Fioa

180 Howard Street San Francisco, CA 94105 pra@calbar.ca.
gov
August 17, 2018
Ms. Lenore Albert
lenalbert@interactivecounsel.com
Subject: Request for State Bar Documents
Ms. Albert,
This letter further responds to your request for the “policies and procedures of the probation
department of the California State Bar,” dated July 12, 2018. On August 10, 2018, I informed
you that the State Bar anticipated producing records responsive to your request, if any, on or
before August 17, 2018.
Attached please find all records responsive to your request. The redacted portions of these
documents are exempt from disclosure pursuant to Gov. Code §§ 6254 (k) and 6255.
Gov. Code § 6254 (k) exempts from disclosure “records, the disclosure of which is exempted or
prohibited pursuant to federal or state law, including, but not limited to, provisions of the
Evidence Code relating to privilege.” Here, the redacted portions are exempt from disclosure
pursuant to the Official Information Privilege contained in California Evidence Code sections
1040 -1042 (protecting information “acquired in confidence by a public employee in the course
of his or her duty and not open, or officially disclosed, to the public prior to the time the claim of
privilege is made”), and the Attorney Work Product Privilege contained in the California Code
of Civil procedure section 2018.030 (“Any writing that reflects an attorney's impressions,
conclusions, opinions, or legal research or theories shall not be discoverable under any
circumstances.")
Gov. Code § 6255 exempts records from disclosure if the facts of the particular case demonstrate
that the “public interest served by not disclosing the record clearly outweighs the public
interested served by disclosure of the record.” This exemption applies to records reflecting a
government agency’s deliberative thought process. Times Mirror Co. v. Superior Court (1991)
53 Ca1.3d 1325; Rogers v. Superior Court (1993) 19 Cal.App.4th 469; Wilson v. Superior Court
(1996) 51 Cal.App.4th 1136. Here, disclosure of the redacted portion of these records would
expose State Bar decision making “in such a way as to discourage candid discussion within the
agency and thereby undermine the agency’s ability to perform its function.” Times, 53 Cal.3d at
1342.
Moreover, the redacted portions of these records reflect internal legal analysis and research,
investigative strategy, and information pertaining to where confidential electronic materials are
located. If this information were disclosed, it would compromise the effectiveness of the State
Bar’s Office of Probation. The overriding public interest in the effectiveness of the State Bar’s
operations, and the interests protected by the privileges discussed above, clearly outweigh the
public’s interest in full disclosure of the materials you requested.
Thank you,
Louisa Ayrapetyan
Public Records Coordinator
San Francisco Office Los Angeles Office
180 Howard Street 845 S. Figueroa Street
San Francisco, CA 94105 www.calbar.ca.gov Los Angeles, CA 90017
Office of Probation
State Bar of California
845 S. Figueroa St, L os Angeles, CA 90017-2515
Tel: (213) 765-1000 & Fax: (213) 765-1439
Adniinistrative Assistant Manual
April 2 018
Table of Contents
I. COMMON ACRONYMSANDABBREVIATIONS ............................................................................ 1
A. Abbreviations ....................................................................................................................... 1
B. Acronyms ................................................................................................................................ 1
C. Case Types .............................................................................................................................. 1
D. Proceeding Types ............................................................................................................... 1
E. Folder Types .......................................................................................................................... 2
II. CREATING THE PHYSICAL OP FILE ............................................................................................... 2
A. Prepare Labels ...................................................................................................................... 2
B. Processing Orders ............................................................................................................... 3
III. MAILING LETTERS FROM SA (TERRIE) ....................................................................................... 5
IV. FILING OP'S PLEADINGS WITH THE SBC .................................................................................... 5
v. LODGING ADP REPORTS WITH SBC ............................................................................................. 6
VI. PROCESSING REFERRALS ................................................................................................................. 7
VII. MOTION TO REVOKE PROBATION ................................................................................................ 7
A. Creating the PM Folder ...................................................................................................... 8
B. Filing the Motion to Revoke Probation ....................................................................... 9
C. After the Motion has Been Filed ...................................................................................... 9
VIII. 9.2 0 AFFIDAVITS .............................................................................................................................. 10
IX. PAYROLL .............................................................................................................................................. 11
x. FINANCE ............................................................................................................................................... 12
AA Manual April 201 8
XI. MAIL ...................................................................................................................................................... 12
XII. RECONCILIATION OF PCARD ........................................................................................................ 12
XIII. HANDLING OF VARIOUS REPORTS ............................................................................................. 13
XIV. DOCUMENT RETENTION: GRM .................................................................................................... 14
XV. ETHICS/CLIENT TRUST ACCOUNT ROSTERS & MPRE ......................................................... 15
XVI. ADDITIONAL TASKS ........................................................................................................................ 15
XVII. END OF YEAR TASKS ........................................................................................................................ 16
XVIII. NEW HIRE FOR OP ............................................................................................................................ 16
XIX. EXHIBITS ............................................................................................................................................. 17
1. PD CASE LIST ........................................................................................................................ 17
2. DECLARATION OF SERVICE BY REGULAR MAIL ....................................................... 18
3. NON-COMPLIANCE REFERRAL LIST ............................................................................. 19
4. PLEADINGS RECORD ................................................................................................... 20-21
5. PROBATION REVOCATION RESPONSE FORM ........................................................... 22
6. CERTIFICATE OF COSTS FORM ....................................................................................... 23
7. 9.20 DIRECTORY ................................................................................................................. 24
8. REQUEST FOR CERTIFIED RECORD OF DISCIPLINE ................................................ 25
9. CERTIFIED COPY OF RECORDS REQUEST ................................................................... 26
10. ALTERNATIVE DISCIPLINE PROGRAM REPORT ............................................... 27-29
11. DISPOSITION NOTIFICATION (Rule 9.20) ................................................................. 30
12. 9.20 REJECTION LETTER .......................................................................................... 31-33
13. ALTERNATIVE DISCIPLINE PROGRAM MATTERS ............................................ 34-35
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14. STIPULATION RE: FACTS, CONCLUSIONS OF LAW AND DISPOSITION AND
ORDER APPROVING .................................................................................................... 36-47
15. FILE FOLDER LABELS (# 5167) .......................................................................................48
16. OPPOSITION TO MOTION .......................................................................................... 49-57
17. GRM CONTAINER DATA ENTRY FORM ........................................................................ 58
I. Common Acronyms and Abbreviations
A. Abbreviations
.6. CW: Complaining Witness
.6. R: Respondent
B. Acronyms
.6. CTA: Client Tmst Accounting School
.6. ES: Ethics School
.6. HDO: Hearing Depaiiment Order -Located in Los Angeles and San
Francisco
.6. IIE: Involuntaiy Inactive Emollment
.6. LAP: Lawyer Assistance Program
.6. LOMP: Law Office Management Plan
.6. RDO : Review Department Order- Located in Los Angeles only
.6. SA: Supe1vising Attorney (T eITie Goldade)
.6. SCO: Supreme Comi Order
.6. MPRE: Multistate Professional Responsibility Examination
C. Case Types
.6. 9 .20: Order to comply with mle 9 .20 only (conviction, resignation,
disbaiment) and "W" cases (BROWN FOLDER, WIDTE LABEL)
.6. 6007(h): orders for how an Ris to conduct his/her practice (GRAY
FOLDER, WHITE LABEL)
.6. : Alternative Discipline Program (GRAY FOLDER, GREEN
HIGHLIGHT LABEL)
.6. IALD : Agreement in Lieu of Discipline (including 6007(h) orders for how an
R is to conduct his/her practice (GRAY FOLDER, BLUE
HIGHLIGHT
LABEL)
.6. PRB: Probation (GRAY FOLDER, WHITE LABEL)
.6. REP: Reproval (GRAY FOLDER, PUBLIC - YELLOW HIGHLIGHT
LABEL;
PRIVATE - PINK HIGHLIGHT LABEL)
.6.
0TH: (GRAY FOLDER, WHITE LABEL)
D. Proceeding Types (case numbers, e.g. 10-C-00000 is a criminal matter.)
.6. C: Conviction
.6. H: Reproval RefeITal
.6. M: moral chai·acter (not OP-Admissions) cases handled by OCTC
.6. N: 9.20 RefeITal
.6. 0: Original matter
.6. PM: Probation Refe1rnl (TeITie) or new "O" (OCTC)
AA Manual April 2018
.6. Q: Resignation
.6. Other [e.g., 6007(h)]
.6. W: Strnight Resignation (nothing to pull)
E. Folder Types
.6. Blue folder: PM case (Terrie Goldade only)
.6. Brown folder: 9 .20 cases (resignation, disban nent, conviction)
.6. Grey folder: PRB, REP, ALD, ADP and 0TH cases
II. Creating the physical OP File
The p hysical file shall generally be created the same day the order is received in OP.
A. Prepare Labels
.6. use grey folders for PRB (PROBATION/SUSPENSION), REP (REPROVAL),
ALD (ALTERNATIVE DISCIPLINE PROGRAM) and ADP (AGREEMENT
IN LIEU OF DISCIPLINE), 6007(h), and 0TH cases; use brown folders for 9.20
cases .
.6. " 1 1/3x4" labels for the folders are to include the following:
• 1st line - left hand side, Respondent's name (last name first and middle
initial or name), and on the right hand side, the bar member number, • · If R
is a "Jr."or "III", etc., put that AFTER his last name(before his first name);
• 2nd line - left hand side, the Supreme Court number (if applicable) if there is
none, then include the SBC case number, and on the right hand side, the
venue, • - -Los Angeles (LA) or San Francisco (SF); to determine what the
venue is go to AS/400, select #10, enter respondent's name or Bar number, at
the bottom of the screen select inquire
• .A.3rd line - left hand side, SBC case number (if the Supreme Comi Order
number was placed on the 2nd line): if no Supreme Comi Order, then type of
case - probation/suspension; public reproval; private reproval; agreement in
lieu of discipline; Alternative Discipline Program; or 6007(hL;.6.:_- - -
• .A.4 line - left hand side, type of case (!fit was not already put on the 3rd line)
th
JONES, Jr. JOHN_ A. JONES, Jr., JOHN_ A.
123456 123456
S12345 LA 06-0-23456 SF
06-0-12345 PUBLIC REPROVAL
SUSPENSION/PROBATION
*In locate file - open, type onto label sheets, place blank
labels into printer; face up and print
*Make sure the name is at the top of the label & that the label is straight & neatly placed on the
physical file so that it can be easily read & that the label does not extend beyond the file folder
.6. distinguish among the various matters by highlighting at least the Respondent's name
and bar number on the main label:
• ALD (Alternative Discipline Program) labels: blue hi
• Private REP (Private Reproval) labels:
• Public REP (Public Reproval) labels:.6.-_ _~ellow highlight'--'-- -
• ADP (Agreement in Lieu of Discipline) labels: een hi hli h
• 0TH labels: (2) red asterisks next to the Respondent's name-- -
• Probation/Suspension (may have a stipulation attached) gray folder, white
label
• Cases with "W" or Resignations and Disbaiments
(brown folders, white label)
• Probation Revocation - Blue Folder (FOR TERRIE ONLY)
B. Processing Orders (All items from the court should be put in Terrie's in-box
before processing)
Orders will end up in your in-box either by the SA or by inter-office mail addressed to
"Probation" . You will see vai·ious types of orders and there are a few different ways to
process them.
Orders that shall be immediately logged into PD case logs, located in -
and then under each PD's name, and given to
appropriate PD with file folder:
.6. Agreement in Lieu of Discipline
.6. Alternative Discipline Contract
.6. Conviction (process ASAP)
.6. Private Reproval (process ASAP)
.6. Public Reproval (process ASAP)
.6. OTH
Orders that shall be logged into AS/400 Activity Log only and given to
appropriate PD:
.6. ADP Status Conference Order (e.g., "ADP stat conj order filed "date". Fwd to
PD _ _ _.")
.6. Dismissal (e.g. , "Dismissal ofcase number. Fwd to PD _ _ _ _ "
Orders that shall be logged into PD Case log
and PD's name) and AS/400 Activity Log (no new folder needs
to be created; the orders are to be filed into the existing file) and forward to
PD:
.6. Review Department order ordering suspens10n based upon the Respondent
failing or not taking the MPRE;
.6. Review Depaii ment order orde1ing the termination of suspension based upon the
Respondent passing the MPRE;
.6. Heai·ing Depaii ment and Review Depaitment orders approving, granting, not
granting motions;
.6. Modification orders (If modification order requires SC approval, fo1ward to
pending file. If modification order doesn't require SC approval, log in AS/400 and
case log immediately and fo1ward to appropriate PD.)
.6. Orders re: motion to modify reproval condition;
.6. Orders tenninating suspension
.6. Orders pending passage of MPRE
If stipulations come in without order, place in accordion file until Supreme Comi
order is received (actual suspension, stayed suspension, etc.)
(Except PM cases (blue file folder), ask TeITie for file and place in file; Log in AS400
that it was received)
Orders that shall be placed in the accordion (with a section for each letter of
the alphabet) pending file (currently located across from Mia's desk on top of
file cabinet to await an approval order from the Supreme Court:
.6. Disbaim ent Recommendation*
.6. Resignation*
.6. Suspension*
*Before placing disbarment recommendations and resignations in the pending file, check AS/400 to
see ifthere is a case open for Respondent. If there is, log it in AS/400:
AA Manual ..
[ ] April 2018
"HDO re: disba1ment recommendation & IIE. Notified PD _____ and fwd to pending
file." or "Rec'd transmittal of resignation w/charges pending. Notified PD _ _ _ _ _ fwd
to pending file."
Copy the AS/400 screen by pressing the "Print Screen" key on your keyboard. Compose an email to
the appropriate PD and ''paste" the AS/400 screen in the body of the email. Put the
Respondent's name "Disbarment recommendation & IIE" or "Resignation" in the subject line.
All Supreme Court orders should have corresponding documents (e.g. stipulation or decision)
in the pending folder. Read the SUPREME COURT ORDER, retrieve and attach the
document it is approving, log it in the case log and prepare file folder, forward it to the
appropriate PD. If the corresponding documents are not in the pending folder, order them
from State Bar Court.
Cases with "W" in the case number and no documents in the pending file should be assigned to
PD, create file, log in AS400 and give file to PD.
III. Mailing Letters from SA (TERRIE}
.6. Check the State Bar website to verify that the address on AS/400 is accurate;
verify whether R is represented by counsel (if so, notify SA; addressee may need to
be changed)
.6. Read letter carefully for typographical eITors & contents
.6. Stamp letter "address verified" (before making copies)
.6. Make 2 yellow copies for file & give to assigned PD w/file & keep a copy and
place in letter folder, located in file cabinets across from Mia's desk
.6. Create envelope. go to AS/400 (20. Display
Member Master Index) and copy the name and address; go back to "envelope" and
paste the address; put envelope into printer as a manual feed, right-side up; hit
"print" .
.6. Log into AS/400
.6. Put in outgoing mail basket
IV. Filing OP's Pleadings with the SBC
When the SA gives you a motion or her response to a motion, carefully (especially R's name, SB #,
case#, & venue) proofread the document making sure to look for exhibits .
.6. Check in AS/400 #10 (cmTently "Display SBC Proceedings"): (enter case number
and select "Motions") to make sure the Respondent's motion has been filed with the
Comt. This screen will also show what judge and/or department the motion has been
assigned to. If the motion has not been filed, do J!.2! file and serve the response. Print
out the AS/400 screen eve1y couple of days. If the motion doesn't appear within a
week, contact the comt to see if it was ever received and notify the SA.
*Pleadings for SF are to be filed in SF and LA cases are to be filed in LA(no matter
the judge assigned)
.6. Prepare the "Declaration of Service" found in
• If the motion was filed by the Respondent, serve the response on the
Respondent's membership records address. This address can be found on the
State Bar website and in AS400 and the website, use the websites infonnation.
#20 (cmTently "Display Member Master Index"). If the address on the motion
differs from the membership records address, serve the response to both the
membership records address and the address on the motion.
• If the motion was filed by counsel for Respondent, serve the response on the
counsel's membership records address. If the address on the motion differs
from the membership records address, serve the response to both the
membership records address and the address on the motion
.6. Prepare the "Face" Sheet in they: drive in the AA's folder (print 2 copies)
.6. Prepare the mailing envelope(s) .
.6. Enter your actions in the AS/400 #6 (cmrently "Display Probation Monitoring")
Activity Log (e.g. "Filed OP response to R 's mtn for MPRE ext w/SBC-SF HD. Cc: R
&file. "). Print yow- entiy . Hit enter two times to save entry.
.6. Sign the Declaration of Se1v ice and place with the response to be copied as one
document.
.6. If the response is being filed with the Hearing Depaitment:
• file the response with the Comt by placing original (stamped "original") plus
2 copies (all 2-hole punched), along with a self-addressed interoffice envelope
in an interoffice envelope addressed to the appropriate Comt. (Don't stamp
comt copies "Copy''). Staple the Face Sheet to the outside of the envelope
and walk it across the hall to SBC window. You will need a total of 5
copies.
.6. If the response is being filed with the Review Depaitment:
• "File" the response with the Comt by placing the original (stamped "original")
plus 3 copies along with a self-addressed interoffice envelope in an interoffice
envelope addressed to the appropriate Comt. (Don't stainp comt copies
"Copy"), staple the Face Sheet to the outside of the envelope and walk it
across the hall to SBC window. You will need a total of 6 copies.
.6. Stamp the original as"Original"
.6. Stamp 1 copy "Copy" and se1ve 1 copy to Respondent or Respondent's counsel.
.6. Stamp 1 copy "File Copy" and place with the file to be returned to the appropriate
PD .
.6. Attach 1 copy to the Face Sheet and the AS/400 Activity Log entry. Place in yow-
manila chronological file located across from Mia's desk in the file cabinets. The
manila folders should be kept in reverse chronological order.
.6. NOTE: IF YOU ARE FILIN G A DOCUMENT IN SAN FRANCISCO, PUT
THE FA CE SHEE T INSIDE THE INTEROFFICE ENVELOPE ALONG
WITH THE DOCUMENT AND P UT THE EN VELOPE IN THE
OUTGOING MAIL.
AA Manual ..
[ ] April 2018
IF YOU ARE FILING A DOCUMENT IN LOS ANGELES, STAPLE THE
FACE SHEET TO THE OUTSIDE OF THE INTEROFFICE ENVELOPE
AND WALK IT ACROSS THE HALL TO SBC WINDOW
After filing pleadings with the Court, you will receive a confo1med copy back from the Comi . It
should be stamped "Filed". Once you receive the confonned response, log in AS/400 Activity log
#6: "Rec'd "Filed (date) " OP response to R 's mtnfor MPRE ext. Fwd to PD _ _ __
On PMs & Review Depaii ment matters, hold the file w/file copy until conf01m ed copy is received.
If confonned copy isn't received within a few days, contact the comi to get one.
V. Lodging ADP Reports with SBC
When the SA gives you a signed ADP report, read through carefully to look for attachments and
exhibits. Also, make sure case numbers, LAP case managers, and DTCs ai·e co1Tect. Verify whether
R is represented by counsel (either in AS/400, or see if the comi served an order on counsel).
Follow the procedure outlined above under "Filing Responses" with the following exceptions:
.6. Stamp original and all copies "CONFIDENTIAL".
.6. Lodge original and 2 copies with the Comi, 1 copy for Respondent or Respondent's
counsel, 1 copy for LAP, 1 copy for DTC, 1 copy for file; and 1 copy for Mia 's chron
file .
.6. Serve copies on all and only the pa1iies listed on the ADP repo1i under the "cc"
section. Generally, the PD emails the repo1i to the SF DTC.
.6. Stamp all envelopes confidential
YOU WILL NEED A TOTAL OF 7 COPIES
After lodging ADP reports, enter into AS400. It should be stainped "Received" NOT "Filed" . Once
you receive the confo1med repo1i, log in AS/400 Activity Log: Rec 'd "Rec'd (date) . " ADP
rpt. Fwd to PD _ _ _ _ "
VI. Processing Referrals
When a Respondent is refe1Ted for non-compliance, the SA signs the refeITal and places it in your
inbox with the file for you to send the refeITal file via interoffice mail to the ACTC cmTently making
case assignments, either Nonna Murray/Enforcement-LA, for LA and San Francisco matters.
Return the Probation file to the assigned PD.
RefeITals on ALDs, 9 .20s and reprovals can be sent immediately. Probation refeITals must be held
until the SA infonns you whether OCTC will handle as an O matter. (Probation refe1Tals may be
done by the SA as a "PM". In which case, you will follow the procedures outlined in the gray area
below.)
If the refe1Tal is to be sent to Enforcement:
.6. Make 1 yellow copy of the "Notice of Non-Compliance" sheet to be given to the
appropriate PD with the file .
.6. Log the refe1rnl in Log & AS/400
Activity Log.
.6. Send the refe1rnl folder via interoffice mail to the appropriate Enforcement office.
Any refenals on cases where the robation eriod has expired, can be sent out immediately.
Log in log directo1y. Log in AS/400 Activity Log,
type code REF (e.g."Ref sent to N,Murray/LA. Logged in dir. cc &file to PD Esqueda. ").
VII. Motion to Revoke Probation
To file the motion, follow the procedure outlined above under Section IV., OP 's "Filing pleadings
withe SBC" . Motions to revoke probation are always filed with the Hearing Department.
There are usually multiple exhibits in a Motion. All exhibits from the refe1rnl file (except comi filed
documents) must be ce1iified (they should have already been ce1iified by the PD handling the case).
There may be more than one ce1iified document in an exhibit to the Motion to Revoke. Documents
are usually ce1iified on the back, so be ve1y careful to make sure you find eve1y ce1iification and
photocopy it. All exhibits must be bate-stamped. Each exhibit staii s with 00001 . The ce1iified page
must also be bate-stainped.
A. Creating the PM Folder
When the SA signs off on the PM refenal, she will give it to you to create a fonnal file and to
photocopy the non-compliance sheet (on yellow paper). Give the yellow copy to the
probation deputy and put original in the PM refenal file. Retmn the PM refe1rnl file with the
fo1mal file to the SA when completed .
.6. Create labels to be placed at the bottom of each flap of the PM folder: =.-=.---
• .6.-1 flap (left-hand side): "Con espondence"
st
• 2 flap (right-hand side): "Pleadings"
nd
• .A.3 flap (left-hand side): "Miscellaneous"
rd
• 4 flap (right-hand side): "Confidential".:.6.:_
th
.6. Create the main label to be placed ve1iically on the final right flap.
JONES, Jr., JOHN A. 123456
Note: The PM number will be assigned after the Motion is filed. The Comi
will issue and assign a PM case number and write it on the confo1med copy of
the motion. When the confonned copy from the Comt is received, follow the
procedme outlined in the next section (C. After the motion has been filed) .
.6. Create a "pleadings record" for first right flap. Photocopies are kept in Mia's drawer
in marked manila folders; this record is kept near the Probation Revocation
Response fo1m folder. Type or print very neatly the entries into the record. (See
Exhibit #5)
.6. Put in at least 5 colored pages with bottom # tabs 1-5
.6. Check Respondent's records for prior discipline:
• •· "Display Investigations" menu in AS/400 (cmTently #12)
• enter Respondent's bar number
• select "Master" and "Activity Log"
• select all prior cases that resulted in resulted in discipline
• DSC = Discipline
• TRM = Te1minated
• DSM = Dismissed
• "Aggravation" po1tion of the stipulation under "Prior Record of Discipline"
• "State Bar Comt Cases" section on the Respondent's "Attorney Search" page
on the State Bar website
.6. Request a certified copy all prior disciplines found using the "Request for Certified
Record of Discipline Form." (See exhibit #9)
.6. Place a copy of the prior discipline request f01m on the left side of the second flap .
.6. Request a ce1tified copy of the Respondent's membershi records b faxing the
"Ce1t ified Copy of Records Request" (located in ) fo1m to
the number on the f01m. (See exhibit #10) Place the original request f01m with the fax
confnm ation page on the left side of second flap .
.6. Place any internal emails or notes on the right final flap
B. Filing the Motion to Revoke Probation
When filing the Motion, use the procedm e for filing responses to motions outlined in section
IV., Filing OP's Pleadings with the SBC, with the following exceptions:
.6. Bate stamp exhibits
• each exhibit staits with 00001
• remember to also bate stamp the pages that contain the certified stamp (they
will most likely be on the back pages)
• bate stainp with labels. In for the first 20.
You may need to delete and/or type some numbers so that you have the
con ect ainount of labels for each exhibit. When putting the labels on, they
must go in the bottom, right com er; you may need to trim the label, but do not
cover any text on the copy.
.6. attach the Probation Revocation Response fon n located in a labeled, manila folder in
the drawer across from Mia's desk (See exhibit #6)
.6. find the Respondent 's alternate addresses (any address that differs from the
Respondent's Membership Records address)
• search the probation file for envelopes, letters, faxes, or pleadings that contain
addresses that differ from the Respondent 's Membership Records address
• search OCTC Investigation Activity Log
.6. Serve a copy of the motion by certified mail and regular mail You will find the
ce1tified mail labels in Mia's bottom double drawer. Walk the ce1t ified mail to
Office Services, located on the 2nd floor and put it in the outgoing ce1t ified mail
basket along with the senders record . Use the date stamp at the counter in Office
Services to date stamp the receipt for certified mail After you date stamp the
receipt for certified mail, staple it to the file in the correspondence section.
C. After the motion has been filed
When the confo1med copy of the Motion is received from the Court:
.6. enter new PM number in AS/400 "Maintain Probation Monitoring" screen (cunently
#1)
•hit FlO
•enter access number
•select "Probation"
•type in new PM number in bottom right comer, in the "Prob Revo" field
.6. write new PM number on the main label of the PM file
.6. write the new PM number on the top right com er of the pleadings record
.6. leave the file copy of the Motion to Revoke to Probation, including exhibits, loose
in the PM file for the SA's reference as a working copy .
.6. send a completed Cost Ce1tificate f01m to Effectuations in SBC Los Angeles (A
blank Cost Ce1tificate f01m is located in . (See exhibit #
7)
.6. make a copy of the Cost Ce1t ificate and place it in the pleadings section of the PM
file
.6. log all action in AS/400 Activity Log screen.
The Hearing Depa1tment will file a decision approving or denying the Motion. If the
decision is to approve the Motion, a Supreme Comt order approving the Hearing
Depaitment 's decision will be filed .
.6. Make copies of the Heai·ing Depaitment decision and Supreme Comt order and give
to the appropriate PD to be placed in the Probation file.
AA Manual [ima] April 201 8
.6. Place the Hearing Department decision and Supreme Comi order in the Pleadings
section of the PM folder as separate exhibits.
.6. "Close" the PM file by logging it into the AS/400 activity log "SCO re : probation
revoked. Close PM file in cabinet & fwd PM copies to PD EE."
.6. stamp "Closed" and write the date (month/year) on the front of the PM file.
VIII. 9.20 Affidavits
When a Respondent files a Rule 9.20 affidavit with the Comi, the Court will serve the SA with a
confonned copy of the affidavit. The SA will review the affidavit, approve or reject it, complete a
verification fonn, and place the two documents in your in-box.
If the 9.20 has been approved:
.6. Log it into the "9.20 Directory'' in with black text.
.6. Check AS/400 for an open case for the Respondent. If Respondent has an open
case, check to see if the case numbers match and then log in AS/400 Activity Log,
type code 920: "9.20 a.ff approved. Logged in dir &fwd to PD _ _ _ _ "
If the 9.20 has been rejected:
.6. Log it into the "9.20 Directory'' with red text.
.6. Write a sho1i description of why the affidavit was rejected in the 9.20 directo1y.
.6. Check AS/400 Activity log for an open case for the Respondent. If Respondent has
an open case, check to see if the case numbers match and then log in AS/400
Activity log, Type code 920: "9.20 rejected. Logged in dir & fwd to PD
.6. Send SA's rej ection letter; follow nonnal procedure for mailing letters
If the 9.20 is approved and the Respondent has filed past 9.20s in the same case that were rejected:
.6. Log it into the 9 .20 directo1y with blue text in bold .
.6. Log in AS/400 Activity log, Type code 920: "9. 20 approved (2 nd attempt). Logged
in dir &fwd to PD _ _ _ _ "
• If the Respondent has filed more than one 9 .20 affidavit, put in parenthesis
which attempt is being recorded (e.g. "3 rd attempt'). Give the affidavit and
verification to the assigned PD.
IX. Payroll
On the morning of payday Fridays, go to the 2nd floor(General se1v ices) to pick up the checks for the
Office of Probation before 10 a.m. Tony or Sunly will have the checks and a sheet on which to sign
off on your pick up. (The checks will be wrapped in a "Depa1imental Employee Time Summary"
fo1m.) Distribute check or paystub to staff member, who receives it.
AA Manual [m.] April 2018
All Office of Probation staff will give you their time cards; if they do not, you must get it from them.
Upon receipt of all time cards:
.6. Review the time cards for accuracy (did eve1yone note vacation days, do the
numbers add up to the conect amounts, etc.) and write any time used by each staff
member, other than regular time, on the Time Summaiy fo1m in red .
.6. Give the Time Summaiy fo1m and timecards to the SA for approval.
.6. When approved, Fax the Time Summa1y fo1m to the Payroll section of the Finance
Depaitment in San Francisco (x2449) .
.6. Place the fax confinnation in the "Payroll" folder located in the labeled drawer
across from Mia' s desk.
.6. Send the original Time Summaiy fo1m to Payroll via interoffice mail.
.6. Send the SA's time card via interoffice mail to Elvia Espinoza/Admissions/LA;
she'll then fwd to Donna Hershkowitz/Chief of Programs /LA for review
.6. Give all staff the yellow copy of their time cards .
.6. Place the white copies in the Payroll folder located in top double drawer across from
Mia's desk.
X. Finance
.6.Sunly Yap processes payment for GRM, but should fo1wai·d a copy to AA and SA
for approval beforehand
Probation 's Cost Center is -
• * At&t is automatically paid.
.A.Give the stainped invoice to the SA for her approval.
.A.Submit by inner-office mail the original invoices to Elvia Espinoza Admissions/LA;
she'll then fwd to Donna Hershkowitz her review and approval.
.6. After receipt of the approved invoices, copy the approved invoice and place the copy
in the "Purchasing" folder
.6. Send the original invoice via interoffice mail to Keith Jenkins, Chief Administrative
office-SF.
XI. Mail
Pick up mail from fucoming Mail basket, date stamp as "RECEIVED" all envelopes from outside
the SB and distribute to appropriate person. T1y to stainp the envelope on a place that is empty so
that all info1m ation can be read. If the envelope is not addressed to anyone in paiticulai·, you may
need to open it and dete1mine, based on the contents, to whom it should be distributed, e.g., if it is
John Smith's quaiierly repo1i, you would give it to Eddie because he handles all Respondents whose
last names begin with an "S." Open carefolly; do not shred envelope a.pa.ii and make sure all
info1mation on the envelope can be read.
AA Manual [mall April 2018
During quarterly repo1iing time (1st 2 weeks of the following m onths: Januaiy, April, July, October,)
carefully open all incoming mail envelopes. If there is a quaiierly report enclosed, cai·efully line up
the envelope to its contents and staple the envelope to the envelope and cai·efully two-hole punch the
entire document so that the holes are aligned straight across the top of the page.
Date Stamp all inter-office white & blue envelopes "received".
XII. Reconciliation Of Peard
.A.Log into Wells Fai·go website, htt
-
.6. User name and password ai·e located
.6. Click on Commercial Car d Expense Repo1iing, under statement review, click "select
all". Scroll to the bottom and click on "add description". Under "description",
briefly describe charges. Save then Print.
.A.Next, go through the "Purchasing" folder (located in drawers across from Mia's
desk) to find the receipts that m atch up with each purchase. Copy each receipt and
attach the copies to P-card statement in order of each purchase .
.6. Paperclip statement and receipts to the green envelope and give to TeITie to sign.
Once TeITie has signed and returned it, copy the envelope, receipts and statement;
staple together and put in the purchasing folder(located in labeled cabinet across
from Mia's desk) with 'Sent to Elvia Espinoza on _ _ _(date)" written on the first
page .
.6. Send, receipts, statement, and a return addressed interoffice envelope to Elvia
Espinoza Admissions/ LA via interoffice mail.
.6. Once Donna has signed and returned it, attach the copy to the previous copies made
after TeITie 's signature .
.6. Place copies in green envelope with statement and receipts, and file across from
Mia's desk in purchasing folder.
XII. Handling Of Various Reports
.A. I st week of each m onth, request (if have not ah-eady received) the previous m onth's
"futerim Suspension Orders, Modifications and Reprovals" repo1i from Devan
McFai·land SBC/SF .
.A. I st business day of each m onth, print out the refeITal log and ADP repo1i log for
TeITie to do OP 's monthly statistical repolis (see Exhibit 4). File a copy away in
yellow binder located in Mia's shelf behind her chair. To make the refeITal lo and
- ADP repo1is, go to the
After review of reports, if the OP has not received any, do the following:
AA Manual ..
[ ] April 2018
.6. If a Supreme Comi order was not received, look in the SCO pending folder
(accordion folder, across from Mia's desk). If the order is not there, complete a
Request for Ce1i ified Record of Discipline. (Blank copies of the request are located
in Mia's top, double drawer in a labeled manila folder.) On the completed f01m,
note the date sent. Put a copy of the completed f01m in the three 1ing binder kept in
Mia's overhead bin, under "Requested Orders to SBC" .
.6. For orders from the State Bar Comi, look in AS/400. Is there a case open? If so, is
there an order logged in the PD's case log? If so, the PD/R's file should have the
order.
.6. If there is a case open, and there is an order, but it is not found by the PD or in the
file, go to the SB Website. Do the "Attorney Search" to see if a "filed" copy of
order is there
.6. If you are still unable to find the order, complete the Request for Ce1iified Record of
Discipline as set f01th above in relation to Supreme Court orders
.6. Cost and Q matter repo1is are fo1warded by Devan McFarland eve1y Monday. Print
them and go over them to verify that OP has received everything. Check the repo1is
against the PD logs and/or pending/accordion folder. If we haven 't received
something, it needs to be requested. After verifying the repo1is, put the print-outs
into the manila folder in file cabinet across from Mia's desk.
.A.Every Thursday morning Devan McFarland will send ADP repolis. P1int out the
repo1is for review: cross out any dates in relation to cases that are not "Pilot"; dates
should be "cunent month and first seven days of next month". After checking for
new heaiing dates, fo1ward the e-mail to PDs. Update the ADP log, if necessai·y, and
print out new copies for the PDs and Tenie. If there are no changes, e-mail that
info1mation to the PDs and Tenie. Place the printed-out repo1is in a manila folder in
labeled cabinet.
.A.Private Disposition report is fo1wai·ded from Ten-ie to the AA eve1y Monday. Print it
out for review. Compai·e the repo1i to the case logs for each PD and/or the
pending/accordion folder. If we do not have a disposition, request it on the Request
for Ce1iified Records of Discipline fonn. Then, file the p1inted-out repo1i in the top,
in the file cabinet, across from Mia's desk
XIV. Document Retention: GRM
• To request- filea call GRM at (5~ 0 0 0 or by email @ Gimims.com.
• usernaine: password: -
• Request the file by giving the customer service representative the following info1mation:
• If we request a file via telephone, there will be a $5 charge added to our account.
o Your naine
o ~ from State Bar of CA, Office of Probation, Account
o Box number (can be found either in AS/400 Activity Log or in the GRM binder in the
shelves behind Mia's desk)
o File naine (Respondent's name)
o File number (case number)
AA Manual [.. ] April 2018
o Ask for "general delive1y" (usually the next business day before 5 p.m.) unless the
person requesting the file specifically requests othe1w ise.
• Staff authorized to request files are: TeITie Goldade
Mia Hibler
Maricrnz Farfan
Michael Kanterakis
• Sending closed files to GRM:
Every 6-9 months, the AA is to check the closed file drawers and send out files older than 6 months.
Boxes can be requested from GRM; we usually get the type of boxes where the top has to be made,
because they are cheaper than the boxes with the top attached. We also have to request and pay
separately for labels for the boxes and files. Once the files are pulled, make sure the files are kept in
alphabetical order. Files should be put in the boxes in alphabetical order. File name and case
number needs to be logged in on the GRM "entiy fo1m", in Excel
(See exhibit #17) Make sure the labels stay in order and that the labels coITesponding to the files in
the box and placed on the outside of the box. Make sure to save the entries on the GRM Excel
document. Call GRM for pickup. They usually come the next day before 5 p.m. Print the "entiy
fo1m" out and put it in the GRM binder (by year, and in order) in double shelf behind Mia's desk.
Log info1mation into each case's AS/400 Activity Log typing in the "RTA" code and then typing in
text that the "file sent to GRM. Barcode 000000000".
XV. Ethics/Client Trust Account Rosters & MPRE
Save the rosters in
XVI. Additional Tasks/info
• Order supplies when needed; a list for desired items to be ordered is taped onto the
supply drawer. Supplies are ordered through Office Depot using the Peard. We also use
Amazon.com to order the folders (Gray and Brown) used for SBC orders usin the
~ mation (user name and password) is kept
- · Orders need to be preapproved by TeITie. We usually receive the
ordered items within two to three days.
• Make sure that Exhibit tabs, located on top of labeled cabinet are folly stocked. I usually
check once a week. Additional tabs are located in the labeled cabinet. We only use the
bottom number tabs, and I usually order 100 of each, depending upon the rice. The
com an that we use is Source One and their number is 800 677-3031.
• but just make sure you get a price quote faxed over to us and have it approved by TeITie
before placing an order. We usually get the order the next day.
AA Manual [mwl April 2018
• The company that we use to order toner is either Amazon or Office Depot They also
have our Peard infonnation on file; make sure you get a price quote faxed over and
approved by TeITie before ordering. I order toner for the old(C4127 x) and new printer(
Q7551A), TeITie 's printer(Q655 1A), and the fax printer(UG-5550), approximately every
3-5 months, depending on how soon the ink mns out. Make sure to keep a copy of all
quotes and order fonns in purchasing folder, so we can have a copy in case there is a
problem with an order. Once we receive toner, either the AA (or one of the guys) puts the
toner in. Used toner is boxed in the new toner's box and put in outgoing mail bin with
"recycle" written on the outside. Store unused toner in one of the drawers for future use;
make sure there is always a new toner for each printer available on site.
• Schedule conference room for monthly meetings; I usually do this as soon as TeITie lets
us know when the next meeting is. To schedule the meetings, I go to the intranet under
"Los Angeles Conference Rooms", click on "add meeting", then type in meeting
infonnation ... meeting name(OP monthly meeting), room, time, date, requestor's name,
number of attendees, then click on "submit". You will receive a confnmation email.
1. Help can y any snacks, paper towels, plates, etc. to the meeting
2. Take notes during the meeting, if necessaiy
3. After the meeting, help bring down snacks, paper towels, etc.
4. After the meeting, print out the notes that TeITie e-mail's re : the meeting and put them
in Meeting binder located in the shared file room .
• Training for the Probation Deputies, AA, and TeITie is also scheduled by the
Administrative Assistant via website or with a representative. If one of the PDs, or AA
finds a seminai-/training that they would like to attend, they notify Terrie who gives the
ok to schedule. National Seminar is who we usually use unless another vendor is
feasible. Once AA has scheduled the seminar/training using the Pcai·d, a confinnation
will be sent to the PD. Make sure to keep a copy for the file. Training code is -
• A week before the end of the month, I put together a draft of our monthly calendar and
pass it out to the PDs. I tiy not to spend too much time on this, so I'll just use an old
co from the revious year, and change the dates. Copy of monthly reports ai·e in •
. Once they fill in days off, vacations, training, etc., it needs to be
approved by TeITie. Once TeITie approves, pass out finalized copy to PDs, TeITie and
send copy via interoffice mail to Donna Hershkowitz Chief of Programs LA.
• On slow days©, it is the AA's responsibility to make sure that all cabinets are stocked
with supplies and sti·aightened. Also, keep at least 2 reams of paper by each printer and
make sure the printers have enough paper in the drawers.
• Check fax machine often, staple and pass out to the appropriate person.
Seana Rae Pasco or Ahna Wong/ OCTC ai·e responsible for updating OCTC fo1ms.
XVII. End Of Year Tasks
1. Make 3 ring binders for SA for Closed Files Audit & Open Files Audit-get binders from the
maikoom or ask SA if she has them. (Check before making new binders because some yeai·s
Open Files' Audits can be included in the previous yeai·'s binder.)
AA Manual [mal April 201 8
2. Make monthly file folders for OP budgeting documents from Finance and for the monthly
statistical repo1t prepared by OP.
3. Detennine whether updated materials need to be ordered, e.g. State Bar Rules of Procedure
or Rules of Practice, the gray book, 3-in-1 statutes, etc. If so, order them .
XVIII. New Hire for OP
Request staff code and all access to share - George and all other pe1tinent info1mation
from IT. (on intranet under footprints). If you need help, you can call the help desk @4357
Tidy cubicle and make sure desk has basic supplies.
AA Manual [mal April 2018
XIX. Exhibits
EXHIBIT 1
AA Manual [ima] April 201 8
EXHIBIT 2
DECLARATION OF SERVICE BY REGULAR MAIL
CASE NUMBER(s):
I, the undersigned, over the age of eighteen (18) years, whose business
address and place of employment is the State Bar of California, 1149 South Hill Street,
Los Angeles, California 90015, declare that I am not a party to the within action; that I
am readily familiar with the State Bar of California's practice for collection and
processing of correspondence for mailing with the United States Postal Service; that in
the ordinary course of the State Bar of California's practice, correspondence collected
and processed by the State Bar of California would be deposited with the United States
Postal Service that same day; that I am aware that on motion of party served, service
is presumed invalid if postal cancellation date or postage meter date on the envelope
or package is more than one day after date of deposit for mailing contained in the
affidavit; and that in accordance with the practice of the State Bar of California for
collection and processing of mail, I deposited or placed for collection and mailing in the
City and County of Los Angeles, on the date shown below, a true copy of the within
[TITLE OF DOCUMENT]
in a sealed envelope placed for collection and mailing at Los Angeles, on the date
shown below, addressed to:
in an inter-office mail facility regularly maintained by the State Bar of California
addressed to:
,--- ---,
N/ A
I declare under penalty of perjury under the laws of the State of California that the
foregoing is true and correct. Executed at Los Angeles, California on the date shown
below.
DATED: May 20, 2010 SIGNED:
AA Manual ..
[ ] April 201 8
Mia Hibler
Declarant
AA Manual ..
[ ] April 201 8
Exhibit 3
Office of Probation
NON-COMPLIANCE REFERRAL
EXHIBIT 4
PLEADINGS RECORD
CASENA NEW PM NO.
BARNO: CSCCASENO~
NO. DOCUMENT DATE
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12 .
13.
14.
15.
16.
AA Manual ..
[ ] April 201 8
Exhibit 5
Counsel for Respondent (for Comt use)
fu the Matter of Case no(s) .
Bar#
PROBATION REVOCATION
A member of the State Bar of California RESPONSE
("Respondent") (Rule 5.314, Rules of Procedure)
As required by mle 5 .314(B), Rules of Procedme, Respondent attaches one or more declarations to this fo1m which
set fo1t h the facts upon which my opposition to the motion to revoke probation is based.
(1) • Respondent requests a hearing in this matter and intends to participate.
(2) • Respondent requests that this proceeding be resolved on the pleadings without any hearing.
If you checked box (1), check~ of the following:
(a) D Respondent requests the opportmiity to cross-examine the person(s) who executed
declaration(s) in suppo1t of the motion to revoke my probation.
(b) • Respondent does not request the opportunity to cross-examine the person(s) who
executed declaration(s) in suppo1t of the motion to revoke my probation.
Date:- - - - - - - - - - - -
Signature
Approved by the Executive Committee of the State Bar Comt 12/ 11/97
Exhibit 6
STATE BAR COURT FOR STATE BAR COURT USE
OF THE STATE BAR OF CALIFORNIA
1149 South Hill Sti·eet
Los Angeles, CA 90015-2299
(213) 765-1400
In the Matter of
CERTIFICATE OF COSTS - PROBATION MATTER CASE NO.:
1. TAXABLE COSTS of the Office of the Chief Trial Counsel (Code Civ. Proc. §1033.S(a)).
$ Repo1ters t:ransciipt of State Bar Cowt proceedings.
$ Witness fees pursuant to Government Code.
$ Deposition expenses, including transcript and travel costs.
$ Se1vice of process.
$ Photocopies of exhibits prepared by outside se1vice.
$ Models and blowups of exhibits prepared by outside se1vice.
2. REASONABLE COSTS PURSUANT TO FORMULA APPROVED BY THE BOARD OF GOVERNORS
-
(Bus. & Prof. Code§ 6086.10(b)(3)).
Base Charge.
$ Resignation charge($ 89.00)
3. OTHER REASONABLE COSTS-Incidental expenses of the Office of the ChiefT1ial Counsel
(Bus. & Prof. Code§ 6086.l0(c)).
4.-$
$
Cost for ce1tifying cowt documents.
Staff travel expenses.
SUBTOTAL
By: _ _ _ _ _ _ _~ ~ - - - - - - - - - - - - Dated:
Probation Deputy, Office of Probation
$ _ _ __
$ _ _ __
TOTAt Of At,!:, COSTS
By: _ _ _ _~ - - - - - - - - - - - - - - - Dated:._ _ _ __
Deputy Com1 Clerk, Office of the State Bar Com1
Exhibit 7
9.20 DIRECTORY -
AA Manual ..
[ ] April 201 8
Exhibit 8
REQUEST FOR CERTIFIED RECORD OF DISCIPLINE
(P lease print)
Date: December 30, 2009
To: Effectuations, State Bar Court, Los Angeles
From : Maricruz Farfan/Probation/LA Ext: 1452
(Department - LA / SF)
Cost Center: -
RE: Member # : -
--------
(Respondent )
Please provide a prior packet* on the following case(s):
Please list State Bar or Supreme Court case number.
1. 4.
2. 5.
3. 6.
Any additional copies of documents not included in a prior packet should be listed below:
Date information needed: ASAP (please allow 2 weeks)
"' Prior packet consists of:
• Notice of Disciplinary Charges (& amendments thereto);
• Respondent's Response, if any;
• Decision or Stipulation;
• Review Department minutes or Opinion, if any;
• Supreme Court order or letter of reproval, if applicable.
Revised 10/14/10
Exhibit 9
THE STATE BAR OF CALIFORNIA For Official Use Only
Member Records
180 Howard Street San Francisco, CA 94105-1639
1-888-800-3400 memrec@calbar.ca.gov
Ce11ified Copy of Records Request
(Internal Use Only)
1) PLEASE PROVIDE RECORDS OF _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
Member Number:- -- - - - - - - - - - Date Requested: -----1- >---------------
Last Name: - - - - > - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
First Name: -----111, - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Middle Name:
2) CONTACT INFORMATION _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
Requester's Name: ---=L"'u""
eAnn
::.==-=H.::.;oa.ao;..ate"'n" - - - - - - - - - - - - - - Dept/Location: --=-P.::.;
ro""b""'a""ti"'o==
n/L
=.A
a.=.._ _ _ _ _ __
E-mail: lueann.hooten@calbar.ca. gov Phone:_ _ _ _ _ _ _ _ _ _ _ _ __
3) ORDER INFORMATION _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
Please send me certified copies of the following documents
AA Manual ..
[ ] April 2018
D Computer Screen
D Registration Card (includes signattu·e)
D Public Record - Priors (supplemental record)
D Address Histo,y
D Cw1·ent Address Only
0 SLMS Suspension File (Child and Family Suppoit)
D MCLE Suspension Record
Requests for ce1iified copies of suspension for nonpayment of membership fees should be addressed
To Membership Billing at Ext. 2360
4) SUBMISSION INFORMATION _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
Please fax or mail or fax to MEMBER SERVICES CENTER: (MSC-SF)
FAX REQUESTS TO:
Allow a minimum o 3 working days from the date of receipt for processing. (415) 538-2576 (lllSc-st)
Address Questions to Kath Lambe1t at Ext 2243 or kath.lambert@ calbar.ca.gov OR INTEROFFICE MAIL TO:
Or Sima Lafontaine at Ext 2246 or sima Lafontaine @calbar.ca.gov
Member Services Center (MSC-SF)
Office of Probation
State Bai· of Calif01·nia
845 S. Figueroa Street, Los Angeles, CA 90017-2515
Tel: (213) 765-1000 & Fax: (213) 765-1439
Probation Case Specialist Manual
Contents
I. Overview of the Office of Probation: ..................................2
A. Common Acronyms: ...................................................................... 3
B. Proceeding Types: ......................................................................... 3
C. File Types: ...................................................................................... 4
II. Overview of Probation Case Specialist Responsibilities:5
III. Opening Files: ........................................................................ 6
A. Suspension/Probation & Reprovals: .......................................... 6
1. DRAFTING THE REMINDER LETTER: ........................................................................ 7
2. COMMON PROBATION CONDITIONS: .......................................................................... 7
3. UPLOADING REMINDER LETTER TO MEMBER PROFILE: .................................... 13
4. CREATING THE ELECTRONIC FILE IN AS/400: ...................................................... 14
5. PHYSICAL FILE LAYOUT: .......................................................................................... 20
B. Rule 9.20 (Conviction/Disbarment/Resignation): ................22
1. DRAFTING THE REMINDER LETTER: ..................................................................... 23
2. UPLOADING REMINDER LETTER TO RESPONDENT’S PROFILE:......................... 23
3. CREATING THE ELECTRONIC FILE IN AS/400: ..................................................... 24
C. Alternative Discipline Program: ............................................... 25
1. DRAFTING REMINDER LETTER: ............................................................................. 26
D. 6007(h) / Other: ......................................................................... 29
1. DRAFTING THE REMINDER LETTER: ..................................................................... 29
IV. The Required Meeting: ..................................................... 30
A. Contact & Scheduling: .............................................................. 30
B. Holding the Meeting: ................................................................. 30
V. Maintenance of Files: ......................................................... 31
A. Reprovals; Suspension/Probation: ........................................... 31
1. PROCESSING MIXED MAIL ....................................................................................... 32
2. PROCESSING RETURNED MAIL ............................................................................... 32
3. PROCESSING PROOF OF COMPLIANCE .................................................................... 32
4. SUSPENSION ............................................................................................................... 33
5. CONDUCTING THE REQUIRED MEETING ............................................................... 33
6. 9.20’S .......................................................................................................................... 33
7. PROCESSING QUARTERLY REPORTS ...................................................................... 34
8. UNDERLYING CRIMINAL MATTER PROBATION ..................................................... 35
9. CLIENT FUNDS CERTIFICATE .................................................................................. 36
10. MEDICAL / MENTAL HEALTH CONDITIONS............................................................ 36
11. LAWYER ASSISTANCE PROGRAM ............................................................................. 37
12. ABSTINENCE ............................................................................................................... 38
13. ABSTINENCE-BASED MEETINGS .............................................................................. 38
14. LAB CERTIFICATION / TESTING ............................................................................... 38
15. LAW OFFICE MANAGEMENT PLAN .......................................................................... 39
16. LAW PRACTICE MANAGEMENT AND TECHNOLOGY SECTION ............................... 39
17. MINIMUM CONTINUING LEGAL EDUCATION .......................................................... 40
18. RESTITUTION ............................................................................................................. 40
19. ETHICS SCHOOL / CLIENT TRUST ACCOUNTING SCHOOL .................................... 42
20. MULTISTATE PROFESSIONAL RESPONSIBILITY EXAMINATION .......................... 42
21. ADDRESS & PHONE NUMBER .................................................................................. 43
22. CLIENT SECURITY FUND........................................................................................... 43
23. COSTS .......................................................................................................................... 44
24. PROBATION MONITORS ............................................................................................ 44
25. STANDARD 1.2(C)(1) .................................................................................................. 44
26. RULE 205 ................................................................................................................... 45
27. 6007(H) ...................................................................................................................... 45
28. INTERIM CONDITIONS IN CRIMINAL CONVICTION MATTERS .............................. 45
29. AND UNTIL CONDITIONS: ......................................................................................... 45
B. Rule 9.20 (Conviction/Disbarment/Resignation): ................ 46
C. Alternative Discipline Program: ............................................... 48
1. PREPARING ADP REPORTS: .................................................................................... 48
D. 6007(h) / Q-Cases / Other:........................................................ 49
VI. Referrals: ............................................................................. 50
A. Conviction / Suspension Cases: ................................................. 52
B. Reprovals (H-Cases):.................................................................. 52
C. Rule 9.20 (N-Cases):.................................................................. 53
D. Alternative Discipline Program: ............................................... 54
E. Multi-State Professional Responsibility Exam: ...................... 54
F. Mental Incapacity (TT-Cases): ................................................. 55
G. Probation Revocation Matters (PM-Cases): ........................... 55
VII. Internal Procedures Post-Referral: ................................ 56
A. Documents from Respondent Post-Referral: .......................... 56
B. Follow-up Referrals to the Office of Chief Trial Counsel: ..... 56
C. Late Completion of MPRE: ....................................................... 56
D. Closing Files When a Referral Matter is Still Pending: ........ 57
E. New Discipline Resulting From Probation Referrals: .......... 57
F. Closing Referred Files: ............................................................... 57
VIII. Probation Monitor Referee............................................. 59
IX. Motions ................................................................................ 60
X. Closing Files ........................................................................ 62
A. Scheduled Termination: ............................................................. 62
B. Death of Respondent: ................................................................. 62
C. Previously Referred Matters: .................................................... 62
D. Disbarment & Resignations: ..................................................... 63
XI. Contact Information .......................................................... 64
XII. Exhibits ................................................................................ 65
XIII. Change-Log: ....................................................................... 66
The State Bar's Mission Statement:
"To pr@s@r¥@ and improv@ our justic@s~'st@m to assQf@ a fr@@and just society und@r law"
Protection of the public shall be the highest priority for the State Bar of
California and the board of trustees in exercising their licensing,
regulatory, and disciplinary functions. Whenever the protection of the
public is inconsistent with other interests sought to be promoted, the
protection of the public shall be paramount. Business and Professions
Code section 6001.1 (Added by Stats. 2011 , Ch. 417, Sec. 1. Effective
January 1, 2012.)
omce ofProbation M ay2018
I. Overview of the Office of Probation:
The Office of Probation (OP) monitors disciplined attorneys who have been ordered to comply with
probation or reproval conditions pursuant to orders issued by the California Supreme Comt and/or the State
Bar Comt (SBC). The OP also monitors compliance with Rule 9.20 (fo1m erly numbered 955) of the
California Rules of Comt ; some Alternative Discipline Program matters; and conditions imposed pursuant
to Business and Professions Code, section 6007(h).
Once these orders or agreements become effective, the OP establishes its own case files and maintains a
record of compliance and/or non-compliance for each Respondent paiticular conditions. CmTently, OP files
ai·e categorized into the following five (5) case types:
• Probation (PRB): where the California Supreme Comt has imposed actual or stayed suspension
and/or has placed the Respondent on a period of probation with ce1tain te1ms and conditions of
probation.
• Reproval (REP): where the SBC has placed the Respondent on a reproval period with ce1tain tenns
and conditions attached to the public or private reproval.
• Rule 9.20 (920): where the California Supreme Court or the Review Depaitment of the SBC has
ordered Respondent to comply with California Rules of Comt, rnle 9 .20 (give notice of suspension
to clients, opposing counsel, etc.) - and where there are no other te1ms or conditions involved (e.g.,
disbaiment orders, resignation orders (even if rejected), conviction refe1rnl orders).
• Alternative Discipline Program (ADP): where the ADP Comt of the SBC has ordered the
Respondent to comply with ce1tain interim te1ms and conditions during the Respondent's
pa1ticipation in the ADP.
• Other Orders (0TH): where the SBC has ordered the Respondent to comply with te1ms or
conditions including, but not liinited to, Business and Professions Code (B & P) section 6007(h),
Costs Orders, and futerim Conditions in c1irninal conviction matters.
Pursuant to rnles 5.128 and 5.300-5.306, Rules of Procedure, the OP litigates motions for modification of
probation/reproval conditions. The OP also responds to motions for extension of time to complete the
Multi-State Professional Responsibility Exainination (MPRE). The Office of Chief Trial Counsel (OCTC)
responds to motions regarding costs on their proceedings and responds to costs' motion on motions to
revoke probation.
If at any time a Respondent wants to resign, with chai·ges pending, have Respondent contact Ross Viselman
in OCTC. For resignations without charges pending, have Respondent contact Dina DiLoreto in Attorney
omce ofProbation May2018
Regulation and Consumer Resources (fo1merly Member Services). They prefer to talk with the Attorney
an d provide all of the choices. They can also guide the Attorney to the fon n on their private profile.
Since 2011 , th e Office of Probation is staffed by 1 Supervising Attorney (SA), 1 Administrative Assistant
(AA), and 6 Probation Case Specialists (PCS) .
A. Co1D1non Acronyins:
ACTC: Assistant Chief Trial Counsel
CPA: Ce1iified Public Accountant
CRV: Case Review
CSF: Client Security Fund
CTA: Client Tm st Accounting School
CW: Complaining Witness
DCTC: Deputy Chief Trial Counsel
DTC: Deputy Trial Counsel
ES: Ethics School
HDO: Hearing Depaiiment Order - Located in Los Angeles and San Francisco
IIE: Involuntaiy Inactive Em ollment
LAP : Lawyer Assistance Prograin
LOMP : Law Office Management Plan
MPRE: Multistate Professional Responsibility Exainination
NHA: Not held, Abated
NHC: Not held, Continued
OP: Office of Probation
PCS: Probation Case Specialist
PM: Probation Monitor (more commonly used to refer to a Motion to Revoke Probation)
QR: Quaiierly Repo1i
R: Respondent
RDO: Review Depaiiment Order- Located in Los Angeles only
RIHC: Registered In-House Counsel (might be unfindable as CA Attorney b/c from out of State)
SA: Supervising Attorney (TeITie Goldade)
SCO: Supreme Court Order
SSTC: Supervising Senior Trial Counsel
STC: Senior Trial Counsel
UCM: Underlying Criminal Matter
B. Proceeding Types:
AE: Fee Arbitration (Not m onitored by OP; Fee Arbitration monitors these proceedings)
C: Conviction RefeITal
F: CSF Case
G: Legal Service Tm st Fund
H: Rule 1- 110 Violation (Reproval RefeITal)
J: Discipline in Other Jurisdiction
L: Law Cmporations
M: Moral Character
N: Rule 9.20
0: Original Discipline
PF: Motion to Quash
PM: Probation Revocation - Motion (Supervising Attorney)
Q: Resignation with Charges Pending (Accepted / Rejected)
R: Reinstatement
S: Legal Specialization Applicant
TA: ???
TB: Inactive Enrollment §6007(b)(l)
TE: Inactive Enrollment §6007(c)
TH: Inactive Enrollment §6007(h)
TR: Inactive Enrollment §6007(b)(2)
TT: Inactive Enrollment §6007(b)(3)
V: Standard 1.2(c)(1) ("mini-reinstatement")
W: Accepted Resignation with-out Charges Pending
ZA: Return from Fee Arbitration Enforcement
ZB: Return from §6007(b)(l) Inactive (Insanity Defense)
ZE: Return from §6007(c) Inactive (Imminent Ha1m)
ZH: Return from Inactive Enrollment §6007(h)
ZR: Return from §6007(b)(2) Inactive (Comi Jurisdiction of Law Practice)
ZT: Return from §6007(b)(3) Inactive (Mental Illness/Substance Abuse)
C.File Types:
Blue folder: PM case (probation revocation)
Brown folder: 9.20 cases (Conviction, Disbannent, and Resignation)
Grey folders:
-6 Section: PRB, REP, ADP, and 0 TH cases
-2 Section: Motions or Multi-volume cases (i.e. to expand 2nd left section)
II. Overview of Probation Case Specialist
Responsibilities:
Each Probation Case Specialist (PCS) is expected to adhere to the Mission Statement of the State Bar and to
follow Office of Probation Policies and Procedures.
Each matter is assigned to a PCS as follows:
Crystal Bruneau (x1407) E, L , T , W
Eddie Esqueda (x1482) I, J, N, S, V
Maricruz Farfan (x1452) A, B, P
May L. Fernandez (x1035) A*, B*, M, 0 , P*, R, Y
Michael Angelo Kanterakis (x1410) A*, B*, D, F, H, P*, Q, U, X , Z
Nikiah Hawkins (x1324) C, G, K
As custodians of record, PCSs are responsible for opening, maintaining, and closing complete and accurate
case files pursuant to office policies and procedures. Each PCS is assigned, on average, a case load of 100
cases.
PCS duties include, for example, promptly notifying the Supervising Attorney (SA) of any accommodation
requests in relation to the Am erican's with Disabilities Act, non-compliance issues; submitting MPRE non-
compliance letters to SBC; monitoring the activities of probation monitors; and preparing refe1rnl files for
probation revocation proceedings: H-case proceedings (reproval violations), N-case proceedings (Rule 9.20
violations), State Bar fuvestigation (SBI) matters, and Office of Chief Trial Counsel Original Matters.
PCSs are expected to consistently and efficiently review case files to monitor compliance by Respondents
with orders and stipulations. When issues of non-compliance arise, PCSs are expected to contact the
Respondent. Written fo1ms of communication are strongly encouraged and prefe1Ted to telephone or in-
person contacts. If those contacts do occur, they must be recorded in AS/400 and they must be in the file.
PCSs should attempt conta.ct at the Respondent's official State Bar Membership Records address and any
other alternative address/telephone number known to the OP.
III. Opening Files:
Case files should generally be opened within twenty-one (21) calendar days of receiving the relevant
orders/ documents.
PCSs must address any concerns regarding the language of the orders or stipulations with the SA.
Upon receipt and review of a Stipulation for a State Bar Comi order/stipulation for Public or Private
Reproval, or a Supreme Comi order for Suspension/Probation, the assigned PCS will open the appropriate
file following the steps set fo1i h below:
A. Suspension/PI·obation & Rep1·ovals:
Before drafting the Reminder Letter, the PCS reviews the Supreme Comi Order and Stipulation/Decision
(conditions, attachments, and signature pages).
NOTE: When Reprovals are appealed, OP is not automatically notified. Before preparing a Reminder
Letter, check relevant AS/400 screens for "Review Open" status. This indicates the matter is appealed and
the Referral conditions are not yet effective.
The State Bar Comi calculates effective dates. You may use the cha1i below to double check:
Upon receipt of a grey folder from the Administrative Assistant with a Supreme Comi Order for
Suspension/Probation or a State Bar Comi Order for Reproval the assigned PCS will begin monitoring the
file following the steps set fo1ih below:
I. Drafting the Reminder Letter:
Draft the reminder letter using the co1Tesponding template:
• PROBATION LETTER.dotm for Suspension/Probation cases;
• PROBATION LETTER to COUNSEL.dotm for Suspension/Probation cases when R 1s
represented;
• REPROVAL LETTER.dotm for Reproval cases;
• REPROVAL LTR. to COUNSEL.dotm for Reproval cases when R is represented;
Address all reminder letters to Respondent at their Membership Records address on the date the file is
opened. Check the Proof of Se1vice on the Stipulation or Order to detennine if there is a comiesy address.
If there is, also send a copy of the letter to that address if e-mail notice to Respondent fails.
After verifying Respondent's address on the State Bar website, initial the "Office of Probation Address
Verified" stamp. If Respondent's Membership Records address indicates Respondent's law office and
Respondent is suspended put "DBA" (doing business as) before the law office name.
Print the AS/400 " 10. Display SBC Proceedings" page, "Inquire- _ Dispo" to find the effective date of
discipline. Include this print-out in the file.
Be sure to include copies of the Supreme Comi Order, Stipulation pages showing the conditions, and
include any relevant attachments as required:
2. Common Probation Conditions:
Although each case is unique and tailored to a specific Respondent's misconduct, there are conditions of
probation which are imposed frequently:
a) Required Meedng
Most Respondents are required to contact the OP and schedule a Required Meeting. A radio-button may
be selected from the template that automatically inse1is the required language in the Reminder Letter. If
the required meeting is not required of Respondent, change the language in the letter to offer a meeting to
discuss the tenns and conditions in general.
b)Rule9.20
Generally, if a Respondent is disba1Ted or actually suspended for 90 or more days, the Respondent is
ordered to complete specific tasks bY. a s ecified date and then file an affidavit with the State Bar Court.
The SA reviews all filed affidavits.
If Respondent is required to comply with Rule 9.20, include "2018 Attachments to 920 lti· (Rules of Ct,
ROP, Comp DEC).pdf' located in the "FORMS" folder. A radio-button may be selected from the
template that automatically inse1ts the required language in the Reminder Letter.
c) Quarterly Reports
If Respondent is required to submit written Quaiterly Reports (QR), they ai·e due, received by each
Janua1y 10, April 10, July 10, and October 10, and must be signed under penalty of pe1j ury no eai·lier
than the first day after the repo1ting period. However, if the 10th falls on a weekend or holiday, the due
date is extended to the next business day. A written Final Repo1t, containing the same infonnation, is
usually due no eai·lier than 20 days before the last day of the period of probation and no later than the last
day of probation. Each repo1t must be a cleai· and unequivocal statement of compliance.
In most cases, if the first due QR will cover less than 30 days, it is due on the next quait erly due date,
and covers the extended period.
As a comtesy when opening a file, the (PCS) creates a QR specifically tailored to the Respondent's
pa1ticulai· te1m s and conditions. Be sure to remove template language that doesn't apply and to modify
template language that doesn't match the ordered conditions requirement. See "QUARTERLY
REPORT" template.
The QR fonn does not, in any way, change or modify conditions of probation. If there is a discrepancy
between the QR f01m and the Respondent's disciplinaiy order, the Respondent is to promptly notify the
OP and comply with the specific tenns of the disciplinaiy order.
In most cases, A radio-button may be selected from the template that automatically inse1t s the required
language in the Reminder Letter.
d) Underlying Criminal Matter Probation
If Respondent is required to repo1t compliance with any Underlying Criminal Matter Probation (UCMP),
the PCS monitors Respondent's compliance. Any changes in said probation must be suppo1ted with a
ce1tified docket sheet fo1m the Comt. A radio-button may be selected from the template that
automatically inse1ts the required language in the Reminder Letter.
e) Client Fonds C1afflleate
If Respondent is required to have a Ce1tified Public Accountant (CPA) or other accounting provessional
submit a repo1t on the maintenance of Respondent's Client Trnst Account, include the "CPA REPORT"
template. A radio-button may be selected from the template that automatically inserts the required
language in the Reminder Letter.
f) Medical/ Mental Health ~nditions
Some Respondents are required to be evaluated for physical health, general mental health, or by an
American Society of Addiction Medicine (ASAM) doctor. www.asam.org. If Respondent is required to
comply with Medical Conditions, a waiver is required. The PCS must include the most recent version of
the "Medical Waiver Fo1m" located in the "FORMS" folder.
When opening a file, the PCS creates a Mental Health Repo1i specifically tailored to the R's pa1iicular
te1ms and conditions as a courtesy. See "MENTAL HEALTH REPORT" template. A radio-button may
be selected from the template that automatically inse1is the required language in the Reminder Letter.
g) Lawyer Assistance Program
The Lawyer Assistance Program (LAP) assists attorneys with substance abuse and/or mental health
problems. If Respondent is required to j oin or continue paiiicipating in the LAP, an "LAP" waiver is
required. The PCS must include the most recent version of the "LAP WAIVER" located in the
"FORMS" folder.
Respondents are usually required to request a repo1i, prepared by their LAP case-managers, be sent to the
OP in writing. A copy of the request must be sent to the OP with each QR. A radio-button may be
selected from the template that automatically inse1is the required language in the Reminder Letter.
h)Abstinence
Some Respondents ai·e required to abstain from the use or possession of any alcoholic beverages,
narcotics, dangerous or restricted diugs, controlled substances, marijuana, or any associated
paraphernalia. If Respondent is required to comply with any of these restrictions during the disciplinary
period, the PCS must include the "abstinence reporting language" in the QR f01m. A radio-button may
be selected from the template that automatically inse1is the required language in the Reminder Letter.
i) Abstinence-Based Meednp
Some Respondents ai·e required to attend AA, NA, the Other Bai· meetings. If Respondent is required to
attend, the PCS must include the most recent version of the "ATTENDANCE VERIFICATION FORM"
located in the "FORMS" folder OR the "AA ATTENDANCE FORM" template. The PCS must include
the Respondent's name and the number of meetings Respondent is required to attend per month or week.
The PCS must read the stipulation or decision carefully because conditions often vaiy when it comes to
what type of meetings ai·e required (e.g., Narcotics Anonymous, The Other Bai-), what meetings are not
acceptable (e.g. Moderation Management), how many times per month or week the Respondent is to
attend the meetings, and when the Respondent is to provide proof of compliance to the OP (e.g. monthly
or quaiierly).
If the stipulation or decision requires the OP to approve the paiticular meeting attended, before the
Respondent attends, the PCS must request as much infonnation as possible from the Respondent
including: meeting naine, time(s), physical address, and the chaiiperson's phone number. The PCS may
also seai·ch online or relevant info1mation. It may be difficult to obtain info1mation on abstinence-based
self-help meetings due to theii· anonymous nature.
A radio-button may be selected from the template that automatically inserts the requii·ed language in the
Reminder Letter.
j) Lab C1afflleation / Testing
Some Respondents ai·e required to submit urine or hail· samples for the testing of illicit substances and/or
alcohol. If the Respondent is requii·ed to become tested the PCS must include the "Lab Test Information
Sheet FINAL" located in the "FORMS" folder.
Labs and Sainple Collection Facilities must be approved by the OP to ensure they meet the following
minimum requii·ements: Respondent must be dii·ectly observed submitting the sample, the proper 10-
panel and/or EtG (ethyl-glucuronide) tests ai·e conducted, and the Lab or Sample Collection Facility
dii·ectly sends the results to the OP. Repo1ts must include specific testing values and include cut-off
values.
The OP has contracted with FiI·stSource Solutions (fonnerly FirstLab) approving them as a third-paity
administrator for lab testing. FirstSource Solutions offers daily call-in random testing as well as
scheduled monthly testing and can specifically design tests that comply with Comt ordered conditions.
A radio-button may be selected from the template that automatically inserts the requii·ed language in the
Reminder Letter.
k) Law Office Management Plan
Some Respondents ai·e requii·ed to evaluate their law practice and develop a Law Office Management
Plan (LOMP). If a LOMP is required, the PCS must include "Things to Consider When Creating Your
LOMP.pdf' located in the "FORMS" folder. A radio-button may be selected from the template that
automatically inse1ts the requii·ed language in the Reminder Letter.
Each LOMP is reviewed by the SA to dete1mine whether it satisfies the requirements of the order.
I) Law Practice Management & Technology Section
If a Respondent's inisconduct involved Law Office Management, they may be requii·ed to join the Law
Practice Management and Technology Section (LPMTS) of the State Bar. A radio-button may be
selected from the template that automatically inse1ts the requii·ed language in the Reminder Letter.
The PCS can confnm Respondent's membership with LPMTS via AS/400's Probation Monitoring
Maintenance Screen: "UNTIULPMTS _" . There is a section for "LPMTS Joined" and "Dropped". If
AS/400 does not have the requii·ed infonnation, the PCS is to confnm membership with Michael
Sanchez at Michael.Sanchez@calbai·.ca.gov.
m) Minimum Continuing Lepl Edueation
Conditions that require Respondent to submit satisfactory proof of completion of Minimum Continuing
Legal Education (MCLE) comses are separate from any general membership MCLE requirement, unless
stated othe1w ise in the order.
If Respondent is required to submit proof of completion of specified MCLE the PCS must include the
"MCLE Infonnation Sheet.doc" located in the "FORMS" folder.
Respondent's may submit potential classes to the OP for pre-approval by the Supe1vising Attorney.
A radio-button may be selected from the template that automatically inserts the required language in the
Reminder Letter.
n) Rest11ntion
The OP monitors Respondents restitution payments, calculates interest owed, and sometimes monitors
costs owed to the State Bar of California. While Respondents are responsible for locating payees, at
times the PCS may assist the payee with the actual logistics of receiving payment. For instance,
sometimes the Respondent or payee do not want the other pa1ty to know their home address.
Respondents must provide satisfactory proof of receipt of restitution by the named payee(s) to the OP.
Acceptable proof is either: the front and back of a negotiated check, or a signed declaration by the named
payee(s) setting fo1i h the amount and date received.
If Restitution is required, the PCS must include "Proof of Payment Instructions" located in the
"FORMS" folder. A radio-button may be selected from the template and the required language will
automatically be inse1ied into the Reminder Letter.
o) Ethics School / Client Trust.A.ceounting School
The State Bar of California offers a I-day Ethics School (ES) and a half-day Client Tmst Accounting
School (CTA) in the Los Angeles and San Francisco offices. Each class has a Tme / False quiz at the
end. The Respondent does not generally receive MCLE credit (unless stated othe1w ise in the order).
If Ethics School (ES) and/or Client Trnst Accounting School (CTA) is required, include the most recent
version of the "Ethics & CTA" schedule located in the "ES & CTA" folder. A radio-button may be
selected from the template for each condition that automatically inserts the required language in the
Reminder Letter.
p) Multistate Professional Responsibility Eumtuation
The Multistate Professional Responsibility Examination (MPRE) is a multiple-choice examination
administered by the National Conference of Bar Examiners. The exam is offered three times per year and
the results are generally available about a month after the test date. The cunent MPRE passing scaled
score for California is 86. MPRE registi·ation and additional infonnation is available at: www.ncbex.org.
If the Respondent is required to provide satisfacto1y proof of successful passage of the MPRE, the PCS
must include the most recent version of the "MPRE Schedule" located in the "MPRE" folder.
A radio-button may be selected from the template for each condition that automatically inse1is the
required language in the Reminder Letter.
q)Address & Phone Number
Attorneys are required to update Attorney Regulation and Consumer Resources (fo1merly Member
Services) within 30-days of any change to their contact info1mation (e.g. address, phone, etc.). Most
Respondents on probation are required to update Membership Records and OP within 10-days of any
change to their contact infonnation. The appropriate language is included in the Reminder Letter
automatically and every QR contains infonnation regarding changes in contact info1mation. The PCS
must carefully read the order and con ect any standard language to match the specific order.
If Respondent is required to provide an address and/or phone number for e.g. lab testing, the PCS must
ensure the comiesy reminder letter includes such language. A radio-button may be selected from the
template and the required language will automatically be inse1ied.
r) Client Security Fund
In some cases the Client Security Fund (CSF) reimburses payees up to the principal amount owed by
Respondents after a Comi Order regarding restitution. In some cases the CSF may pay additional funds.
Respondents remain directly liable to payees regarding any accmed interest inespective of any principal
amount paid by CSF.
If CSF has paid when Restitution is required, the PCS must include "Proof of Payment Instmctions"
located in the "FORMS" folder. A radio-button may be selected from the template and the required
language will automatically be inse1ied into the Reminder Letter.
The PCS must review the "Display CSF Case" on AS/400 to see if the fund paid out on behalf of a
Respondent to a paiiicular payee. Respondents must fully reimburse the fund in order to complete the
restitution condition. The PCS must contact Betty Yung at Betty.Yung@calbar.ca.gov to request
confomation of payments received from Respondents.
s) Probation Monitors
A Probation Monitor (PM) may be required by the Comi. A PM is a volunteer, usually an attorney, who
meets with the Respondent during the reporting period and submits a sepai·ate repo1i to the OP.
If a PM is required, the PCS must select a Probation Monitor from the list maintained in the "Probation
Monitors" folder on the shared drive and request their paiiicipation. A radio-button may be selected
from the template and the required language will automatically be inse1ied into the Reminder Letter. The
PCS must send the PM a copy of the Reminder Letter.
t) Standard 1.2(c)O)
If a Respondent is suspended for two years or more, they are generally required to petition the Comi
before resuming the practice oflaw, pursuant to Standard 1.2(c)(l ). If Standard 1.2(c)(l ) is required, the
PCS must include the "2016 STD12(c)(l ) ROP 5400 - 5411.pdf' located in the "FORMS" folder.
When the Respondent make the motion to prove their rehabilitation, the PCS may be requested to
provide ce1i ified documents and/or called to testify regarding Respondent's compliance with probation
conditions.
This condition was previously Standard 1.4(c)(ii).
u)Rule205
There are matters in which a defaulting Respondent is suspended until a motion is made to end the
suspension under rnle 205 of the Rules of procedure of the State Bar Comi . A disciplinaiy
recommendation extending actual suspension until compliance with rnle 205 must state a definite period
of actual suspension, and, if appropriate, stayed suspension, and a statement that the Respondent's actual
suspension shall continue unless the Comi grants a motion to tenninate the actual suspension at the
conclusion of the specified period of actual suspension.
If rnle 205 is required, the PCS must include "RULE 205.pdf' located in the "FORMS" folder.
v)6007(h)
These proceedings are brought to seek interim remedies, without seeking the Respondent's involuntary
inactive emollment, and ai·e usually expedited. (See Rules 5.255-5.265, Rules of Procedure of the State Bar
of California.)
w) Interim Conditions in Criminal Conviction Matters
The Review Depaii ment of the State Bai· Court may file an Order stating conditions which shall remain in
effect during the time period between Respondent's matter being filed in State Bai· Comi and until that
matter is resolved.
x) "And Until" & "During Actual Suspension"
The Comi may order that a Respondent remain actually suspended "And Until" a ce1iain condition happens.
The most common "And Until" conditions ai·e: Restitution, rnle 205, and Standard 1.2(c)(l). The Comi
also may order that a Respondent provide proof of passage of the MPRE "during the period of actual
suspension" making the due date for compliance dependent upon the completion of another condition.
3. Uplcuuling Reminder Letter to Member Profile:
If a Respondent has an issue with any infonnation contained in their profile or smnmaiy of facts on the
State Bai·'s website, refer them to webcontent@calbar.ca.gov.
After the Reminder Letter is prepared (including any requisite attachments) and signed, scan the document
into an Adobe PDF (Po1table Document Fo1m at) and save to the local drive using the following file
convention:
Next o en Windows Ex lorer at the followin address:
nter the Respondent's bar number and
click "Go" with the left mouse button. The next page will list the Respondent's name and bar number and
whether any letters have been previously uploaded. Left-click "Add a New Letter".
The next page lists the Respondent's number, case number, Probation Case Specialist, letter file, display
title, strut display and stop display date.
• Enter the State Bru· case number in the following fonnat: 16-N-15256.
• To upload the PDF copy of the Reminder Letter, left-click the "browse ... " button.
• From there navigate to where you saved the PDF file and select it.
• Click in the box next to "Stait Display" and choose the date and time you want the letter to appear
on the Respondent's profile.
• Left-click "now" to choose to make the letter available now and then left-click "done" to return to
the previous window.
• Click "Save" to upload the letter.
• Print screen and staple to courtesy letter and place in file.
Upon returning to the previous window that lists the Respondent's nrune click "Open Email" to send an e-
mail reminder to Respondent's e-mail address(es) on file with the State Bar. In C-cases, ADP cases or
where a Notice of Counsel fonn is ah-eady received by the OP, upload the letter to the Respondent's profile,
but send the e-mail to Respondent's Counsel instead. Print the e-mail and any delivery confinnation
received and attach it to th e file. If the e-mail fails to send, mail the letter to the Respondent at their
membership records address (or their counsel) using the EMAIL COVER LETTER.dotm template. Mak e
any necessru·y AS/400 Activity Log Entries. If the Respondent is unable to retrieve the letter or the RC
makes a special request, the PCS may e-mail the comtesy reminder letter to the RC.
If a Respondent does not have an e-mail address listed, check Attorney Regulation and Consumer Resources
(fonnerly Member Services) for a possible Exemption Request (Pursuant to Rule of Comt 9.9 on file.
Usuall the exem tion is based on a lack of internet access however,
PCSs can check the status of an exemption on the "Additional fufo"
screen of th e 20. DISPLAY MEMBER MASTER INDEX screen of AS/400. Choose "Add' l" at th e bottom
an d the Rule 9.9 exemption filed is at the bottom of th e next screen "RULE 9.9 EXEMPT:". It will be
marked "Y" for exempt and ''N" for not exempt.
If the PCS catches a mistake in the letter and uploads a revised letter, save the revised PDF to included
" Revl " in the filename.
4. Creating the Electronic File in AS/400:
Accurately input data into AS/400, including the end date of the monitoring period. For deadlines which
aren't in other fields, PCSs may input compliance dates into the AS/400 tickler system. PLEASE NOTE:
Use the "Date Calculator" template to calculate deadlines or a website such as www.dateandtime.com;
• Select "Maintain Probation Monitoring" on the Probation Supervisor menu;
• Always select: "Probation", "Compliance", "Tickler", "Activity Log";
• If applicable, select: " Ethics/CTA/MCLE", "SA/MH", " Until Cond", "Staff", " Hist",
"Monitoring";
• Press "Enter"; (see Exhibit X)
Probation Maintenance:
• Member # : enter Respondent's State Bar Member number. This will automatically fill in
Respondent's name, contact infonnation, and membership status;
• Counsel # : if Respondent provides the OP with a completed Notice of Counsel Representation
fo1m, enter the counsel's State Bar Member number;
• SBC Case #: enter State Bar Comi case number;
• CSC # : if there is a Supreme Comi Order, the case number will appear automatically if the case
administrators input it in the State Bar Comi screens. If the CSC # does not appear and the case is
NOT an initial "C" case (brown folder), then first tiy placing the cursor on the line to the right of the
CSC# line and press enter. This works if the Supreme Comi Order number is entered after the
Probation Case is opened in AS/400. If that doesn't work, then send a screen-shot to
Tammy.Cleaver@calbar.ca.gov in State Bar Comi and request her to add the case number. After the
con ection is made, go back to this page and press "Enter" twice which should "pull" the CSC# to
OP's screen. However, if it is an initial "C" case (grey folder) (Discipline Matter, not 9.20 or a
reproval), put a "Y" on the line next to the case number and press "Enter" and then type in the case
number and press "Enter".
• Staff: enter your AS/400 staff code. This will automatically fill in your name;
• Case Type: enter appropriate case type abbreviation: PRB, REP, 0TH (costs, 6007H, TE), 920
(including all Disbannents and Resignation orders), or ADP;
• Assign Date: enter the date the Administi-ative Assistant assigned the case to you. Check
• SB/SC Order Filed: enter the date the appropriate comi stamped the order "Filed" or
"Lodged";
• Effec tive: enter the date the order becomes effective. Always verify the date on AS/400
" Display SBC Proceedings" screen or " Supplemental Codes Inquiry" screens or
on the State Bar website. If the date is incoITect, contact Tammy Cleaver in State Bar Comi
atTammy.Cleaver@calbar.ca.gov. Orders are generally effective as follows:
• Ends: enter the scheduled tennination date as specified in the order. For example, "Respondent
must comply with the conditions attached to the reproval for a period of one year." In this instance,
the end date would be one year from the Effective date. In a 9 .20 matter, the end date is the deadline
for filing the 9.20 affidavit. ADP contracts generally end in 36 months;
• Actual Begins: enter the date Respondent's actual suspension begins (if applicable). If actual
suspension is imposed, the amount of time and effective date will be specified in the Supreme Court
Order;
• Actual Ends : enter the date the Respondent's actual suspension ends (if applicable). If the
order states, e.g., six months and until restitution, input the six months not the end of the
probationary period;
• And Until : ifthere are "And Until" condition(s) ordered, enter "Y". If there are none leave the
field blank. Also enter the info1mation requested on the "Until Cond. " screen;
• Nts : enter an infonnative statement that must include, e.g. time stayed, PRB period, and actual and
might include conditions and anomalies. This is impo1iant for people who may not have ready
access to the probation file. Include your initials at the end.
Compliance:
• Quarterly Reports ... Next Due: enter the date the Respondent's first QR is due to be
submitted by. This will be either Janua1y 10 (for the period covering the effective date to December
31 ), April 10 (for the period covering the effective date to March 31), July 10 (for the period
covering the effective date to June 30), or October 10 (for the period covering the effective date to
September 30). If the Respondent's probation begins less than 30 days before the end of the cmTent
quarterly repo1iing period, the Respondent's first QR is generally due the following quaiier;
• Quarterly Reports ... Last Filed: when opening a file leave blank. This field is to be
updated each time the Respondent files a QR. Enter the date the most recent QR was filed. Then
update the "Next Due" filed;
• MPRE . . . Comply By: if the Respondent is required to take and pass the MPRE, enter the date
the order specifies the condition is to be completed. For example, "Respondent must provide proof
of passage of the MPRE . . . within one year of the effective date of the discipline." If the
Respondent is ordered to take and pass the MPRE within the period of actual suspension, enter the
date the actual suspension ends. Put a "Y", for yes, in the "During Actual" field if there is an
"and until" MPRE condition, add a year each time the deadline comes up so that the condition can
be modified; Complied: if/when Respondent submits proof of completion of the MPRE, enter
the date that proof was received; If compliance was confinned via AS/400, print page and attach to
omce ofProbation May 2 018
the third left-side flap of the physical file; If compliance was confnmed by e-mail to
bxgrading@calbar.ca.gov, print e-mail and attach to the third left-side flap of the physical file;
Enter all relevant infonnation in the AS/400 Activity Log;
• RULE 9. 20 ... Comply By : if Respondent is required to submit a Rule 9.20 affidavit to the
State Bar Court, enter the date the order specifies the affidavit is to be filed;
• RESTITUTION ... Comply By: if Respondent is required to make restitution, enter the date all
restitution is to be completed. However, in disbaiment cases, if no deadline is ordered for
restitution, do not enter any date in this field. Do include in the ''Nts" section of the Probation
Maintenance screen a note that the order included restitution with no due date.
Tickler:
• EVENT DATE : enter due dates for conditions not addressed by an existing category. E.g. Initial
Meeting, Law Office Management Plan, Law Practice Management Section, and Medical/ LAP
Waivers.
TICKLER CODES
AA AA/chu g attendance proof submitted MEDT Medical treatment obtained
ARP Sent to Archives-Probation file MEOW Medical waiver submitted
AUDC Closed file audited/memo to file MISC Miscellaneous
AUDO Open file audited/memo to file NCTA Respondent repo1is no client funds recd
CPA Accountant's repo1i submitted OTHC Other Condition completed
CTARK CTA Record Keeping Course completed PLTR Probation letter to Respondent
ES Ethics School completed PMA Probation Monitor assi!med
INTL Initial meeting held PRE Prof. Responsibility Exam completed
LAB Laboratory selected by Resp for testing PRER PRE non-compliance repo1ied to SBC
LABR Laboratory report of test results recd QR Quarterly Repo1i submitted
LAP LAP repo1i submitted RDT Random chu g test requested
LAPR Compliance with LAP repo1ied REF Refen ed for disciplina1y action
LAPW LAP waiver submitted REST Restitution/sanction pymt proof recd
LOMP Law Ofce management/ org. plan approved ROC Record of contact
LPMS R emolled Law Prac Mgt Sec UCM Compliance w/crim prob repo1ied
MCLE Proof of MCLE submitted 920 9 .20 declai·ation filed
MEDR Medical repo1i submitted
OLDER CASES USE THESE TICKLER CODES
I RESTP IRest/sanction pymt proofrecd-Pa1iial I 955 I 955 declai·ation filed
DON'T USE THESE TICKLER CODES
ABST Drng/alc abstinence reported FID Filekeeper Invento1y done
AI.A Addtl info sent to Archives FRC File returned to Central
AIC Additional info received in Central FRD File requested and delivered to:
AIF Additional info placed in file RFK Reqd Filekeepers Retrieval for:
AIS Additional info sent to Central Filing RTA Returned to Archives/Filekeepers
FCA File received in Central Archiving
Activity Log:
• AS/400 should automatically input Sta f f Changed --- N90 (use your staff code).
• Use code "PLTR" (Probation Letter Sent to Respondent) upon sending the Reminder letter.
Ethics / CTA/MCLE:
• ETHICS ... Comply By: if Respondent is required to attend State Bar Ethics School, enter the
date the proof of completion is to be submitted; Complied: i£'when Respondent submits proof of
completion of Ethics School, enter the date that Respondent actually attended; Enter the date proof
was received by the Office of Probation in the AS/400 Activity Log;
• CTA ... Comply By: if Respondent is required to attend the State Bar Client Tmst Accounting
School, enter the date the proof of completion is to be submitted; Complied: i£'when Respondent
submits proof of completion of Client Tmst Accounting School, enter the date that Respondent
actually attended; Enter the date proof was received by the Office of Probation in the AS/400
Activity Log;
• MCLE ... Hours Required, Comply By: if Respondent is required to complete MCLE
hours, enter the number of hours required and date the proof of completion is to be submitted. Note:
if the stipulation or order specifies that the MCLE hours be completed in different areas, by different
means, or by different deadlines (e.g. 6 hours self-study within 6 months and 4 hours live instruction
within 12 months), use the second MCLE portion on this screen.
SA/MH:
• AA/NA/OB Reports Next Due: if Respondent is required to attend Alcoholics
Anonymous, Narcotics Anonymous, or Other Bar meetings, enter the date the first attendance log
(proof of attendance) is due;
• AA/NA/OB Reports ... Last Filed: When opening a file leave blank. This field is to be
updated each time the Respondent files a QR. Enter the date the most recent QR was filed. Then
update the "Next Due" filed;
• LAB Reports ... Next Due: if Respondent is required to submit to dmg and/or alcohol
testing, enter the date the first results are due. If R is required to do random testing, put the number
of tests R is to do for the year, example:
LAB Reports ........... : Next Due .. : 06/10/2010 Referred:
Random Number of Tests: 5 Last Filed:
LAB Reports Random Testing
7 / 12 / 2015
8 / 25 / 2015
9 / 28 / 2015
10 / 20 / 2015
11 / 16 / 2015
• LAP Reports ... Next Due: if Respondent is required to paiiicipate in the Lawyer Assistance
Program and provide proof of his compliance thereof, enter the date the first paiiicipation repo1i is
due;
• LAP Reports ... Last Filed: When opening a file leave blank. This field is to be updated
each time the Respondent files a QR. Enter the date the most recent QR was filed. Then update the
"Next Due" filed;
• MH Reports ... Next Due: if Respondent is required to attend mental health therapy, enter the
date the first repo1i from the mental health cai·e provider is due;
• MH Reports ... Last Filed: When opening a file leave blank. This field is to be updated
each time the Respondent files a QR. Enter the date the most recent QR was filed. Then update the
"Next Due" filed.
Until / LPMTS:
• RESTITUTION: if Respondent is suspended until restitution is paid, enter X;
• STD 1 . 4 : if Respondent is suspended until the State Bai· Comi grants tennination of suspension
pmsuant to standard 1.4(c)(ii), enter X;
• 2 0 5 : if Respondent is suspended until the State Bai· Comi grants tennination of suspension pmsuant
to mle 205, enter X.
• LPMTS joined: Date Respondent joined.
• Dropped: Date Respondent stopped.
Probatio ner/ Mo nito r Maint enanc e:
• This screen is only to be completed when a Probation Monitor has been assigned to the Respondent;
• MONITOR # : enter the 3-digit number from the list of Probation Monitors. This will automatically
fill in the Monitor 's name and contact infonnation. (See Role of the Probation Monitor, section III.)
Look at "Display Referee / Mo nito r " , to find the 3-digit number.
After completing this process, AS/400 will produce the Probation Access #. Write this number on the
outside front-cover of the file-folder in the top right-hand comer.
5. Physical File Layout:
Organize a physical file (grey file folder) as follows:
Front Cover
• PCS may choose to place a blue label on the outside cover if there are substance abuse or mental
health issues; PCS may choose to place a hot pink label on the outside cover if there are "and until"
provisions. Complete the labels as appropriate;
'"'UNTIL" CONDITIONS
----------
REST MPRE STD14 205 0TH
• "Private" Private Reprovals - Write "-NO DISCLOSURE-" on outside cover of file.
• PCS may choose to affix a stamp, or put a label on the front cover stating that a Respondent is
represented by counsel.
First left-side flap (front inside cover) is to have a complete, unmarked copy of all orders, decisions or
stipulations; if Respondent is represented by counsel, put a label at the bottom center with at least the
Respondent's Counsel's name, State Bar number, phone number, and the date the infonnation was obtained
and/or verified.
First right-side flap is to have compliance "pink sheets" along with the highlighted section(s) of the
disciplina1y orders that outline the tenns and conditions monitored. The Conditions pink sheet is to list all
conditions being monitored and alternate addresses and telephone numbers for Respondent (including any
addresses and telephone numbers listed on pleadings, Rule 9.20 affidavits, mailing envelopes, etc.) with the
date the infonnation was obtained and/or verified.
• If the Respondent is subject to quaiterly repo1t ing requirements, the Qua1terly Compliance Log pink
sheet is to reflect the dates of all repoits due and submitted during the monitoring period. If the
Respondent is subject to monthly requirements (e.g. 4 AA meetings a week to be repoited monthly),
a sepai·ate pink log is to be maintained.
• If the Respondent is subject to restitution requirements, restitution spreadsheets must be prepared,
printed on pink paper, and included in this section. If Respondent is to make a required ainount of
restitution per month and the Respondent can choose who receives the payments, a monthly check
log should be kept. Also see Section X regai·ding Monitoring Restitution.
W Templates used in this section: "QR PINK SHEET 2ND PAGE", "COMPLIANCE REPORT AA",
"LAB REPORT FORM", and "COMPLIANCE LAB REPORT" are templates used to create the other pink
sheets. "PINK SHEET - CONDITIONS PAGE" is pait of the initial/reminder letter, but is also a sepai·ate
template. Use "RESTITUTION CHECK LOG" if restitution was ordered. "DATE CALCULATOR" is
used to dete1mine compliance dates.
Second left-side flap is to have in reverse chronological order (newest on top) all documentation to and
from OP (e.g. Quaiterly Repoits, written and oral con-espondence with Respondent, OCTC, and Client
Security Fund (CSF); notes from initial meeting with Respondent; Ethics School (ES) and/or Client Tmst
Accounting School (CTA) compliance documents, e-mails from any source, etc.), excluding
con-espondence to and from an assigned probation monitor (see below); and AS/400 Activity Log print-
outs.
Second right-side flap is to have in reverse chronological order (newest on top) all copies of any motions
filed by Respondent (motions for modification, extension of time, etc.), responses to such motions, and any
subpoenas received by the Office of Probation.
If there is a Probation Monitor assigned, then copies of any motions should be fastened on a manila inse1t
backing and this section should have, in reverse chronological order (newest on top), all con-espondence
between the OP and any assigned probation monitor (including probation monitor Qua1terly Repo1ts);
ALSO NOTE: if it is an ADP file, this section is to include all reports provided to the SBC. (See section,
"Handling ADP Cases" on page __.).
W Templates used in this section: "PROBATION LETTER", "REPROVAL LETTER", "ADP LETTER"
Third left-side flap is to have 9.20 and/or MPRE compliance documents and may include non-compliance
refe1rnl documentation;
W Templates used in this section: "9.20 VERIFICATION FORM", "MPRE VERIFICATION FORM".
Third right-side flap (back inside cover) is to have the initial AS/400 printout(s) (at least the master
screen) and originals of any audit fo1ms (keep Audit Fonns on top of all other documents in this section).
After a refen-al is complete, all refen-al documentation may be placed in this section under the audit fonns.
B. Rule 9.20 (Conviction/Disba1·ment/Resignation):
Before drafting the reminder letter, the PCS must review the State Bar Comi Order (conditions,
attachments, and signatme pages).
NOTE: Do not transmit letters to Respondent's who have ah-eady filed Rule 9.20 Affidavits that were
approved by the Supervising Attorney. This only serves to confuse/upset Respondents. Also, ifthere are no
conditions, do not transmit a letter.
NOTE: Only in Conviction matters should reminder letters be automatically mailed, or uploaded to
Respondent's profile and e-mailed to Respondent's counsel. PCSs must first check AS/400 (type the case
number in "SBC Proceedings", then check "Member") to find out if the Respondent is being represented by
counsel.
Respondents are required to file their Rule 9 .20 affidavit with the Clerk of the SBC. After filing, the Clerk
of the Comi sends a confo1m ed copy of the affidavit to the OP for the Supervising Attorney to review and
either approve or reject it.
If the Respondent uses the court approved 9.20 form, he/she is expected to complete the fonn by addressing
each paragraph with only one check mark per item. Respondent must provide an address for all futme
communications in the declaration. Respondent should not modify/delete language from the f01m ; if neither
answer is applicable, Respondent must provide a supplemental declaration explaining why.
Upon receipt of a brown folder from the Administrative Assistant with a Review Department order for
criminal conviction matters or a Supreme Comi Order for disban nent or resignation matters the assigned
PCS will begin monitoring the file following the steps set fo1ih below:
Draft the reminder letter using the coITesponding template:
• CONVICTION.R.dotm for Conviction cases;
• DISBARMENT.R.dotm for Resignation & Disbannent cases;
• RESIGNATION.R.dotm for Accepted Resignation cases w/Costs;
• REJECTED RESIGNATION LTR.R.dotm for Rej ected Resignation cases.
Enclose any Supreme Court Order and/or relevant po1iions of State Bar Comi Stipulations and/or Orders, a
Rule 9.20 declaration fo1m , a copy of Rules of Comi, rnle 9.20, and a copy of Rules of Procedure, Rules
5.330-5.332 - Rules of Procedure. Refer to the "201 6 Attachments to 920 ltr (Rules of Ct, ROP, Comp
DEC).pdf ' file in the "Fonns" folder.
Unless Respondent has previously submitted a Notice of Counsel Representation fo1m, all reminder letters
should be mailed to Respondent except for Conviction matters. Check AS/400 's "9. Display Trials
Proceedings" and check the "Resp. _ " page for possible Respondent's Counsel.
A sample Rule 9.20 affidavit is attached as Exhibit X. You can also click on the following link Rule 9.20
affidavit to find the State Bar website's Rule 9.20 declaration in PDF fo1mat. Rules of Com1, rnle 9.20 and
Rules of Procedure, Rules 5.330-5.332 are also on the
2. Uplcuuling Reminder Letter to Respondent's Profile:
Do not upload Disbaiment or Resignation case letters. Send all Disbaiment and Resignation case Reminder
Letters by mail.
After the Reminder Letter is prepared (including any requisite attachments) and signed, scan the document
into an Adobe PDF (Po11able Document Fo1mat) and save to the local drive using the following file
convention:
Next o en Windows Ex lorer at the followin address:
nter the member's bai· number and
click "Go" with the left mouse button. The next page will list the member's name and bai· number and
whether any letters have been previously uploaded. Left-click "Add a New Letter".
The next page lists the member's number, case number, Probation Case Specialist, letter file, display title,
stait display and stop display date.
• Enter the State Bai· case number in the following fonnat: 16-N-1 5256.
• To upload the PDF copy of the Reminder Letter, left-click the "browse ... " button.
• From there navigate to where you saved the PDF file and select it.
• Click in the box next to "Staii Display" and choose the date and time you want the letter to appear
on the member's profile.
omce of Probation M ay2018
• Left-click "now" to choose to make the letter available now and then left-click "done" to return to
the previous window.
• Click "Save" to upload the letter.
• Print saved screen and staple to front of Reminder Letter
Upon returning to the previous window th at lists the Respondent 's name click "Open Email" to send an e-
mail reminder to Respondent's e-mail address(es) on file with the State Bar. If Respondent is represented
by counsel, address th e e-mail to their counsel and CC Respondent. Be sure to add your " Signature Block"
to the e-mail before sending. Print the e-mail and any delivery confinnation received and attach it to the
file. If the e-mail fails to send, mail the letter to the Respondent, or their counsel, at their membership
records address using the "EMAIL COVER LETTER" Template and attach the failed e-mail and delive1y
failure notice to the letter . Make any necessaiy AS/400 Activity Log Entries.
If the PCS catches a mistake in the letter and uploads a revised letter, save the revised PDF to included
" Revl " in the filename.
3. Creating the Electronic File in .AS/400:
SEE PAGE 14, SECTION III, A., 4.
In Rejected Resignation matters, where the Respondent is not required to file a Rule 9 .20 Affidavit, the
opening letter is the closing letter.
• In AS/400, input the Filed, Effective, and Ends fields (th e 920 "Due Date" is the "End Date").
• In AS/400, the Filed, Effective, and Ends fields should all be the same "filed" date.
• Tickle the N compliance due date at the time of opening the file (remember the Q deadline is
calculated from the date the order is effective);
• If the order includes a Restitution condition without a due date, do not include a date in AS/400
"Comply By" field. Do however make a notation in AS/400 on the "Probation" screen in the ''Nts"
section indicating that no deadline was ordered. When closing a file with this type of Restitution
condition, indicate that no deadline was ordered and whether or not restitution was completed.
Organize a physical file (brown file folder) as follows:
Place all orders on the left-side flap. On the right-side flap, place the Pink Sheet, all conespondence, and all
other documents in reverse chronological order (newest on top; below the Pink Sheet).
C.Alternative Discipline Pi·ogi·a1n:
CONFIDENTIALITY:
• Pursuant to mies 5.388, et seq., Rules of Procedure, all infonnation concerning the nature and extent
of the Respondent's treatment is absolutely confidential and shall not be disclosed to the public
absent an express written waiver by the Respondent. A Respondent 's: (1) paii icipation in the State
Bar Comi's Alternative Discipline Prograin (ADP); and (2) successful completion of, or termination
from, ADP shall be public.
• If a PCS is requested to provide any info1mation about a Respondent involved in ADP, the PCS
should first review the request with the Supervising Attorney.
• When a Respondent involved in ADP has been assigned a Probation Monitor, the Probation Monitor
will be expected to maintain confidentiality as provided by the Rules of Procedure.
UNDERSTANDING THE ALTERNATIVE DISCIPLINE PROGRAM:
• Cases may be refened to ADP Comi for consideration and evaluation. In order for a Respondent to
be accepted into ADP, generally the Respondent must meet certain prerequisites, such as: (1) agree
to participate in the LAP for five yeai·s; (2) stipulate to facts and conclusions of law regai·ding
professional misconduct; (3) prove a nexus between the professional misconduct and the relevant
substance abuse and/or mental health condition; and (4) submit a discipline brief regarding the
"high" and "low" level of discipline.
• Prior to entering into ADP, the Comi will write a Decision Regai·ding Alternative Discipline. This
decision is not filed but "Lodged" with the Comi. This decision contains alternative levels of
discipline - a "high" level (e.g., if the Respondent fails ADP) and a "low" level (e.g., if the
Respondent successfully completes ADP). The decision also includes a contract that becomes
binding once the Respondent signs the contract. Only after the Respondent signs the contract is the
Respondent considered "in" ADP.
• Not all ADP cases require monitoring by the OP. The OP is to open an ADP file if the Comi
provides OP with any documentation, which might include an order requiring the OP to monitor
compliance with paii(s) of the Contract and Waiver for Participation in the State Bai· Court's
Alternative Discipline Program ("Contract").
• Contact Matt Adams xl 148 or Matt.Adams@calbai·.ca.gov to obtain the Case Manager 's naine for a
particulai· Respondent.
• If there are no conditions to monitor, an ADP repo1i should be filed and note that there ai·e no
conditions. Tickle the file for possible closure in about two weeks. If no Order is received from the
Comi, the file should be closed. Use ADP PROBATION REPORT.dotm macro in Microsoft Word.
• The Comi may send the OP its Decision, which may contain the "high" and "low" levels of
discipline - one of which will be imposed against the Respondent upon completion or te1mination
from ADP. Because discipline is not imposed until the completion of, or tennination from, ADP,
that discipline and any conditions are not effective while the OP is monitoring compliance with the
ADP contrnct conditions.
• Generally, open the file within fourteen (14) days of receiving the documents using the ADP
Probation Repo1i .dotm template.
• No closing letter is required in ADP matters.
I. Drafting Reminder Letter:
Only if there are conditions for the OP to monitor, mail the Reminder Letter and suppo1i ing documents to
Respondent (or to the Respondent's counsel if one is listed on the Comi's order) and send a comi esy copy
to any known alternative address for Respondent.
W Templates used in this section: "ADP LETTER".
Organize a physical file (gray file folder) as follows:
• Highlight at least the Respondent's name and bar number on the main label of ADP files in green;
JONES, JOHN 123456
06-0-12345 LA
ALTERNATIVE DISCIPLINE PROGRAM
First left-side flap (front inside cover) is to have a complete, unmarked copy of the contract and any order
and suppo1i ing documents in the first left side flap of the file. If Respondent is represented by counsel, put
a label at the bottom center with at least the Respondent's Counsel 's name, State Bar number, phone
number, and the date the info1mation was obtained and/or verified;
First right-side flap is to have compliance "pink sheets" along with the highlighted section(s) of the
disciplina1y orders that outline the tenns and conditions monitored. The Conditions pink sheet is to list all
conditions being monitored and alternate addresses and telephone numbers for Respondent (including any
addresses and telephone numbers listed on pleadings, Rule 9.20 affidavits, mailing envelopes, etc.) with the
date the infonnation was obtained and/or verified.
• If the Respondent is subject to quaiierly repo1i ing requirements, the Qua1ierly Compliance Log pink
sheet is to reflect the dates of all repo1is due and submitted during the monitoring period. If the
Respondent is subject to monthly requirements (e.g. 4 AA meetings a week to be repoited monthly),
a separate pink log is to be maintained.
• If the Respondent is subject to restitution requirements, restitution spreadsheets must be prepared,
printed on pink paper, and included in this section. If Respondent is to make a required amount of
restitution per month and the Respondent can choose who receives the payments, a monthly check
log should be kept. Also see Section X regarding Monitoring Restitution.
W Templates used in this section: "OR PINK SHEET 2ND PAGE", "COMPLIANCE REPORT AA",
"LAB REPORT FORM", and "COMPLIANCE LAB REPORT" are templates used to create the other pink
sheets. "PINK SHEET - CONDITIONS PAGE" is pa1t of the initial/reminder letter, but is also a separate
template. Use "RESTITUTION CHECK LOG" if restitution was ordered. "DATE CALCULATOR" is
used to dete1mine compliance dates.
Second left-side flap is to have in reverse chronological order (newest on top) all documentation to and
from OP (e.g. Quaiterly Repo1ts, written and oral conespondence with Respondent, OCTC, and Client
Security Fund (CSF); notes from initial meeting with Respondent; Ethics School (ES) and/or Client Tmst
Accounting School (CTA) compliance documents, etc.), excluding conespondence to and from an assigned
probation monitor (see below); and AS/400 Activity Log print-outs.
E-mail goes with conespondence (unless shoit, e.g. e-mail to SBC clerk asking if motion was filed). If a
motion comes in an envelope with other documents (e.g. QR), put the motion in the motions section and put
the other documents in the conect section. Make an AS/400 Activity Log Entiy to describe what you did.
If a QR is attached as an exhibit to a motion, do not take it off, but do an AS/400 entiy saying where the QR
can be found; you may also want to note the Pink Sheet.
Second right-side flap is to have in reverse chronological order (newest on top) all repo1ts provided to the
SBC. (See section, "Handling ADP Cases" on page __.);
Third left-side flap is to have 9.20 and/or MPRE compliance documents;
Third right-side flap (back inside cover) is to have the initial AS/400 printout(s) (at least the master
screen) and originals of any audit fonns.
W Templates used in this section: "ADP LETTER".
• Verify the address and telephone number of the Respondent and place any alternate address or
telephone infonnation known to the OP on the pink sheet.
• Verify with the CSF any payments by CSF related to restitution conditions in the ADP contract.
Note any payments in the file. Include the infonnation in the initial letter, as needed. If CSF has
paid claims on the Respondent not related to the ordered payees, let the Respondent know that the
Respondent should note the payee on his check to CSF or risk that the payment will be applied to the
oldest claim.
• Address any confosion or problems regai·ding the language of the ADP orders with the OP's
Supervising Attorney.
See Creating Electronic File in AS/400 staiiing on page 14 and note the following:
• Ends: enter the date the Probation Monitoring period ends as specified in the order. ADP contracts
generally end in 36 months;
• Nts : enter an info1mative statement that might include conditions and anomalies. This section is
impo1iant for people who may not have ready access to the Office of Probation's file.
Activity Log:
For cases with no conditions for the OP to monitor, an entiy should be entered into the Activity Log po1iion
of AS/400 similar to the following: "Open file; no conditions for OP to monitor. Prepare OP ADP Rpt.
Notifying Comi of saine."
D. 6007(h) / Other:
SEE PAGE X , SECTION IV. Probation Case Specialist Duties, A. Opening and Maintaining Files, 1., (b).
If there is a suspension order, modify either the "Probation Letter" or "Reproval Letter" template. If there is
no suspension order, modify the "ALD letter" template. <-Still Valid???????? (see 3 below also)
See Creating Electronic File in AS/400 staiiing on page 14 and note the fo llowing:
• Ends: There may not be an ending date in interim criminal matters. As such, do not list an ending
date on the initial screen;
• Nts : enter an infonnative
Either modify Probation Template or ALD Template, b/c this is NOT discipline.
If there is suspension, then use "Probation Template".
If there is no suspension, then use "ALD Template".
For 6233 Orders: (when not served on OP)
If there is an open ADP file, monitor it with the open file.
If there is a closed ADP file, inter-file the order in the closed file.
If there is no case in Probation, disregard the order.
Label: Place 2 red asterisks before and after Respondent's name.
Store file in the 9.20, ADP, 6007's file cabinets.
IV. The Required Meeting;
A. Contact & Scheduling:
Where Respondent's are required to contact their assigned PCS and schedule a required meeting respond
by e-mail according to one of the fon nats suggested below:
• Dear Respondent,
This is in response to your voice message / e-mail of (DATE), in which you asked to schedule your
required meeting. The required meeting will be a telephonic conference and will last approximately
20-30 minutes. Prior to the meeting, you will need to have reviewed the letter and attachments
uploaded to your attorney profile on (DATE), an d you !!!!!.U have these with you during the required
meeting. You will also need to call me at (213) 765 - xxxx at the scheduled meeting date and time.
• Then close with either:
My next available appointments are as follows: (dates and times). Please advise what date and time
works for you.
OR
I am available from 10:00 a.m . to 12:00 p.m . Please e-mail me the date(s) and time(s) you are
available to schedule your required meeting .
B. Holding the Meeting:
Follow the f01m at of th e Required Probation Meeting Record document and be sure to include any
important info1mation in the Comments section. PCS ' s must state the following at th e end of each
meeting and record the results: "I understand that this may be a lot of information, but as someone who
has passed the bar, you have the right set of skills to successfully complete all of your conditions."
At the end of the meeting, scan the completed document into a PDF and e-mail to Respondent. Print a
copy of the e-mail sent and any delive1y or read confomation notice received and add to th e file.
If Respondent fails to call in for the meeting, make a note in AS/400 and notify Respondent of the failure
to comply.
V. Maintenance of Files:
A. Rep1·ovals; Suspension/P1·obation:
• On the first left-side flap, maintain one complete copy of all orders, including modification orders;
• Mail all co1Tespondence sent to a Respondent via the United States Postal Service (USPS), first class
mail, postage prepaid, in a sealed envelope addressed to Respondent at his or her address on file
with the Attorney Regulation and Consumer Resources (fo1merly Member Services) of the State Bar
of California (and alternative addresses, if needed). If using the 9x12 white and green, first-class
envelopes, seal them before placing in the outgoing mail basket. If Respondent's membership
address says "Law Offices of Respondent", and Respondent is suspended, put "dba" (doing business
as) before "Law Offices of Respondent";
• Mail all co1Tespondence on the date noted thereon. See templates for FORM LETTER and
LETTERHEAD;
• Maintain a complete copy of any co1Tespondence mailed to the Respondent on yellow paper. If
USPS returns co1Tespondence, attempt to contact the Respondent at any alternate address known to
the OP at that time. Consider attempting contact via e-mail, telephone, fax, etc.;
• Maintain a copy of any documentation faxed to Respondent with the confomation page stapled to
the top;
• Maintain envelopes received, or relevant po1tions or copies of those mailing envelopes if they are
too large to keep in the case file without alteration, other than as required (e.g. stamp it "Received",
but do not cut off postage stamps, etc.);
• If a Respondent submits two or more QR's in the same envelope, the PCS may either (1) keep 1 all-
original letter in the newer file, and place copies in the other probation file(s) (indicating so in
AS/400), or (2) place the relevant original documents in their respective files while placing a copy
in the other probation files (indicating so in AS/400). In both instances each file should contain an
accurate reproduction of the actual documents received by the Office of Probation;
• Maintain all co1Tespondence and other documents received from anyone concerning the Respondent.
(e.g. new complaints against Respondent, self-repo1ts by Respondent, etc.);
• Whenever stamping documents, make sure all info1mation is accurate and legible, especially dates;
• Summarize in writing all communications initiated or received by OP staff concerning a
Respondent's case. If the summaiy is sholi, type the notes in the AS/400 Activity Log and print out
a copy to put in the file. If the summary is longer, do a memo to file and note in AS/400 that there is
a memo in the file. See template for MEMO;
• Maintain accurate and timely activity logs in AS/400 for each case;
• Prepare and maintain timely, organized, legible, and accurate work product;
• Update Excel spreadsheets and Restitution Log pink-sheet, if needed, for each restitution payment
and periodically re-verify with CSF any payment of claims relating to the orders and stipulations, as
well as its allocation of the payments to payees. (See Monitoring Restitution, section X);
• Fo1ward all requests for infonnation about a Respondent's compliance to the Supe1vising Attorney;
• Regularly review case files and AS/400 repo1is for compliance dates;
• If the file is voluminous and exceeds one volume, create a second volume by moving the documents
from the first left section and the first right section of the previous file to the new file. Write
"Volume 1 of _ " on the previous file and the dates of the documents included, e.g. " 1/7/07 to
10/10/08" on the outside cover. Write "Volume 2 of _ " and the beginning date for the documents,
e.g. " 10/11/08 to _ " on the outside cover of the new file.
I. Processing Mixed Mail
• If a motion is received in an envelope with other (e.g. a QR) documents, place the motion in the
motions section and put the other documents in the con ect section. Make an AS/400 entiy
describing what was done. If a QR is attached as an exhibit to a motion, do not take it out, but do an
AS/400 entl'y explaining where the QR may be found; you may also want to make a note on the Pink
Sheet.
2. Processing Returned Mail
• Verify AA has stamped the envelope "Received" with the appropriate date when an item has been
returned by the U.S.P.S. and stapled the "Received" stamped envelope on top of the letter;
• Fasten the returned letter in the file and log the activity in AS/400;
• Check the returned envelope, AS/400, inti·anet (Member Search / "for State Bar use only'') and the
case file for any change of address or possible alternate contact infonnation and contact Respondent
at that address, e-mail, telephone number, etc.
3. Processing Proof of Compliance
omce of Probation May 2018
• Date stamp as "Compliant" (and initial with your initials) all proof of compliance accepted by the
OP on the date the proof is compliant. If the date is not clear, write in the date so it will photocopy
well;
• Date stamp as "NOi Compliant" (and initial with your initials and indicate the reason) documents
submitted by the Respondent that do not comply with the condition;
• Input compliance infonnation in AS/400;
• Write the compliance dates on pink sheets and initial the dates with your initials;
• Notify Respondent of any problems or concerns regarding the fo1m of their proof of compliance, e.g.
the date on the Quarterly Repo1t precedes the end of quarter or the Respondent failed to submit any
proof;
4. Suspension
Be sure to listen for the Respondent's Out-Going-Voicemail-Message when contacting Respondent's
membership records phone number. If Respondent is suspended, Respondent is not to state or imply that he
is able to practice law (Business and Professions Code §6125 + §6126. Also, when addressing letters to
Respondent's membership records address, inse1t "dba" before business names that indicate Respondent's
ability to practice law. i.e. Law ofc. of Respondent, etc.
Some orders and stipulations contain specific restrictions regarding unpe1mitted activity while in
suspension. Include this language in the Qua1terly Repo1t.
If a Respondent finds that their suspension is still in effect after the comt ordered suspension period, direct
them to 1-800-800-3400. Alternatively, you can transfer them to Michael Sanchez at (415) 538-2123 or
contact Michael Sanchez on the Respondent's behalf so he can call them back.
5. Conducting the Required Meeting
• Upon contact by a Respondent, schedule the required meeting with the Respondent, generally within
two weeks of contact. Meetings can be in-person or telephonic. Remind Respondent to have the
reminder letter in hand during the meeting.
• Review the tenns and conditions of probation with Respondent and properly document the file by
going through the checklist of items on the REQUIRED MEETING CHECKLIST template. Place
the completed fo1m on celery green paper on the 2nd left-side flap in the file and log the activity in
AS/400.
6. 9.20's
Refer to Section VI.B. Rule 9.20 (Conviction / Disbaim ent I Resignation) regai·ding the processing of Rule
9 .20 Affidavits.
If the Supe1vising Attorney sends a 9.20 Rejection letter, the PCS does not need to send a similar letter.
7- Processing Quarterly Reports
• In most matters, Quarterly Repo1is are due, received by the OP, by each Januaiy 10, April 10, July
10, and October 10. Each PCS is responsible for approximately 170 files and, consequently, the
PCSDs receive a high volume of mail during January, April, July, and October;
• The OP accepts original signed QRs as well as copies of original signature transmitted electronically
(i.e. by fax or e-mail).
• Look for obvious defects and contact Respondents promptly:
• When processing a QR, the file must be reviewed carefully to see if the report is in compliance. The
Pink Sheet and the conditions of probation should be checked carefully to ensure that all necessary
language is included in the repo1i. All Quaiierly Repo1is must indicate the correct repo1iing period
compliance statement, and be signed under penalty of pe1j ury with a complete/legible date. Reports
signed, received or mailed before the last day of the repo1i ing period (Mai·ch 31, June 30, September
30, and December 31) ai·e not compliant (unless the order or stipulation states, for example, that a
Final Repo1i maybe submitted up to 20 days before the scheduled te1mination date);
• The date of Respondent's signature is to be the date Respondent actually signed the QR pursuant to
California Code of Civil Procedure section 2015.5. If the Respondent signed the QR after the letter
was mailed, e.g. the postage stamp was canceled on April 1 but the date next to the signature is April
2 the repo1i is not compliant.
• If a Respondent submits two or more QR's in the same envelope, the PCS may either (1) keep 1 all-
original letter in the newer file, and place copies in the other probation file(s) (indicating so in
AS/400), or (2) place the relevant documents in their respective files while placing a copy in the
other probation files (indicating so in AS/400). In both instances each file should contain an
accurate reproduction of the complete documents received by the Office of Probation.
• If the probationer is on actual suspension, there should be nothing on the letterhead, the envelope, or
any other documentation that re resents the attorne as a racticin law er e. . "Law Offices
of.. .. " .
• Each QR submitted to the OP shall be filed but is not considered "Compliant" unless the content
complies with the te1m s and conditions of the Order or ADP. Only repo1is covering the entire
period are "Compliant."
• If the report is "Compliant": It should be stamped "Compliant" on the date on which it was
received (not necessai·ily the date that it is actually being processed) and the PCS should initial the
"Complaint" stamp. The PCS will update the second Pink Sheet of the file and update the AS/400
compliance screen, including the next due date for the "Next Due" QR. However, if Respondent
does not submit a QR but then submits a repo1i the following quaiier, leave the date of the
outstanding QR in the "Next Due" field. The "Compliant" date shall be the date the OP receives a
compliant repo1i - not the date of receipt of the initial, defective repo1i.
• If the report is "Not Compliant": If the contents of a repo1i ai·e deficient or defective, the PCS
shall stamp the repo1i as ''Not Compliant," initial the stamp, and prepare a Document Rejected fonn
to be transmitted to the Respondent. The f01m should state the reason(s) the repo1i is being rejected
and requesting an amended repo1i be submitted immediately.
• Final Report:
The procedure for monitoring the Final Repo1i is similar to that of Qua1ierly Repo1is. Disciplinai·y
matters usually pennit the Respondent to file the final repo1i 20 days before the scheduled
te1mination date. Make sure the final repo1i covers the coITect period.
To summarize, the PCSs are expected to process Qua1ierly Repo1is efficiently and promptly by adhering to
the following guidelines:
• Generally, review and address any problems with each QR within four weeks of receipt;
• Generally, notify the Supervising Attorney if unable to review and address any problems with QRs
within the four-week time period;
• Update Quaiierly Repo1i Compliance pink-sheet and initial the date(s);
• Update AS/400;
• If a Respondent has completed most of the required conditions, the PCS may draft an updated QR
fo1m and mail to Respondent. The cover letter is a the template ("QR REVISION LETTER").
• Repo1is not received by OP are refeITed to as "Outstanding" and not, "Missing" .
• A sample Quaiierly Repo1i is attached as Exhibit X.
8. Underlying Criminal Matter Probation
Respondents ai·e required to provide proof of compliance / te1mination of their underlying criminal
matter(s). If there is more than one conviction, be sure Respondent provides proof on all matters. If
Respondent claims that their UCM has tenninated, Respondent must submit proof, e.g. docket sheets,
expungement order. If the County doesn 't provide dockets, you may need to confmn. Check AS/400's
Conviction Monitoring Screens to see if there is a phone number to call.
• San Diego County Probation: Ohio Street Office, 3977 Ohio Street, San Diego, CA 92104; (619)
574-5500. Ask to speak w/a Deputy Supe1visor.
• UCM Probation (Superior Comi, Santa. Clara County):
http://www.scselfservice.org/crim/record.htm
• California Supreme Comt:
http://appellatecases.comiinfo.ca.gov/search.cfm?dist=0#fom1Attorney
You can request to receive automatic e-mail notifications about your case.
• San Diego Misdemeanor - Traffic Judgments and Minutes:
Fax Criminal Records at (619) 450-5369 or wait on hold for ever at (619) 540-5400.
• Riverside County Summaiy Probation:
Comis (951) 955-4600.
9. Client Funds Certificate
Generally, the Respondent is not required to submit a CPA repo1i if he/she did not possess any client funds,
prope1iy or securities during the entire period covered by a repo1i. In this situation, Respondent may simply
state under penalty of pe1jmy that he/she did not possess client funds, prope1iy, or securities during the
relevant reporting period.
If the Respondent possessed client funds, prope1iy, or securities during the quaiier, Respondent is required
to submit a repo1i from a Ce1i ified Public Accountant (CPA) or other financial professional. Check the
California Board of Accountancy's website, www.cba.ca.gov, or:
http://www2.dca.ca.gov/pls/wllpub/wllgryna$lcev2.startup7p gte code=PA&p gte pgm code=0300
to verify that the CPA's license is in good standing. Print the web page and place it in the file. The OP must
approve the accountant if Respondent chooses someone who is not a CPA. Consider, for exainple, the
"other" professional 's education, experience, whether licensed, and whether the Respondent is the only
client. If approved, the financial professional must provide a repo1i ce1iifying specific info1mation as
outlined in the Respondents disciplinai·y order.
I.R.S. Emolled Agents: Detroit Office "status" (313) 234-1280.
IO. Medical / Mental Health Conditions
Review the evaluation, treatment, plan, or repo1i cai·efully; verify that it complies with the stipulation's
requirements. Review the Mental Health Repo1i to detennine if the Respondent is complying with the
mental health provider 's treatment plan and/or the stipulation. Contact the treatment provider for
clai-ification if needed. Date Stainp as "Compliant".
A LMFT (Licensed MaiTiage and Fainily Therapist) is not a Psychologist, Psychiatrist, or Clinical Social
Worker.
a)Waivers
Respondents with medical conditions are generally required to provide the OP with a medical waiver
pennitting access to their medical records. Read the order or stipulation carefully; if Respondent is required
to submit the waiver "upon request", be sure to include a deadline in the Reminder Letter. Include the
Authorization to Obtain and Disclose Medical Info1mation fonn along with the Reminder Letter. Instm ct
Respondent (1) to return the executed fonn by the deadline, and (2) provide the medical provider(s) with a
copy. Update the AS/400 activity log.
Date Stamp as "Compliant" th e Authorization to Obtain an d Disclose Medical Infonnation as of the date
received and place it in the file.
b )To verify that a pl'Ovider is cmTently licensed, cheek the following:
• Clinical Social Workers:
http ://www2.dca.ca.gov/pls/wllpub/wllgryna$lcev2.startup?p gte code=LX&p gte pgm code=1800
• Psychiatrists:
http ://licenselookup .mbc. ca. gov/licenselookup/search. php
• Psychologists:
http ://www2.dca.ca.gov/pls/wllpub/wllgryna$lcev2.startup?p gte code=PSX&p gte pgm code=7300
• American Society of Addiction Medicine (ASAM) Ce1iification (new ce1iifications ended in 2009):
http ://www.asam.org/CertificationVerificationDirectory. cfm
e) Addiction Medicine Certfflcation Expiration Policies:
Certification Year: 1986-1 996
Rece1iification: Ce1iification Ce1iificates Issued from 1986-1996. Ce1iificates for initial ce1iification issued
from 1986-1996 are not time limited and will not expire.
Physicians who have obtained such a certificate and maintain cunent ASAM membership will continue to
be listed in th e membership directo1y as "ASAM ce1iified, 19xx." However, all certified physicians are
strongly encom aged to consider rece1iification after ten years in order to demonstrate the cmrency of their
knowledge in the field of addiction medicine.
Certification Year 1998 - 2009
Ce1iifications issued in 1998 and thereafter are time limited an d a will expire ten years after the date of
initial ce1iification. After obtaining initial ce1iification, physicians with the time limited ce1iificate will be
listed in the membership directo1y as "ASAM ce1i ified, 20xx," through the tenth year after the certificate
has been earned, provided that the physician maintains cunent ASAM membership. After ten years have
passed, physicians not obtaining a rece1iification ce1iificate will forfeit ASAM certified status.
2009 - Present
Testing I Ce1iification by the American Board of Addiction Medicine.
www.abam.net
II. Lawyer Assistance Prop-RID
Respondents are responsible for making any necessaiy ai-rangements in order to timely obtain and provide
LAP Repo1ts to the OP. The PCS should include an LAP Waiver in the comt esy reminder letter to be
si ed and returned b a set deadline if one was not set by the comt -
Date Stamp as "Compliant":
• Authorization for Disclosme and Release of fufonnation;
• LAP repo1t s.
• Evaluation Plan;
• Pait icipation Plan.
Respondents should sign OP's LAP waiver in addition to the waiver required by the LAP program.
If Respondent disputes the LAP repo1t regarding a Group Therapy Facilitator, contact LAP 's Director
before making any contact with the Group Therapy Facilitator.
Upon successful completion of LAP, update AS/400 as follows:
La st Filed= Date of the letter or ce1tificate advising of Respondent's successful completion of LAP;
Ne xt Report Du e = leave this field blank.
12. .Abstinence
13. .Abstinence-Based Meetinp
The log must contain at least the name and location of the meeting, the date attended, and the signature of
the chai1person or secretaiy When the log is received, update AS/400 and the AA Pink Sheet, and stamp
the log "Compliant".
14. Lab Certification / Testing
When Respondent is required to test for diug and alcohol abstinence, the stipulation or decision generally
states that the OP is to approve the lab. The PCS must verify the lab is licensed by the state; follow the
Depa1tment of Transportation guidelines for testing, including obse1v ed specimen collection; be equipped to
test for IO-panel diug and EtG alcohol; and send results directly to the OP.
Respondent must cause the lab to fax or mail the test results direct~y to the Office of Probation. If the
Respondent submits the test results to the Office of Probation, they must be the original results. Update
AS/400 and the pink sheet and stamp the results "Compliant".
fuclude the Lab Testin Info1mation sheet with the Reminder Letter as well as a Medical Waiver fon~
omce of Probation M ay2018
If the Respondent tests positive for any substance, Respondent must provide proof of a valid prescription for
that substance by causing the prescribing physician to send a letter to the Office of Probation stating (1) the
drng prescribed; (2) the amount/ dosage prescribed; (3) the number in the prescription, e.g. 60 tabs; (4) the
dosing instrnctions, e.g. one tab daily; (5) the date the drng was prescribed; and (6) the date the prescription
is anticipated to end. Also have Respondent provide a repo1i from the lab 's Medical Review Officer.
15. Law Office Management Plan
Each LOMP generally includes the establishment of procedures in the following areas:
1. Periodic repo1i ing to clients;
2. Documentation of telephonic messages received and sent;
3. File maintenance;
4. Calendaring and meeting of deadlines;
5. Procedures to withdraw as attorney, whether of record or not, when clients cannot be conta.cted or
located;
6. Training and supervision of suppo1i personnel; and
7. Any other areas of deficiencies that may have resulted in the misconduct underlying the instant
conditions of probation (e.g. , if Respondent 's misconduct involved a tiu st account, the LOMP
should establish a procedure that would prevent similar problems in the future).
Upon receipt of a Respondent's Law Office Management Plan (LOMP) promptly provide it to the
Supervising Attorney for review. If the LOMP is rejected, the Supervising Attorney will notify the
Respondent in writing of the reason(s) for the rejection. The PCS will send a comiesy copy of such
con espondence to the Probation Monitor, if applicable.
A sample "LOMP Verification Fonn" is attached as Exhibit X.
A sample "Things to Consider When Creating Your LOMP" is attached as Exhibit X.
16. Law Practice Management and Technology Section
"The mission of the State Bar of California's Law Practice Management & Technology Section is to serve
as a resource for our members - fiuihering their knowledge in the areas of law office administration,
financial management, legal ethics, time management, marketing a law practice, office systems and
procedures and law office technology."
When a Respondent is required to submit proof of joining this section, the PCS checks AS/400's
"Until/LPMTS" screen to see when a Respondent joined and dropped.
Previously, the PCS would send an e-mail to Michael Sanchez x2123 at Michael.Sanchez @calbar. ca.gov in
Membership Services. If Michael is unavailable, the PCS can contact Lima Idencio at
Lima.Idencio@calbar.ca.gov in Finance and Tina Surles at Tina.Surles@calbar.ca.gov in Membership
Billing to obtain the date Respondent joined.
When Respondents are required to register for multiple years, set a "place-holder" deadline to monitor
compliance for subsequent years as Respondents are only allowed to join for one year at a time.
17. Minimmn Continuing Lepl Education
Respondents can refer to the State Bar's website:
http:llcalbar.ca.govlstate/calbar/calbar generic.isp?dd=l0138&id=2301
or e-mail the MCLE unit at MCLE@calbar.ca,zoy for more info1mation. Respondents may take MCLE
from providers other than the State Bar. Respondents may also submit course descriptions to the
Supervising Attorney for pre-approval.
Check the Stipulation regarding whether Respondent is prohibited from claiming credit for their regular
MCLE requirements for any MCLE submitted to the OP (Rule of Procedure 3201). Eve1y attorney is
required to complete MCLE unless they are specifically exempted. Disciplined attorneys are not exempted.
However, an attorney who is on inactive or who has been ordered inactive is exempted from MCLE
requirements.
Free MCLE classes in Ethics are available online at the State Bar's web page. Also, some libraries have
free self-study MCLE.
18. Restitution
When a Respondent is required to make restitution to a payee, first check the Client Security Fund screens
to see if the Client Security Fund has paid any money to the payee. (See the section below.)
Include the "Proof of Payment Info1mation" sheet with the Reminder Letter. Proof of restitution payments
must be either (1) a declaration signed by the payee containing the amount of money paid, the date the
money was received, and the payee 's current contact info1mation, or (2) a legible copy of the front and back
of a negotiated check or money order.
The Respondent may be required to follow a payment schedule or to pay off the amount owed by a ce1tain
date.
Prepare an Excel spreadsheet for each payee containing the principal amount owed and the date from which
interest began to accme. The "Restitution with Payments Spreadsheet" excel spreadsheet
contains the calculation fo1mulas. Update the spreadsheet(s) when the Respondent provides acceptable
proof of any payment(s). Print out each spreadsheet on pink paper and place in the file.
If the Respondent owes multiple payees, but is required to follow a payment schedule that allows only one
payee to be paid each month or qua1ter, you may need to include an additional pink sheet to track
Respondent's compliance with the ordered schedule. Update AS/400.
If the restitution condition requires payment of accrned interest, Respondent should first pay the CW for any
interest accrned before CSF 's payment and then begin payment to the CSF.
If the restitution condition requires payment of a ce1tain amount to more than one person, eg. Parent/Child,
Spouses, cohabiters, etc., proof must also be from all listed payees (i.e. check made out to both people or
signed declarations from both people).
Verify with the CSF any payments by CSF and prepare a Restitution Calculation Spreadsheet (Excel
spreadsheet) for each payee listing all payments by CSF. The PCS is to save each Excel spreadsheet and
update throughout the monitoring period. If CSF has paid claims on the Respondent not related to the
ordered payees, let the Respondent know that the Respondent should note the payee on his check to CSF or
risk that the payment will be applied to the oldest claim.
When opening a file always check with CSF directly or via AS/400 (Display CSF Case) regarding payment
of any claims relating to the contract, stipulations or orders. If CSF has paid a claim, Respondent may be
responsible for paying any interest owed to the CW up to the date of any CSF payment. Respondent is also
required to pay principle plus interest accrning from the date of CSF payment, and any processing costs (per
claim paid). CSF processing costs are either $147 when a claim is paid pursuant to a Notice of Intent to Pay
(PIN) or $182 when a claim is paid because the Commission made a decision (CMD). Periodically, check
on the CSF AS/400 screens to detennine if CSF made additional payouts;
• If CSF paid out after the interest date in the contract, stipulation, or order, Respondent owes interest
directly to the payee.
• Prepare an Excel Spreadsheet for each payee. Prepare a Restitution Payment Log (Pink sheet) if
desired, especially if there are more than 1 payee and/or Respondent is required to make monthly
payments;
• Properly record and credit each proof of receipt of restitution payment based upon the date the payee
received payment in the Excel spreadsheet (which contains fonnulas which can be modified as
needed) and on the Restitution Log if one was prepared. If the date of receipt is unclear, the date of
posting by the bank or the date the payee signed the declaration should be used. It has been the
practice of the OP to credit payments to principal first;
• When reasonable, notify Respondent (preferably in writing) with an accurate balance.
• Contact the Supervising Attorney if you have questions.
If Respondent's restitution condition requires his or her suspension "AND UNTIL" completion, refer to 44.
And Until Conditions.
A sample Excel spreadsheet and Restitution Payment log are attached as Exhibit X.
WTemplates used in this section: "RESTITUTION CHECK LOG "
• CPAs:
http://www.dca.ca.gov/cba/look:up.shtml
19. Ethics School/ Client Trust Accounting School
• Respondents must register with OCTC by completing the registration fo1m provided to them with
their reminder letter. The Ethics/CTA schedule and registration fo1m are also on the State Bar
website as follows:
http:llcalbar.ca.gov/calbarlpdfslmembers/Ethics-School-Schedule.pd£
• Compare Respondent's submitted proof of ES / CTA School with the files located:
• When checking whether an individual Res ondent ever completed ES or CTA school, search the
excel files located:
• "Scholarships" are available by contacting Eric Cheung at (213) 765 - 1309.
• Respondents can register on-line, but must mail in payment in order to reserve a seat.
• Certificate Numbers are only issued for people taking ES or CTA School for MCLE credit. The
ce1iificate number is the one used in the MCLE book. Respondents who are not allowed MCLE
credit for ES or CTA School do not receive a ce1i ificate number.
• Pink Sheets: Enter date proof received and date ES was attended.
• AS/400: Enter date class taken. (Not date proof submitted)
20. Multistate Professional Responsibility Examination
When the Respondent submits proof of passage of the MPRE or the time to submit proof has passed, the
PCS first attempts score confnmation with AS/400 's Compliance page. If confmnation is available, update
and print the Compliance page, attach it to third left-flap of physical file, and make the appropriate AS/400
Activity Log entry.
If AS/400's Compliance page contains old or no info1mation, the PCS then confnms passage via e-mail at
bxgrading@calbar.ca.gov. E.g. "Please confnm [Respondent] scored [Score] on [Date of Exam] . Be sme
to include the Respondent's name, and Bar Number in the Subject Line. Upon receipt of confnmation, print
e-mail and attach to third left-flap of physical file.
NOTE: If Respondent is ah-eady on MPRE suspension for failure to provide proof, be sure to indicate this
in the e-mail request as this situation necessitates expedited confnm ation. The PCS is to notify
the Supe1vising Attorney if a response is not received within one business day in this instance.
Upon receipt of confm nation the PCS updates AS/400's Compliance page with the "Proof Received" date
and make the appropriate Activity Log entry.
NOTE: If Respondent asse1is attendance at an examination but has not provide suppo1i ing
documentation, the PCS first attempts verification as above before preparing a refe1Tal.
If Respondent has not timely submitted proof of passage by the due date or scored below the passing scaled
score of 86, the PCS is to complete the (MPRE VERIFICATION FORM), attach it to the physical file on
the third left-flap, and prepare a MPRE RefeITal per section "V. Referrals, D. Multistate Professional
Responsibility Examination". Except: if Respondent has a motion pending in State Bar Comi. Then hold
a refeITal until the Comi denies to motion. If the deadline is extended by Comi Order, monitor the new
deadline as outlined above.
21. Address & Phone Number
If the Respondent is required to maintain a cmTent address and telephone number where the Office of
Probation can reach the Respondent and have the call retmned within 12 hours, include a section in the
Quaiierly Repo1i f01m for the Respondent to write in the cuITent contact info1mation.
22.Client Security Fund
The Client Security Fund (CSF) was created to help protect consumers of legal se1vices by alleviating losses
resulting from the dishonest conduct of attorneys. The CSF is financed entirely by fees paid by California
attorneys. The rnles of the Fund provide that payments may be made within the sole discretion of the State
Bar and are not a matter of right. Consumers ai·e not automatically entitled to reimbursement.
Reimbursement covers the loss of money or prope1iy resulting from lawyer dishonesty. Types of dishonest
conduct that may lead to reimbursement from the fund ai·e:
• Theft or embezzlement of money or the wrongful taking or conversion of money or prope1iy;
• Failure to refund uneained attorney fees paid to the lawyer in advance where the lawyer perfo1m s no
se1vices, or an insignificant po1iion of the se1v ices;
• The bo1Towing of money from a client without the intention or reasonably anticipated ability to
repay the money;
• Obtaining money or prope1iy from a client by representing that it would be used for investment
purposes when no investment is made; and
• An act of intentional dishonesty or deceit that directly leads to the loss of money or prope1iy that
actually came into the lawyer's possession.
CSF generally does not reimburse for sanctions orders and amounts subject to fee arbitration. (They may
pay fee arbitration awai·ds.)
A maximum of $50,000.00 is reimbursable if the loss occu1Ted before Januaiy 1, 2009.
A maximum of $100,000.00 is reimbursable if the loss occu1Ted on or after Januaiy 1, 2009.
CSF only pays principal, no interest. The amount which CSF dete1mines it will pay may vary from any
ordered amount of restitution. OP monitors the ordered amount, but not any amount that may have been
paid out by CSF over the ordered amount.
23.Costs
The Office of Probation occasionally monitors payment plans of disciplinaiy costs pursuant to State Bar
Comi orders. Effective Januaiy 1, 2011 , Rules of Procedure 286 regarding disciplinaiy costs has been
renumbered to 5.134 . These cases ai·e designated as "OTH" in AS/400 and on the file folder label.
Respondents ai·e required to send their payments to the Membership Billing Office in San Francisco and
provide proof to the Office of Probation each Januai·y 101\ April 101\ July 10th, and October 10th. If
Respondents do not submit proof of payment to the Office of Probation, the PCS can confnm receipt of
payment by contacting Lima Idencio in Finance at x2355 or by e-mail at Lima.Idencio@calbai·.ca.gov.
CmTently, the Office of Probation does not have a fonnal procedure for refeITing these types of cases;
however, the PCS is to address any non-compliance issues with the Supervising Attorney. Membership
Billing contacts ai·e Raymond FaiTish at x2147 / Raymond.FaITish@calbar.ca.gov or Tina Surles at x2068 /
Tina.Surles@calbar.ca.gov.
24. Probation Monitors
In the Reminder Letter, the PCS will include infonnation regarding the Probation Monitor assigned and also
provide a comiesy copy of that writing to the Probation Monitor. The Respondent is required to contact the
assigned Probation Monitor within ten days of notification from the OP. The Probation Monitor should
meet with the Respondent at the earliest possible convenience to discuss the te1ms and conditions and to
establish a procedure and plan for compliance.
While Respondents ai·e required to submit their QRs and proofs of compliance to their assigned PCS, the
Probation Monitor should maintain copies of these documents.
The Probation Monitor shall also file with the OP Quaiierly Repo1is regai·ding R's quaiierly compliance and
cooperation. These repo1is are due, received by the Office of Probation each Januaiy 20th , April 20th , July
20th , and October 20th. PM 's may submit copies of these repo1is as originals are not necessary. The PM is
not generally required by the condition to flle a FINAL REPORT.
25. Standanll.2(c)(l)
If a Respondent is suspended for two yeai·s or more, the Respondent generally has to petition the Comi
before resuming the practice of law, pursuant to Standai·d 1.2(c)(l). Effective Januaiy 1, 2011 , Rules of
Procedure 630 - 641 have been renumbered to 5.400 - 5.411. The PCS may put a pink "Until" label on the
front of the file if the PCS finds it to be helpful. The word document for the labels is saved in the Y/Fonns
drive as "Labels for And Until Conds (Pink Labels)". This was previously Standard 1.4(c)(ii).
AS/400 requires a "Y" on the First Screen regai·ding this condition. Also, the "And Until" screen requires
an "X" by its "And Until" field.
26. Bule20:i
Effective Janmuy 1, 201 1, Rule of Procedure 205 has been replaced. The new rnle, Rule 5.85 Petition for
Disbarment After Default, states that if the State Bar Comt enters an order of default for a Respondent, the
Respondent may file a motion to set aside or vacate the default. If Respondent fails to set aside or vacate
the default, the Office of the Chief Trial Counsel may file a petition with the State Bar Court requesting that
it recommends a Respondent 's disbannent to the Supreme Comt.
The OP will continue to monitor any remaining cases where Respondents were ordered to comply with
fo1mer rnle 205. These cases require a Respondent to be suspended until a motion is made to end the
suspension; the Respondent may be ordered to remain actually suspended until (1) Respondent complies
with the originally ordered conditions, e.g. MPRE during period of actual suspension; and (2) Respondent
complies with any newly ordered conditions, e.g. And-Until Restitution.
27. 600j"'(h)
These proceedings are brought to seek interim remedies, without seeking the Respondent's involuntary
inactive emollment and are usually expedited. Effective Januaiy 1, 2011 , Rules of Procedure 510 - 520
have been renumbered to 5.255 - 5.265. The OP then monitors the conditions as ordered. Ifthere are any
violations, OP refers it to OCTC.
6007(h) cases ai·e designated as "OTH" in AS/400 and on the file folder label.
28. Interim Conditions in Criminal Conviction Matters
In Criminal Conviction cases, the Review Depaitment of the State Bar Comt may issue an order stating
conditions which shall remain in effect during the time period between Respondent's matter being filed in
State Bar Comt and until that matter is resolved. These ai·e designated as "OTH" in AS/400 and in the file
folder label.
29. And Until Conditions:
"And Until" conditions require a Respondent's suspension to continue until the condition is completed.
Upon completion, the PCS is to notify both Membership Services and State Bai· Comt as soon as possible.
The PCS sends an e-mail to Michael Sanchez at Michael.Sanchez@calbar.ca.gov in Membership Services
and Tainmy Cleaver at Tammy.Cleaver@calbai·.ca.gov in State Bai· Comt upon Respondent 's successful
completion of "and until" conditions. Be sure to include the case number, Respondent 's naine and bar
number. If you notice a Respondent's status is inconectly showing as active, notify the Supervising
Attorney immediately.
B. Rule 9.20 (Conviction/Disba1·ment/Resignation):
Rules of Procedure of the State Bar of California, Rule 5.332 A re uires Res ondents to se1ve the Office
of Probation with a copy of their Rule 9 .20 Affidavit. If a PCS receives a
Rule 9 .20 Affidavit to the Office of Probation instead of filing it with State Bar Comi in Los Angeles, •
se1vice copy it is to be placed on the 3rd left flap of the fo1m al file. If the Respondent sends their original
Be sure to stamp the back of the Affidavi~
"RECEIVED" with the date that OP received the Affidavit before fo1warding to SBC Effectuations. If
fo1warding, be sure to keep a copy of all documentation including the envelope.
The SA reviews the filed 9 .20 Affidavit for compliance and then completes and signs the "Office of
Probation Rule 9.20 Verification Fonn" either approving or rejecting Respondent 's 9.20 Affidavit;
If the 9.20 Affidavit is approved:
• The SA fo1wards the Office of Probation 9.20 Affidavit Verification Fonn with a copy of
Res ondent's filed Rule 9.20 Affidavit to the AA for entry into the Rule 9.20 Directory
• The AA then fo1wards the Office of Probation 9.20 Affidavit Verification F01m and the copy of
Respondent's filed Rule 9.20 Affidavit to the assigned PCS;
• The PCS then appends the Office of Probation 9.20 Affidavit Verification Fo1m and the copy of
Respondent's filed "Rule 9.20 Affidavit" to the fo1mal file (under pink sheet for 920 files "brown
files" and 3rd left tab for "grey files"); the PCS then updates the Pink Sheet and AS/400.
If the 9.20 Affidavit is rejected:
• The SA contacts the Res ondent b tele hone or letter
to explain why the affidavit was rejected. The SA then
fo1wards the Office of Probation 9.20 Affidavit Verification Fo1m with a copy of Respondent 's
filed Rule 9.20 Affidavit, the AS/400 Activity Log Entry (if an y) and letter regarding the rejection
of Respondent's Rule 9.20 Affidavit to the AA;
o In this instance, the PCS is not required to also sent a 9.20 Reminder Letter.
• The AA then enters the Office of Probation Rule 9.20 Verification Fonn into the Rule 9.20
Directo1y mails the letter and fo1wards the Office of Probation
9.20 Affidavit Verification Fo1m with copy of Respondent's filed Rule 9.20 Affidavit, AS/400
Activity Log Entiy (if any) and yellow file-copy of the letter to the assigned PCS;
• The PCS then appends the Rule 9.20 Affidavit Verification Fo1m , copy of Respondent's Rule 9.20
Affidavit, AS/400 Activity Log Entiy, and yellow file-copy of letter to Respondent to the fon nal
file (under Pink Sheet for "brown files" or 3rd left flap for "gray files").
Disbaim ent/Resignation" when closing these matters.
In cases other than Disbaiments and Resignations, if the Respondent has not filed an affidavit by the due
date:
C.Alternative Discipline P1·ogi·a1n:
See Maintenance of Files staiiing on Section VI and note the following:
• Any non-complian ce is repo1ied to the Comi when there is a Status Conference listed on the repo1i
e-mailed by the AA. Refer to the ADP REPORT.dotm template. "cc" Respondent or his counsel;
the Office of Probation AA will send copies to the DTC and LAP Case Manager.
• No refe1rnl is prepai·ed for non-compliance .
•
I. Preparing ADP Deports:
The AA will notify the PCSs about any upcoming ADP status conferences.
Each PCS is to prepai·e a status repo1i for th e Comi and have it reviewed and approved by the SA about
seven (7) days before any Status Conference. The ADP repo1i will advise the Comi of the Respondent's
compliance or non-comp liance with all Program conditions being monitored. The DTC, the Respondent or
his/her counsel, and the Respondent's LAP case manager shall be cc'd on the repoli. To find the LAP Case
Manager assigned to a paiticulai· Respondent, contact Matt Adams xl 148. The AA will file the repo1i and
send it to most of the persons cc'd. If there is an issue requiring clai·ification, put a request to attend th e
next status conference in the Comt repoli. If the conference is in San Francisco, the PCS will appear
telephonically.
A sample Program Report is attached as Exhibit X.
W Templates used in this section: "ADP REPORT".
D. 6007(h) / Q-Cases / Othe1·:
See Maintenance of Files staiiing on Section VI and note the following:
• May not have an end date.
• For monitoring costs payments, contact Lima Idencio lima.idencio@calbar.ca.gov in Membership
Billing. If Respondent doesn 't make the payments, they send Respondent to collections and there is
nothing more for OP to monitor an d the file should be closed per Section XI.
• Resignations With Chai·ges Pending O-Cases:
o Rule 5.420 of the Rules of Procedure of the State Bai· provides: Chai·ges are pending when
the member is the subject of an investigation by the Office of Investigations or a disciplinaiy
proceeding under these mles, or when the member is the subject of a criminal chai·ge or
investi ation or has been convicted of a felon or misdemeanor.
0
VI. Referrals:
• Before sending a No 1st Repo1i Letter in a Reproval matter, check AS/400's "10. Display SBC
Proceedings" screens to determine if it has been appealed and in "Review Open" (RVW OPN)
status.
• Be sure Respondent has been mailed a No 1st Repo1i Letter that accurately lists all violations.
Respondent should also be contacted via another method, e.g. telephone, fax, or e-mail. The No 1st
Report Letter should be mailed out after Respondent's first condition not completed. Be careful to
modify the template. For example, if PCS received but couldn't file a QR, do not keep template
language that says no QR was received;
• Check AS/400 's State Bar Comi and Display Trials screens (9 & 10 on initial menu screen) and/or
consult with SA to determine if Respondent needs to be refe1Ted (e.g. not about to be disba1Ted);
• Because Respondent may move for modification under the Rules of Procedure, e.g. rnles 5.128,
5.162 and/or 5.300, et seq., verify that the Respondent does not have a pending motion to extend
time or othe1w ise modify the tenns and conditions;
• Verify in AS/400 that the Respondent is not deceased;
• Verify the Respondent's address and telephone numbers to make sure that previous returned letters
and incomplete calls used the co1Tect contact info1mation;
• Check AS/400 to see if the Respondent has an open refeITal, PM, H-case proceeding, or N-case
proceeding. If the refeITal is still pending, do an update written memo to the OCTC Attorney who
has the refe1Tal. Do not include conditions/deadlines that were previously included, or could have
been included, in the disposition of the previous refeITal(s). If the previous refeITal resulted in a
disposition, discuss the preparation of a new referral with the Supervising Attorney;
• Remember: Case numbers requested from Data Entiy may only be deleted in the same month
requested. Be sure a matter will be ultimately refe1Ted before requesting a case number from Date
Entiy.
6007(H): PCSs should promptly notify OCTC in writing re: any non-compliance with tenns and conditions
of a decision or stipulation under Business and Professions Code, section 6007(h). The PCS should keep a
record of the notification and input the appropriate data in AS/400.
A sample Referral Checklist is attached as Exhibit X.
The PCS shall promptly refer any issues of non-compliance or other concerns to the Supervising Attorney.
Contact the probation monitor, if applicable, to find out the status of compliance during the preceding
calendar quarter, i.e., was the Respondent required to contact the monitor on a monthly or quaiterly basis,
when was the last communication (written/oral) with the Respondent, does the monitor have any
infonnation regarding the status of the condition in question, was the condition/proof of compliance
discussed at the initial meeting, remind monitor of upcoming compliance due dates, etc.
Review all documentation in the file to detennine which documents are relevant to the non-compliance
allegations. Copy all relevant documents (including the envelope the document was received in and all of
the documents contained therein even if in relation to another of Respondent's matters) and list them on the
"Notification of Non-Compliance" fo1m in reverse chronological order for Comt orders; list the other
documentation in chronological order. Be sure to include all copies of QR's received. Include a copy of
any previous refe1rnl and any order that was issued in relation to such referral. Also include the initial
meeting contact fo1m and all motions and responses. The PCS shall ce1tify (by signing and dating in blue
ink) the documents, if applicable, at the bottom of the back of the last a e of each exhibit. OP cannot
ce1tify any documents filed with the Comt.
A. Conviction / Suspension Cases:
Prepare a manila, physical refen al file; place the indexed documents on th e right-hand side of the refe1rnl
folder; prepare a label; and give th e referral file with the probation file to the Supervising Attorney for
review an d approval.
O-case Refen al Label Example:
RESPONDENT S NAl\1E BAR #
S123456 SF
1 - 0 ~11111
PROBATION NON-COIVIPLIANCE REFERRAL
B. Reprovals (H-Cases):
Request an "H-case" from Data Enny on the same day the refenal will be provided to the Supervising
Attorney. Be sure to include the following info1m ation: Respondent's name, Bar number, underlying case
number and jurisdiction (LA or SF). Data Entry has its own contact list in Outlook ("DataEntiy ").
Prepare a manila, physical refen al file; place the indexed documents on the right-hand side of the refe1rnl
folder; include the new case number on the Non-Compliance refenal fo1m (for H and N matters); prepare a
label; and give the refen al file with the probation file to the Supervising Attorney for review and approval.
H-case Refen al Label Example:
RESPONDENT'S NAlVlE BAR #
18-H-Y\.."'XX LA or SF
REPROVAL NON-COI\IPLL4.NCE REFERRAL
Update th e 1st screen in AS/400 with the new case number in the field, "REF / New Case No/ s: " .
C.Rule 9.20 (N-Cases):
Before preparing a 9 .20 Refe1rnl, send a 9 .20 Reminder Letter and contact the Respondent via telephone, e-
mail or fax (whichever is most likely to reach Respondent). Then, if the Respondent has not complied
within 31 days of the due date, refer the matter to OCTC.
First, contact the Effectuations Depaii ment, either Jesus Hernandez Jesus.Hernandez@calbai·.ca.gov and
Christina Potter Christina.Potter@calbai·.ca.gov, to detennine if Respondent filed a 9.20 Affidavit which
was not received by the OP. If you have questions regarding whether OCTC will prosecute a paiiicular
matter, contact your Supervising Attorney before preparing the refe1Tal, so that OCTC can be consulted as
to whether it wants that refe1Tal. For example, OCTC may not wish to prosecute someone who was late
because they were incarcerated or hospitalized;
In Disbaiment and Resignation Cases: No refen al needs to be prepared for failure to comply with Rule
9.20. Simply close those files after 31 days as the State Bai· no longer has jurisdiction over those fo1mer
attorneys.
In Probation/Suspension cases: Request an ''N-case" from "Data.Entry" via e-mail on the same day the
refe1Tal will be provided to the Supervising Attorney. Data Entry has its own contact list in Outlook
("Data.Enny").
Only prepai·e N-case refe1rnls in matters where the Rule 9.20 Affidavit condition was ordered by the
Supreme comi, not "pseudo" 9 .20 conditions ordered by State Bar Comi , e.g. in Review Depa11ment C
matters. When preparing N-case refe1Tals, also prepare the O-Case referral for any existing probation
violations. If preparing together, attach requisite exhibits to the N-case refe1Tal. For the O-case refe1Tal, list
the same exhibits but refer to the N-case refe1Tal for the actual exhibits and continue numbering exhibits in
the O-case refenal.
Be sure to include the following infonnation: Respondent's name, Bai· number, underlying case number and
jurisdiction (LA or SF).
Note: Data. Entry is not able to delete case number creation requests from previous months.
Prepare a manila, physical refenal file; place the indexed documents on the right-hand side of the refe1Tal
folder; include the new case number on the Non-Compliance refe1Tal; prepare a label· and ive the refenal
fil ·th th • b f fil t th S • ! Att £ d approval.
N-case Refenal Label Example:
RESPONDENT'S NAI\IE BAR#
18-N-XX.rX..X..'X LA or SFI
9.20 NON-COI\iIPLIANCE REFERRAL
WTemplates used in this section: "9.20 Reminder Letter", ''No 1st Repoit Letter", "9.20 Refe1rnl",
"Probation Referral", "Reproval Referral", "Memo".
D. Alte1•native Discipline Progi·am:
The PCS shall refer any issues of non-compliance in the ADP repoit to the SBC. As always, if th ere are
concerns, contact the Supervising Attorney. Also, refer to Section X regarding the monitoring of ADP files.
WTemplates used in this section: "ADP Letter".
E. Multi-State Professional Responsibility Exam:
If Respondent fails to comply with the MPRE condition by subinitting satisfacto1y proof by the deadline,
the PCS prepares a refenal recommendation in the following manner unless a motion is pending before
State Bar Court. If a motion is pending, only prepare the referral after the court denies the motion.
• In Suspension/Probation cases, the MPRE requirement is separate and distinct from the probation
conditions. It is ordered by the Supreme Court of California and is referable separately from the
other conditions to the Review Department of the State Bar Court using the (MPRE VIOLATION
NOTICE).
• Be sure to include all State Bar Comi Case numbers (not just the first/ lead or consolidated case
number) when preparing th e refenal.
• In Reprovals, the MPRE condition is referred to the OCTC with any other Reproval violations. Do
not prepare a separate MPRE referral to the Review Depa1iment of the State Bar Comi.
In Suspension/Probation cases the PCS completes the (MPRE VIOLATION NOTICE) . Although the letter
is addressed to th e Presiding Judge of the Review Department, inter-office the original to the "Review
Depa1iment" of the "State Bar Comi", send a copy to the Respondent at their official membership records
address or their counsel, and place a yellow copy in the file on the third left-side flap , and update AS/400 in
the "Notice SBC of 1. Non-Compliance: " field and update the AS/400 Activity Log. Set a
reminder regarding the pending order.
When the Review Depa1iment issues an Order (usually within a few weeks) suspending Respondent from
the practice of law for not having completed the MPRE, the PCS places the order in the fo1mal file in the
first left-side flap and updates the second page of AS/400 ("Compliance") at the "SBC orders
Suspension: " section with filed date of the Suspension Order, not the effective date of the suspension,
If the Respondent later submits valid proof of passage of the MPRE, refer to section VI. Internal
Procedures Post-Referral.
W Templates used in this section: "MPRE Violation Notice"
F.Mental Incapacity (Tr-Cases):
• These cases do not affect open probation matters. Refer as usual.
G. Probation Revocation Matters (PM-Cases):
• When a refen al becomes a Probation Revocation (PM case), the SA ti·ies the case in State Bar Comi .
• The PCS will update the probation file with the PM-case number on the identifying tab.
• See Page 55 regarding, E. New Discipline Resulting From Probation Referrals (fu PM cases).
VII. Internal Procedures Post-Referral:
After review and approval, the SA will give the file to the AA for processing. The AA will make a yellow
copy of the Non-Compliance fo1m and will give the yellow copy with the Probation File back to the PCS.
The original Non-Compliance fonn should be placed on top of the ce1tified documents in the refenal folder.
The refe1rnl file will be sent to the appropriate "Venue" contact person. The yellow copy of 9.20 Non-
compliance fo1ms should be placed in the probation file on top of the pink sheets or on top of the third left-
side flap. Any other type of non-compliance fonns may be placed on top of the pink sheet in the probation
file or on the third right-side flap. You may want to leave the non-compliance f01m on top of the pink sheet
until the referral matter is closed.
A.Documents fi·om Respondent Post-Refe1·1·al:
If a Respondent submits proof of compliance or other relevant documents to the OP after a notice of non-
compliance has been fo1warded to Enforcement, the PD should check the " 9. Display Trials
Proceedings" screen to dete1mine the assigned DTC. The PCS should contact the DTC and provide the
DTC with a memo and ce1tified copy of the received documents, unless othe1wise requested by the DTC.
B. Follo,v-up Refe1·rals to the Office of ChiefT1·ial Counsel:
With the passing of each repo1t ing period and/or compliance date, the PCS should check with OCTC or
AS/400 to check the status of the refen al matter. If the matter is still pending, the PCS should then notify
the assigned DTC regarding the status of probation compliance. If the Respondent does not comply with
subsequent conditions, notify the DTC by e-mail and place a copy of it in OP's file. If the Respondent
complies with subsequent conditions, do a memo to the DTC and attach copies of the documentation
received. If the refen al matter is no longer pending (i.e. the matter has been settled or tried), a new refenal
may need to be prepared.
C. Late Completion ofMPRE:
When Respondent late submits proof of passage of the MPRE, confom proof per section "IV. Maintenance
of Files, 13. Multistate Professional Responsibility Examination".
After confinnation, the PCS prepares the (MPRE COMPLIANCE) template. Although the letter is
addressed to the Presiding Judge of the Review Depaitment, inter-office the original to the "Review
Depa1tment" of the "State Bar Comt", send a copy to the Respondent at their official membership records
address or their counsel, and place a yellow copy in the file on the third left-side flap, and update AS/400 in
the "2 . Compliance: " field and update the AS/400 Activity Log with the date proof was received from
Respondent. Set a reminder regarding the pending order.
When the Review Depaitment issues an Order (usually within a few weeks) lifting the previous suspension
order, the PCS places the order in the fonnal file in the first left-side flap and updates the second page of
AS/400 ("Compliance") at the ''Vacated: " field with the date the order was filed (this is also usually the
effective date of Respondent's return to active status).
If the Respondent's infonnation on the State Bar web page fails to reflect the lifting of the suspension order,
contact Tammy Cleaver of State Bar Comi by e-mail at tammy.cleaver@calbar.ca.gov.
Respondents remain suspended until the Review Department Order is filed.
W Templates used in this section: "MPRE Compliance"
D. Closing Files When a Refe1·ral Matter is Still Pending:
If the probation or reproval period expires while a referral matter is still pending with OCTC, the PCS
should keep the file open until notified of its resolution.
W Templates used in this section: "Memo"
E. New Discipline Resulting Fi·o1n Pi·obation Refe1·rals:
In PM cases: the Supreme Comi will issue a new disciplinary order with the same Supreme Court case
number as the underlying discipline. This new Supreme Comi order shall be placed in the original
probation case file - on the first left-hand side, on top of the previous disciplinary orders. The PCS shall
prepare a new pink sheet outlining the conditions, due dates, compliance dates, actions taken, etc. and place
that pink sheet on the first right-hand side of the folder, on top of the pink sheet regarding the previous
disciplina1y order. The PD shall send a new "Reminder Letter" to the Respondent and input the new data
accordingly in AS/400 (i.e. File Date, Effective Date, Actual Suspension Date, and any "new" deadlines
without deleting any ah-eady completed conditions). There is a separate field on the first screen to input the
PM case number. Do not delete the original case number. It may be helpful to inseli in various sections of
the file a legal size piece of paper with a notation that all documents below that page were from before the
PM.
MPRE Condition: Because the MPRE is a separate order (not a probation condition), a probation
revocation does not affect the original deadline of the MPRE. Update the pink sheet accordingly in the
resulting discipline.
In "0 " cases (converted PMs), "N" cases, and "H" cases: the Supreme Court and/or SBC issue new
disciplinaiy orders with new case numbers. These orders require the creation of a new, separate
probation/reproval file. The PCS shall open the new file pursuant to the aforementioned policies and
procedures for opening new files. Unless the underlying discipline (from which the N, H, PM, or O case
stemmed from) is te1minated or inc01porated into the new discipline, the underlying discipline case file
remains open and the PCS shall continue monitoring those orders in addition to the new order.
W Templates used in this section: "Probation Revocation Letter"
F.Closiug Refer1•ed Files:
Keep track of "continuing" conditions, e.g. Restitution. If the scheduled te1mination date has passed when
the new discipline is received, a referral in the underlying discipline can be closed.
When the scheduled termination date has passed and Respondent has completed all conditions:
Refen ed files are generally closed at the same time the new discipline file is opened.
When the scheduled termination date has NOT passed or if there are remaining un-completed
conditions: either keep monitoring the file or prepare another referral for the remaining un-completed
conditions.
Resignation Rejection files are opened and closed via the same letter.
W Templates used in this section: "Close Letter"
VIII. Probation Monitor Referee
Probation Monitors (PM) are appointed by the State Bar 's Board of Trnstees pmsuant to Business and
Professions Code section 6040 and rnle 2702, Rules of Procedme.
If a PM is ordered, the PCS should tiy to select a candidate from the same geographical area as the
Respondent. The lists of PM 's and their locations can be found in the "Probation Monitors" folder in the Y
drive. The PCS must contact the PM to see if he or she will accept the assignment. Once someone agrees
to be a PM, include that person 's name and contact infonnation in the reminder letter to the Respondent;
also send a copy of the reminder letter to the PM. A fo1m for this initial letter is in the Probation templates.
Copies of any of OP's coITespondence to the State Bar Comi or Respondent should be cc'd to the PM. Also
update AS/400's Probation Monitoring Maintenance - Monitoring screen with the PM's number.
PMs may decline the assignment of any paiiicular case but can discuss all concerns and problems with the
assigned PCS.
PMs shall act professionally, diligently, and consistently with the values and mission of the OP. If the PCS
has concerns that a PM is not doing so, the PCS shall immediately bring the issue to the Supervising
Attorney's attention.
COMMON PROBATION MONITOR DUTIES:
• Maintain a complete and accmate file for each case assignment. Files should include copies of all
written coITespondence with the Respondent and a record of all oral communications with the
Respondent.
• Hold an initial meeting with the Respondent to review the te1ms and conditions required of the
Respondent. Establish a repo11ing procedme with the Respondent and assist the Respondent to
timely comply with the required te1m s and conditions.
• Maintain regular and direct contact with the Respondent. Be readily available to the Respondent to
address questions and concerns regarding the required te1ms and conditions.
• Promptly notify the PCS of any problems, concerns and non-compliance issues.
• Timely repo1i to the PCS on each Janua1y 20, April 20, July 20, and October 20, regarding the
Respondent's cooperation/compliance with required tenns and conditions. A sample Probation
Monitor Quarterly Repo1i is attached as Exhibit X.
IX. Motions
At various times Respondents prepare motions to the Comt to either modify the conditions of their
probation or extend the time within which they are required to comply with conditions. When the PCS
receives such motions, if not previously stamped "Received" by the OP, they should be stamped "Received"
on the back with the OP stamp and initialed by the PCS. PCSs should review the motions and fo1ward the
motion (with Respondent's updated file) to the Supervising Attorney within a business day whenever
possible with the motion loose inside or on top of the file (i.e. not attached to the 2nd right side flap) after
ensuring the following:
• Update the file completely (this includes all Quaiterly Reports, Conespondence, Restitution
spreadsheets (including a recent update from CSF), and ES I CTA rosters if the deadline has passed;
• The SA only has 10 days from SERVICE (not the date the comt clerk inputs the motion) to respond
in some instances, so time is of the essence;
The SA will prepare the response (if necessai·y) and fo1ward to the PCS for review. The PCS is to review
the motion and bring any questions or comments to the SA' s attention. The SA will then fo1ward the
motion to the AA for filing.
Certain motions ai·e not responded to by OP e.g . motions regai·ding costs (including PM cases). When
receiving a motion that OP doesn't respond to, forwai·d a copy to the Office of Intake, to the attention of
John Kelly.
If a Respondent wishes to file a motion for modification of medical conditions, pursuant to rnle 5.300, Rules
of Procedure, the motion should be suppo1ted by a written statement from the treating psychiatrist,
psychologist, or appropriate medical professional, by affidavit or under penalty of pe1jury, in suppo1t of the
proposed modification.
If the OP receives a motion meant for OCTC, the Supervising Attorney shall notify OCTC management
about the motion and fo1ward the motion to the Los Angeles Assistant Chief Trial Counsel in charge of the
Intake Unit. The OP shall maintain a copy of the motion for its file.
Upon receipt of any modification orders, the PCS shall update the Pink Sheet, AS/400 and generally contact
the Respondent in writing regarding substantive modifications of any terms and conditions. Destroy/recycle
the file copy of the motion when the confo1med copy is received.
omce ofProbation M ay2018
X. Closing Files
Files generally should be reviewed for closure within I-month after the monitoring period has expired,
unless there is reason to keep the file without closing it. For example, if the Respondent has been refeITed,
OCTC may need documents or the PCS to testify, or if the matter was in ADP.
A. Scheduled Termination:
Files should be organized and stapled where appropriate, e.g. no loose papers, paper clips, etc.;
Review all te1ms and conditions for compliance/non-compliance;
Prepare the appropriate refe1Tals for any non-compliance (see section VII. above);
If not previously added, print all e-mail and place it in the file;
Accurately input closing data and an infonnative statement in the "Nts" section of AS/400, e.g. "disbaITed
in OP Access #12345", "Resigned", "albeit late - all conditions met", etc. and your initials;
Stamp the front of the file "Closed" about I/3 rd of the way down from the top and write in the closing date
(month and year) and initials of the PCS;
Promptly address any questions or concerns with the SA and provide the file to the SA with a copy of the
1st AS/400 screen fastened on top of the 1st right flap for an internal review;
Fo1ward file to SA for closure audit. The SA prepares a closing audit memo and transfers the file back to
the PCS;
Complete everything set fo1th in the closing audit memo. Make a copy and fo1ward to SA. Fasten original
on top of the 3rd right flap;
Do not send closing letters. However, comtesy closing letters may be sent upon a Respondent's request after
review by SA. Generally, the PCS gives the closing letter to the SA with the file for the closing audit.
B. Death of Respondent:
Sometimes the OP receives notice that an attorney passed away while being monitored by the OP. The PCS
is to fo1ward any such info1m ation to MEMREC for verification. After the deceased Respondent's member
profile page is updated, then process the file for closure as outlined above.
C.P1·eviously Refer1•ed Matte1•s:
Generally, keep open files for matters that have been refeITed until the refeITal is finalized. The PCS may
need to review the file upon opening the new discipline or testify for the refe1Tal in State Bar Comt.
D. Disba1·ment & Resignations:
Generally, for disbaiments and resignations the OP closes the file and does not prepare a refe1rnl if the 9.20
Affidavit is not filed.
In some instances a secondary Rule 9 .20 Affidavit will be ordered by the Court.
closed the PCS does not re-open the file; just update the closed file.
In disba1m ent cases with restitution, make sm e "NTS" section of AS/400 is updated to indicate whether
proof of restitution was received and whether a deadline was ordered.
A sample Closing Files Checklist is attached as Exhibit X.
XI. Contact Information
1. CSF obligations -- contact Betty Yung (CSF) x1150 or direct number (213) 765-1150 or Client
Security Fund direct number (213) 765 - 1140;
2. Change of address -- Address changes may be made on-line by logging on to My State Bar
Profile. Address changes may also be made by printing out the Address Change Form and sending
it to the State Bar. The fo1m must include info1mation such as the member's full name, bar number,
new address, a copy of one piece of identification and signature. Respondents need to send to the
State Bar of California, Attention: Membership Records, 180 Howard Street, San Francisco, CA
94105 (415) 538-2577 or fax to (415) 538-2576. It can also be contacted by email at
memrec@calbar.ca. gov;
3. Contest or Compromise CSF obligations -- Respondents can contact Tracey McC01mick (Office
of General Counsel) x2324;
4. Contest or Compromise Disciplinary Costs -- Respondents should contact State Bar Comt x1400
or direct number (213) 765-1400;
5. Disciplinary Costs -- Respondents can contact Membership Billing x2360 (not Membership
Records). Membership Billing is located in San Francisco and their direct number is (415) 538-
2360;
6. Ethics & CTA School -- Respondents can contact Eric Cheung for registration, scholarships, and
additional infonnation at x1309 or at direct number (213) 765-1309;
7. Ethics Hotline- (800) 238-4427;
8. General Number - Main number for Los Angeles Office (213) 765 - 1000; for San Francisco (415)
538 - 2300. Website http://calbar.ca.gov;
9. Intake-to make a new complaint (800) 843-9053;
10. MPRE -- Respondents should contact the National Conference of Bar Examiners at: Application
Depa1tment, Box 4001, Iowa City, IA 52243, phone number (319) 341-2500, or at their website
http ://ncbex.org:
11. MCLE Credit -- Respondents can contact the MCLE Program at x2130 , direct number (41 5) 538-
2130, or e-mail MCLE@calbar.ca.gov or at http://mcle.calbar.ca.gov/;
12. Member Services Center (MSC) -- State Bar has a service center dedicated exclusively for State
Bar members. The MSC toll-free number is (888) 800-3400. If you receive a call from an attorney
that is not appropriate for your depaitment and you ai·e unsure where it should be transfe1Ted, please
transfer it to x2225. If you feel that the caller needs to speak directly with an MSC representative,
please transfer the member to x6225 . The MSC fax number (415) 538-2215; the e-mail address:
msc@calbai·.ca.gov. Please note that the MSC is for attorneys only. Public calls will continue to be
screened by reception staff;
13. Lawyers Assistance Program (" LAP") -Toll-free number is (866) 436-6644 (inside California) or
the local main office number is (213) 765-1190. Their fax number is (213) 765-1122;
14. OP staff -- Terrie Goldade x1494, Ivy Cheung, x1407, Eddie Esqueda x1482, Maricmz Fai-fan
x1452, May Ling Fernandez, x1035, Mia Hibler x1408, Michael Kanterakis x1410, Tere se
Laubscher, x1095.
XII. Exhibits
A. AS/ 400 Screens
B. Sample Opening Files Checklist
C.Sample Compliance Sheet (Pink Sheet)
D.Sample QR Compliance Sheet (Pink Sheet)
E. Sample Restitution Payment Log (Pink Sheet)
F. Sample Restitution Excel Spreadsheet
G. Sample Record of Initial Meeting
H. Sample Probation Quarterly Report
I. Sample Closing Files Checklist
J. Sample Referrals Checklist
K. Sample ADP Report
L. Sample Rule 9.20 Affidavit
M. Sample Probation Monitor Quarterly Report
N. Sample Law Office Management Plan Verification Form
O.Resignation Packag
P. Things to Consider When Creating Your LOMP
Q. Sample QR Client Funds Certificate 112009
R.Sample Mental Health Report
XIII. Change-Log:
Oflke of Probation May 2018
Oflke ofProbation May 2018

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