recovery of Costs
against a person, copartnership, or corporation subject
to personal service within this state. (a) In any case in which a person, including a person
who is a minor, desires but is unable to employ counsel,
Any person violating any of the provisions of this section and in which counsel is assigned in the superior court to
is guilty of a misdemeanor, and is punishable by a fine of represent the person in a criminal trial, proceeding, or
not less than one hundred dollars ($100) nor more than appeal, the following assigned counsel shall receive a
one thousand dollars ($1,000), by imprisonment in the reasonable sum for compensation and for necessary
county jail not less than 30 days nor more than six expenses, the amount of which shall be determined by
months, or by both fine and imprisonment at the the court, to be paid out of the general fund of the
discretion of the court but within said limits. (Added by county:
Stats. 1953, ch. 32. Amended by Stats. 1983, ch. 1092.)
(1) In a county or city and county in which there
is no public defender.
§ 936.5 Special Counsel and Special
Investigators–Superior Court Judge May Employ (2) In a county of the first, second, or third class
where there is no contract for criminal defense
(a) When requested to do so by the grand jury of any services between the county and one or more
county, the presiding judge of the superior court may responsible attorneys.
employ special counsel and special investigators, whose
duty it shall be to investigate and present the evidence (3) In a case in which the court finds that,
of the investigation to the grand jury. because of a conflict of interest or other reasons,
the public defender has properly refused.
(b) Prior to the appointment, the presiding judge shall
conduct an evidentiary hearing and find that a conflict (4) In a county of the first, second, or third class
exists that would prevent the local district attorney, where attorneys contracted by the county are
the county counsel, and the Attorney General from unable to represent the person accused.
performing such investigation. Notice of the hearing
shall be given to each of them unless he or she is a (b) The sum provided for in subdivision (a) may be
subject of the investigation. The finding of the determined by contract between the court and one or
presiding judge may be appealed by the district more responsible attorneys after consultation with the
attorney, the county counsel, or the Attorney General. board of supervisors as to the total amount of
The order shall be stayed pending the appeal made compensation and expenses to be paid, which shall be
under this section. within the amount of funds allocated by the board of
supervisors for the cost of assigned counsel in those
(c) The authority to appoint is contingent upon the cases.
certification by the auditor-comptroller of the county,
that the grand jury has funds appropriated to it (c) In counties that utilize an assigned private counsel
sufficient to compensate the special counsel and system as either the primary method of public defense

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or as the method of appointing counsel in cases where be construed to require the appointment of counsel in
the public defender is unavailable, the county, the any case in which the counsel has a conflict of interest.
courts, or the local county bar association working with In the interest of justice, a court may depart from that
the courts are encouraged to do all of the following: portion of the procedure requiring appointment of the
second public defender or a county-contracted
(1) Establish panels that shall be open to attorney after making a finding of good cause and
members of the State Bar of California. stating the reasons therefor on the record.

(2) Categorize attorneys for panel placement on (f) In any case in which counsel is assigned as
the basis of experience. provided in subdivision (a), that counsel appointed by
the court and any court-appointed licensed private
(3) Refer cases to panel members on a investigator shall have the same rights and privileges to
rotational basis within the level of experience of information as the public defender and the public
each panel, except that a judge may exclude an defender investigator. It is the intent of the Legislature
individual attorney from appointment to an in enacting this subdivision to equalize any disparity
individual case for good cause. that exists between the ability of private, court-
appointed counsel and investigators, and public
(4) Seek to educate those panel members
defenders and public defender investigators, to
through an approved training program.
represent their clients. This subdivision is not intended
(d) In a county of the first, second, or third class, the to grant to private investigators access to any
court shall first utilize the services of the public confidential Department of Motor Vehicles’
defender to provide criminal defense services for information not otherwise available to them. This
indigent defendants. In the event that the public subdivision is not intended to extend to private
defender is unavailable and the county and the courts investigators the right to issue subpoenas.
have contracted with one or more responsible
(g) Notwithstanding any other provision of this
attorneys or with a panel of attorneys to provide
section, where an indigent defendant is first charged in
criminal defense services for indigent defendants, the
one county and establishes an attorney-client
court shall utilize the services of the county-contracted
relationship with the public defender, defense services
attorneys prior to assigning any other private counsel.
contract attorney, or private attorney, and where the
Nothing in this subdivision shall be construed to require
defendant is then charged with an offense in a second
the appointment of counsel in any case in which the
or subsequent county, the court in the second or
counsel has a conflict of interest. In the interest of
subsequent county may appoint the same counsel as
justice, a court may depart from that portion of the
was appointed in the first county to represent the
procedure requiring appointment of a county-
defendant when all of the following conditions are met:
contracted attorney after making a finding of good
cause and stating the reasons therefor on the record. (1) The offense charged in the second or
subsequent county would be joinable for trial with
(e) In a county of the first, second, or third class, the
the offense charged in the first if it took place in
court shall first utilize the services of the public
the same county, or involves evidence which
defender to provide criminal defense services for
would be cross-admissible.
indigent defendants. In the event that the public
defender is unavailable and the county has created a (2) The court finds that the interests of justice
second public defender and contracted with one or and economy will be best served by unitary
more responsible attorneys or with a panel of attorneys representation.
to provide criminal defense services for indigent
defendants, and if the quality of representation (3) Counsel appointed in the first county
provided by the second public defender is comparable consents to the appointment.
to the quality of representation provided by the public
defender, the court shall next utilize the services of the (h) The county may recover costs of public defender
second public defender and then the services of the services under Chapter 6 (commencing with Section
county-contracted attorneys prior to assigning any 4750) of Title 5 of Part 3 for any case subject to Section
other private counsel. Nothing in this subdivision shall 4750.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(i) Counsel shall be appointed to represent, in a (b) To continue any hearing in a criminal proceeding,
misdemeanor case, a person who desires but is unable including the trial, (1) a written notice shall be filed and
to employ counsel, when it appears that the served on all parties to the proceeding at least two
appointment is necessary to provide an adequate and court days before the hearing sought to be continued,
effective defense for the defendant. Appointment of together with affidavits or declarations detailing
counsel in an infraction case is governed by Section specific facts showing that a continuance is necessary
19.6. and (2) within two court days of learning that he or she
has a conflict in the scheduling of any court hearing,
(j) As used in this section, “county of the first, including a trial, an attorney shall notify the calendar
second, or third class” means the county of the first clerk of each court involved, in writing, indicating which
class, county of the second class, and county of the hearing was set first. A party shall not be deemed to
third class as provided by Sections 28020, 28022, have been served within the meaning of this section
28023, and 28024 of the Government Code. until that party actually has received a copy of the
documents to be served, unless the party, after
(k) This section shall become operative on July 1, receiving actual notice of the request for continuance,
2021. (Added by Stats. 2020, ch. 92, operative July 1, waives the right to have the documents served in a
2021.) timely manner. Regardless of the proponent of the
motion, the prosecuting attorney shall notify the
§ 1050 Precedence of Criminal Cases; people’s witnesses and the defense attorney shall
notify the defense’s witnesses of the notice of motion,
Procedures for Continuances
the date of the hearing, and the witnesses’ right to be
(a) The welfare of the people of the State of heard by the court.
California requires that all proceedings in criminal cases
(c) Notwithstanding subdivision (b), a party may
shall be set for trial and heard and determined at the
make a motion for a continuance without complying
earliest possible time. To this end, the Legislature finds
with the requirements of that subdivision. However,
that the criminal courts are becoming increasingly
unless the moving party shows good cause for the
congested with resulting adverse consequences to the
failure to comply with those requirements, the court
welfare of the people and the defendant. Excessive
may impose sanctions as provided in Section 1050.5.
continuances contribute substantially to this congestion
and cause substantial hardship to victims and other (d) When a party makes a motion for a continuance
witnesses. Continuances also lead to longer periods of without complying with the requirements of
presentence confinement for those defendants in subdivision (b), the court shall hold a hearing on
custody and the concomitant overcrowding and whether there is good cause for the failure to comply
increased expenses of local jails. It is therefore with those requirements. At the conclusion of the
recognized that the people, the defendant, and the hearing, the court shall make a finding whether good
victims and other witnesses have the right to an cause has been shown and, if it finds that there is good
expeditious disposition, and to that end it shall be the cause, shall state on the record the facts proved that
duty of all courts and judicial officers and of all counsel, justify its finding. A statement of the finding and a
both for the prosecution and the defense, to expedite statement of facts proved shall be entered in the
these proceedings to the greatest degree that is minutes. If the moving party is unable to show good
consistent with the ends of justice. In accordance with cause for the failure to give notice, the motion for
this policy, criminal cases shall be given precedence continuance shall not be granted.
over, and set for trial and heard without regard to the
pendency of, any civil matters or proceedings. In (e) Continuances shall be granted only upon a
further accordance with this policy, death penalty cases showing of good cause. Neither the convenience of the
in which both the prosecution and the defense have parties nor a stipulation of the parties is in and of itself
informed the court that they are prepared to proceed good cause.
to trial shall be given precedence over, and set for trial
and heard without regard to the pendency of, other (f) At the conclusion of the motion for continuance,
criminal cases and any civil matters or proceedings, the court shall make a finding whether good cause has
unless the court finds in the interest of justice that it is been shown and, if it finds that there is good cause,
not appropriate. shall state on the record the facts proved that justify its

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

finding. A statement of facts proved shall be entered in (i) A continuance shall be granted only for that
the minutes. period of time shown to be necessary by the evidence
considered at the hearing on the motion. Whenever
(g) (1) When deciding whether or not good cause any continuance is granted, the court shall state on the
for a continuance has been shown, the court shall record the facts proved that justify the length of the
consider the general convenience and prior continuance, and those facts shall be entered in the
commitments of all witnesses, including peace minutes.
officers. Both the general convenience and prior
commitments of each witness also shall be (j) Whenever it shall appear that any court may be
considered in selecting a continuance date if the required, because of the condition of its calendar, to
motion is granted. The facts as to inconvenience dismiss an action pursuant to Section 1382, the court
or prior commitments may be offered by the must immediately notify the Chair of the Judicial
witness or by a party to the case. Council.

(2) For purposes of this section, “good cause” (k) This section shall not apply when the preliminary
includes, but is not limited to, those cases examination is set on a date less than 10 court days
involving murder, as defined in subdivision (a) of from the date of the defendant’s arraignment on the
Section 187, allegations that stalking, as defined in complaint, and the prosecution or the defendant
Section 646.9, a violation of one or more of the moves to continue the preliminary examination to a
sections specified in subdivision (a) of Section date not more than 10 court days from the date of the
11165.1 or Section 11165.6, or domestic violence defendant’s arraignment on the complaint.
as defined in Section 13700, or a case being
handled in the Career Criminal Prosecution (l) This section is directory only and does not
Program pursuant to Sections 999b through 999h, mandate dismissal of an action by its terms. (Added by
or a hate crime, as defined in Title 11.6 Stats. 1927, ch. 600. Amended by Stats. 1945, ch. 1512;
(commencing with Section 422.6) of Part 1, has Stats. 1959, ch. 1693; Stats. 1977, ch. 316; Stats. 1977,
occurred and the prosecuting attorney assigned to ch. 1152; Stats. 1977, ch. 1257; Stats. 1982, ch. 952;
the case has another trial, preliminary hearing, or Stats. 1985, ch. 949; Stats. 1986, ch. 1172; Stats. 1987,
motion to suppress in progress in that court or ch. 461; Stats. 1989, ch. 897; Stats. 1997, ch. 69; Stats.
another court. A continuance under this 1998, ch. 61; Stats. 1998, ch. 931; Stats. 1998, ch. 931;
paragraph shall be limited to a maximum of 10 Stats. 1999, ch. 382; Stats. 1999, ch. 580; Stats. 2000,
additional court days. ch. 268; Stats. 2002, ch. 784; Stats. 2002, ch. 788; Stats.
2003, ch. 133.)
(3) Only one continuance per case may be
granted to the people under this subdivision for
cases involving stalking, hate crimes, or cases § 1050.5 Sanctions for Failure to Comply With
handled under the Career Criminal Prosecution Notice Requirements for Continuances
Program. Any continuance granted to the people
in a case involving stalking or handled under the (a) When, pursuant to subdivision (c) of Section 1050,
Career Criminal Prosecution Program shall be for the court imposes sanctions for failure to comply with
the shortest time possible, not to exceed 10 court the provisions of subdivision (b) of Section 1050, the
days. court may impose one or both of the following
sanctions when the moving party is the prosecuting or
(h) Upon a showing that the attorney of record at the defense attorney:
time of the defendant’s first appearance in the superior
court on an indictment or information is a Member of (1) A fine not exceeding one thousand dollars
the Legislature of this state and that the Legislature is ($1,000) upon counsel for the moving party.
in session or that a legislative interim committee of
(2) The filing of a report with an appropriate
which the attorney is a duly appointed member is
disciplinary committee.
meeting or is to meet within the next seven days, the
defendant shall be entitled to a reasonable continuance (b) The authority to impose sanctions provided for by
not to exceed 30 days. this section shall be in addition to any other authority

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

or power available to the court, except that the court be served on the city attorney or city prosecutor
or magistrate shall not dismiss the case. (Added by and the district attorney at least 10 court days
Stats. 1985, ch. 949. Amended by Stats. 2003, ch. 133.) before the motion is heard. The notice of motion
shall set forth a statement of the facts relevant to
the claimed disqualification and the legal
§ 1424 Disqualification of the District authorities relied on by the moving party. The
Attorney district attorney may appear at the hearing on the
motion and may file with the court hearing the
(a) (1) Notice of a motion to disqualify a district motion a written opinion on the disqualification
attorney from performing an authorized duty shall issue. The motion may not be granted unless the
be served on the district attorney and the evidence shows that a conflict of interest exists
Attorney General at least 10 court days before the that would render it unlikely that the defendant
motion is heard. The notice of motion shall would receive a fair trial.
contain a statement of the facts setting forth the
grounds for the claimed disqualification and the (2) An order recusing the city attorney or city
legal authorities relied upon by the moving party prosecutor from a proceeding may be appealed by
and shall be supported by affidavits of witnesses the city attorney or city prosecutor or the district
who are competent to testify to the facts set forth attorney. The order recusing the city attorney or
in the affidavit. The district attorney or the city prosecutor shall be stayed pending an appeal
Attorney General, or both, may file affidavits in authorized by this section. An appeal from an
opposition to the motion and may appear at the order of disqualification in a misdemeanor case
hearing on the motion and may file with the court shall be made pursuant to Chapter 2 (commencing
hearing the motion a written opinion on the with Section 1466) of Title 11.
disqualification issue. The judge shall review the
affidavits and determine whether or not an (c) Motions to disqualify the city attorney or city
evidentiary hearing is necessary. The motion may prosecutor and the district attorney shall be separately
not be granted unless the evidence shows that a made. (Added by Stats. 1996, ch. 91. Amended by
conflict of interest exists that would render it Stats. 1998, ch. 931; Stats. 1999, ch. 363; Stats. 2017,
unlikely that the defendant would receive a fair ch. 299.)
trial. An order recusing the district attorney from
any proceeding may be reviewed by extraordinary
writ or may be appealed by the district attorney § 1424.5 Deliberate and Intentional
or the Attorney General. The order recusing the Withholding of Relevant, Material Exculpatory
district attorney shall be stayed pending any Evidence or Information
review authorized by this section. If the motion is
brought at or before the preliminary hearing, it (a) (1) Upon receiving information that a
may not be renewed in the trial court on the basis prosecuting attorney may have deliberately and
of facts that were raised or could have been intentionally withheld relevant, material
raised at the time of the original motion. exculpatory evidence or information in violation
of law, a court may make a finding, supported by
(2) An appeal from an order of recusal or from a clear and convincing evidence, that a violation
case involving a charge punishable as a felony occurred. If the court finds such a violation, the
shall be made pursuant to Chapter 1 (commencing court shall inform the State Bar of California of
with Section 1235) of Title 9, regardless of the that violation if the prosecuting attorney acted in
court in which the order is made. An appeal from bad faith and the impact of the withholding
an order of recusal in a misdemeanor case shall be contributed to a guilty verdict, guilty or nolo
made pursuant to Chapter 2 (commencing with contendere plea, or, if identified before
Section 1466) of Title 11, regardless of the court in conclusion of trial, seriously limited the ability of a
which the order is made. defendant to present a defense.

(b) (1) Notice of a motion to disqualify a city (2) A court may hold a hearing to consider
attorney or city prosecutor from performing an whether a violation occurred pursuant to
authorized duty involving a criminal matter shall paragraph (1).

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(b) (1) If a court finds, pursuant to subdivision (a), (5) When the property or things to be seized
that a violation occurred in bad faith, the court consist of evidence that tends to show that sexual
may disqualify an individual prosecuting attorney exploitation of a child, in violation of Section
from a case. 311.3, or possession of matter depicting sexual
conduct of a person under 18 years of age, in
(2) Upon a determination by a court to violation of Section 311.11, has occurred or is
disqualify an individual prosecuting attorney occurring.
pursuant to paragraph (1), the defendant or his or
her counsel may file and serve a notice of a (6) When there is a warrant to arrest a person.
motion pursuant to Section 1424 to disqualify the
prosecuting attorney’s office if there is sufficient (7) When a provider of electronic communication
evidence that other employees of the prosecuting service or remote computing service has records or
attorney’s office knowingly and in bad faith evidence, as specified in Section 1524.3, showing
participated in or sanctioned the intentional that property was stolen or embezzled constituting
withholding of the relevant, material exculpatory a misdemeanor, or that property or things are in
evidence or information and that withholding is the possession of any person with the intent to
part of a pattern and practice of violations. use them as a means of committing a
misdemeanor public offense, or in the possession
(c) This section does not limit the authority or of another to whom that person may have
discretion of, or any requirement placed upon, the delivered them for the purpose of concealing
court or other individuals to make reports to the State them or preventing their discovery.
Bar of California regarding the same conduct, or
otherwise limit other available legal authority, (8) When the property or things to be seized
requirements, remedies, or actions. (Added by Stats. include an item or evidence that tends to show a
2015, ch. 467. Amended by Stats. 2016, ch. 59.) violation of Section 3700.5 of the Labor Code, or
tends to show that a particular person has
violated Section 3700.5 of the Labor Code.
§ 1524 Search Warrant; Special Master;
Attorney Work Product (9) When the property or things to be seized
include a firearm or other deadly weapon at the
(a) A search warrant may be issued upon any of the scene of, or at the premises occupied or under the
following grounds: control of the person arrested in connection with,
a domestic violence incident involving a threat to
(1) When the property was stolen or embezzled. human life or a physical assault as provided in
Section 18250. This section does not affect
(2) When the property or things were used as warrantless seizures otherwise authorized by
the means of committing a felony. Section 18250.
(3) When the property or things are in the (10) When the property or things to be seized
possession of any person with the intent to use include a firearm or other deadly weapon that is
them as a means of committing a public offense, owned by, or in the possession of, or in the
or in the possession of another to whom that custody or control of, a person described in
person may have delivered them for the purpose subdivision (a) of Section 8102 of the Welfare and
of concealing them or preventing them from being Institutions Code.
discovered.
(11) When the property or things to be seized
(4) When the property or things to be seized include a firearm that is owned by, or in the
consist of an item or constitute evidence that possession of, or in the custody or control of, a
tends to show a felony has been committed, or person who is subject to the prohibitions
tends to show that a particular person has regarding firearms pursuant to Section 6389 of
committed a felony. the Family Code, if a prohibited firearm is
possessed, owned, in the custody of, or controlled
by a person against whom a protective order has

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

been issued pursuant to Section 6218 of the person has been lawfully served with that order,
Family Code, the person has been lawfully served and the person has failed to relinquish the firearm
with that order, and the person has failed to as required by law.
relinquish the firearm as required by law.
(15) Beginning January 1, 2018, the property or
(12) When the information to be received from things to be seized include a firearm that is owned
the use of a tracking device constitutes evidence by, or in the possession of, or in the custody or
that tends to show that either a felony, a control of, a person who is subject to the
misdemeanor violation of the Fish and Game prohibitions regarding firearms pursuant to
Code, or a misdemeanor violation of the Public Section 29800 or 29805, and the court has made a
Resources Code has been committed or is being finding pursuant to subdivision (c) of Section
committed, tends to show that a particular person 29810 that the person has failed to relinquish the
has committed a felony, a misdemeanor violation firearm as required by law.
of the Fish and Game Code, or a misdemeanor
violation of the Public Resources Code, or is (16) When the property or things to be seized are
committing a felony, a misdemeanor violation of controlled substances or a device, contrivance,
the Fish and Game Code, or a misdemeanor instrument, or paraphernalia used for unlawfully
violation of the Public Resources Code, or will using or administering a controlled substance
assist in locating an individual who has committed pursuant to the authority described in Section
or is committing a felony, a misdemeanor 11472 of the Health and Safety Code.
violation of the Fish and Game Code, or a
misdemeanor violation of the Public Resources (17) (A) When all of the following apply:
Code. A tracking device search warrant issued
(i) A sample of the blood of a person
pursuant to this paragraph shall be executed in a
constitutes evidence that tends to show
manner meeting the requirements specified in
a violation of subdivision (b), (c), (d),
subdivision (b) of Section 1534.
(e), or (f) of Section 655 of the Harbors
(13) When a sample of the blood of a person and Navigation Code.
constitutes evidence that tends to show a
(ii) The person from whom the
violation of Section 23140, 23152, or 23153 of the
sample is being sought has refused an
Vehicle Code and the person from whom the
officer’s request to submit to, or has
sample is being sought has refused an officer’s
failed to complete, a blood test as
request to submit to, or has failed to complete, a
required by Section 655.1 of the
blood test as required by Section 23612 of the
Harbors and Navigation Code.
Vehicle Code, and the sample will be drawn from
the person in a reasonable, medically approved (iii) The sample will be drawn from
manner. This paragraph is not intended to the person in a reasonable, medically
abrogate a court’s mandate to determine the approved manner.
propriety of the issuance of a search warrant on a
case-by-case basis. (B) This paragraph is not intended to
abrogate a court’s mandate to determine the
(14) Beginning January 1, 2016, the property or propriety of the issuance of a search warrant
things to be seized are firearms or ammunition or on a case-by-case basis.
both that are owned by, in the possession of, or in
the custody or control of a person who is the (18) When the property or things to be seized
subject of a gun violence restraining order that consists of evidence that tends to show that a
has been issued pursuant to Division 3.2 violation of paragraph (1), (2), or (3) of subdivision
(commencing with Section 18100) of Title 2 of (j) of Section 647 has occurred or is occurring.
Part 6, if a prohibited firearm or ammunition or
both is possessed, owned, in the custody of, or (19) (A) When the property or things to be
controlled by a person against whom a gun seized are data, from a recording device
violence restraining order has been issued, the installed by the manufacturer of a motor
vehicle, that constitutes evidence that tends

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

to show the commission of a felony or accordance with subdivision (d) to accompany the
misdemeanor offense involving a motor person who will serve the warrant. Upon service
vehicle, resulting in death or serious bodily of the warrant, the special master shall inform the
injury to any person. The data accessed by a party served of the specific items being sought
warrant pursuant to this paragraph shall not and that the party shall have the opportunity to
exceed the scope of the data that is directly provide the items requested. If the party, in the
related to the offense for which the warrant judgment of the special master, fails to provide
is issued. the items requested, the special master shall
conduct a search for the items in the areas
(B) For the purposes of this paragraph, indicated in the search warrant.
“recording device” has the same meaning as
defined in subdivision (b) of Section 9951 of (2) (A) If the party who has been served states
the Vehicle Code. The scope of the data that an item or items should not be
accessible by a warrant issued pursuant to disclosed, they shall be sealed by the special
this paragraph shall be limited to the master and taken to court for a hearing.
information described in subdivision (b) of
Section 9951 of the Vehicle Code. (B) At the hearing, the party searched shall
be entitled to raise any issues that may be
(C) For the purposes of this paragraph, raised pursuant to Section 1538.5 as well as
“serious bodily injury” has the same meaning a claim that the item or items are privileged,
as defined in paragraph (4) of subdivision (f) as provided by law. The hearing shall be held
of Section 243 of the Penal Code. in the superior court. The court shall provide
sufficient time for the parties to obtain
(20) When the property or things to be seized counsel and make motions or present
consists of evidence that tends to show that a evidence. The hearing shall be held within
violation of Section 647.9 has occurred or is three days of the service of the warrant
occurring. Evidence to be seized pursuant to this unless the court makes a finding that the
paragraph shall be limited to evidence of a expedited hearing is impracticable. In that
violation of Section 647.9 and shall not include case, the matter shall be heard at the
evidence of a violation of a departmental rule or earliest possible time.
guideline that is not a public offense under
California law. (C) If an item or items are taken to court
for a hearing, any limitations of time
(b) The property, things, person, or persons described prescribed in Chapter 2 (commencing with
in subdivision (a) may be taken on the warrant from Section 799) of Title 3 of Part 2 shall be
any place, or from any person in whose possession the tolled from the time of the seizure until the
property or things may be. final conclusion of the hearing, including any
associated writ or appellate proceedings.
(c) Notwithstanding subdivision (a) or (b), a search
warrant shall not be issued for any documentary (3) The warrant shall, whenever practicable, be
evidence in the possession or under the control of any served during normal business hours. In addition,
person who is a lawyer as defined in Section 950 of the the warrant shall be served upon a party who
Evidence Code, a physician as defined in Section 990 of appears to have possession or control of the items
the Evidence Code, a psychotherapist as defined in sought. If, after reasonable efforts, the party
Section 1010 of the Evidence Code, or a member of the serving the warrant is unable to locate the person,
clergy as defined in Section 1030 of the Evidence Code, the special master shall seal and return to the
and who is not reasonably suspected of engaging or court, for determination by the court, any item
having engaged in criminal activity related to the that appears to be privileged as provided by law.
documentary evidence for which a warrant is requested
unless the following procedure has been complied with: (d) (1) As used in this section, a “special master” is
an attorney who is a member in good standing of
(1) At the time of the issuance of the warrant, the California State Bar and who has been
the court shall appoint a special master in selected from a list of qualified attorneys that is

2021 PENAL CODE 243

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

maintained by the State Bar particularly for the (h) Notwithstanding any other law, no claim of
purposes of conducting the searches described in attorney work product as described in Chapter 4
this section. These attorneys shall serve without (commencing with Section 2018.010) of Title 4 of Part 4
compensation. A special master shall be of the Code of Civil Procedure shall be sustained where
considered a public employee, and the there is probable cause to believe that the lawyer is
governmental entity that caused the search engaging or has engaged in criminal activity related to
warrant to be issued shall be considered the the documentary evidence for which a warrant is
employer of the special master and the applicable requested unless it is established at the hearing with
public entity, for purposes of Division 3.6 respect to the documentary evidence seized under the
(commencing with Section 810) of Title 1 of the warrant that the services of the lawyer were not sought
Government Code, relating to claims and actions or obtained to enable or aid anyone to commit or plan
against public entities and public employees. In to commit a crime or a fraud.
selecting the special master, the court shall make
every reasonable effort to ensure that the person (i) Nothing in this section is intended to limit an
selected has no relationship with any of the attorney’s ability to request an in-camera hearing
parties involved in the pending matter. pursuant to the holding of the Supreme Court of
Information obtained by the special master shall California in People v. Superior Court (Laff) (2001) 25
be confidential and may not be divulged except in Cal.4th 703.
direct response to inquiry by the court.
(j) In addition to any other circumstance permitting a
(2) In any case in which the magistrate magistrate to issue a warrant for a person or property
determines that, after reasonable efforts have in another county, when the property or things to be
been made to obtain a special master, a special seized consist of any item or constitute evidence that
master is not available and would not be available tends to show a violation of Section 530.5, the
within a reasonable period of time, the magistrate magistrate may issue a warrant to search a person or
may direct the party seeking the order to conduct property located in another county if the person whose
the search in the manner described in this section identifying information was taken or used resides in the
in lieu of the special master. same county as the issuing court.
(e) Any search conducted pursuant to this section by (k) This section shall not be construed to create a
a special master may be conducted in a manner that cause of action against any foreign or California
permits the party serving the warrant or that party’s corporation, its officers, employees, agents, or other
designee to accompany the special master as the specified persons for providing location information.
special master conducts the search. However, that
(Enacted in 1872. Amended by Stats. 1899, ch. 72;
party or that party’s designee may not participate in
Stats. 1957, ch. 1884; Stats. 1978, ch. 1054; Stats. 1979,
the search nor shall they examine any of the items
ch. 1034; Stats. 1980, ch. 441; Stats. 1982, ch. 438;
being searched by the special master except upon
Stats. 1996, ch. 1078; Stats. 1996, ch. 1079; Stats. 2002,
agreement of the party upon whom the warrant has
ch. 864; Stats. 2002, ch. 1059; Stats. 2003, ch. 137;
been served.
Stats. 2004, ch. 182; Stats. 2003-2004 Ex.Sess., ch. 2,
(f) As used in this section, “documentary evidence” effective March 1, 2005; Stats. 2005, ch. 279; Stats.
includes, but is not limited to, writings, documents, 2005, ch. 294; Stats. 2006, ch. 538; Stats. 2009, ch. 450;
blueprints, drawings, photographs, computer printouts, Stats. 2009, ch. 473; Stats. 2010, ch. 178; Stats. 2012,
microfilms, X-rays, files, diagrams, ledgers, books, ch. 818; Stats. 2013, ch. 317; Stats. 2014, ch. 872; Stats.
tapes, audio and video recordings, films, and papers of 2015, ch. 124; Initiative Measure (Prop. 63, § 10.1,
any type or description. approved Nov. 8, 2016, eff. Nov. 9, 2016); Stats. 2017,
ch. 342; Stats. 2019, ch. 196; Stats. 2020, ch. 219.)
(g) No warrant shall issue for any item or items
described in Section 1070 of the Evidence Code.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

§ 1525 Search Warrant; Probable Cause § 14150 Alternative Dispute Resolution

Programs
A search warrant cannot be issued but upon probable
cause, supported by affidavit, naming or describing the The Legislature hereby finds and declares:
person to be searched or searched for, and particularly
describing the property, thing, or things and the place (a) Over the last 10 years, criminal case filings,
to be searched. including misdemeanor filings, have been increasing
faster than any other type of filing in California’s
The application shall specify when applicable, that the courts. Between 1981 and 1991, nontraffic
place to be searched is in the possession or under the misdemeanor and infraction filings in municipal and
control of an attorney, physician, psychotherapist or justice courts increased by 35 percent.
clergyman. (Enacted 1872. Amended by Stats. 1979,
(b) These misdemeanor cases add to the workload
ch. 1034; Stats. 1996, ch. 1078.)
which is now straining the California court system. In
addition, many of these cases are ill-suited to
§ 5065.5 Sale of Crime Story by Convicted complete resolution through the criminal justice
system because they involve underlying disputes
Criminal Offender;  Notification of California
which may result in continuing conflict and criminal
Department of Corrections and Rehabilitation and
conduct within the community.
Notification of Victim
(c) Many victims of misdemeanor criminal conduct
(a) A person or entity that enters into a contract feel excluded from the criminal justice process.
with a criminal offender for the sale of the story of a Although they were the direct victims of the
crime for which the offender was convicted shall offenders’ criminal conduct, the process does not
notify the California Department of Corrections and currently provide them with a direct role in holding
Rehabilitation that the parties have entered into a the offender accountable for this conduct.
contract for sale of the offender’s story if both of the
following conditions are met: (d) Community conflict resolution programs utilizing
alternative dispute resolution (ADR) processes such as
(1) The offender’s conviction was for any mediation and arbitration have been effectively used
offense specified in paragraph (1), except in California and elsewhere to resolve conflicts
voluntary manslaughter, (2), (3), (4), (5), (6), (7), involving conduct that could be charged as a
(9), (16), (17), (20), (22), (25), (34), or (35) of misdemeanor. These programs can assist in reducing
subdivision (c) of Section 1192.7. the number of cases burdening the court system. By
utilizing ADR processes, these programs also provide
(2) Subdivision (b) of Section 340.3 of the Code an opportunity for direct participation by the victims
of Civil Procedure does not preclude of the conduct, thereby increasing victims’ satisfaction
commencement of a civil action against the with the criminal justice process. In addition, by
criminal offender. bringing the parties together, these programs may
reduce conflict within the community by facilitating
(b) Within 90 days of being notified, the California the settlement of disputes which are causing repeated
Department of Corrections and Rehabilitation shall misdemeanor criminal conduct and may increase
notify the victim, or if the victim cannot be reasonably compliance with restitution agreements by
notified, a member of the victim’s immediate family, encouraging the offender to accept personal
who has requested notification of the existence of a responsibility.
contract described by this section.
(e) As of the effective date of this section, the San
(c) For purposes of this section, “member of the Francisco and Contra Costa district attorney offices
refer between 1,000 and 1,500 cases per year
victim’s immediate family” means a spouse, child,
involving conduct which could be charged as a
parent, sibling, grandchild, or grandparent. (Added by
misdemeanor to California Community Dispute
Stats. 2015, ch. 465. Amended by Stats. 2016, ch. 86.)
Services, which provides ADR services. Between 70
and 75 percent of these cases are successfully

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

resolved through the ADR process, and the rate of (2) The nature of the relationship between the
compliance with the agreements reached is between alleged victim and the person alleged to have
80 and 93 percent. committed the conduct.

(f) The State of New York has developed a (3) Whether referral to the community conflict
substantial statewide alternative dispute resolution resolution program is likely to help resolve
program in which 65 percent of the cases using the underlying issues which are likely to result in
services are of a criminal nature. These cases are additional conduct which could be the subject of
referred to arbitration, conciliation, and mediation. Of criminal charges.
the criminal misdemeanor cases that were mediated,
82 percent reached an agreement through the (b) No case where there has been a history of child
mediation process. abuse, sexual assault, or domestic violence, as that
term is defined in Section 6211 of the Family Code,
(g) It is in the public interest for community dispute
between the alleged victim and the person alleged to
resolution programs to be established to provide ADR
have committed the conduct, or where a protective
services in cases involving conduct which could be
charged as a misdemeanor and for district attorneys order, as defined in Section 6218 of the Family Code, is
and courts to be authorized to refer cases to these in effect, shall be referred to the community conflict
programs. (Added by Stats. 1992, ch. 696.) resolution program. (Added by Stats. 1992, ch. 696.
Amended by Stats. 1993, ch. 219.)

§ 14151 District Attorney Establishment of

Program Providing Alternative Dispute § 14153 Consent to Participate in Alternative
Resolution Dispute Resolution

The district attorney may establish a community Both the alleged victim and the person alleged to have
conflict resolution program pursuant to this title to committed the conduct shall knowingly and voluntarily
provide alternative dispute resolution (ADR) services, consent to participate in the ADR process conducted by
such as mediation, arbitration, or a combination of the community conflict resolution program. (Added by
both mediation and arbitration (med-arb) in cases, Stats. 1992, ch. 696.)
including those brought by a city prosecutor, involving
conduct which could be charged as a misdemeanor.
The district attorney may contract with a private entity § 14154 Court Referral of Misdemeanor Cases
to provide these services and may establish minimum
In a county in which the district attorney has
training requirements for the neutral persons
conducting the ADR processes. (Added by Stats. 1992, established a community conflict resolution program,
ch. 696.) the superior court may, with the consent of the district
attorney and the defendant, refer misdemeanor cases,
including those brought by a city prosecutor, to that
§ 14152 District Attorney Referral of Potential program. In determining whether to refer a case to the
Misdemeanor Cases community conflict resolution program, the court shall
consider, but is not limited to considering, all of the
(a) The district attorney may refer cases involving following:
conduct which could be charged as a misdemeanor to
the community conflict resolution program. In (a) The factors listed in Section 14152.
determining whether to refer a case to the community
conflict resolution program, the district attorney shall (b) Any other referral criteria established by the
consider, but is not limited to considering, all of the district attorney for the program.
following:
The court shall not refer any case to the community
(1) The nature of the conduct in question. conflict resolution program which was previously
referred to that program by the district attorney.

246 PENAL CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(Added by Stats. 1992, ch. 696. Amended by Stats. (b) The board of supervisors, with respect to the
1998, ch. 931; Stats. 2002, ch. 784.) conflict of interest code of any county agency other
than the board of supervisors, or any agency of the
judicial branch of government, and of any local
§ 14155 Referral of Case Back to District government agency, other than a city agency, with
Attorney or Court; Recommendation for jurisdiction wholly within the county.
Prosecution or Dismissal
(c) The city council, with respect to the conflict of
(a) If the alleged victim or the person alleged to have interest code of any city agency other than the city
committed the conduct does not agree to participate in council.
the community conflict resolution program or the case
is not resolved through the ADR process provided by (d) The Attorney General, with respect to the
that program, the community conflict resolution conflict of interest code of the commission.
program shall promptly refer the case back to the
district attorney or to the court that made the referral (e) The Chief Justice of California or his or her
for appropriate action. designee, with respect to the conflict of interest code
of the members of the Judicial Council, Commission
(b) If the community conflict resolution program on Judicial Performance, and Board of Governors of
determines that a case referred to it prior to the filing the State Bar of California.
of a complaint has been resolved through that referral,
the program shall recommend to the district attorney (f) The Board of Governors of the State Bar of
that the case not be prosecuted. California with respect to the conflict of interest code
of the State Bar of California.
(c) If a case referred to the community conflict
resolution program after the filing of a complaint but (g) The Chief Justice of California, the administrative
prior to adjudication is resolved through that referral, presiding judges of the courts of appeal, and the
the court may dismiss the action pursuant to Section presiding judges of superior courts, or their designees,
1378 or 1385. (Added by Stats. 1992, ch. 696.) with respect to the conflict of interest code of any
agency of the judicial branch of government subject to
the immediate administrative supervision of that
§ 14156 Effect of Title on Other Programs court.

It is the intent of the Legislature that neither this title (h) The Judicial Council of California, with respect to
nor any other provision of law be construed to preempt the conflict of interest code of any state agency within
other precomplaint or pretrial diversion programs. It is the judicial branch of government not included under
also the intent of the Legislature that this title not subdivisions (e), (f), and (g). (Added by initiative
preempt other posttrial diversion programs. (Added by measure adopted June 4, 1974, effective January 7,
Stats. 1992, ch. 696.) 1975. Amended by Stats. 1980, ch. 779; Stats. 1984, ch.
727, effective July 1, 1985; Stats. 1985, ch. 775; Stats.
1995, ch. 587; Stats. 2003, ch. 62.)

POLITICAL REFORM ACT [Publisher’s Note re Political Reform Act § 82011:

Operative January 1, 2012, Business and Professions
Code section 6010, in part, provides that the State Bar is
§ 82011 Code Reviewing Body
governed by a board known as the board of trustees of
“Code reviewing body” means all of the following: the State Bar and that any provision of law referring to
the “board of governors” shall be deemed to refer to
(a) The commission, with respect to the conflict of the “board of trustees.” In accordance with this law,
interest code of a state agency other than an agency references to the “board of governors” are deemed to
in the judicial branch of government, or any local refer to the “board of trustees.”]
government agency with jurisdiction in more than one
county.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

§ 82019 Designated Employee § 82041 Local Government Agency

(a) “Designated employee” means any officer, “Local government agency” means a county, city or
employee, member, or consultant of any agency whose district of any kind including school district, or any
position with the agency: other local or regional political subdivision, or any
department, division, bureau, office, board,
(1) Is exempt from the state civil service system commission or other agency of the foregoing. (Added
by virtue of subdivision (a), (c), (d), (e), (f), (g), or by initiative measure adopted June 4, 1974, effective
(m) of Section 4 of Article VII of the Constitution, January 7, 1975. Amended by Stats. 1984, ch. 727,
unless the position is elective or solely secretarial, effective July 1, 1985.)
clerical, or manual.

(2) Is elective, other than an elective state § 82048 Public Official

office.
(a) “Public official” means every member, officer,
(3) Is designated in a Conflict of Interest Code employee or consultant of a state or local government
because the position entails the making or agency.
participation in the making of decisions which may
foreseeably have a material effect on any financial (b) Notwithstanding subdivision (a), “public official”
interest. does not include the following:

(4) Is involved as a state employee at other than (1) A judge or court commissioner in the judicial
a clerical or ministerial level in the functions of branch of government.
negotiating or signing any contract awarded
through competitive bidding, in making decisions (2) A member of the Board of Governors and
in conjunction with the competitive bidding designated employees of the State Bar of
process, or in negotiating, signing, or making California.
decisions on contracts executed pursuant to
(3) A member of the Judicial Council.
Section 10122 of the Public Contract Code.
(4) A member of the Commission on Judicial
(b) (1) “Designated employee” does not include an
Performance, provided that he or she is subject to
elected state officer, any unsalaried member of
the provisions of Article 2.5 (commencing with
any board or commission which serves a solely
Section 6035) of Chapter 4 of Division 3 of the
advisory function, any public official specified in
Business and Professions Code as provided in
Section 87200, and also does not include any
Section 6038 of that article.
unsalaried member of a nonregulatory
committee, section, commission, or other such (5) A federal officer or employee serving in an
entity of the State Bar of California. official federal capacity on a state or local
government agency. (Added by initiative
(2) “Designated employee” does not include a
measure adopted June 4, 1974, effective January
federal officer or employee serving in an official
7, 1975. Amended by Stats. 1984, ch. 727;
federal capacity on a state or local government
effective July 1, 1985; Stats. 2004, ch. 484.)
agency. The state or local government agency
shall annually obtain, and maintain in its files for [Publisher’s Note re Political Reform Act § 82048:
public inspection, a copy of any public financial Operative January 1, 2012, Business and Professions
disclosure report filed by the federal officer or Code section 6010, in part, provides that the State Bar
employee pursuant to federal law. (Added by is governed by a board known as the board of trustees
initiative measure adopted June 4, 1974, effective of the State Bar and that any provision of law referring
January 7, 1975. Amended by Stats. 1979, ch. 674; to the “board of governors” shall be deemed to refer
Stats. 1983, ch. 1108, effective September 28, to the “board of trustees.” In accordance with this
1983; Stats. 1984, ch. 727, effective July 1, 1985; law, references to the “board of governors” are
Stats. 1985, ch. 611; Stats. 2004, ch. 484.) deemed to refer to the “board of trustees.”]

248 POLITICAL REFORM ACT 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

§ 82049 State Agency impartial basis he or she determines that the late filing
was not willful and that enforcement of the liability will
“State agency” means every state office, department, not further the purposes of the act, except that no
division, bureau, board and commission, and the liability shall be waived if a statement or report is not
Legislature. (Added by initiative measure adopted June filed within 30 days for a statement of economic
4, 1974. Amended by Stats. 1984, ch. 727, effective July interest, other than a candidate’s statement filed
1, 1985.) pursuant to Section 87201, five days for a campaign
statement required to be filed 12 days before an
§ 87311.5 Applicability of Administrative election, and 10 days for all other statements or
Procedure Act: Local Procedures reports, after the filing officer has sent specific written
notice of the filing requirement.
(a) Notwithstanding the provisions of Section 87311,
the review of the Conflict of Interest Code of an agency (b) If any person files a copy of a statement or report
in the judicial branch of government shall not be after any deadline imposed by this act, he or she shall,
subject to the provisions of the Administrative in addition to any other penalties or remedies
Procedure Act [Gov. Code, 11370 et seq.]. The review established by this chapter, be liable in the amount of
and preparation of Conflict of Interest Codes by these ten dollars ($10) per day, starting 10 days, or five days
agencies shall be carried out under procedures which in the case of a campaign statement required to be
guarantee to officers, employees, members, and filed 12 days before an election, after the officer has
consultants of the agency and to residents of the sent specific written notice of the filing requirement
jurisdiction adequate notice and a fair opportunity to and until the statement is filed.
present their views.
(c) The officer shall deposit any funds received under
(b) Conflict of Interest Codes of the Judicial Council, this section into the general fund of the jurisdiction of
the Commission on Judicial Performance, and the Board which he or she is an officer. No liability under this
of Governors and designated employees of the State section shall exceed the cumulative amount stated in
Bar of California shall not be subject to the provisions
the late statement or report, or one hundred dollars
of subdivision (c) of Section 87302. (Added by Stats.
($100) whichever is greater. (Added by initiative
1984, ch. 727, effective July 1, 1985.)
measure June 4, 1974, effective January 7, 1975.
[Publisher’s Note re Political Reform Act § 87311.5: Amended by Stats. 1975, ch. 915, effective September
Operative January 1, 2012, Business and Professions 20, 1975; Stats. 1977, ch. 555; Stats. 1985, ch. 1200;
Code section 6010, in part, provides that the State Bar is Stats. 1993, ch. 1140.)
governed by a board known as the board of trustees of
the State Bar and that any provision of law referring to
the “board of governors” shall be deemed to refer to § 91013.5 Collection of Unpaid Penalties
the “board of trustees.” In accordance with this law,
(a) In addition to any other available remedies, the
references to the “board of governors” are deemed to
commission or the filing officer may bring a civil action
refer to the “board of trustees.”]
and obtain a judgment in superior court for the purpose
of collecting any unpaid monetary penalties, fees, or civil
§ 91013 Late Filing of Statement of Economic penalties imposed pursuant to this title. The action may
Interest; Penalties be filed as a small claims, limited civil, or unlimited civil
case, depending on the jurisdictional amount. The venue
(a) If any person files an original statement or report for this action shall be in the county where the monetary
after any deadline imposed by this act, he or she shall, penalties, fees, or civil penalties were imposed by the
in addition to any other penalties or remedies commission or the filing officer. In order to obtain a
established by this act, be liable in the amount of ten judgment in a proceeding under this section, the
dollars ($10) per day after the deadline until the commission or filing officer shall show, following the
procedures and rules of evidence as applied in ordinary
statement or report is filed, to the officer with whom
civil actions, all of the following:
the statement or report is required to be filed. Liability
need not be enforced by the filing officer if on an

2021 POLITICAL REFORM ACT 249

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(1) That the monetary penalties, fees, or civil (e) The Commission may bring an application
penalties were imposed following the procedures pursuant to this section only within four years after the
set forth in this title and implementing date on which the monetary penalty, fee, or civil
regulations. penalty was imposed.

(2) That the defendant or defendants in the (f) The remedy available under this section is in
action were notified, by actual or constructive addition to those available under Section 91013.5 or
notice, of the imposition of the monetary any other law. (Added by Stats. 2013, ch. 645.)
penalties, fees, or civil penalties.

(3) That a demand for payment has been made

by the commission or the filing officer and full PROBATE CODE
payment has not been received.

(b) A civil action brought pursuant to subdivision (a)

§ 86 Undue Influence Defined
shall be commenced within four years after the date on “Undue influence” has the same meaning as defined
which the monetary penalty, fee, or civil penalty was in Section 15610.70 of the Welfare and Institutions
imposed. (Added by Stats. 1984, ch. 670. Amended by Code. It is the intent of the Legislature that this
Stats. 2004, ch. 483.) section supplement the common law meaning of
undue influence without superseding or interfering
§ 91013.7 Application for Judgment to Collect with the operation of that law. (Added by Stats.
Penalties 2013, ch. 668.)

(a) If the time for judicial review of a final

§ 700 Definitions for This Chapter
Commission order or decision has lapsed, or if all
means of judicial review of the order or decision have Unless the provision or context otherwise requires, the
been exhausted, the Commission may apply to the clerk definitions in this chapter govern the construction of
of the court for a judgment to collect the penalties this part. (Added by Stats. 1993, ch. 519.)
imposed by the order or decision, or the order as
modified in accordance with a decision on judicial
review. § 701 Attorney Defined

(b) The application, which shall include a certified “Attorney” means an individual licensed to practice law
copy of the order or decision, or the order as modified in this state. (Added by Stats. 1993, ch. 519.)
in accordance with a decision on judicial review, and
proof of service of the order or decision, constitutes a
sufficient showing to warrant issuance of the judgment § 702 Deposit Defined
to collect the penalties. The clerk of the court shall
enter the judgment immediately in conformity with the “Deposit” means delivery of a document by a depositor
application. to an attorney for safekeeping or authorization by a
depositor for an attorney to retain a document for
(c) An application made pursuant to this section shall safekeeping. (Added by Stats. 1993, ch. 519.)
be made to the clerk of the superior court in the county
where the monetary penalties, fees, or civil penalties
§ 703 Depositor Defined
were imposed by the Commission.
“Depositor” means a natural person who deposits the
(d) A judgment entered in accordance with this
person’s document with an attorney. (Added by Stats.
section has the same force and effect as, and is subject
1993, ch. 519.)
to all the provisions of law relating to, a judgment in a
civil action and may be enforced in the same manner as
any other judgment of the court in which it is entered.

250 PROBATE CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

§ 704 Document Defined the document, and the attorney offers without charge
either to assist the depositor in replacing the
“Document” means any of the following: document, or to prepare a substantially similar
document and assist in its execution. (Added by Stats.
(a) A signed original will, declaration of trust, trust 1993, ch. 519.)
amendment, or other document modifying a will or
trust.
§ 713 No Duty as to Content of Document;
(b) A signed original power of attorney. Provision of Legal Services Arising from Document
Retention
(c) A signed original nomination of conservator.
The acceptance by an attorney of a document for
(d) Any other signed original instrument that the
deposit imposes no duty on the attorney to do either of
attorney and depositor agree in writing to make subject
the following:
to this part. (Added by Stats. 1993, ch. 519.)
(a) Inquire into the content, validity, invalidity, or
§ 710 Preservation of Documents Transferred completeness of the document, or the correctness of
any information in the document.
to Attorney
(b) Provide continuing legal services to the depositor
If a document is deposited with an attorney, the
or to any beneficiary under the document. This
attorney, and a successor attorney that accepts transfer
subdivision does not affect the duty, if any, of the
of the document, shall use ordinary care for
drafter of the document to provide continuing legal
preservation of the document on and after July 1, 1994,
services to any person. (Added by Stats. 1993, ch. 519.)
whether or not consideration is given, and shall hold
the document in a safe, vault, safe deposit box, or
other secure place where it will be reasonably § 714 Attorney Compensation for
protected against loss or destruction. (Added by Stats. Preservation of Documents; No Lien Rights Created
1993, ch. 519.)
(a) If so provided in a written agreement signed by
the depositor, an attorney may charge the depositor for
§ 711 Notice of Loss or Destruction of
compensation and expenses incurred in safekeeping or
Document delivery of a document deposited with the attorney.
If a document deposited with an attorney is lost or (b) No lien arises for the benefit of an attorney on a
destroyed, the attorney shall give notice of the loss or document deposited with the attorney, whether before
destruction to the depositor by one of the following or after its transfer, even if provided by agreement.
methods: (Added by Stats. 1993, ch. 519.)
(a) By delivering pursuant to Section 1215 the notice
to the depositor’s last known address. § 715 Notice and Acknowledgment of Deposit,
Form and Content
(b) By the method most likely to give the depositor
actual notice. (Added by Stats. 1993, ch. 519. Amended An attorney may give written notice to a depositor, and
by Stats. 2017, ch. 319.) obtain written acknowledgment from the depositor, in
the following form:
§ 712 Liability for Lost or Destroyed Document

Notwithstanding failure of an attorney to satisfy the

standard of care required by Section 710 or 716, the
attorney is not liable for loss or destruction of the
document if the depositor has actual notice of the loss
or destruction and a reasonable opportunity to replace

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

NOTICE AND ACKNOWLEDGMENT the requirements of subdivision (a) of Section 732 are
satisfied, the attorney, and a successor attorney that
To:
accepts transfer of a document, shall use at least
________________________________________
slight care for preservation of a document deposited
(Name of Depositor)
with the attorney. (Added by Stats. 1993, ch. 519.)
_________________________________________
(Address)
§ 720 Termination of Deposit
_________________________________________
(City, State, and ZIP) A depositor may terminate a deposit on demand, in
which case the attorney shall deliver the document to
_________________________________________
the depositor. (Added by Stats. 1993, ch. 519.)
(Electronic Address)
I have accepted your will or other estate planning
document for safekeeping. I must use ordinary § 730 Termination of Deposit–Attorney
care for preservation of the document.
An attorney with whom a document has been
You must keep me advised of any change in your deposited, or to whom a document has been
addresses shown above. If you do not and I cannot transferred pursuant to this article, may terminate the
return this document to you when necessary, I will deposit only as provided in this article. (Added by Stats.
no longer be required to use ordinary care for 1993, ch. 519.)
preservation of the document, and I may transfer
it to another attorney, or I may transfer it to the § 731 Termination of Deposit–Methods
clerk of the superior court of the county of your
last known domicile, and give notice of the An attorney may terminate the deposit by one of the
transfer to the State Bar of California. following methods:

_________________________________________ (a) Personal delivery of the document to the

(Signature of Attorney) depositor.
_________________________________________ (b) Mailing the document to the depositor’s last
(Address of Attorney) known address, by registered or certified mail with
return receipt requested, and receiving a signed
_________________________________________
receipt.
(City, State, and ZIP)
(c) The method agreed on by the depositor and
My addresses shown above are correct. I attorney. (Added by Stats. 1993, ch. 519.)
understand that I must keep you advised of any
change in these addresses.
§ 732 Termination of Deposit After Notice to
___________ _____________________________ Reclaim Mailed, Methods of Transfer
(Dated) (Signature of depositor)
(a) An attorney may terminate a deposit under this
(Added by Stats. 1993, ch. 519. Amended by Stats. section if the attorney has delivered notice pursuant to
2017, ch. 319.) Section 1215 to reclaim the document to the
depositor’s last known address and the depositor has
failed to reclaim the document within 90 days after
§ 716 Preservation and Standard of Care–
delivery.
Effect of Compliance with Section 715
(b) Subject to subdivision (f), an attorney may
Notwithstanding Section 710, if an attorney has given
terminate a deposit under this section by transferring
written notice to the depositor, and has obtained
the document to another attorney. All documents
written acknowledgment from the depositor, in
substantially the form provided in Section 715, and

252 PROBATE CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

transferred under this subdivision shall be transferred number of the attorney to whom the documents
to the same attorney. are transferred.

(c) Subject to subdivision (f), if an attorney is (5) Whether any documents are transferred to a
deceased, lacks legal capacity, or is no longer an active superior court clerk.
member of the State Bar, a deposit may be terminated
(b) The State Bar shall record only one notice of
under this section by transferring the document to the
transfer for each transferring attorney. The State Bar
clerk of the superior court of the county of the
shall prescribe the form for the notice of transfer. On
depositor’s last known domicile. The attorney shall
request by any person, the State Bar shall give that
advise the clerk that the document is being transferred
person information in the notice of transfer. At its sole
pursuant to this section. election, the State Bar may give the information orally
or in writing. (Added by Stats. 1993, ch. 519. Amended
(d) An attorney may not accept a fee or
by Stats. 2017, ch. 319.)
compensation from a transferee for transferring a
document under this section. An attorney may charge a
fee for receiving a document under this section. § 734 Termination of Deposit, Death of
Depositor
(e) Transfer of a document by an attorney under this
section is not a waiver or breach of any privilege or (a) In cases not governed by subdivision (b) or (c),
confidentiality associated with the document, and is after the death of the depositor an attorney may
not a violation of the rules of professional conduct. If terminate a deposit by personal delivery of the
the document is privileged under Article 3 document to the depositor’s personal representative.
(commencing with Section 950) of Chapter 4 of Division
8 of the Evidence Code, the document remains (b) If the document is a will and the attorney has
privileged after the transfer. actual notice that the depositor has died but does not
have actual notice that a personal representative has
(f) If the document is a will and the attorney has been appointed for the depositor, an attorney may
actual notice that the depositor has died, the attorney terminate a deposit only as provided in Section 8200.
may terminate a deposit only as provided in Section
(c) If the document is a trust, after the death of the
734. (Added by Stats. 1993, ch. 519. Amended by Stats. depositor an attorney may terminate a deposit by
2017, ch. 319.) personal delivery of the document either to the
depositor’s personal representative or to the trustee
named in the document. (Added by Stats. 1993, ch. 519.)
§ 733 Notice to State Bar of Transfers Under
Section 732
§ 735 Termination of Deposit–Death or
(a) An attorney transferring one or more documents
Incapacity of Attorney
under Section 732 shall deliver notice pursuant to
Section 1215 of the transfer to the State Bar of (a) If the attorney is deceased or lacks legal capacity, a
California. The notice shall contain all of the following deposit may be terminated as provided in this article by
information: the attorney’s law partner, by a shareholder of the
(1) The name of the depositor. attorney’s law corporation, or by a lawyer or nonlawyer
employee of the attorney’s firm, partnership, or
(2) The date of the transfer. corporation.

(3) The name, address, and State Bar number of (b) If the attorney lacks legal capacity and there is no
the transferring attorney. person to act under subdivision (a), a deposit may be
terminated by the conservator of the attorney’s estate
(4) Whether any documents are transferred to or by an attorney in fact acting under a durable power
an attorney, and the name, address, and State Bar of attorney. A conservator of the attorney’s estate may
act without court approval.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(c) If the attorney is deceased and there is no person (f) The court shall appoint the attorney nominated by
to act under subdivision (a), a deposit may be the disabled member in a writing, including but not
terminated by the attorney’s personal representative. limited to the disabled member’s will, unless the court
concludes that the appointment of the nominated
(d) If a person authorized under this section person would be contrary to the best interests of the
terminates a deposit as provided in Section 732, the estate or would create a conflict of interest with any of
person shall give the notice required by Section 733. the clients of the disabled member.
(Added by Stats. 1993, ch. 519.)
(g) The practice administrator shall be compensated
only upon order of the court making the appointment
§ 2468 Disabled Attorney–Petition for for his or her reasonable and necessary services. The
Appointment of Practice Administrator; Notice law practice shall be the source of the compensation
and Hearing, Contents, Compensation, for the practice administrator unless the assets are
Termination insufficient, in which case, the compensation of the
practice administrator shall be charged against the
(a) The conservator of the estate of a disabled assets of the estate as a cost of administration. The
attorney who was engaged in the practice of law at the practice administrator shall also be entitled to
time of his or her disability, or other person interested reimbursement of his or her costs.
in the estate, may bring a petition seeking the
appointment of an active member of the State Bar of (h) Upon conclusion of the services of the practice
California to take control of the files and assets of the administrator, the practice administrator shall render
practice of the disabled member. an accounting and petition for its approval by the
superior court making the appointment. Upon
(b) The petition may be filed and heard on such settlement of the accounting, the practice
notice that the court determines is in the best interests administrator shall be discharged and the surety on his
of the persons interested in the estate of the disabled or her bond exonerated.
member. If the petition alleges that the immediate
appointment of a practice administrator is required to (i) If the court appointing the practice administrator
safeguard the interests of the estate, the court may determines upon petition that the disabled attorney
dispense with notice provided that the conservator is has recovered his or her capacity to resume his or her
the petitioner or has joined in the petition or has law practice, the appointment of a practice
otherwise waived notice of hearing on the petition. administrator shall forthwith terminate and the
disabled attorney shall be restored to his or her
(c) The petition shall indicate the powers sought for practice.
the practice administrator from the list of powers set
forth in Section 6185 of the Business and Professions (j) For purposes of this section, the person appointed
Code. These powers shall be specifically listed in the to take control of the practice of the disabled member
order appointing the practice administrator. shall be referred to as the “practice administrator” and
the conservatee shall be referred to as the “disabled
(d) The petition shall allege the value of the assets member.” (Added by Stats. 1998, ch. 683.)
that are to come under the control of the practice
administrator, including but not limited by the amount
of funds in all accounts used by the disabled member. § 2586 Court Examination of Estate Plan of a
The court shall require the filing of a surety bond in the Conservatee
amount of the value of the personal property to be
filed with the court by the practice administrator. No (a) As used in this section, “estate plan of the
action may be taken by the practice administrator conservatee” includes, but is not limited to, the
unless a bond has been duly filed with the court. conservatee’s will, any trust of which the conservatee is
the settlor or beneficiary, any power of appointment
(e) The practice administrator shall not be the created by or exercisable by the conservatee, and any
attorney representing the conservator. contract, transfer, or joint ownership arrangement with
provisions for payment or transfer of benefits or

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interests at the conservatee’s death to another or actual receipt of the notice, whichever is later, shall
others which the conservatee may have originated. constitute a contempt of the authority of the court as
described in Section 1209 of the Code of Civil
(b) Notwithstanding Article 3 (commencing with Procedure.
Section 950) of Chapter 4 of Division 8 of the Evidence
Code (lawyer-client privilege), the court, in its (c) If the conservator or guardian does not file an
discretion, may order that any person having accounting with all appropriate supporting
possession of any document constituting all or part of documentation and set the accounting for hearing as
the estate plan of the conservatee shall deliver the required by Section 2620, the court shall do one or
document to the court for examination by the court, more of the following and shall report that action to
and, in the discretion of the court, by the attorneys for the bureau established pursuant to Section 6510 of the
the persons who have appeared in the proceedings Business and Professions Code:
under this article, in connection with the petition filed
under this article. (1) Remove the conservator or guardian as
provided under Article 1 (commencing with
(c) Unless the court otherwise orders, no person who Section 2650) of Chapter 9 of Part 4 of Division 4.
examines any document produced pursuant to an order
under this section shall disclose the contents of the (2) Issue and serve a citation requiring a
document to any other person. If that disclosure is guardian or conservator who does not file a
made, the court may adjudge the person making the required accounting to appear and show cause
disclosure to be in contempt of court. why the guardian or conservator should not be
punished for contempt. If the guardian or
(d) For good cause, the court may order that a conservator purposely evades personal service of
document constituting all or part of the estate plan of the citation, the guardian or conservator shall be
the conservatee, whether or not produced pursuant to immediately removed from office.
an order under this section, shall be delivered for
safekeeping to the custodian designated by the court. (3) Suspend the powers of the conservator or
The court may impose those conditions it determines are guardian and appoint a temporary conservator or
appropriate for holding and safeguarding the document. guardian, who shall take possession of the assets
The court may authorize the conservator to take any of the conservatorship or guardianship,
action a depositor may take under Part 15 (commencing investigate the actions of the conservator or
with Section 700) of Division 2. (Added by Stats. 1990, ch. guardian, and petition for surcharge if this is in the
79, operative July 1, 1991. Amended by Stats. 1993, ch. best interests of the ward or conservatee.
519.) Compensation for the temporary conservator or
guardian, and counsel for the temporary
conservator or guardian, shall be treated as a
§ 2620.2 Failure to File Account by Conservator surcharge against the conservator or guardian,
or Guardian; Court Appointed Counsel and if unpaid shall be considered a breach of
condition of the bond.
(a) Whenever the conservator or guardian has failed
to file an accounting as required by Section 2620, the (4) (A) Appoint legal counsel to represent the
court shall require that written notice be given to the ward or conservatee if the court has not
conservator or guardian and the attorney of record for suspended the powers of the conservator or
the conservatorship or guardianship directing the guardian and appoint a temporary
conservator or guardian to file an accounting and to set conservator or guardian pursuant to
the accounting for hearing before the court within 30 paragraph (3). Compensation for the counsel
days of the date of the notice or, if the conservator or appointed for the ward or conservatee shall
guardian is a public agency, within 45 days of the date be treated as a surcharge against the
of the notice. The court may, upon cause shown, grant conservator or guardian, and if unpaid shall
an additional 30 days to file the accounting. be considered a breach of a condition on the
bond, unless for good cause shown the court
(b) Failure to file the accounting within the time finds that counsel for the ward or
specified under subdivision (a), or within 45 days of conservatee shall be compensated according

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to Section 1470. The court shall order the § 2645 Attorney Guardian or Conservator,
legal counsel to do one or more of the Compensation for Legal Services Performed
following:
(a) No attorney who is a guardian or conservator shall
(i) Investigate the actions of the receive any compensation from the guardianship or
conservator or guardian, and petition conservatorship estate for legal services performed for
for surcharge if this is in the best the guardian or conservator unless the court specifically
interests of the ward or conservatee. approves the right to the compensation and finds that
it is to the advantage, benefit, and best interests of the
(ii) Recommend to the court whether ward or conservatee.
the conservator or guardian should be
removed. (b) No parent, child, sibling, or spouse of a person
who is a guardian or conservator, and no law
(iii) Recommend to the court whether partnership or corporation whose partner, shareholder,
money or other property in the estate or employee is serving as a guardian or conservator
should be deposited pursuant to shall receive any compensation for legal services
Section 2453, 2453.5, 2454, or 2455, to performed for the guardian or conservator unless the
be subject to withdrawal only upon court specifically approves the right to the
authorization of the court. compensation and finds that it is to the advantage,
benefit, and best interests of the ward or conservatee.
(B) After resolution of the matters for
which legal counsel was appointed in (c) This section shall not apply if the guardian or
subparagraph (A), the court shall terminate conservator is related by blood or marriage to, or is a
the appointment of legal counsel, unless the cohabiting with, the ward or conservatee.
court determines that continued
representation of the ward or conservatee (d) After full disclosure of the relationships of all
and the estate is necessary and reasonable. persons to receive compensation for legal services
under this section, the court may, in its discretion and
(5) If the conservator or guardian is exempt at any time, approve the right to that compensation,
from the licensure requirements of Chapter 6 including any time during the pendency of any of the
(commencing with Section 6500) of Division 3 of following orders:
the Business and Professions Code, upon ex parte
application or any notice as the court may require, (1) An order appointing the guardian or
extend the time to file the accounting, not to conservator.
exceed an additional 30 days after the expiration
of the deadline described in subdivision (a), where (2) An order approving the general plan under
the court finds there is good cause and that the Section 1831.
estate is adequately bonded. After expiration of
any extensions, if the accounting has not been (3) An order settling any account of the guardian
filed, the court shall take action as described in or conservator.
paragraphs (1) to (3), inclusive.
(4) An order approving a separate petition, with
(d) Subdivision (c) does not preclude the court from notice given under Section 2581. (Added by Stats.
additionally taking any other appropriate action in 1993, ch. 293.)
response to a failure to file a proper accounting in a
timely manner. (Added by Stats. 1990, ch. 79.
§ 9764 Deceased Attorney–Petition for
Amended by Stats. 1991, ch. 1019; Stats. 1992; ch. 572,
Stats. 2001, ch. 359; Stats. 2002, ch. 664; Stats. 2006, Appointment of Practice Administrator; Notice and
ch. 493; Stats. 2007, ch. 553.) Hearing, Contents, Compensation, Termination

(a) The personal representative of the estate of a

deceased attorney who was engaged in a practice of
law at the time of his or her death or other person

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interested in the estate may bring a petition for (h) Upon conclusion of the services of the practice
appointment of an active member of the State Bar of administrator, the practice administrator shall render
California to take control of the files and assets of the an accounting and petition for its approval by the
practice of the deceased member. superior court making the appointment. Upon
settlement of the accounting, the practice
(b) The petition may be filed and heard on such notice administrator shall be discharged and the surety on his
that the court determines is in the best interests of the or her bond exonerated.
estate of the deceased member. If the petition alleges
that the immediate appointment of a practice (i) For the purposes of this section, the person
administrator is required to safeguard the interests of appointed to take control of the practice of the deceased
the estate, the court may dispense with notice only if the member shall be referred to as the “practice
personal representative is the petitioner or has joined in administrator” and the decedent shall be referred to as
the petition or has otherwise waived notice of hearing the “deceased member.” (Added by Stats. 1998, ch.
on the petition. 682.)

(c) The petition shall indicate the powers sought for

the practice administrator from the list of powers set § 9880 Purchases or Interests Prohibited
forth in Section 6185 of the Business and Professions
Code. These powers shall be specifically listed in the Except as provided in this chapter, neither the
order appointing the practice administrator. personal representative nor the personal
representative’s attorney may do any of the following:
(d) The petition shall allege the value of the assets
that are to come under the control of the practice (a) Purchase any property of the estate or any claim
administrator, including, but not limited by the amount against the estate, directly or indirectly.
of funds in all accounts used by the deceased member.
(b) Be interested in any such purchase. (Added by
The court shall require the filing of a surety bond in the
Stats. 1990, ch. 79, operative July 1, 1991.)
amount of the value of the personal property to be
filed with the court by the practice administrator. No
action may be taken by the practice administrator § 9881 Orders Authorizing Purchase;
unless a bond has been fully filed with the court. Requirements
(e) The practice administrator shall not be the Upon a petition filed under Section 9883, the court may
attorney representing the personal representative. make an order under this section authorizing the
personal representative or the personal
(f) The court shall appoint the attorney nominated by
representative’s attorney to purchase property of the
the deceased member in a writing, including, but not
estate if all of the following requirements are satisfied:
limited to, the deceased member’s will, unless the
court concludes that the appointment of the (a) Written consent to the purchase is signed by (1)
nominated person would be contrary to the best each known heir whose interest in the estate would be
interests of the estate or would create a conflict of affected by the proposed purchase and (2) each known
interest with any of the clients of the deceased devisee whose interest in the estate would be affected
member. by the proposed purchase.
(g) The practice administrator shall be compensated (b) The written consents are filed with the court.
only upon order of the court making the appointment
for his or her reasonable and necessary services. The (c) The purchase is shown to be to the advantage of
law practice shall be the source of the compensation the estate. (Added by Stats. 1990, ch. 79, operative July
for the practice administrator unless the assets are 1, 1991.)
insufficient in which case, the compensation of the
practice administrator shall be charged against the
assets of the estate as a cost of administration. The
practice administrator shall also be entitled to
reimbursement of his or her costs.

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§ 9882 Orders Authorizing Purchase; Will personal representative’s attorney pursuant to a

Authorization contract in writing made during the lifetime of the
decedent if the contract is one that can be specifically
Upon a petition filed under Section 9883, the court may enforced and the requirements of Part 19 (commencing
make an order under this section authorizing the with Section 850) of Division 2 are satisfied. (Added by
personal representative or the personal Stats. 1990, ch. 79, operative July 1, 1991. Amended by
representative’s attorney to purchase property of the Stats. 2003, ch. 32.)
estate if the will of the decedent authorizes the
personal representative or the personal
representative’s attorney to purchase the property. § 9885 Options to Purchase
(Added by Stats. 1990, ch. 79, operative July 1, 1991.)
This chapter does not prevent the exercise by the
personal representative or the personal
§ 9883 Petitions; Confirmation of Sale; Notice representative’s attorney of an option to purchase
of Hearing; Orders; Conveyance property of the estate given in the will of the
decedent if the requirements of Chapter 17
(a) The personal representative may file a petition (commencing with Section 9980) are satisfied. (Added
requesting that the court make an order under Section by Stats. 1990, ch. 79, operative July 1, 1991.)
9881 or 9882. The petition shall set forth the facts upon
which the request for the order is based.
§ 10804 Estate Attorney Acting as Personal
(b) If court confirmation of the sale is required, the Representative–Court Approval of Compensation
court may make its order under Section 9881 or 9882 at
the time of the confirmation. Notwithstanding any provision in the decedent’s will, a
personal representative who is an attorney shall be
(c) Notice of the hearing on the petition shall be entitled to receive the personal representative’s
given as provided in Section 1220 to all of the following compensation as provided in this part, but shall not
persons: receive compensation for services as the attorney for
the personal representative unless the court specifically
(1) Each person listed in Section 1220. approves the right to the compensation in advance and
finds that the arrangement is to the advantage, benefit,
(2) Each known heir whose interest in the estate and best interests of the decedent’s estate. (Added by
would be affected by the proposed purchase. Stats. 1990, ch. 79, operative July 1, 1991. Amended by
Stats. 1993, ch. 293; Stats. 1996, ch. 563; Stats. 2001,
(3) Each known devisee whose interest in the
ch. 699.)
estate would be affected by the proposed
purchase.
§ 12252 Subsequent Administration of Estate–
(d) If the court is satisfied that the purchase should
Appointment of Personal Representative, Notice
be authorized, the court shall make an order
authorizing the purchase upon the terms and If subsequent administration of an estate is necessary
conditions specified in the order, and the personal after the personal representative has been discharged
representative may execute a conveyance or transfer because other property is discovered or because it
according to the terms of the order. Unless otherwise becomes necessary or proper for any other cause, both
provided in the will or in the order of the court, the sale of the following shall apply:
of the property shall be made in the same manner as
the sale of other estate property of the same nature. (a) The court shall appoint as personal representative
(Added by Stats. 1990, ch. 79, operative July 1, 1991.) the person entitled to appointment in the same order
as is directed in relation to an original appointment,
except that the person who served as personal
§ 9884 Purchases Pursuant to Contract representative at the time of the order of discharge has
priority.
This chapter does not prohibit the purchase of property
of the estate by the personal representative or the

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(b) Notice of hearing of the appointment shall be (A) The settlor is related by blood or
given as provided in Section 1220 to the person who marriage to, or is a cohabitant with, any one
served as personal representative at the time of the or more of the trustees, the person who
order of discharge and to other interested persons. If drafted or transcribed the instrument, or the
property has been distributed to the State of California, person who caused the instrument to be
a copy of any petition for subsequent appointment of a transcribed.
personal representative and the notice of hearing shall
be given as provided in Section 1220 to the Controller. (B) The instrument is reviewed by an
(Added by Stats. 1990, ch. 79. Amended by Stats. 2007, independent attorney who (1) counsels the
ch. 388; Stats. 2009, ch. 8.) settlor about the nature of their intended
trustee designation and (2) signs and delivers
to the settlor and the designated trustee a
§ 15642 Grounds for Removal of a Trustee certificate in substantially the following
form:
(a) A trustee may be removed in accordance with the
trust instrument, by the court on its own motion, or on “CERTIFICATE OF INDEPENDENT REVIEW
petition of a settlor, cotrustee, or beneficiary under
Section 17200. I, (attorney’s name) , have reviewed
(name of instrument) and have counseled
(b) The grounds for removal of a trustee by the court my client, (name of client), fully and
include the following: privately on the nature and legal effect of the
designation as trustee of (name of trustee) ,
(1) Where the trustee has committed a breach
contained in that instrument. I am so
of the trust.
disassociated from the interest of the person
(2) Where the trustee is insolvent or otherwise named as trustee as to be in a position to
unfit to administer the trust. advise my client impartially and confidentially
as to the consequences of the designation. On
(3) Where hostility or lack of cooperation among the basis of this counsel, I conclude that the
cotrustees impairs the administration of the trust. designation of a person who would otherwise
be subject to removal under paragraph (6) of
(4) Where the trustee fails or declines to act. subdivision (b) of Section 15642 of the
Probate Code is clearly the settlor’s intent and
(5) Where the trustee’s compensation is that intent is not the product of fraud or
excessive under the circumstances. undue influence.

(6) Where the sole trustee is a person described ”

in subdivision (a) of Section 21380, whether or not (Name of Attorney) (Date)
the person is the transferee of a donative transfer
by the transferor, unless, based upon any This independent review and certification
evidence of the intent of the settlor and all other may occur either before or after the
facts and circumstances, which shall be made instrument has been executed, and if it
known to the court, the court finds that it is occurs after the date of execution, the
consistent with the settlor’s intent that the named trustee shall not be subject to
trustee continue to serve and that this intent was removal under this paragraph. Any attorney
not the product of fraud or undue influence. Any whose written engagement signed by the
waiver by the settlor of this provision is against client is expressly limited to the preparation
public policy and shall be void. This paragraph of a certificate under this subdivision,
shall not apply to instruments that became including the prior counseling, shall not be
irrevocable on or before January 1, 1994. This considered to otherwise represent the client.
paragraph shall not apply if any of the following
conditions are met: (C) After full disclosure of the relationships
of the persons involved, the instrument is

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approved pursuant to an order under Article operative July 1, 1991. Amended by Stats. 1993, ch.
10 (commencing with Section 2580) of 293; Stats. 1995, ch. 730; Stats. 2006, ch. 84; Stats.
Chapter 6 of Part 4 of Division 4. 2010, ch. 620; Stats. 2020, ch. 36.)

(7) If, as determined under Part 17

(commencing with Section 810) of Division 2, the § 15686 Trustee’s Fee
trustee is substantially unable to manage the
trust’s financial resources or is otherwise (a) As used in this section, “trustee’s fee” includes,
substantially unable to execute properly the but is not limited to, the trustee’s periodic base fee,
duties of the office. When the trustee holds the rate of percentage compensation, minimum fee, hourly
power to revoke the trust, substantial inability to rate, and transaction charge, but does not include fees
manage the trust’s financial resources or for extraordinary services.
otherwise execute properly the duties of the
(b) A trustee shall not charge an increased trustee’s
office may not be proved solely by isolated
fee for administration of a particular trust unless the
incidents of negligence or improvidence.
trustee first gives at least 60 days’ written notice of that
(8) If the trustee is substantially unable to resist increased fee to all of the following persons:
fraud or undue influence. When the trustee holds
(1) Each beneficiary who is entitled to an
the power to revoke the trust, substantial inability
account under Section 16062.
to resist fraud or undue influence may not be
proved solely by isolated incidents of negligence (2) Each beneficiary who was given the last
or improvidence. preceding account.
(9) For other good cause. (3) Each beneficiary who has made a written
request to the trustee for notice of an increased
(c) If, pursuant to paragraph (6) of subdivision (b), the
trustee’s fee and has given an address for
court finds that the designation of the trustee was not
receiving notice.
consistent with the intent of the settlor or was the
product of fraud or undue influence, the person being (c) If a beneficiary files a petition under Section
removed as trustee shall bear all costs of the 17200 for review of the increased trustee’s fee or for
proceeding, including reasonable attorney’s fees. removal of the trustee and serves a copy of the petition
on the trustee before the expiration of the 60-day
(d) If the court finds that the petition for removal of
period, the increased trustee’s fee does not take effect
the trustee was filed in bad faith and that removal
as to that trust until otherwise ordered by the court or
would be contrary to the settlor’s intent, the court may
the petition is dismissed. (Stats. 1990, ch. 79. Amended
order that the person or persons seeking the removal
by Stats. 1992, ch. 178; Stats. 2017, ch. 319.)
of the trustee bear all or any part of the costs of the
proceeding, including reasonable attorney’s fees.
§ 15687 Attorney Acting as Trustee–
(e) If it appears to the court that trust property or the
interests of a beneficiary may suffer loss or injury
Compensation for Legal Services Performed
pending a decision on a petition for removal of a (a) Notwithstanding any provision of a trust to the
trustee and any appellate review, the court may, on its contrary, a trustee who is an attorney may receive
own motion or on petition of a cotrustee or beneficiary, only (1) the trustee’s compensation provided in the
compel the trustee whose removal is sought to trust or otherwise provided in this article or (2)
surrender trust property to a cotrustee or to a receiver compensation for legal services performed for the
or temporary trustee. The court may also suspend the trustee, unless the trustee obtains approval for the
powers of the trustee to the extent the court deems right to dual compensation as provided in subdivision
necessary. (d).
(f) For purposes of this section, the term “related by (b) No parent, child, sibling, or spouse of a person
blood or marriage” shall include persons within the who is a trustee, and no law partnership or
seventh degree. (Added by Stats. 1990, ch. 79, corporation whose partner, shareholder, or employee

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

is serving as a trustee shall receive any compensation (b) Compensation for services of the public guardian
for legal services performed for the trustee unless the or public administrator and the attorney of the public
trustee waives trustee compensation or unless the guardian or public administrator, as follows:
trustee obtains approval for the right to dual
compensation as provided in subdivision (d). (1) If the public guardian or public administrator
is appointed as trustee of a trust that provides for
(c) This section shall not apply if the trustee is the outright distribution of the entire trust estate,
related by blood or marriage to, or is a cohabiting compensation for the public guardian or public
with, the settlor. administrator, and any attorney for the public
guardian or public administrator, shall be
(d) After full disclosure of the nature of the calculated as that provided to a personal
compensation and relationship of the trustee to all representative and attorney pursuant to Part 7
persons receiving compensation under this section, (commencing with Section 10800) of Division 7,
the trustee may obtain approval for dual based on the fair market value of the assets as of
compensation by either of the following: the date of the appointment, provided that the
minimum amount of compensation for the public
(1) An order pursuant to paragraph (21) of
guardian or the public administrator shall be one
subdivision (b) of Section 17200.
thousand dollars ($1,000). Additionally, the
(2) Giving 30 days’ advance written notice to minimum amount of compensation for the
the persons entitled to notice under Section attorney for the public guardian or the public
17203. Within that 30-day period, any person administrator, if any, shall be one thousand
entitled to notice may object to the proposed dollars ($1,000).
action by written notice to the trustee or by filing
a petition pursuant to paragraph (21) of (2) For a trust other than that described in
subdivision (b) of Section 17200. If the trustee paragraph (1), the public guardian or public
receives this objection during that 30-day period administrator shall be compensated as provided in
and if the trustee wishes dual compensation, the Section 15680. Compensation shall be consistent
trustee shall file a petition for approval pursuant with compensation allowed for professional
to paragraph (21) of subdivision (b) of Section fiduciaries or corporate fiduciaries providing
17200. comparable services.

(e) Any waiver of the requirements of this section is (3) Except as provided in paragraph (1),
against public policy and shall be void. reasonable compensation for the attorney for the
public guardian or public administrator.
(f) This section applies to services rendered on or
after January 1, 1994. (Added by Stats. 1993, ch. 293. (c) An annual bond fee in the amount of twenty-five
Amended by Stats. 1995, ch. 730.) dollars ($25) plus one-fourth of 1 percent of the
amount of the trust assets greater than ten thousand
dollars ($10,000). The amount charged shall be
§ 15688 Public Guardian Appointed as Trustee; deposited in the county treasury. (Added by Stats.
Authorized Payments 1997, ch. 93. Amended by Stats. 2008; ch. 237.)

Notwithstanding any other provision of this article and

the terms of the trust, a public guardian or public § 17200 Trusts–Existence of; Petitions to Appoint
administrator who is appointed as a trustee of a trust a Practice Administrator for a Deceased or Disabled
pursuant to Section 15660.5 shall be paid from the Member
trust property for all of the following:
(a) Except as provided in Section 15800, a trustee or
(a) Reasonable expenses incurred in the beneficiary of a trust may petition the court under this
administration of the trust. chapter concerning the internal affairs of the trust or to
determine the existence of the trust.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(b) Proceedings concerning the internal affairs of a (11) Accepting the resignation of a trustee.
trust include, but are not limited to, proceedings for
any of the following purposes: (12) Compelling redress of a breach of the trust
by any available remedy.
(1) Determining questions of construction of a
trust instrument. (13) Approving or directing the modification or
termination of the trust.
(2) Determining the existence or nonexistence
of any immunity, power, privilege, duty, or right. (14) Approving or directing the combination or
division of trusts.
(3) Determining the validity of a trust provision.
(15) Amending or conforming the trust
(4) Ascertaining beneficiaries and determining instrument in the manner required to qualify a
to whom property shall pass or be delivered upon decedent’s estate for the charitable estate tax
final or partial termination of the trust, to the deduction under federal law, including the
extent the determination is not made by the trust addition of mandatory governing instrument
instrument. requirements for a charitable remainder trust as
required by final regulations and rulings of the
(5) Settling the accounts and passing upon the United States Internal Revenue Service.
acts of the trustee, including the exercise of
discretionary powers. (16) Authorizing or directing transfer of a trust or
trust property to or from another jurisdiction.
(6) Instructing the trustee.
(17) Directing transfer of a testamentary trust
(7) Compelling the trustee to do any of the subject to continuing court jurisdiction from one
following: county to another.

(A) Provide a copy of the terms of the trust. (18) Approving removal of a testamentary trust
from continuing court jurisdiction.
(B) Provide information about the trust
under Section 16061 if the trustee has failed (19) Reforming or excusing compliance with the
to provide the requested information within governing instrument of an organization pursuant
60 days after the beneficiary’s reasonable to Section 16105.
written request, and the beneficiary has not
received the requested information from the (20) Determining the liability of the trust for any
trustee within the six months preceding the debts of a deceased settlor. However, nothing in
request. this paragraph shall provide standing to bring an
action concerning the internal affairs of the trust
(C) Account to the beneficiary, subject to to a person whose only claim to the assets of the
the provisions of Section 16064, if the decedent is as a creditor.
trustee has failed to submit a requested
account within 60 days after written request (21) Determining petitions filed pursuant to
of the beneficiary and no account has been Section 15687 and reviewing the reasonableness
made within six months preceding the of compensation for legal services authorized
request. under that section. In determining the
reasonableness of compensation under this
(8) Granting powers to the trustee. paragraph, the court may consider, together with
all other relevant circumstances, whether prior
(9) Fixing or allowing payment of the trustee’s approval was obtained pursuant to Section 15687.
compensation or reviewing the reasonableness of
the trustee’s compensation. (22) If a member of the State Bar of California has
transferred the economic interest of his or her
(10) Appointing or removing a trustee. practice to a trustee and if the member is a
deceased member under Section 9764, a petition

262 PROBATE CODE 2021

 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

may be brought to appoint a practice § 21355 (Added by Stats. 1993, ch. 293. Repealed by
administrator. The procedures, including, but not Stats. 2011, ch. 296, operative January 1, 2014.)
limited to, notice requirements, that apply to the
appointment of a practice administrator for a
deceased member shall apply to the petition § 21356 (Added by Stats. 1995, ch. 730. Repealed by
brought under this section. Stats. 2011, ch. 296, operative January 1, 2014.)

(23) If a member of the State Bar of California has § 21360 Application of Definitions
transferred the economic interest of his or her
practice to a trustee and if the member is a The definitions in this chapter govern the construction
disabled member under Section 2468, a petition of this part. (Added by Stats. 2010, ch. 620.)
may be brought to appoint a practice
administrator. The procedures, including, but not
limited to, notice requirements, that apply to the § 21362 “Care Custodian” and “Health and Social
appointment of a practice administrator for a Services”–Defined
disabled member shall apply to the petition
brought under this section. (a) “Care custodian” means a person who provides
health or social services to a dependent adult, except
(c) The court may, on its own motion, set and give that “care custodian” does not include a person who
notice of an order to show cause why a trustee who is a provided services without remuneration if the person
professional fiduciary, and who is required to be had a personal relationship with the dependent adult
licensed under Chapter 6 (commencing with Section (1) at least 90 days before providing those services, (2)
6500) of Division 3 of the Business and Professions at least six months before the dependent adult's
Code, should not be removed for failing to hold a valid, death, and (3) before the dependant adult was
unexpired unsuspended license. (Added by Stats. 1990, admitted to hospice care, if the dependent adult was
ch. 79. Amended by Stats. 1991, ch. 992; Stats. 1993, admitted to hospice care. As used in this subdivision,
ch. 293; Stats. 1996, ch. 862; Stats. 1997, ch. 724; Stats. “remuneration” does not include the donative
1998, ch. 682; Stats. 1999, ch. 175; Stats. 2003, ch. 629; transfer at issue under this chapter or the
Stats. 2010, ch. 621.) reimbursement of expenses.

(b) For the purposes of this section, “health and social

§ 21350 (Added by Stats. 1993, ch. 293. Repealed by services” means services provided to a dependent adult
Stats. 2011, ch. 296, operative January 1, 2014.) because of the person's dependent condition,
including, but not limited to, the administration of
medicine, medical testing, wound care, assistance with
§ 21350.5 (Added by Stats. 1995, ch. 730. Repealed by hygiene, companionship, housekeeping, shopping,
Stats. 2011, ch. 296, operative January 1, 2014.) cooking, and assistance with finances. (Added by Stats.
2010, ch. 620.)
§ 21351 (Added by Stats. 1993, ch. 293. Repealed by
Stats. 2011, ch. 296, operative January 1, 2014.)
§ 21364 “Cohabitant”–Defined

§ 21352 (Added by Stats. 1993, ch. 293. Repealed by “Cohabitant” has the meaning provided in Section
Stats. 2011, ch. 296, operative January 1, 2014.) 13700 of the Penal Code. (Added by Stats. 2010, ch.
620.)

§ 21353 (Added by Stats. 1993, ch. 293. Repealed by

Stats. 2011, ch. 296, operative January 1, 2014.) § 21366 “Dependent Adult”–Defined

“Dependent adult” means a person who, at the time

§ 21354 (Added by Stats. 1993, ch. 293. Repealed by of executing the instrument at issue under this part,
Stats. 2011, ch. 296, operative January 1, 2014.) was a person described in either of the following:

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(a) The person was 65 years of age or older and (2) A relative within a specified degree of
satisfied one or both of the following criteria: kinship to the specified person or within a
specified degree of kinship to the spouse or
(1) The person was unable to provide properly domestic partner of the specified person.
for his or her personal needs for physical health,
food, clothing, or shelter. (3) The spouse or domestic partner of a person
described in paragraph (2).
(2) Due to one or more deficits in the mental
functions listed in paragraphs (1) to (4), inclusive, (b) For the purposes of this section, “spouse or
of subdivision (a) of Section 811, the person had domestic partner” includes a predeceased spouse or
difficulty managing his or her own financial predeceased domestic partner.
resources or resisting fraud or undue influence.
(c) In determining a relationship under this section,
(b) The person was 18 years of age or older and Sections 6406 and 6407, and Chapter 2 (commencing
satisfied one or both of the following criteria: with Section 6450) of Part 2 of Division 6, are
applicable. (Added by Stats. 2010, ch. 620.)
(1) The person was unable to provide properly
for his or her personal needs for physical health,
food, clothing, or shelter. § 21380 Presumption of Fraud or Undue
Influence; Costs and Attorney’s Fees
(2) Due to one or more deficits in the mental
functions listed in paragraphs (1) to (4), inclusive, (a) A provision of an instrument making a donative
of subdivision (a) of Section 811, the person had transfer to any of the following persons is presumed
substantial difficulty managing his or her own to be the product of fraud or undue influence:
financial resources or resisting fraud or undue
influence. (Added by Stats. 2010, ch. 620.) (1) The person who drafted the instrument.

(2) A person who transcribed the instrument or

§ 21368 “Domestic Partner”–Defined caused it to be transcribed and who was in a
fiduciary relationship with the transferor when
“Domestic partner” has the meaning provided in Section
the instrument was transcribed.
297 of the Family Code. (Added by Stats. 2010, ch. 620.)
(3) A care custodian of a transferor who is a
§ 21370 “Independent Attorney”–Defined dependent adult, but only if the instrument was
executed during the period in which the care
“Independent attorney” means an attorney who has custodian provided services to the transferor, or
no legal, business, financial, professional, or personal within 90 days before or after that period.
relationship with the beneficiary of a donative
transfer at issue under this part, and who would not (4) A care custodian who commenced a
be appointed as a fiduciary or receive any pecuniary marriage, cohabitation, or domestic partnership
benefit as a result of the operation of the instrument with a transferor who is a dependent adult while
containing the donative transfer at issue under this providing services to that dependent adult, or
part. (Added by Stats. 2010, ch. 620.) within 90 days after those services were last
provided to the dependent adult, if the donative
transfer occurred, or the instrument was
§ 21374 “Related by Blood or Affinity” and
executed, less than six months after the
“Spouse or Domestic Partner”–Defined marriage, cohabitation, or domestic partnership
(a) A person who is “related by blood or affinity” to a commenced.
specified person means any of the following persons:
(5) A person who is related by blood or affinity,
(1) A spouse or domestic partner of the within the third degree, to any person described
specified person. in paragraphs (1) to (3), inclusive.

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(6) A cohabitant or employee of any person the Internal Revenue Code, or a trust holding the
described in paragraphs (1) to (3), inclusive. transferred property for the entity.

(7) A partner, shareholder, or employee of a (e) A donative transfer of property valued at five
law firm in which a person described in thousand dollars ($5,000) or less, if the total value of
paragraph (1) or (2) has an ownership interest. the transferor's estate equals or exceeds the amount
stated in Section 13100.
(b) The presumption created by this section is a
presumption affecting the burden of proof. The (f) An instrument executed outside of California by a
presumption may be rebutted by proving, by clear and transferor who was not a resident of California when the
convincing evidence, that the donative transfer was instrument was executed. (Added by Stats. 2010, ch. 620.
Amended by Stats. 2019, ch. 10.)
not the product of fraud or undue influence.

(c) Notwithstanding subdivision (b), with respect to § 21384 Donative Transfer Not Subject to
a donative transfer to the person who drafted the
Section 21380; Certificate of Independent Review
donative instrument, or to a person who is related to,
or associated with, the drafter as described in (a) A donative transfer is not subject to Section 21380
paragraph (5), (6), or (7) of subdivision (a), the if the instrument is reviewed by an independent
presumption created by this section is conclusive. attorney who counsels the transferor, out of the
presence of any heir or proposed beneficiary, about the
(d) If a beneficiary is unsuccessful in rebutting the nature and consequences of the intended transfer,
presumption, the beneficiary shall bear all costs of the including the effect of the intended transfer on the
proceeding, including reasonable attorney’s fees. (Added transferor’s heirs and on any beneficiary of a prior
by Stats. 2010, ch. 620. Amended by Stats. 2017, ch. 56; donative instrument, attempts to determine if the
Stats. 2019, ch. 10.) intended transfer is the result of fraud or undue
influence, and signs and delivers to the transferor an
original certificate in substantially the following form:
§ 21382 Inapplicability of Section 21380 to
Specified Instruments or Transfers “CERTIFICATE OF INDEPENDENT REVIEW

Section 21380 does not apply to any of the following I, (attorney’s name), have reviewed (name of
instruments or transfers: instrument) and have counseled the transferor,
(name of transferor), on the nature and
(a) Except as provided in paragraph (4) of subdivision consequences of any transfers of property to
(a) of Section 21380, a donative transfer to a person (name of person described in Section 21380 of the
who is related by blood or affinity, within the fourth Probate Code) that would be made by the
degree, to the transferor or is the cohabitant of the instrument.
transferor.
I am an “independent attorney” as defined in
(b) An instrument that is drafted or transcribed by a
Section 21370 of the Probate Code and am in a
person who is related by blood or affinity, within the
position to advise the transferor independently,
fourth degree, to the transferor or is the cohabitant of
impartially, and confidentially as to the
the transferor.
consequences of the transfer.
(c) An instrument that is approved pursuant to an
order under Article 10 (commencing with Section 2580) On the basis of this counsel, I conclude that the
of Chapter 6 of Part 4 of Division 4, after full disclosure transfers to (name of person described in Section
of the relationships of the persons involved. 21380 of the Probate Code) that would be made
by the instrument are not the product of fraud or
(d) A donative transfer to a federal, state, or local undue influence.
public entity, an entity that qualifies for an exemption ”
from taxation under Section 501(c)(3) or 501(c)(19) of (Name of Attorney) (Date)

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(b) An attorney whose written engagement, signed by § 21392 Effective Date

the transferor, is expressly limited solely to compliance
with the requirements of this section, shall not be (a) This part shall apply to instruments that become
considered to otherwise represent the transferor as a irrevocable on or after January 1, 2011. For the
client. purposes of this section, an instrument that is
otherwise revocable or amendable shall be deemed to
(c) An attorney who drafts an instrument can review be irrevocable if, on or after January 1, 2011, the
and certify the same instrument pursuant to this transferor by reason of incapacity was unable to change
section, but only as to a donative transfer to a care the disposition of the transferor’s property and did not
custodian. In all other circumstances, an attorney who regain capacity before the date of the transferor’s
drafts an instrument may not review and certify the death.
instrument.
(b) It is the intent of the Legislature that this part
(d) If the certificate is prepared by an attorney other supplement the common law on fraud and undue
than the attorney who drafted the instrument that is influence, without superseding or interfering in the
under review, a copy of the signed certification shall be operation of that law. Nothing in this part precludes an
provided to the drafting attorney. (Added by Stats. action to contest a donative transfer under the
2010, ch. 620. Amended by Stats. 2017, ch. 56.) common law or under any other applicable law. This
subdivision is declarative of existing law. (Added by
Stats. 2010, ch. 620. Amended by Stats. 2017, ch. 56.)
§ 21386 Donative Transfer that Fail Under this
Part

If a donative transfer fails under this part, the

instrument making the donative transfer shall operate
PUBLIC CONTRACT CODE
as if the beneficiary had predeceased the transferor
without spouse, domestic partner, or issue. (Added by § 10353.5 Legal Services Contract
Stats. 2010, ch. 620. Amended by Stats. 2017, ch. 56.)
(a) Any contract for legal services shall contain the
following provisions:
§ 21388 Property Transfers; Liability; Notice
(1) The contractor shall agree to adhere to legal
(a) A person is not liable for transferring property cost and billing guidelines designated by the state
pursuant to an instrument that is subject to the agency.
presumption created under this part, unless the person
(2) The contractor shall adhere to litigation
is served with notice, prior to transferring the property,
plans designated by the state agency.
that the instrument has been contested under this part.
(3) The contractor shall adhere to case phasing
(b) A person who is served with notice that an
of activities designated by the state agency.
instrument has been contested under this part is not
liable for failing to transfer property pursuant to the (4) The contractor shall submit and adhere to
instrument, unless the person is served with notice that legal budgets as designated by the state agency.
the validity of the transfer has been conclusively
determined by a court. (Added by Stats. 2010, ch. 620.) (5) The contractor shall maintain legal
malpractice insurance in an amount not less than
the amount designated by the state agency.
§ 21390 Disqualification Despite Contrary
Provision (6) The contractor shall submit to legal bill
audits and law firm audits if requested by the
This part applies notwithstanding a contrary provision state agency. The audits may be conducted by
in the instrument. (Added by Stats. 2010, ch. 620.) employees or designees of the state agency or by
any legal cost control providers retained by the
state agency for that purpose.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(b) A contractor may be required to submit to a legal years prior to the performance of any legal
cost and utilization review, as determined by the state cost control services for any state agency.
agency.
(G) Any legal cost control provider shall
(c) As used in this section, the following definitions maintain professional liability insurance in
apply: the amount designated by the state agency.
(Added by Stats. 1992, ch. 734.)
(1) “Legal bill audits,” means an evaluation and
analysis of the reasonableness of particular legal
bills submitted to a state agency for
reimbursement. PUBLIC RESOURCES CODE
(2) “Law firm audit,” means a review of law firm
files applicable to legal services provided to a
§ 40432 Legal Representative
state agency for a particular time period.
The Attorney General shall represent the board and the
state in litigation concerning affairs of the board, unless
(3) “Legal cost and utilization review,” means a
the Attorney General represents another state agency
review performed by the state agency or its legal
that is a party to the action. In that case, the Attorney
cost provider of the utilization and billing practices
General may represent the board with the written
of a contractor for the purpose of developing or
consent of the board and the other state agency, the
revising guidelines to be followed prospectively by
board may contract for the services of private counsel,
the contractor in representing the state agency.
subject to Section 11040 of the Government Code, or
(4) “Contract for legal service,” shall include any the legal counsel of the board may represent the board.
contract between a state agency and any law firm, Sections 11041, 11042, and 11043 of the Government
professional corporation, law firm partnership, or Code are not applicable to the board. (Added by Stats.
individual attorney to perform legal work on 1989, ch. 1095. Amended by Stats. 2002, ch. 396,
behalf of the state agency. operative September 6, 2002.)

(5) “Legal cost control provider,” means any

corporation, professional corporation,
partnership, or sole proprietorship which VEHICLE CODE
possesses the following qualifications:
§ 12801.2 Prohibited Financial Compensation for
(A) Maintains an office in the state.
Filling Out Original Driver’s License Application for
(B) Is authorized to do business in the Another; Violations; Civil Penalties
state.
(a) A person shall not receive financial compensation
(C) Has existed as a legal cost control for the sole purpose of filling out an original driver’s
provider for at least two complete, license application for another person.
successive years, as evidenced by filings of
(b) A person in violation of this section is subject to a
tax returns.
civil penalty of not more than two thousand five
(D) All legal cost control services are hundred dollars ($2,500) for each offense. Actions for
provided by attorneys. relief pursuant to this section may be commenced in a
court of competent jurisdiction by the Attorney
(E) All attorneys providing the legal cost General, or by the district attorney, county counsel, or
control services are admitted to practice in city attorney of the location in which the violation
this state. occurred.

(F) All attorneys have been admitted to (c) Section 40000.1 does not apply to a violation of
practice in this state for a minimum of five this section. (Added by Stats. 2014, ch. 447.)

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

WATER CODE WELFARE AND INSTITUTIONS CODE

§ 186 Powers of Board Necessary for Exercise § 15610.07 Abuse of an Elder or a Dependent Adult;
of its Duties; Employment of Legal Counsel and Defined
Other Persons; Organization; Representation by
Attorney General (a) “Abuse of an elder or a dependent adult” means
any of the following:
(a) The board shall have any powers, and may employ
(1) Physical abuse, neglect, abandonment,
any legal counsel and other personnel and assistance,
isolation, abduction, or other treatment with
that may be necessary or convenient for the exercise of
resulting physical harm or pain or mental
its duties authorized by law.
suffering.
(b) For the purpose of administration, the board shall
(2) The deprivation by a care custodian of goods
organize itself, with the approval of the Governor, in
or services that are necessary to avoid physical
the manner it deems necessary properly to segregate
harm or mental suffering.
and conduct the work of the board. The work of the
board shall be divided into at least two divisions, known (3) Financial abuse, as defined in Section
as the Division of Water Rights and the Division of 15610.30.
Water Quality. The board shall appoint a deputy
director or division chief for each division, who shall (b) This section shall become operative on July 1,
supervise the work of the division and act as technical 2016. (Added by Stats. 1994, ch. 594. Amended by
adviser to the board on functions under his or her Stats. 1997, ch. 663; Stats. 1998, ch. 946; Stats. 2015,
jurisdiction. ch. 285.)

(c) The Attorney General shall represent the board,

or any affected regional water quality control board, or § 15610.17 Care Custodian
both the board and the regional board, and the state in
“Care custodian” means an administrator or an
litigation concerning affairs of the board, or a regional
employee of any of the following public or private
board, or both, unless the Attorney General represents
facilities or agencies, or persons providing care or
another state agency that is a party to the action. In
services for elders or dependent adults, including
that case, the Attorney General may represent the members of the support staff and maintenance staff:
board, the regional board, or both, with the written
consent of the board and the other state agency, the (a) Twenty-four-hour health facilities, as defined in
board may contract for the services of private counsel Sections 1250, 1250.2, and 1250.3 of the Health and
to represent the board, the regional board, or both, Safety Code.
subject to Section 11040 of the Government Code, or
the legal counsel of the board may represent the board, (b) Clinics.
the regional board, or both. Sections 11041, 11042, and
11043 of the Government Code are not applicable to (c) Home health agencies.
the board. The legal counsel of the board shall advise (d) Agencies providing publicly funded in home
and furnish legal services, except representation in supportive services, nutrition services, or other home
litigation, to the regional boards upon their request. and community-based support services.
(Formerly §196 added by Stats. 1956, ch. 52.
Renumbered to §186 by Stats. 1957, ch. 1932. (e) Adult day health care centers and adult day care.
Amended by Stats. 1967, ch. 284; Stats. 1969, ch. 482;
Stats. 1971, ch. 794; Stats. 2002, ch. 396; Stats. 2010, (f) Secondary schools that serve 18- to 22-year-old
ch. 288.) dependent adults and postsecondary educational
institutions that serve dependent adults or elders.

(g) Independent living centers.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(h) Camps. (x) Offices of environmental health and building code

enforcement.
(i) Alzheimer’s Disease day care resource centers.
(y) Any other protective, public, sectarian, mental
(j) Community care facilities, as defined in Section health, or private assistance or advocacy agency or
1502 of the Health and Safety Code, and residential person providing health services or social services to
care facilities for the elderly, as defined in Section elders or dependent adults. (Added by Stats. 1994, ch.
1569.2 of the Health and Safety Code. 594. Amended by Stats. 1998, ch. 946; Stats. 2002, ch.
54.)
(k) Respite care facilities.

(l) Foster homes. § 15610.30 “Financial Abuse” of Elder or Dependent

Adult–Defined
(m) Vocational rehabilitation facilities and work
activity centers. (a) “Financial abuse” of an elder or dependent adult
occurs when a person or entity does any of the
(n) Designated area agencies on aging.
following:
(o) Regional centers for persons with developmental
(1) Takes, secretes, appropriates, obtains, or
disabilities.
retains real or personal property of an elder or
(p) State Department of Social Services and State dependent adult for a wrongful use or with intent
Department of Health Services licensing divisions. to defraud, or both.

(q) County welfare departments. (2) Assists in taking, secreting, appropriating,

obtaining, or retaining real or personal property of
(r) Offices of patients’ rights advocates and clients’ an elder or dependent adult for a wrongful use or
rights advocates, including attorneys. with intent to defraud, or both.

(s) The office of the long-term care ombudsman. (3) Takes, secretes, appropriates, obtains, or
retains, or assists in taking, secreting,
(t) Offices of public conservators, public guardians, appropriating, obtaining, or retaining, real or
and court investigators. personal property of an elder or dependent adult
by undue influence, as defined in Section
(u) Any protection or advocacy agency or entity that 15610.70.
is designated by the Governor to fulfill the
requirements and assurances of the following: (b) A person or entity shall be deemed to have taken,
secreted, appropriated, obtained, or retained property
(1) The federal Developmental Disabilities for a wrongful use if, among other things, the person or
Assistance and Bill of Rights Act of 2000, entity takes, secretes, appropriates, obtains, or retains
contained in Chapter 144 (commencing with the property and the person or entity knew or should
Section 15001) of Title 42 of the United States have known that this conduct is likely to be harmful to
Code, for protection and advocacy of the rights of the elder or dependent adult.
persons with developmental disabilities.
(c) For purposes of this section, a person or entity
(2) The Protection and Advocacy for the takes, secretes, appropriates, obtains, or retains real or
Mentally Ill Individuals Act of 1986, as amended, personal property when an elder or dependent adult is
contained in Chapter 114 (commencing with deprived of any property right, including by means of
Section 10801) of Title 42 of the United States an agreement, donative transfer, or testamentary
Code, for the protection and advocacy of the bequest, regardless of whether the property is held
rights of persons with mental illness. directly by a representative of an elder or dependent
adult.
(v) Humane societies and animal control agencies.

(w) Fire departments.

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

(d) For purposes of this section, “representative” (A) Controlling necessaries of life,
means a person or entity that is either of the following: medication, the victim’s interactions with
others, access to information, or sleep.
(1) A conservator, trustee, or other
representative of the estate of an elder or (B) Use of affection, intimidation, or
dependent adult. coercion.

(2) An attorney in fact of an elder or dependent (C) Initiation of changes in personal or

adult who acts within the authority of the power property rights, use of haste or secrecy in
of attorney. (Added by Stats. 1994, ch. 594. effecting those changes, effecting changes at
Amended by Stats. 1997, ch. 724; Stats. 1998, ch. inappropriate times and places, and claims of
946; Stats. 2000, ch. 813; Stats. 2000, ch. 442; expertise in effecting changes.
Stats. 2008, ch. 475; Stats. 2013, ch. 688.)
(4) The equity of the result. Evidence of the
equity of the result may include, but is not limited
§ 15610.67 “Serious Bodily Injury”–Defined to, the economic consequences to the victim, any
divergence from the victim’s prior intent or course
“Serious bodily injury” means an injury involving of conduct or dealing, the relationship of the value
extreme physical pain, substantial risk of death, or conveyed to the value of any services or
protracted loss or impairment of function of a bodily consideration received, or the appropriateness of
member, organ, or of mental faculty, or requiring the change in light of the length and nature of the
medical intervention, including, but not limited to, relationship.
hospitalization, surgery, or physical rehabilitation.
(Added by Stats. 2012, ch. 659.) (b) Evidence of an inequitable result, without more, is
not sufficient to prove undue influence. (Added by
Stats. 2013, ch. 668.)
§ 15610.70 “Undue Influence”–Defined

(a) “Undue influence” means excessive persuasion § 15657.03 Abused Elder or Dependent Adult–
that causes another person to act or refrain from acting Protective Orders
by overcoming that person’s free will and results in
inequity. In determining whether a result was produced (a) (1) An elder or dependent adult who has
by undue influence, all of the following shall be suffered abuse, as defined in Section 15610.07,
considered: may seek protective orders as provided in this
section.
(1) The vulnerability of the victim. Evidence of
vulnerability may include, but is not limited to, (2) A petition may be brought on behalf of an
incapacity, illness, disability, injury, age, abused elder or dependent adult by a conservator
education, impaired cognitive function, emotional or a trustee of the elder or dependent adult, an
distress, isolation, or dependency, and whether attorney-in-fact of an elder or dependent adult
the influencer knew or should have known of the who acts within the authority of a power of
alleged victim’s vulnerability. attorney, a person appointed as a guardian ad
litem for the elder or dependent adult, or other
(2) The influencer’s apparent authority. person legally authorized to seek the relief.
Evidence of apparent authority may include, but is
not limited to, status as a fiduciary, family (3) (A) A petition under this section may be
member, care provider, health care professional, brought on behalf of an elder or dependent
legal professional, spiritual adviser, expert, or adult by a county adult protective services
other qualification. agency in either of the following
circumstances:
(3) The actions or tactics used by the influencer.
Evidence of actions or tactics used may include, (i) If the elder or dependent adult
but is not limited to, all of the following: has suffered abuse as defined in

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 SELECTED STATUTES REGARDING DUTIES OF ATTORNEYS AND DISCIPLINE

subdivision (b) and has an impaired whether issued ex parte, after notice and hearing,
ability to appreciate and understand or in a judgment:
the circumstances that place the elder
or dependent at risk of harm. (A) An order enjoining a party from
abusing, intimidating, molesting, attacking,
(ii) If the elder or dependent adult striking, stalking, threatening, sexually
has provided written authorization to a assaulting, battering, harassing, telephoning,
county adult protective services agency including, but not limited to, making
to act on that person’s behalf. annoying telephone calls as described in
Section 653m of the Penal Code, destroying
(B) In the case of a petition filed pursuant personal property, contacting, either directly
to clause (i) of subparagraph (A) by a county or indirectly, by mail or otherwise, or coming
adult protective services agency, a referral within a specified distance of, or disturbing
shall be made to the public guardian the peace of, the petitioner, and, in the
consistent with Section 2920 of the Probate discretion of the court, on a showing of good
Code prior to or concurrent with the filing of cause, of other named family or household
the petition, unless a petition for members or a conservator, if any, of the
appointment of a conservator has already petitioner. On a showing of good cause, in an
been filed with the probate court by the order issued pursuant to this subparagraph
public guardian or another party. in connection with an animal owned,
possessed, leased, kept, or held by the
(C) A county adult protective services petitioner, or residing in the residence or
agency shall be subject to any confidentiality household of the petitioner, the court may
restrictions that otherwise apply to its do either or both of the following:
activities under law and shall disclose only
those facts as necessary to establish (i) Grant the petitioner exclusive
reasonable cause for the filing of the care, possession, or control of the
petition, including, in the case of a petition animal.
filed pursuant to clause (i) of subparagraph
(A), to establish the agency's belief that the (ii) Order the respondent to stay
elder or dependent adult has suffered abuse away from the animal and refrain from
and has an impaired ability to appreciate and taking, transferring, encumbering,
understand the circumstances that place the concealing, molesting, attacking,
elder or dependant adult at risk, and as may striking, threatening, harming, or
be requested by the court in determining otherwise disposing of the animal.
whether to issue an order under this section.
(B) An order excluding a party from the
(b) For purposes of this section: petitioner's residence or dwelling, except
that this order shall not be issued if legal or
(1) “Abuse” has the meaning set forth in Section equitable title to, or lease of, the residence
15610.07. or dwelling is in the sole name of the party
to be excluded, or is in the name of the party
(2) “Conservator” means the legally appointed to be excluded and any other party besides
conservator of the person or estate of the the petitioner.
petitioner, or both.
(C) An order enjoining a party from
(3) “Petitioner” means the elder or dependent specified behavior that the court determines
adult to be protected by the protective orders is necessary to effectuate orders described in
and, if the court grants the petition, the protected subparagraph (A) or (B).
person.
(5) “Respondent” means the person against
(4) “Protective order” means an order that whom the protective orders are sought and, if the
includes any of the following restraining orders, petition is granted, the restrained person.

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(c) An order may be issued under this section, with or (h) The court may issue, upon notice and a hearing,
without notice, to restrain any person for the purpose any of the orders set forth in paragraph (4) of
of preventing a recurrence of abuse, if a declaration subdivision (b). The court may issue, after notice and
shows, to the satisfaction of the court, reasonable hearing, an order excluding a person from a residence
proof of a past act or acts of abuse of the petitioning or dwelling if the court finds that physical or emotional
elder or dependent adult. harm would otherwise result to the petitioner, other
named family or household member of the petitioner,
(d) Upon filing a petition for protective orders under or conservator of the petitioner.
this section, the petitioner may obtain a temporary
restraining order in accordance with Section 527 of the (i) (1) In the discretion of the court, an order issued
Code of Civil Procedure, except to the extent this after notice and a hearing under this section may
section provides a rule that is inconsistent. The have a duration of not more than five years,
temporary restraining order may include any of the subject to termination or modification by further
protective orders described in paragraph (4) of order of the court either on written stipulation
subdivision (b). However, the court may issue an ex filed with the court or on the motion of a party.
parte order excluding a party from the petitioner's These orders may be renewed upon the request
residence or dwelling only on a showing of all of the of a party, either for five years or permanently,
following: without a showing of any further abuse since the
issuance of the original order, subject to
(1) Facts sufficient for the court to ascertain that termination or modification by further order of
the party who will stay in the dwelling has a right the court either on written stipulation filed with
under color of law to possession of the premises. the court or on the motion of a party. The request
for renewal may be brought at any time within
(2) That the party to be excluded has assaulted the three months before the expiration of the
or threatens to assault the petitioner, other order.
named family or household member of the
petitioner, or a conservator of the petitioner. (2) The failure to state the expiration date on
the face of the form creates an order with a
(3) That physical or emotional harm would duration of three years from the date of issuance.
otherwise result to the petitioner, other named
family or household member of the petitioner, or (3) If an action is filed for the purpose of
a conservator of the petitioner. terminating or modifying a protective order prior
to the expiration date specified in the order by a
(e) A request for the issuance of a temporary party other than the protected party, the party
restraining order without notice under this section shall who is protected by the order shall be given
be granted or denied on the same day that the petition notice, pursuant to subdivision (b) of Section 1005
is submitted to the court, unless the petition is filed too of the Code of Civil Procedure, of the proceeding
late in the day to permit effective review, in which case by personal service or, if the protected party has
the order shall be granted or denied on the next day of satisfied the requirements of Chapter 3.1
judicial business in sufficient time for the order to be (commencing with Section 6205) of Division 7 of
filed that day with the clerk of the court. Title 1 of the Government Code, by service on the
Secretary of State. If the party who is protected by
(f) Within 21 days, or, if good cause appears to the
the order cannot be notified prior to the hearing
court, 25 days, from the date that a request for a
for modification or termination of the protective
temporary restraining order is granted or denied, a
order, the court shall deny the motion to modify
hearing shall be held on the petition. If no request for
or terminate the order without prejudice or
temporary orders is made, the hearing shall be held
continue the hearing until the party who is
within 21 days, or, if good cause appears to the court,
protected can be properly noticed and may, upon
25 days, from the date that the petition is filed.
a showing of good cause, specify another method
(g) The respondent may file a response that explains for service of process that is reasonably designed
or denies the alleged abuse. to afford actual notice to the protected party. The
protected party may waive the right to notice if

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that party is physically present in court and does the court. In granting a continuance, the court
not challenge the sufficiency of the notice. may modify or terminate a temporary restraining
order.
(j) In a proceeding under this section, a support
person may accompany a party in court and, if the (o) (1) If a respondent, named in an order issued
party is not represented by an attorney, may sit with under this section after a hearing, has not been
the party at the table that is generally reserved for the served personally with the order but has received
party and the party's attorney. The support person is actual notice of the existence and substance of
present to provide moral and emotional support for a the order through personal appearance in court
person who alleges to be a victim of abuse. The support to hear the terms of the order from the court, no
person is not present as a legal adviser and may not additional proof of service is required for
provide legal advice. The support person may assist the enforcement of the order.
person who alleges to be a victim of abuse in feeling
more confident that the alleged abuse victim will not (2) If the respondent named in a temporary
be injured or threatened by the other party during the restraining order is personally served with the
proceedings if the person who alleges to be a victim of order and notice of hearing with respect to a
abuse and the other party are required to be present in restraining order or protective order based on the
close proximity. This subdivision does not preclude the temporary restraining order, but the respondent
court from exercising its discretion to remove the does not appear at the hearing, either personally
support person from the courtroom if the court or by an attorney, and the terms and conditions of
believes the support person is prompting, swaying, or the restraining order or protective order issued at
influencing the party assisted by the support person. the hearing are identical to the temporary
restraining order, except for the duration of the
(k) Upon the filing of a petition for protective orders order, then the restraining order or protective
under this section, the respondent shall be personally order issued at the hearing may be served on the
served with a copy of the petition, notice of the hearing respondent by first-class mail sent to the
or order to show cause, temporary restraining order, if respondent at the most current address for the
any, and any declarations in support of the petition. respondent that is available to the court.
Service shall be made at least five days before the
hearing. The court may, on motion of the petitioner or (3) The Judicial Council form for temporary
on its own motion, shorten the time for service on the orders issued pursuant to this subdivision shall
respondent. contain a statement in substantially the following
form:
(l) A notice of hearing under this section shall notify
the respondent that if the respondent not attend the “If you have been personally served with a
hearing, the court may make orders against the temporary restraining order and notice of hearing,
respondent that could last up to five years. but you do not appear at the hearing either in
person or by a lawyer, and a restraining order that
(m) The respondent shall be entitled, as a matter of is the same as this temporary restraining order
course, to one continuance, for a reasonable period, to except for the expiration date is issued at the
respond to the petition. hearing, a copy of the order will be served on you
by mail at the following address: ____.
(n) (1) Either party may request a continuance of
the hearing, which the court shall grant on a If that address is not correct or you wish to verify
showing of good cause. The request may be made that the temporary restraining order was
in writing before or at the hearing or orally at the converted to a restraining order at the hearing
hearing. The court may also grant a continuance without substantive change and to find out the
on its own motion. duration of that order, contact the clerk of the
court.”
(2) If the court grants a continuance, any
temporary restraining order that has been (p) (1) Information on a protective order relating to
granted shall remain in effect until the end of the elder or dependent adult abuse issued by a court
continued hearing, unless otherwise ordered by pursuant to this section shall be transmitted to

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the Department of Justice in accordance with (6) Upon receiving information at the scene of
either paragraph (2) or (3). an incident of abuse that a protective order has
been issued under this section, or that a person
(2) The court shall order the petitioner or the who has been taken into custody is the
attorney for the petitioner to deliver a copy of an respondent to that order, if the protected person
order issued under this section, or a reissuance, cannot produce an endorsed copy of the order, a
extension, modification, or termination of the law enforcement officer shall immediately
order, and any subsequent proof of service, by the attempt to verify the existence of the order.
close of the business day on which the order,
reissuance, extension, modification, or (7) If the law enforcement officer determines
termination was made, to each law enforcement that a protective order has been issued, but not
agency having jurisdiction over the residence of served, the officer shall immediately notify the
the petitioner, and to any additional law respondent of the terms of the order and where a
enforcement agencies within the court's written copy of the order can be obtained, and
discretion as are requested by the petitioner. the officer shall at that time also enforce the
order. The law enforcement officer's oral notice of
(3) Alternatively, the court or its designee shall the terms of the order shall constitute service of
transmit, within one business day, to law the order and is sufficient notice for the purposes
enforcement personnel all information required of this section and for the purposes of Section
under subdivision (b) of Section 6380 of the 273.6 of the Penal Code.
Family Code regarding any order issued under this
section, or a reissuance, extension, modification, (q) This section does not preclude either party from
or termination of the order, and any subsequent representation by private counsel or from appearing on
proof of service, by either one of the following the party's own behalf.
methods:
(r) There shall not be a filing fee for a petition,
(A) Transmitting a physical copy of the response, or paper seeking the reissuance,
order or proof of service to a local law modification, or enforcement of a protective order filed
enforcement agency authorized by the in a proceeding brought pursuant to this section.
Department of Justice to enter orders into
the California Law Enforcement (s) Pursuant to paragraph (4) of subdivision (b) of
Telecommunications System (CLETS). Section 6103.2 of the Government Code, a petitioner
shall not be required to pay a fee for law enforcement
(B) With the approval of the Department of to serve an order issued under this section.
Justice, entering the order or proof of service
into CLETS directly. (t) The prevailing party in an action brought under
this section may be awarded court costs and attorney's
(4) Each appropriate law enforcement agency fees, if any.
shall make available information as to the
existence and current status of these orders to (u) (1) A person subject to a protective order under
law enforcement officers responding to the scene this section shall not own, possess, purchase,
of reported abuse. receive, or attempt to receive a firearm or
ammunition while the protective order is in
(5) An order issued under this section shall, on effect.
request of the petitioner, be served on the
respondent, whether or not the respondent has (2) The court shall order a person subject to a
been taken into custody, by any law enforcement protective order issued under this section to
officer who is present at the scene of reported relinquish any firearms that the person owns or
abuse involving the parties to the proceeding. The possesses pursuant to Section 527.9 of the Code
petitioner shall provide the officer with an of Civil Procedure.
endorsed copy of the order and a proof of service,
which the officer shall complete and send to the (3) Every person who owns, possesses,
issuing court. purchases, or receives, or attempts to purchase or

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receive a firearm or ammunition while subject to a (x) This section does not apply to any action or
protective order issued under this section is proceeding governed by Title 1.6C (commencing with
punishable pursuant to Section 29825 of the Penal Section 1788) of Part 4 of Division 3 of the Civil Code,
Code. Chapter 3 (commencing with Section 525) of Title 7 of
Part 2 of the Code of Civil Procedure, or Division 10
(4) This subdivision does not apply in a case in (commencing with Section 6200) of the Family Code.
which a protective order issued under this section This section does not preclude a petitioner's right to
was made solely on the basis of financial abuse use other existing civil remedies.
unaccompanied by force, threat, harassment,
intimidation, or any other form of abuse. (y) The Judicial Council shall develop forms,
instructions, and rules relating to matters governed by
(v) In a proceeding brought under paragraph (3) of this section. The petition and response forms shall be
subdivision (a), all of the following apply: simple and concise, and shall be used by parties in
actions brought pursuant to this section.
(1) Upon the filing of a petition for a protective
order, the elder or dependent adult on whose (z) (1) When issuing a protective order pursuant to
behalf the petition has been filed shall receive a this section for abuse involving acts described in
copy of the petition, a notice of the hearing, and paragraph (1) or (2) of subdivision (a) of Section
any declarations submitted in support of the 15610.07, after notice and a hearing, the court
petition. The elder or dependent adult shall may, if appropriate, also issue an order requiring
receive this information at least five days before the restrained party to participate in mandatory
the hearing. The court may, on motion of the clinical counseling or anger management courses
petitioner or on its own motion, shorten the time provided by a counselor, psychologist,
for provision of this information to the elder or psychiatrist, therapist, clinical social worker, or
dependent adult. other mental or behavioral health professional
licensed in the state to provide those services.
(2) The adult protective services agency shall
make reasonable efforts to assist the elder or (2) The Judicial Council shall revise or
dependent adult to attend the hearing and promulgate forms as necessary to effectuate this
provide testimony to the court, if that person subdivision on or before January 1, 2021. (Added
wishes to do so. If the elder or dependent adult by Stats. 2015, ch. 285, operative July 1, 2016.
does not attend the hearing, the agency shall Amended by Stats. 2016, ch. 86; Stats. 2019, ch.
provide information to the court at the hearing 628.)
regarding the reasons why the elder or dependent
adult is not in attendance.
§ 15657.1 Attorney’s Fees; Factors
(3) Upon the filing of a petition for a protective
order and upon issuance of an order granting the The award of attorney’s fees pursuant to subdivision (a)
petition, the county adult protective services of Section 15657 shall be based on all factors relevant
agency shall take all reasonable steps to provide to the value of the services rendered, including, but not
for the safety of the elder or dependent adult, limited to, the factors set forth in Rule 4-200 of the
pursuant to Chapter 13 (commencing with Section Rules of Professional Conduct of the State Bar of
15750), which may include, but are not limited to, California, and all of the following:
facilitating the location of alternative
accommodations for the elder or dependent (a) The value of the abuse-related litigation in terms
adult, if needed. of the quality of life of the elder or dependent adult,
and the results obtained.
(w) Willful disobedience of a temporary restraining
order or restraining order after hearing granted under (b) Whether the defendant took reasonable and
this section is punishable pursuant to Section 273.6 of timely steps to determine the likelihood and extent of
the Penal Code. liability.

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(c) The reasonableness and timeliness of any written

offer in compromise made by a party to the action.
(Added by Stats. 1991, ch. 774. Amended by Stats. 1994,
ch. 594.)

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