Prefiling Settlement Conferences (formerly Early Neutral Evaluation Conferences)

Rules 5.30 and 5.341 of the Rules of Procedure of the State Bar of California regarding Prefiling Settlement Conferences – formerly called Early Neutral Evaluation Conferences – have been substantially revised, effective July 1, 2024. The changes to rule 5.30 rename Early Neutral Evaluation Conferences as Prefiling Settlement Conferences (PSCs) and revise the requirements for the parties in connection with these conferences.  The changes to rule 5.341 newly allow PSCs to be held in conviction proceedings where the conviction is for a misdemeanor, if the Office of Chief Trial Counsel requests to hold a PSC and the attorney joins in that request.

The State Bar Court Hearing Department Guidelines for Scheduling and Conducting Prefiling Settlement Conferences have been updated to reflect the changes to rule 5.30, and new Guidelines have been created for PSCs in misdemeanor conviction proceedings.

Guidelines and Forms:

• Prefiling Settlement Conference Guidelines
• Prefiling Settlement Conference Guidelines for Conviction Cases
• Prefiling Settlement Conference Request Form 

Text of rules 5.30 and 5.341 effective July 1, 2024

Rule 5.30 Prefiling Settlement Conference

 (A)  Scheduling Conference. Prior to the filing of disciplinary charges, the Office of Chief Trial Counsel will notify the attorney in writing of the right to request a Prefiling Settlement Conference. The written notice must state that the attorney may be ordered to pay costs pursuant to Business and Professions Code section 6086.10, and monetary sanctions pursuant to Business and Professions Code section 6086.13 and rule 5.137 of the Rules of Procedure of the State Bar. Within 10 days from the date of the notice, either party may request a Prefiling Settlement Conference using the court-approved form located on the court’s website and following the directions provided. Failure to request a conference within that time is deemed a waiver of the right to a conference. If proper notice is provided, failure to hold a conference will not be a basis for dismissal of a proceeding. A State Bar Court hearing judge will conduct the conference within 15 days of the request unless upon agreement by both parties to a specific later date.

(B)  Meet and Confer; Settlement Conference Statements; Confidentiality. Pursuant to Rule 5.52.4, the parties shall meet and confer prior to the Prefiling Settlement Conference. Pursuant to rule 1206 of the Rules of Practice of the State Bar Court, each party shall lodge with the court, but not file, a settlement conference statement. The statement must be clearly marked as such, may be in letter form, must indicate in the heading the date and time of the scheduled settlement conference, and must be addressed to the settlement conference judge. Settlement conference statements may, but are not required to, be served on the opposing party. The Office of Chief Trial Counsel must submit a copy of the draft notice of disciplinary charges, or other written summary of the proposed charges to the judge with the settlement conference statement. The documentation submitted by the Office of Chief Trial Counsel must include the rules and statutes alleged to have been violated by the attorney, a summary of the facts supporting each violation, and the Office of Chief Trial Counsel’s settlement position, including the amount of monetary sanctions being sought and the reasons. Each party may submit documents and information to support its position with the settlement conference statement. The failure of either party to submit the settlement conference statement and other required documentation within the specified time may result in the conference being rescheduled for a later date.  The content of discussions and written statements made in connection with the Prefiling Settlement Conference and the meet and confer process are confidential and subject to Rule 5.52.6.

(C)  Stipulation for Approval; Assignment of Trial Judge. If the parties resolve the matter in a way that requires court approval, the Office of Chief Trial Counsel must document the resolution and submit it to the prefiling settlement judge for approval or rejection. If the matter does not settle prefiling, unless otherwise stipulated by the parties, the prefiling settlement judge cannot be the trial judge in a later proceeding involving the same facts.

Rule 5.341 Beginning Proceedings 

(A)  Initiation of proceedings. Conviction proceedings are initiated in the Review Department of the State Bar Court when the Office of Chief Trial Counsel files a certified copy of the record of conviction or sentence of incarceration for 90 days or more. If the conviction is not final as defined in California Rules of Court, rule 9.10(a), but becomes final later, the Office of Chief Trial Counsel must file a supplemental record of conviction containing sufficient proof that the conviction is final. Any record of conviction or sentence of incarceration for 90 days or more filed must be served on the attorney under rule 5.25.

(B)  Optional Prefiling Settlement Conference for Misdemeanor Convictions.  For misdemeanor convictions only, prior to filing a certified copy of the record of conviction, if the Office of Chief Trial Counsel believes that a prefiling settlement conference may affect its determination whether the misdemeanor conviction involves or may involve moral turpitude or other conduct warranting discipline, the Office of Chief Trial Counsel may, but is not required to, request a prefiling settlement conference.

(1)  Scheduling Conference. Within three days of the Office of Chief Trial Counsel’s receipt of the certified record of conviction, the Office of Chief Trial Counsel will notify the attorney in writing, via email, that the Office of Chief Trial Counsel has elected to request a prefiling settlement conference. The written notice must include the record of conviction and must state that the attorney may be ordered to pay costs pursuant to Business and Professions Code section 6086.10, and monetary sanctions pursuant to Business and Professions Code section 6086.13 and rule 5.137 of the Rules of Procedure of the State Bar. Within three days from the date of the written notice, the attorney must notify the Office of Chief Trial Counsel, in writing, via email, whether the attorney joins in the request for a prefiling settlement conference. If the attorney joins in the request for a prefiling settlement conference, then, within three days from the date of the attorney’s notice of joinder, the Office of Chief Trial Counsel will request a Prefiling Settlement Conference using the court-approved form located on the court’s website and following the directions provided. A State Bar Court hearing judge will conduct the conference within 14 days of the request.

(2)  Meet and Confer; Settlement Conference Statements; Confidentiality. Pursuant to Rule 5.52.4, the parties shall meet and confer prior to the Prefiling Settlement Conference. Pursuant to rule 1206 of the Rules of Practice of the State Bar Court, each party shall lodge with the court, but not file, a settlement conference statement. The statement must be clearly marked as such, may be in letter form, must indicate in the heading the date and time of the scheduled settlement conference, and must be addressed to the settlement conference judge. Settlement conference statements may, but are not required to, be served on the opposing party. The Office of Chief Trial Counsel must submit a copy of the record of conviction, a summary of the facts demonstrating that the conviction involves or may involve moral turpitude or other misconduct warranting discipline, and the Office of Chief Trial Counsel’s settlement position, including the amount of monetary sanctions being sought and the reasons. Each party may submit documents and information to support its position with the settlement conference statement. The failure of either party to submit the settlement conference statement and other required documentation within the specified time may result in the conference being cancelled. The content of discussions and written statements made in connection with the Prefiling Settlement Conference and the meet and confer process are confidential and subject to Rule 5.52.6.

(3)  Stipulation for Approval; Assignment of Trial Judge. If the parties resolve the matter in a way that requires court approval, the Office of Chief Trial Counsel must document the resolution and submit it to the prefiling settlement judge for approval or rejection. If the matter does not settle prefiling, unless otherwise stipulated by the parties, the prefiling settlement judge cannot be the trial judge in a later proceeding involving the same facts.

(4)  Failure to Conduct Requested Conference. If, for whatever reason, a requested prefiling settlement conference is not conducted within 28 days of the Office of Chief Trial Counsel’s receipt of the certified record of conviction, the Office of Chief Trial Counsel may proceed to file the certified record of conviction in the Review Department.